Enacts into law major components of legislation relating to Good Government and Ethics Reform
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| Date of Action |
Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
|---|---|
| Jan 14, 2016 |
referred to ways and means |
Enacts into law major components of legislation relating to Good Government and Ethics Reform; relates to political contributions by limited liability companies (Part A); relates to prohibiting outside earned income by members of the legislature (Part B); relates to statements of campaign receipts, contributions, transfers and expenditures to and by political committees
S T A T E O F N E W Y O R K
________________________________________________________________________
S. 6411 A. 9011
S E N A T E - A S S E M B L Y
January 14, 2016
___________
IN SENATE -- A BUDGET BILL, submitted by the Governor pursuant to arti-
cle seven of the Constitution -- read twice and ordered printed, and
when printed to be committed to the Committee on Finance
IN ASSEMBLY -- A BUDGET BILL, submitted by the Governor pursuant to
article seven of the Constitution -- read once and referred to the
Committee on Ways and Means
AN ACT to amend the election law, in relation to political contributions
by limited liability companies (Part A); to amend the legislative law,
in relation to prohibiting outside earned income by members of the
legislature (Part B); to amend the election law, in relation to state-
ments of campaign receipts, contributions, transfers and expenditures
to and by political committees; to amend the election law, in relation
to the filing of statements regarding campaign receipts and expendi-
tures; to amend the election law, in relation to establishing a
contribution limit for certain contributions to a party committee or
constituted committee; to amend the election law, in relation to
campaign finance reform; to amend the election law, in relation to
public financing; to amend the state finance law, in relation to the
New York state campaign finance fund; and to amend the tax law, in
relation to the New York state campaign finance fund check-off (Part
C); to amend the public officers law, the civil practice law and rules
and the executive law, in relation to the freedom of information law;
and to repeal certain provisions of the public officers law, the envi-
ronmental conservation law and the county law relating to access to
certain records (Part D); to amend the public officers law, the execu-
tive law and the legislative law, in relation to financial disclosure
of certain public officers (Part E); to amend the election law, in
relation to motor vehicle voter registration; and to repeal certain
provisions of such law relating thereto (Part F); to direct the state
comptroller, the attorney general, the chief information officer of
the office of information technology services and the commissioner of
general services to make recommendations on assigning a single identi-
fying code to contractors, vendors and other payees (Part G); and to
amend the legislative law and the election law, in relation to the
regulation of political consultants; and repealing certain provisions
of such law relating thereto (Part H)
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD12675-01-6
S. 6411 2 A. 9011
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. This act enacts into law major components of legislation
relating to Good Government and Ethics Reform. Each component is wholly
contained within a Part identified as Parts A through H. The effective
date for each particular provision contained within such Part is set
forth in the last section of such Part. Any provision in any section
contained within a Part, including the effective date of the Part, which
makes reference to a section "of this act", when used in connection with
that particular component, shall be deemed to mean and refer to the
corresponding section of the Part in which it is found. Section three of
this act sets forth the general effective date of this act.
PART A
Section 1. Section 14-116 of the election law, subdivision 1 as redes-
ignated by chapter 9 of the laws of 1978 and subdivision 2 as amended by
chapter 260 of the laws of 1981, is amended to read as follows:
S 14-116. Political contributions by certain organizations. 1. No
corporation [or], LIMITED LIABILITY COMPANY, joint-stock association OR
OTHER CORPORATE ENTITY doing business in this state, except a corpo-
ration or association organized or maintained for political purposes
only, shall directly or indirectly pay or use or offer, consent or agree
to pay or use any money or property for or in aid of any political
party, committee or organization, or for, or in aid of, any corporation,
LIMITED LIABILITY COMPANY, joint-stock [or], other association, OR OTHER
CORPORATE ENTITY organized or maintained for political purposes, or for,
or in aid of, any candidate for political office or for nomination for
such office, or for any political purpose whatever, or for the
reimbursement or indemnification of any person for moneys or property so
used. Any officer, director, stock-holder, MEMBER, OWNER, attorney or
agent of any corporation [or], LIMITED LIABILITY COMPANY, joint-stock
association OR OTHER CORPORATE ENTITY which violates any of the
provisions of this section, who participates in, aids, abets or advises
or consents to any such violations, and any person who solicits or know-
ingly receives any money or property in violation of this section, shall
be guilty of a misdemeanor.
2. Notwithstanding the provisions of subdivision one of this section,
any corporation or an organization financially supported in whole or in
part, by such corporation, ANY LIMITED LIABILITY COMPANY OR OTHER CORPO-
RATE ENTITY may make expenditures, including contributions, not other-
wise prohibited by law, for political purposes, in an amount not to
exceed five thousand dollars in the aggregate in any calendar year;
provided that no public utility shall use revenues received from the
rendition of public service within the state for contributions for poli-
tical purposes unless such cost is charged to the shareholders of such a
public service corporation.
3. EACH LIMITED LIABILITY COMPANY THAT MAKES AN EXPENDITURE FOR POLI-
TICAL PURPOSES SHALL FILE WITH THE STATE BOARD OF ELECTIONS, BY DECEMBER
THIRTY-FIRST OF THE YEAR IN WHICH THE EXPENDITURE IS MADE, ON THE FORM
PRESCRIBED BY THE STATE BOARD OF ELECTIONS, THE IDENTITY OF ALL DIRECT
AND INDIRECT OWNERS OF THE MEMBERSHIP INTERESTS IN THE LIMITED LIABILITY
COMPANY AND THE PROPORTION OF EACH DIRECT OR INDIRECT MEMBER'S OWNERSHIP
INTEREST IN THE LIMITED LIABILITY COMPANY.
S. 6411 3 A. 9011
S 2. Section 14-120 of the election law is amended by adding a new
subdivision 3 to read as follows:
3. (A) NOTWITHSTANDING ANY LAW TO THE CONTRARY, ALL CONTRIBUTIONS MADE
TO A CAMPAIGN OR POLITICAL COMMITTEE BY A LIMITED LIABILITY COMPANY
SHALL BE ATTRIBUTED TO EACH MEMBER OF THE LIMITED LIABILITY COMPANY IN
PROPORTION TO THE MEMBER'S OWNERSHIP INTEREST IN THE LIMITED LIABILITY
COMPANY.
(B) IF, BY APPLICATION OF PARAGRAPH (A) OF THIS SUBDIVISION, A
CAMPAIGN CONTRIBUTION IS ATTRIBUTED TO A LIMITED LIABILITY COMPANY, THE
CONTRIBUTIONS SHALL BE FURTHER ATTRIBUTED TO EACH MEMBER OF THE LIMITED
LIABILITY COMPANY IN PROPORTION TO THE MEMBER'S OWNERSHIP INTEREST IN
THE LIMITED LIABILITY COMPANY.
(C) THE STATE BOARD OF ELECTIONS SHALL ENACT REGULATIONS THAT PREVENT
THE AVOIDANCE OF THE RULES SET FORTH IN PARAGRAPHS (A) AND (B) OF THIS
SUBDIVISION.
S 3. This act shall take effect immediately.
PART B
Section 1. The legislative law is amended by adding a new section 5-b
to read as follows:
S 5-B. LIMIT ON OUTSIDE EARNED INCOME FOR MEMBERS. 1. A MEMBER OF THE
LEGISLATURE RECEIVING A SALARY FOR LEGISLATIVE WORK FROM THE STATE OF
NEW YORK SHALL BE PERMITTED TO EARN OUTSIDE INCOME EACH YEAR FOR
PERFORMING FEE FOR SERVICE ACTIVITIES AND COMPENSATED OUTSIDE ACTIVITIES
IN AN AMOUNT TOTALING NO GREATER THAN FIFTEEN PERCENT OF THE MEMBER BASE
COMPENSATION SET FORTH IN SUBDIVISION ONE OF SECTION FIVE OF THIS ARTI-
CLE. COMPLIANCE WITH THE LIMIT ON OUTSIDE EARNED INCOME DESCRIBED IN
THIS SECTION SHALL BE A CONDITION PRECEDENT TO RECEIVING A SALARY FOR
LEGISLATIVE ACTIVITIES FROM THE STATE OF NEW YORK, AND VOTING AS A
MEMBER OF THE LEGISLATURE OF THE STATE OF NEW YORK.
2. A. FOR PURPOSES OF THIS SECTION, THE TERM "OUTSIDE EARNED INCOME"
SHALL INCLUDE, BUT NOT BE LIMITED TO, WAGES, SALARIES, FEES AND OTHER
FORMS OF COMPENSATION FOR SERVICES ACTUALLY RENDERED.
B. FOR THE PURPOSES OF THIS SECTION, THE TERM "OUTSIDE EARNED INCOME"
SHALL NOT INCLUDE:
(1) SALARY, BENEFITS AND ALLOWANCES PAID BY THE STATE;
(2) INCOME AND ALLOWANCES ATTRIBUTABLE TO SERVICE IN THE RESERVES OF
THE ARMED FORCES OF THE UNITED STATES, NATIONAL GUARD OR OTHER ACTIVE
MILITARY SERVICE;
(3) ROYALTIES FROM THE SALE OF A BOOK, ARTISTIC PERFORMANCE OR OTHER
INTELLECTUAL PROPERTY; PROVIDED, HOWEVER, THAT NO ADVANCE FEES SHALL BE
PERMITTED; OR
(4) A PENSION, INVESTMENT, CAPITAL GAINS OR OTHER EARNINGS ACCRUED
FROM PRIOR EMPLOYMENT OR ACTUAL SERVICES RENDERED PRIOR TO THE MEMBER
TAKING OFFICE.
3. A MEMBER OF THE LEGISLATURE WHO KNOWINGLY AND WILLFULLY VIOLATES
THE PROVISIONS OF THIS SECTION SHALL BE SUBJECT TO A CIVIL PENALTY IN AN
AMOUNT NOT TO EXCEED FIFTY THOUSAND DOLLARS. ASSESSMENT OF A CIVIL
PENALTY SHALL BE MADE BY THE JOINT COMMISSION ON PUBLIC ETHICS. SUCH
COMMISSION MAY, IN LIEU OF OR IN ADDITION TO A CIVIL PENALTY, REFER A
VIOLATION TO THE APPROPRIATE PROSECUTOR.
4. WILLFUL VIOLATION OF THE PROVISIONS OF THIS SECTION IS PUNISHABLE
AS A CLASS A MISDEMEANOR.
S 2. This act shall take effect January 1, 2017.
S. 6411 4 A. 9011
PART C
Section 1. Section 14-100 of the election law is amended by adding
two new subdivisions 15 and 16 to read as follows:
15. "INTERMEDIARY" MEANS AN INDIVIDUAL, CORPORATION, PARTNERSHIP,
POLITICAL COMMITTEE, LABOR ORGANIZATION, OR OTHER ENTITY WHICH, OTHER
THAN IN THE REGULAR COURSE OF BUSINESS AS A POSTAL, DELIVERY, OR MESSEN-
GER SERVICE, DELIVERS ANY CONTRIBUTION FROM ANOTHER PERSON OR ENTITY TO
A CANDIDATE OR AN AUTHORIZED COMMITTEE.
"INTERMEDIARY" SHALL NOT INCLUDE SPOUSES, PARENTS, CHILDREN, OR
SIBLINGS OF THE PERSON MAKING SUCH CONTRIBUTION.
16. "AUTHORIZED COMMITTEE" MEANS THE SINGLE POLITICAL COMMITTEE DESIG-
NATED BY A CANDIDATE TO RECEIVE ALL CONTRIBUTIONS AUTHORIZED BY THIS
TITLE.
S 2. Subdivision 1 of section 14-102 of the election law, as amended
by chapter 8 and as redesignated by chapter 9 of the laws of 1978, is
amended to read as follows:
1. The treasurer of every political committee which, or any officer,
member or agent of any such committee who, in connection with any
election, receives or expends any money or other valuable thing or
incurs any liability to pay money or its equivalent shall file state-
ments sworn, or subscribed and bearing a form notice that false state-
ments made therein are punishable as a class A misdemeanor pursuant to
section 210.45 of the penal law, at the times prescribed by this [arti-
cle] TITLE setting forth all the receipts, contributions to and the
expenditures by and liabilities of the committee, and of its officers,
members and agents in its behalf. Such statements shall include the
dollar amount of any receipt, contribution or transfer, or the fair
market value of any receipt, contribution or transfer, which is other
than of money, the name and address of the transferor, contributor,
INTERMEDIARY, or person from whom received, and if the transferor,
contributor, INTERMEDIARY, 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. AN INTERMEDIARY
NEED NOT BE REPORTED FOR A CONTRIBUTION THAT WAS COLLECTED FROM A
CONTRIBUTOR IN CONNECTION WITH A PARTY OR OTHER CANDIDATE-RELATED EVENT
HELD AT THE RESIDENCE OF THE PERSON DELIVERING THE CONTRIBUTION, UNLESS
THE EXPENSES OF SUCH EVENT AT SUCH RESIDENCE FOR SUCH CANDIDATE EXCEED
FIVE HUNDRED DOLLARS OR THE AGGREGATE CONTRIBUTIONS RECEIVED FROM THAT
CONTRIBUTOR AT SUCH EVENT EXCEED FIVE HUNDRED DOLLARS. 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] TITLE.
S 3. Subdivision 3 of section 14-124 of the election law, as amended
by chapter 71 of the laws of 1988, is amended to read as follows:
3. The contribution and receipt limits of this article shall not apply
to monies received and expenditures made by a party committee or consti-
tuted committee to maintain a permanent headquarters and staff and carry
S. 6411 5 A. 9011
on ordinary activities which are not for the express purpose of promot-
ing the candidacy of specific candidates, EXCEPT THAT CONTRIBUTIONS MADE
FOR SUCH ACTIVITIES TO A PARTY COMMITTEE OR CONSTITUTED COMMITTEE SHALL
BE LIMITED TO TWENTY-FIVE THOUSAND DOLLARS IN THE AGGREGATE FROM EACH
CONTRIBUTOR IN EACH YEAR.
S 4. Subdivision 2 of section 14-108 of the election law, as amended
by chapter 109 of the laws of 1997, is amended to read as follows:
2. Each statement shall cover the period up to and including the
fourth day next preceding the day specified for the filing thereof[;
provided, however, that]. THE RECEIPT OF ANY CONTRIBUTION OR LOAN IN
EXCESS OF ONE THOUSAND DOLLARS SHALL BE DISCLOSED WITHIN SIXTY DAYS OF
RECEIPT. SUCH SUBMISSIONS SHALL BE REPORTED IN THE SAME MANNER AS ANY
OTHER CONTRIBUTION OR LOAN ON THE NEXT APPLICABLE STATEMENT. HOWEVER,
any contribution or loan in excess of one thousand dollars, if received
after the close of the period to be covered in the last statement filed
before any primary, general or special election but before such
election, shall be reported, in the same manner as other contributions,
within twenty-four hours after receipt.
S 5. The article heading of article 14 of the election law is amended
to read as follows:
[Campaign Receipts and Expenditures] CAMPAIGN RECEIPTS AND EXPENDI-
TURES; PUBLIC FINANCING
S 6. Subdivisions 1 and 10 of section 14-114 of the election law,
subdivision 1 as amended and subdivision 10 as added by chapter 79 of
the laws of 1992 and paragraphs a and b of subdivision 1 as amended by
chapter 659 of the laws of 1994, are amended to read as follows:
1. The following limitations apply to all contributions to candidates
for election to any public office or for nomination for any such office,
or for election to any party positions, and to all contributions to
political committees working directly or indirectly with any candidate
to aid or participate in such candidate's nomination or election, other
than any contributions to any party committee or constituted committee:
a. In any election for a public office to be voted on by the voters of
the entire state, or for nomination to any such office, no contributor
may make a contribution to any candidate or political committee PARTIC-
IPATING IN THE STATE'S PUBLIC CAMPAIGN FINANCING SYSTEM AS DEFINED IN
TITLE TWO OF THIS ARTICLE, and no SUCH candidate or political committee
may accept any contribution from any contributor, which is in the aggre-
gate amount greater than: (i) in the case of any nomination to public
office, the product of the total number of enrolled voters in the candi-
date's party in the state, excluding voters in inactive status, multi-
plied by $.005, but such amount shall be not [less than four thousand
dollars nor] more than [twelve] SIX thousand dollars [as increased or
decreased by the cost of living adjustment described in paragraph c of
this subdivision,] and (ii) in the case of any election to [a] SUCH
public office, [twenty-five] SIX thousand dollars [as increased or
decreased by the cost of living adjustment described in paragraph c of
this subdivision]; provided however, that the maximum amount which may
be so contributed or accepted, in the aggregate, from any candidate's
child, parent, grandparent, brother and sister, and the spouse of any
such persons, shall not exceed in the case of any nomination to public
office an amount equivalent to the product of the number of enrolled
voters in the candidate's party in the state, excluding voters in inac-
tive status, multiplied by $.025, and in the case of any election for a
public office, an amount equivalent to the product of the number of
S. 6411 6 A. 9011
registered voters in the state excluding voters in inactive status,
multiplied by $.025.
b. In any other election for party position or for election to a
public office or for nomination for any such office, no contributor may
make a contribution to any candidate or political committee PARTICIPAT-
ING IN THE STATE'S PUBLIC CAMPAIGN FINANCING SYSTEM DEFINED IN TITLE TWO
OF THIS ARTICLE (FOR THOSE OFFICES OR POSITIONS COVERED BY THAT SYSTEM)
and no SUCH candidate or political committee may accept any contribution
from any contributor, which is in the aggregate amount greater than: (i)
in the case of any election for party position, or for nomination to
public office, the product of the total number of enrolled voters in the
candidate's party in the district in which he is a candidate, excluding
voters in inactive status, multiplied by $.05, and (ii) in the case of
any election for a public office, the product of the total number of
registered voters in the district, excluding voters in inactive status,
multiplied by $.05, however in the case of a nomination within the city
of New York for the office of mayor, public advocate or comptroller,
such amount shall be not less than four thousand dollars nor more than
twelve thousand dollars as increased or decreased by the cost of living
adjustment described in paragraph [c] E of this subdivision; in the case
of an election within the city of New York for the office of mayor,
public advocate or comptroller, twenty-five thousand dollars as
increased or decreased by the cost of living adjustment described in
paragraph [c] E of this subdivision; in the case of a nomination OR
ELECTION for state senator, four thousand dollars [as increased or
decreased by the cost of living adjustment described in paragraph c of
this subdivision; in the case of an election for state senator, six
thousand two hundred fifty dollars as increased or decreased by the cost
of living adjustment described in paragraph c of this subdivision]; in
the case of an election or nomination for a member of the assembly,
DELEGATE-AT-LARGE TO A CONVENTION TO REVISE AND AMEND THE STATE CONSTI-
TUTION, OR DISTRICT DELEGATE TO A CONVENTION TO REVISE AND AMEND THE
STATE CONSTITUTION, [twenty-five hundred] TWO THOUSAND dollars [as
increased or decreased by the cost of living adjustment described in
paragraph c of this subdivision; but in no event shall any such maximum
exceed fifty thousand dollars or be less than one thousand dollars];
provided however, that the maximum amount which may be so contributed or
accepted, in the aggregate, from any candidate's child, parent, grand-
parent, brother and sister, and the spouse of any such persons, shall
not exceed in the case of any election for party position or nomination
for public office an amount equivalent to the number of enrolled voters
in the candidate's party in the district in which he is a candidate,
excluding voters in inactive status, multiplied by $.25 and in the case
of any election to public office, an amount equivalent to the number of
registered voters in the district, excluding voters in inactive status,
multiplied by $.25; or twelve hundred fifty dollars, whichever is great-
er, or in the case of a nomination or election of a state senator, twen-
ty thousand dollars, whichever is greater, or in the case of a nomi-
nation or election of a member of the assembly, DELEGATE-AT-LARGE TO A
CONVENTION TO REVISE AND AMEND THE STATE CONSTITUTION, OR DISTRICT DELE-
GATE TO A CONVENTION TO REVISE AND AMEND THE STATE CONSTITUTION, twelve
thousand five hundred dollars, whichever is greater, but in no event
shall any such maximum exceed one hundred thousand dollars.
C. IN ANY ELECTION FOR A PUBLIC OFFICE TO BE VOTED ON BY THE VOTERS
OF THE ENTIRE STATE, OR FOR NOMINATION TO ANY SUCH OFFICE, NO CONTRIBU-
TOR MAY MAKE A CONTRIBUTION TO ANY CANDIDATE OR POLITICAL COMMITTEE IN
S. 6411 7 A. 9011
CONNECTION WITH A CANDIDATE WHO IS NOT A PARTICIPATING CANDIDATE AS
DEFINED IN SUBDIVISION FOURTEEN OF SECTION 14-200-A OF THIS ARTICLE, AND
NO SUCH CANDIDATE OR POLITICAL COMMITTEE MAY ACCEPT ANY CONTRIBUTION
FROM ANY CONTRIBUTOR, WHICH IS IN THE AGGREGATE AMOUNT GREATER THAN:
(I) IN THE CASE OF ANY NOMINATION TO PUBLIC OFFICE, THE PRODUCT OF THE
TOTAL NUMBER OF ENROLLED VOTERS IN THE CANDIDATE'S PARTY IN THE STATE,
EXCLUDING VOTERS IN INACTIVE STATUS, MULTIPLIED BY $.005, BUT SUCH
AMOUNT SHALL BE NOT LESS THAN FOUR THOUSAND DOLLARS NOR MORE THAN TEN
THOUSAND DOLLARS, AND (II) IN THE CASE OF ANY ELECTION TO A PUBLIC
OFFICE, FIFTEEN THOUSAND DOLLARS; PROVIDED HOWEVER, THAT THE MAXIMUM
AMOUNT WHICH MAY BE SO CONTRIBUTED OR ACCEPTED, IN THE AGGREGATE, FROM
ANY CANDIDATE'S CHILD, PARENT, GRANDPARENT, BROTHER AND SISTER, AND THE
SPOUSE OF ANY SUCH PERSONS, SHALL NOT EXCEED IN THE CASE OF ANY NOMI-
NATION TO PUBLIC OFFICE AN AMOUNT EQUIVALENT TO THE PRODUCT OF THE
NUMBER OF ENROLLED VOTERS IN THE CANDIDATE'S PARTY IN THE STATE, EXCLUD-
ING VOTERS IN INACTIVE STATUS, MULTIPLIED BY $.025, AND IN THE CASE OF
ANY ELECTION FOR A PUBLIC OFFICE, AN AMOUNT EQUIVALENT TO THE PRODUCT OF
THE NUMBER OF REGISTERED VOTERS IN THE STATE EXCLUDING VOTERS IN INAC-
TIVE STATUS, MULTIPLIED BY $.025.
D. IN ANY OTHER ELECTION FOR PARTY POSITION OR FOR ELECTION TO A
PUBLIC OFFICE OR FOR NOMINATION FOR ANY SUCH OFFICE, NO CONTRIBUTOR MAY
MAKE A CONTRIBUTION TO ANY CANDIDATE OR POLITICAL COMMITTEE IN
CONNECTION WITH A CANDIDATE WHO IS NOT A PARTICIPATING CANDIDATE AS
DEFINED IN SUBDIVISION FOURTEEN OF SECTION 14-200-A OF THIS ARTICLE AND
NO SUCH CANDIDATE OR POLITICAL COMMITTEE MAY ACCEPT ANY CONTRIBUTION
FROM ANY CONTRIBUTOR, WHICH IS IN THE AGGREGATE AMOUNT GREATER THAN: (I)
IN THE CASE OF ANY ELECTION FOR PARTY POSITION, OR FOR NOMINATION TO
PUBLIC OFFICE, THE PRODUCT OF THE TOTAL NUMBER OF ENROLLED VOTERS IN THE
CANDIDATE'S PARTY IN THE DISTRICT IN WHICH HE IS A CANDIDATE, EXCLUDING
VOTERS IN INACTIVE STATUS, MULTIPLIED BY $.05, AND (II) IN THE CASE OF
ANY ELECTION FOR A PUBLIC OFFICE, THE PRODUCT OF THE TOTAL NUMBER OF
REGISTERED VOTERS IN THE DISTRICT, EXCLUDING VOTERS IN INACTIVE STATUS,
MULTIPLIED BY $.05, HOWEVER IN THE CASE OF A NOMINATION WITHIN THE CITY
OF NEW YORK FOR THE OFFICE OF MAYOR, PUBLIC ADVOCATE OR COMPTROLLER,
SUCH AMOUNT SHALL BE NOT LESS THAN FOUR THOUSAND DOLLARS NOR MORE THAN
TWELVE THOUSAND DOLLARS AS INCREASED OR DECREASED BY THE COST OF LIVING
ADJUSTMENT DESCRIBED IN PARAGRAPH E OF THIS SUBDIVISION; IN THE CASE OF
AN ELECTION WITHIN THE CITY OF NEW YORK FOR THE OFFICE OF MAYOR, PUBLIC
ADVOCATE OR COMPTROLLER, TWENTY-FIVE THOUSAND DOLLARS AS INCREASED OR
DECREASED BY THE COST OF LIVING ADJUSTMENT DESCRIBED IN PARAGRAPH E OF
THIS SUBDIVISION; IN THE CASE OF A NOMINATION OR ELECTION FOR STATE
SENATOR, FIVE THOUSAND DOLLARS; IN THE CASE OF AN ELECTION OR NOMINATION
FOR A MEMBER OF THE ASSEMBLY, DELEGATE-AT-LARGE TO A CONVENTION TO
REVISE AND AMEND THE STATE CONSTITUTION, OR DISTRICT DELEGATE TO A
CONVENTION TO REVISE AND AMEND THE STATE CONSTITUTION, THREE THOUSAND
DOLLARS; PROVIDED HOWEVER, THAT THE MAXIMUM AMOUNT WHICH MAY BE SO
CONTRIBUTED OR ACCEPTED, IN THE AGGREGATE, FROM ANY CANDIDATE'S CHILD,
PARENT, GRANDPARENT, BROTHER AND SISTER, AND THE SPOUSE OF ANY SUCH
PERSONS, SHALL NOT EXCEED IN THE CASE OF ANY ELECTION FOR PARTY POSITION
OR NOMINATION FOR PUBLIC OFFICE AN AMOUNT EQUIVALENT TO THE NUMBER OF
ENROLLED VOTERS IN THE CANDIDATE'S PARTY IN THE DISTRICT IN WHICH HE IS
A CANDIDATE, EXCLUDING VOTERS IN INACTIVE STATUS, MULTIPLIED BY $.25 AND
IN THE CASE OF ANY ELECTION TO PUBLIC OFFICE, AN AMOUNT EQUIVALENT TO
THE NUMBER OF REGISTERED VOTERS IN THE DISTRICT, EXCLUDING VOTERS IN
INACTIVE STATUS, MULTIPLIED BY $.25; OR TWELVE HUNDRED FIFTY DOLLARS,
WHICHEVER IS GREATER, OR IN THE CASE OF A NOMINATION OR ELECTION OF A
S. 6411 8 A. 9011
STATE SENATOR, TWENTY THOUSAND DOLLARS, WHICHEVER IS GREATER, OR IN THE
CASE OF A NOMINATION OR ELECTION OF A MEMBER OF THE ASSEMBLY, DELEGATE-
AT-LARGE TO A CONVENTION TO REVISE AND AMEND THE STATE CONSTITUTION, OR
DISTRICT DELEGATE TO A CONVENTION TO REVISE AND AMEND THE STATE CONSTI-
TUTION, TWELVE THOUSAND FIVE HUNDRED DOLLARS, WHICHEVER IS GREATER, BUT
IN NO EVENT SHALL ANY SUCH MAXIMUM EXCEED ONE HUNDRED THOUSAND DOLLARS.
E. At the beginning of each fourth calendar year, commencing in [nine-
teen hundred ninety-five] TWO THOUSAND TWENTY-ONE, the state board shall
determine the percentage of the difference between the most recent
available monthly consumer price index for all urban consumers published
by the United States bureau of labor statistics and such consumer price
index published for the same month four years previously. The amount of
each contribution limit fixed AND EXPRESSLY IDENTIFIED FOR ADJUSTMENT in
this subdivision shall be adjusted by the amount of such percentage
difference to the closest one hundred dollars by the state board which,
not later than the first day of February in each such year, shall issue
a regulation publishing the amount of each such contribution limit. Each
contribution limit as so adjusted shall be the contribution limit in
effect for any election held before the next such adjustment.
F. EACH PARTY OR CONSTITUTED COMMITTEE MAY TRANSFER TO, OR SPEND TO
ELECT OR OPPOSE A CANDIDATE, OR TRANSFER TO ANOTHER PARTY OR CONSTITUTED
COMMITTEE, NO MORE THAN FIVE THOUSAND DOLLARS PER ELECTION, EXCEPT THAT
SUCH COMMITTEE MAY IN ADDITION TO SUCH TRANSFERS OR EXPENDITURES:
(I) IN A GENERAL OR SPECIAL ELECTION TRANSFER TO, OR SPEND TO ELECT OR
OPPOSE A CANDIDATE, NO MORE THAN FIVE HUNDRED DOLLARS RECEIVED FROM EACH
CONTRIBUTOR; AND
(II) IN ANY ELECTION SPEND WITHOUT LIMITATION FOR NON-CANDIDATE
EXPENDITURES NOT DESIGNED OR INTENDED TO ELECT A PARTICULAR CANDIDATE OR
CANDIDATES.
G. NOTWITHSTANDING ANY OTHER CONTRIBUTION LIMIT IN THIS SECTION,
PARTICIPATING CANDIDATES AS DEFINED IN SUBDIVISION FOURTEEN OF SECTION
14-200-A OF THIS ARTICLE MAY CONTRIBUTE, OUT OF THEIR OWN MONEY, THREE
TIMES THE APPLICABLE CONTRIBUTION LIMIT TO THEIR OWN AUTHORIZED COMMIT-
TEE.
10. [a.] No contributor may make a contribution to a party or consti-
tuted committee and no such committee may accept a contribution from any
contributor which, in the aggregate, is greater than [sixty-two thousand
five hundred] TWENTY-FIVE THOUSAND dollars per annum.
[b. At the beginning of each fourth calendar year, commencing in nine-
teen hundred ninety-five, the state board shall determine the percentage
of the difference between the most recent available monthly consumer
price index for all urban consumers published by the United States
bureau of labor statistics and such consumer price index published for
the same month four years previously. The amount of such contribution
limit fixed in paragraph a of this subdivision shall be adjusted by the
amount of such percentage difference to the closest one hundred dollars
by the state board which, not later than the first day of February in
each such year, shall issue a regulation publishing the amount of such
contribution limit. Such contribution limit as so adjusted shall be the
contribution limit in effect for any election held before the next such
adjustment.]
S 7. Sections 14-100 through 14-130 of the election law are designated
Title I and a new title heading is added to read as follows:
CAMPAIGN RECEIPTS AND EXPENDITURES
S. 6411 9 A. 9011
S 8. Article 14 of the election law is amended by adding a new title
II to read as follows:
TITLE II
PUBLIC FINANCING
SECTION 14-200. LEGISLATIVE FINDINGS AND INTENT.
14-200-A. DEFINITIONS.
14-201. REPORTING REQUIREMENTS.
14-202. CONTRIBUTIONS.
14-203. PROOF OF COMPLIANCE.
14-204. ELIGIBILITY.
14-205. LIMITS ON PUBLIC FINANCING.
14-206. PAYMENT OF PUBLIC MATCHING FUNDS.
14-207. USE OF PUBLIC MATCHING FUNDS; QUALIFIED CAMPAIGN
EXPENDITURES.
14-208. POWERS AND DUTIES OF THE BOARD.
14-209. AUDITS AND REPAYMENTS.
14-210. ENFORCEMENT AND PENALTIES FOR VIOLATIONS AND OTHER
PROCEEDINGS.
14-211. REPORTS.
14-212. DEBATES FOR CANDIDATES FOR STATEWIDE OFFICE.
14-213. SEVERABILITY.
S 14-200. LEGISLATIVE FINDINGS AND INTENT. THE LEGISLATURE FINDS THAT
REFORM OF NEW YORK STATE'S CAMPAIGN FINANCE SYSTEM IS CRUCIAL TO IMPROV-
ING PUBLIC CONFIDENCE IN THE STATE'S DEMOCRATIC PROCESSES AND CONTINUING
TO ENSURE A GOVERNMENT THAT IS ACCOUNTABLE TO ALL OF THE VOTERS OF THE
STATE REGARDLESS OF WEALTH OR POSITION. THE LEGISLATURE FINDS THAT NEW
YORK'S CURRENT SYSTEM OF CAMPAIGN FINANCE, WITH ITS LARGE CONTRIBUTIONS
TO CANDIDATES FOR OFFICE AND PARTY COMMITTEES, HAS CREATED THE POTENTIAL
FOR AND THE APPEARANCE OF CORRUPTION. THE LEGISLATURE FURTHER FINDS
THAT, WHETHER OR NOT THIS SYSTEM CREATES ACTUAL CORRUPTION, THE APPEAR-
ANCE OF SUCH CORRUPTION CAN GIVE RISE TO A DISTRUST IN GOVERNMENT AND
CITIZEN APATHY THAT UNDERMINE THE DEMOCRATIC OPERATION OF THE POLITICAL
PROCESS.
THE LEGISLATURE ALSO FINDS THAT THE HIGH COST OF RUNNING FOR OFFICE IN
NEW YORK DISCOURAGES QUALIFIED CANDIDATES FROM RUNNING FOR OFFICE AND
CREATES AN ELECTORAL SYSTEM THAT ENCOURAGES CANDIDATES TO SPEND TOO MUCH
TIME RAISING MONEY RATHER THAN ATTENDING TO THE DUTIES OF THEIR OFFICE,
REPRESENTING THE NEEDS OF THEIR CONSTITUENTS, AND COMMUNICATING WITH
VOTERS.
THE LEGISLATURE AMENDS THIS CHAPTER CREATING A NEW TITLE TWO TO ARTI-
CLE FOURTEEN OF THIS CHAPTER TO REDUCE THE POSSIBILITY AND APPEARANCE
THAT SPECIAL INTERESTS EXERCISE UNDUE INFLUENCE OVER STATE OFFICIALS; TO
INCREASE THE ACTUAL AND APPARENT RESPONSIVENESS OF ELECTED OFFICIALS TO
ALL VOTERS; TO ENCOURAGE QUALIFIED CANDIDATES TO RUN FOR OFFICE; AND TO
REDUCE THE PRESSURE ON CANDIDATES TO SPEND LARGE AMOUNTS OF TIME RAISING
LARGE CONTRIBUTIONS FOR THEIR CAMPAIGNS.
THE LEGISLATURE FINDS THAT THIS ARTICLE'S LIMITATIONS ON CONTRIBUTIONS
FURTHER THE GOVERNMENT'S INTEREST IN REDUCING REAL AND APPARENT
CORRUPTION AND IN BUILDING TRUST IN GOVERNMENT. THE LEGISLATURE FINDS
THAT THE CONTRIBUTION LEVELS ARE SUFFICIENTLY HIGH TO ALLOW CANDIDATES
AND POLITICAL PARTIES TO RAISE ENOUGH MONEY TO RUN EFFECTIVE CAMPAIGNS.
IN ADDITION, THE LEGISLATURE FINDS THAT GRADUATED CONTRIBUTION LIMITA-
TIONS REFLECT THE CAMPAIGN NEEDS OF CANDIDATES FOR DIFFERENT OFFICES.
THE LEGISLATURE ALSO FINDS THAT THE SYSTEM OF VOLUNTARY PUBLIC FINANC-
ING FURTHERS THE GOVERNMENT'S INTEREST IN ENCOURAGING QUALIFIED CANDI-
DATES TO RUN FOR OFFICE. THE LEGISLATURE FINDS THAT THE VOLUNTARY PUBLIC
S. 6411 10 A. 9011
FUNDING PROGRAM WILL ENLARGE THE PUBLIC DEBATE AND INCREASE PARTIC-
IPATION IN THE DEMOCRATIC PROCESS. IN ADDITION, THE LEGISLATURE FINDS
THAT THE VOLUNTARY EXPENDITURE LIMITATIONS AND MATCHING FUND PROGRAM
REDUCE THE BURDEN ON CANDIDATES AND OFFICEHOLDERS TO SPEND TIME RAISING
MONEY FOR THEIR CAMPAIGNS.
THEREFORE, THE LEGISLATURE DECLARES THAT THESE AMENDMENTS FURTHER THE
IMPORTANT AND VALID GOVERNMENT INTERESTS OF REDUCING VOTER APATHY,
BUILDING CONFIDENCE IN GOVERNMENT, REDUCING THE REALITY AND APPEARANCE
OF CORRUPTION, AND ENCOURAGING QUALIFIED CANDIDATES TO RUN FOR OFFICE,
WHILE REDUCING CANDIDATES' AND OFFICEHOLDERS' FUNDRAISING BURDENS.
S 14-200-A. DEFINITIONS. FOR THE PURPOSES OF THIS TITLE, THE FOLLOW-
ING TERMS SHALL HAVE THE FOLLOWING MEANINGS:
1. THE TERM "AUTHORIZED COMMITTEE" SHALL MEAN THE SINGLE COMMITTEE
DESIGNATED BY A CANDIDATE PURSUANT TO SECTION 14-201 OF THIS TITLE TO
RECEIVE CONTRIBUTIONS AND MAKE EXPENDITURES IN SUPPORT OF THE CANDI-
DATE'S CAMPAIGN.
2. THE TERM "BOARD" SHALL MEAN THE STATE BOARD OF ELECTIONS.
3. THE TERM "CONTRIBUTION" SHALL HAVE THE SAME MEANING AS APPEARS IN
SUBDIVISION NINE OF SECTION 14-100 OF THIS ARTICLE.
4. THE TERM "CONTRIBUTOR" SHALL MEAN ANY PERSON OR ENTITY THAT MAKES A
CONTRIBUTION.
5. THE TERM "COVERED ELECTION" SHALL MEAN ANY PRIMARY, GENERAL, OR
SPECIAL ELECTION FOR NOMINATION FOR ELECTION, OR ELECTION, TO THE OFFICE
OF GOVERNOR, LIEUTENANT GOVERNOR, ATTORNEY GENERAL, STATE COMPTROLLER,
STATE SENATOR, MEMBER OF THE ASSEMBLY, DELEGATE-AT-LARGE TO A CONVENTION
TO REVISE AND AMEND THE STATE CONSTITUTION, OR DISTRICT DELEGATE TO A
CONVENTION TO REVISE AND AMEND THE STATE CONSTITUTION.
6. THE TERM "ELECTION CYCLE" SHALL MEAN THE TWO YEAR PERIOD STARTING
THE DAY AFTER THE LAST GENERAL ELECTION FOR CANDIDATES FOR THE STATE
LEGISLATURE AND SHALL MEAN THE FOUR YEAR PERIOD STARTING AFTER THE DAY
AFTER THE LAST GENERAL ELECTION FOR CANDIDATES FOR STATEWIDE OFFICE.
7. THE TERM "EXPENDITURE" SHALL MEAN ANY GIFT, SUBSCRIPTION, ADVANCE,
PAYMENT, OR DEPOSIT OF MONEY OR ANYTHING OF VALUE, OR A CONTRACT TO MAKE
ANY GIFT, SUBSCRIPTION, PAYMENT, OR DEPOSIT OF MONEY OR ANYTHING OF
VALUE, MADE IN CONNECTION WITH THE NOMINATION FOR ELECTION, OR ELECTION,
OF ANY CANDIDATE. EXPENDITURES MADE BY CONTRACT ARE DEEMED MADE WHEN
SUCH FUNDS ARE OBLIGATED.
8. THE TERM "FUND" SHALL MEAN THE NEW YORK STATE CAMPAIGN FINANCE
FUND.
9. THE TERM "IMMEDIATE FAMILY" SHALL MEAN A SPOUSE, CHILD, SIBLING OR
PARENT.
10. THE TERM "INTERMEDIARY" SHALL MEAN AN INDIVIDUAL, CORPORATION,
PARTNERSHIP, POLITICAL COMMITTEE, EMPLOYEE ORGANIZATION OR OTHER ENTITY
WHICH BUNDLES, CAUSES TO BE DELIVERED OR OTHERWISE DELIVERS ANY CONTRIB-
UTION FROM ANOTHER PERSON OR ENTITY TO A CANDIDATE OR AUTHORIZED COMMIT-
TEE, OTHER THAN IN THE REGULAR COURSE OF BUSINESS AS A POSTAL, DELIVERY
OR MESSENGER SERVICE. PROVIDED, HOWEVER, THAT AN "INTERMEDIARY" SHALL
NOT INCLUDE SPOUSES, DOMESTIC PARTNERS, PARENTS, CHILDREN OR SIBLINGS OF
THE PERSON MAKING SUCH CONTRIBUTION OR A STAFF MEMBER OR VOLUNTEER OF
THE CAMPAIGN IDENTIFIED IN WRITING TO THE STATE BOARD OF ELECTIONS. HERE
"CAUSES TO BE DELIVERED" SHALL INCLUDE PROVIDING POSTAGE, ENVELOPES OR
OTHER SHIPPING MATERIALS FOR THE USE OF DELIVERING THE CONTRIBUTION TO
THE ULTIMATE RECIPIENT.
11. THE TERM "ITEM WITH SIGNIFICANT INTRINSIC AND ENDURING VALUE"
SHALL MEAN ANY ITEM, INCLUDING TICKETS TO AN EVENT, THAT ARE VALUED AT
TWENTY-FIVE DOLLARS OR MORE.
S. 6411 11 A. 9011
12. (A) THE TERM "MATCHABLE CONTRIBUTION" SHALL MEAN A CONTRIBUTION,
CONTRIBUTIONS OR A PORTION OF A CONTRIBUTION OR CONTRIBUTIONS FOR ANY
COVERED ELECTIONS HELD IN THE SAME ELECTION CYCLE, MADE BY A NATURAL
PERSON WHO IS A UNITED STATES CITIZEN AND RESIDENT IN THE STATE OF NEW
YORK TO A PARTICIPATING CANDIDATE, THAT HAS BEEN REPORTED IN FULL TO THE
BOARD IN ACCORDANCE WITH SECTIONS 14-102 AND 14-104 OF THIS ARTICLE BY
THE CANDIDATE'S AUTHORIZED COMMITTEE AND HAS BEEN CONTRIBUTED ON OR
BEFORE THE DAY OF THE APPLICABLE PRIMARY, GENERAL, RUNOFF OR SPECIAL
ELECTION. ANY CONTRIBUTION, CONTRIBUTIONS, OR A PORTION OF A CONTRIB-
UTION DETERMINED TO BE INVALID FOR MATCHING FUNDS BY THE BOARD MAY NOT
BE TREATED AS A MATCHABLE CONTRIBUTION FOR ANY PURPOSE.
(B) THE FOLLOWING CONTRIBUTIONS ARE NOT MATCHABLE:
(I) LOANS;
(II) IN-KIND CONTRIBUTIONS OF PROPERTY, GOODS, OR SERVICES;
(III) CONTRIBUTIONS IN THE FORM OF THE PURCHASE PRICE PAID FOR AN ITEM
WITH SIGNIFICANT INTRINSIC AND ENDURING VALUE;
(IV) TRANSFERS FROM A PARTY OR CONSTITUTED COMMITTEE;
(V) ANONYMOUS CONTRIBUTIONS OR CONTRIBUTIONS WHOSE SOURCE IS NOT ITEM-
IZED AS REQUIRED BY SECTION 14-201 OF THIS TITLE;
(VI) CONTRIBUTIONS GATHERED DURING A PREVIOUS ELECTION CYCLE;
(VII) ILLEGAL CONTRIBUTIONS;
(VIII) CONTRIBUTIONS FROM MINORS;
(IX) CONTRIBUTIONS FROM VENDORS FOR CAMPAIGNS; AND
(X) CONTRIBUTIONS FROM LOBBYISTS REGISTERED PURSUANT TO SUBDIVISION
(A) OF SECTION ONE-C OF THE LEGISLATIVE LAW.
13. THE TERM "NONPARTICIPATING CANDIDATE" SHALL MEAN A CANDIDATE FOR A
COVERED ELECTION WHO FAILS TO FILE A WRITTEN CERTIFICATION IN THE FORM
OF AN AFFIDAVIT UNDER SECTION 14-204 OF THIS TITLE BY THE APPLICABLE
DEADLINE.
14. THE TERM "PARTICIPATING CANDIDATE" SHALL MEAN ANY CANDIDATE FOR
NOMINATION FOR ELECTION, OR ELECTION, TO THE OFFICE OF GOVERNOR, LIEU-
TENANT GOVERNOR, ATTORNEY GENERAL, STATE COMPTROLLER, STATE SENATOR,
MEMBER OF THE ASSEMBLY, DELEGATE-AT-LARGE TO A CONVENTION TO REVISE AND
AMEND THE STATE CONSTITUTION, OR DISTRICT DELEGATE TO A CONVENTION TO
REVISE AND AMEND THE STATE CONSTITUTION, WHO FILES A WRITTEN CERTIF-
ICATION IN THE FORM OF AN AFFIDAVIT PURSUANT TO SECTION 14-204 OF THIS
TITLE.
15. THE TERM "POST-ELECTION PERIOD" SHALL MEAN THE FIVE YEARS FOLLOW-
ING AN ELECTION WHEN A CANDIDATE IS SUBJECT TO AN AUDIT.
16. THE TERM "QUALIFIED CAMPAIGN EXPENDITURE" SHALL MEAN AN EXPENDI-
TURE FOR WHICH PUBLIC MATCHING FUNDS MAY BE USED.
17. THE TERM "THRESHOLD FOR ELIGIBILITY" SHALL MEAN THE AMOUNT OF
MATCHABLE CONTRIBUTIONS THAT A CANDIDATE'S AUTHORIZED COMMITTEE MUST
RECEIVE IN TOTAL IN ORDER FOR SUCH CANDIDATE TO QUALIFY FOR VOLUNTARY
PUBLIC FINANCING UNDER THIS TITLE.
18. THE TERM "TRANSFER" SHALL MEAN ANY EXCHANGE OF FUNDS BETWEEN A
PARTY OR CONSTITUTED COMMITTEE AND A CANDIDATE OR ANY OF HIS OR HER
AUTHORIZED COMMITTEES.
S 14-201. REPORTING REQUIREMENTS. 1. POLITICAL COMMITTEE REGISTRA-
TION. POLITICAL COMMITTEES AS DEFINED PURSUANT TO SUBDIVISION ONE OF
SECTION 14-100 OF THIS ARTICLE SHALL REGISTER WITH THE BOARD BEFORE
MAKING ANY CONTRIBUTION OR EXPENDITURE. THE BOARD SHALL PUBLISH A CUMU-
LATIVE LIST OF POLITICAL COMMITTEES THAT HAVE REGISTERED, INCLUDING ON
ITS WEBPAGE, AND REGULARLY UPDATE IT.
2. ONLY ONE AUTHORIZED COMMITTEE PER CANDIDATE PER ELECTIVE OFFICE
SOUGHT. BEFORE RECEIVING ANY CONTRIBUTION OR MAKING ANY EXPENDITURE FOR
S. 6411 12 A. 9011
A COVERED ELECTION, EACH CANDIDATE SHALL NOTIFY THE BOARD AS TO THE
EXISTENCE OF HIS OR HER AUTHORIZED COMMITTEE THAT HAS BEEN APPROVED BY
SUCH CANDIDATE. EACH CANDIDATE SHALL HAVE ONE AND ONLY ONE AUTHORIZED
COMMITTEE PER ELECTIVE OFFICE SOUGHT. EACH AUTHORIZED COMMITTEE SHALL
HAVE A TREASURER AND IS SUBJECT TO THE RESTRICTIONS FOUND IN SECTION
14-112 OF THIS ARTICLE.
3. (A) DETAILED REPORTING. IN ADDITION TO EACH AUTHORIZED AND POLI-
TICAL COMMITTEE REPORTING TO THE BOARD EVERY CONTRIBUTION AND LOAN
RECEIVED AND EVERY EXPENDITURE MADE IN THE TIME AND MANNER PRESCRIBED BY
SECTIONS 14-102, 14-104 AND 14-108 OF THIS ARTICLE, EACH AUTHORIZED AND
POLITICAL COMMITTEE SHALL ALSO SUBMIT DISCLOSURE REPORTS ON MARCH
FIFTEENTH AND MAY FIFTEENTH OF EACH ELECTION YEAR REPORTING TO THE BOARD
EVERY CONTRIBUTION AND LOAN RECEIVED AND EVERY EXPENDITURE MADE. FOR
CONTRIBUTORS WHO MAKE CONTRIBUTIONS OF FIVE HUNDRED DOLLARS OR MORE,
EACH AUTHORIZED AND POLITICAL COMMITTEE SHALL REPORT TO THE BOARD THE
OCCUPATION, AND BUSINESS ADDRESS OF EACH CONTRIBUTOR, LENDER, AND INTER-
MEDIARY. THE BOARD SHALL REVISE, PREPARE AND POST FORMS ON ITS WEBPAGE
THAT FACILITATE COMPLIANCE WITH THE REQUIREMENTS OF THIS SECTION.
(B) BOARD REVIEW. THE BOARD SHALL REVIEW EACH DISCLOSURE REPORT FILED
AND SHALL INFORM AUTHORIZED AND POLITICAL COMMITTEES OF RELEVANT QUES-
TIONS IT HAS CONCERNING: (I) COMPLIANCE WITH REQUIREMENTS OF THIS TITLE
AND OF THE RULES ISSUED BY THE BOARD; AND (II) QUALIFICATION FOR RECEIV-
ING PUBLIC MATCHING FUNDS PURSUANT TO THIS TITLE. IN THE COURSE OF THIS
REVIEW, IT SHALL GIVE AUTHORIZED AND POLITICAL COMMITTEES AN OPPORTUNITY
TO RESPOND TO AND CORRECT POTENTIAL VIOLATIONS AND GIVE CANDIDATES AN
OPPORTUNITY TO ADDRESS QUESTIONS IT HAS CONCERNING THEIR MATCHABLE
CONTRIBUTION CLAIMS OR OTHER ISSUES CONCERNING ELIGIBILITY FOR RECEIVING
PUBLIC MATCHING FUNDS PURSUANT TO THIS TITLE. NOTHING IN THIS PARAGRAPH
SHALL PRECLUDE THE CHIEF ENFORCEMENT COUNSEL FROM SUBSEQUENTLY REVIEWING
SUCH DISCLOSURE REPORTS AND TAKING ANY ACTION OTHERWISE AUTHORIZED UNDER
THIS TITLE.
(C) ITEMIZATION. CONTRIBUTIONS THAT ARE NOT ITEMIZED IN REPORTS FILED
WITH THE BOARD SHALL NOT BE MATCHABLE.
(D) OPTION TO FILE MORE FREQUENTLY. PARTICIPATING CANDIDATES MAY FILE
REPORTS OF CONTRIBUTIONS AS FREQUENTLY AS ONCE A WEEK ON MONDAY SO THAT
THEIR MATCHING FUNDS MAY BE PAID AT THE EARLIEST ALLOWABLE DATE.
S 14-202. CONTRIBUTIONS. RECIPIENTS OF FUNDS PURSUANT TO THIS TITLE
SHALL BE SUBJECT TO THE APPLICABLE CONTRIBUTION LIMITS SET FORTH IN
SECTION 14-114 OF THIS ARTICLE.
S 14-203. PROOF OF COMPLIANCE. AUTHORIZED AND POLITICAL COMMITTEES
SHALL MAINTAIN SUCH RECORDS OF RECEIPTS AND EXPENDITURES FOR A COVERED
ELECTION AS REQUIRED BY THE BOARD. AUTHORIZED AND POLITICAL COMMITTEES
SHALL OBTAIN AND FURNISH TO THE BOARD ANY INFORMATION IT MAY REQUEST
RELATING TO FINANCIAL TRANSACTIONS OR CONTRIBUTIONS AND FURNISH SUCH
DOCUMENTATION AND OTHER PROOF OF COMPLIANCE WITH THIS TITLE AS MAY BE
REQUESTED. IN COMPLIANCE WITH SECTION 14-108 OF THIS ARTICLE, AUTHORIZED
AND POLITICAL COMMITTEES SHALL MAINTAIN COPIES OF SUCH RECORDS FOR A
PERIOD OF FIVE YEARS.
S 14-204. ELIGIBILITY. 1. TERMS AND CONDITIONS. TO BE ELIGIBLE FOR
VOLUNTARY PUBLIC FINANCING UNDER THIS TITLE, A CANDIDATE MUST:
(A) BE A CANDIDATE IN A COVERED ELECTION;
(B) MEET ALL THE REQUIREMENTS OF LAW TO HAVE HIS OR HER NAME ON THE
BALLOT;
(C) IN THE CASE OF A COVERED GENERAL OR SPECIAL ELECTION, BE OPPOSED
BY ANOTHER CANDIDATE ON THE BALLOT WHO IS NOT A WRITE-IN CANDIDATE;
S. 6411 13 A. 9011
(D) SUBMIT A CERTIFICATION IN THE FORM OF AN AFFIDAVIT, IN SUCH FORM
AS MAY BE PRESCRIBED BY THE BOARD, THAT SETS FORTH HIS OR HER ACCEPTANCE
OF AND AGREEMENT TO COMPLY WITH THE TERMS AND CONDITIONS FOR THE
PROVISION OF SUCH FUNDS IN EACH COVERED ELECTION AND SUCH CERTIFICATION
SHALL BE SUBMITTED AT LEAST FOUR MONTHS BEFORE THE ELECTION PURSUANT TO
A SCHEDULE PROMULGATED BY THE BOARD;
(E) BE CERTIFIED AS A PARTICIPATING CANDIDATE BY THE BOARD;
(F) NOT MAKE, AND NOT HAVE MADE, EXPENDITURES FROM OR USE HIS OR HER
PERSONAL FUNDS OR PROPERTY OR THE PERSONAL FUNDS OR PROPERTY JOINTLY
HELD WITH HIS OR HER SPOUSE, OR UNEMANCIPATED CHILDREN IN CONNECTION
WITH HIS OR HER NOMINATION ELECTION OR ELECTION TO A COVERED OFFICE, BUT
MAY MAKE A CONTRIBUTION TO HIS OR HER AUTHORIZED COMMITTEE IN AN AMOUNT
THAT DOES NOT EXCEED THREE TIMES THE APPLICABLE CONTRIBUTION LIMIT FROM
AN INDIVIDUAL CONTRIBUTOR TO CANDIDATES FOR THE OFFICE THAT HE OR SHE IS
SEEKING;
(G) MEET THE THRESHOLD FOR ELIGIBILITY SET FORTH IN SUBDIVISION TWO OF
THIS SECTION;
(H) CONTINUE TO ABIDE BY ALL REQUIREMENTS DURING THE POST-ELECTION
PERIOD;
(I) AGREE NOT TO EXPEND FOR CAMPAIGN PURPOSES ANY PORTION OF ANY PRE-
EXISTING FUNDS RAISED FOR ANY PUBLIC OFFICE OR PARTY POSITION PRIOR TO
THE FIRST DAY OF THE ELECTION CYCLE FOR WHICH THE CANDIDATE SEEKS
CERTIFICATION. NOTHING IN THIS PARAGRAPH SHALL BE CONSTRUED TO LIMIT, IN
ANY WAY, ANY CANDIDATE OR PUBLIC OFFICIAL FROM EXPENDING ANY PORTION OF
PRE-EXISTING CAMPAIGN FUNDS FOR ANY LAWFUL PURPOSE OTHER THAN THOSE
RELATED TO HIS OR HER CAMPAIGN; AND
(J) NOT HAVE ACCEPTED CONTRIBUTIONS IN AMOUNTS EXCEEDING THE CONTRIB-
UTION LIMITS SET FORTH FOR PARTICIPATING CANDIDATES IN PARAGRAPHS A AND
B OF SUBDIVISION ONE OF SECTION 14-114 OF THIS ARTICLE DURING THE
ELECTION CYCLE FOR WHICH THE CANDIDATE SEEKS CERTIFICATION;
(I) PROVIDED HOWEVER, THAT, IF A CANDIDATE ACCEPTED CONTRIBUTIONS
EXCEEDING SUCH LIMITS BEFORE CERTIFICATION, SUCH ACCEPTANCE SHALL NOT
PREVENT THE CANDIDATE FROM BEING CERTIFIED BY THE BOARD IF THE CANDIDATE
IMMEDIATELY PAYS TO THE FUND OR RETURNS TO THE CONTRIBUTOR THE PORTION
OF ANY CONTRIBUTION THAT EXCEEDED THE APPLICABLE CONTRIBUTION LIMIT.
(II) IF THE CANDIDATE IS UNABLE TO RETURN SUCH FUNDS IMMEDIATELY
BECAUSE THEY HAVE ALREADY BEEN SPENT, ACCEPTANCE OF CONTRIBUTIONS
EXCEEDING THE LIMITS SHALL NOT PREVENT THE CANDIDATE FROM BEING CERTI-
FIED BY THE BOARD IF THE CANDIDATE SUBMITS AN AFFIDAVIT AGREEING TO PAY
TO THE FUND ALL PORTIONS OF ANY CONTRIBUTIONS THAT EXCEEDED THE LIMIT NO
LATER THAN THIRTY DAYS BEFORE THE GENERAL ELECTION. IF A CANDIDATE
PROVIDES THE BOARD WITH SUCH AN AFFIDAVIT, ANY DISBURSEMENT OF PUBLIC
FUNDS TO THE CANDIDATE MADE UNDER SECTION 14-206 OF THIS TITLE SHALL BE
REDUCED BY NO MORE THAN TWENTY-FIVE PERCENT UNTIL THE TOTAL AMOUNT OWED
BY THE CANDIDATE IS REPAID.
(III) NOTHING IN THIS SECTION SHALL BE INTERPRETED TO REQUIRE A CANDI-
DATE WHO RETAINS FUNDS RAISED DURING A PREVIOUS ELECTION CYCLE TO
FORFEIT SUCH FUNDS. FUNDS RAISED DURING A PREVIOUS ELECTION CYCLE MAY BE
RETAINED, BUT ONLY IF THE CANDIDATE PLACES THE FUNDS IN ESCROW.
(IV) CONTRIBUTIONS RECEIVED AND EXPENDITURES MADE BY THE CANDIDATE OR
AN AUTHORIZED COMMITTEE OF THE CANDIDATE PRIOR TO THE EFFECTIVE DATE OF
THIS TITLE SHALL NOT CONSTITUTE A VIOLATION OF THIS TITLE. UNEXPENDED
CONTRIBUTIONS SHALL BE TREATED THE SAME AS CAMPAIGN SURPLUSES UNDER
SUBPARAGRAPH (III) OF THIS PARAGRAPH.
2. THRESHOLD FOR ELIGIBILITY. (A) THE THRESHOLD FOR ELIGIBILITY FOR
PUBLIC FUNDING FOR PARTICIPATING CANDIDATES SHALL BE IN THE CASE OF:
S. 6411 14 A. 9011
(I) GOVERNOR, NOT LESS THAN SIX HUNDRED FIFTY THOUSAND DOLLARS IN
MATCHABLE CONTRIBUTIONS INCLUDING AT LEAST SIX THOUSAND FIVE HUNDRED
MATCHABLE CONTRIBUTIONS COMPRISED OF SUMS BETWEEN TEN AND ONE HUNDRED
SEVENTY-FIVE DOLLARS PER CONTRIBUTOR, FROM RESIDENTS OF NEW YORK STATE;
(II) LIEUTENANT GOVERNOR, ATTORNEY GENERAL, AND COMPTROLLER, NOT LESS
THAN TWO HUNDRED THOUSAND DOLLARS IN MATCHABLE CONTRIBUTIONS INCLUDING
AT LEAST TWO THOUSAND MATCHABLE CONTRIBUTIONS COMPRISED OF SUMS BETWEEN
TEN AND ONE HUNDRED SEVENTY-FIVE DOLLARS PER CONTRIBUTOR, FROM RESIDENTS
OF NEW YORK STATE;
(III) STATE SENATOR, NOT LESS THAN TWENTY THOUSAND DOLLARS IN MATCHA-
BLE CONTRIBUTIONS INCLUDING AT LEAST TWO HUNDRED MATCHABLE CONTRIBUTIONS
COMPRISED OF SUMS BETWEEN TEN AND ONE HUNDRED SEVENTY-FIVE DOLLARS PER
CONTRIBUTOR, FROM RESIDENTS OF THE DISTRICT IN WHICH THE SEAT IS TO BE
FILLED; AND
(IV) MEMBER OF THE ASSEMBLY, DELEGATE-AT-LARGE TO A CONVENTION TO
REVISE AND AMEND THE STATE CONSTITUTION, OR DISTRICT DELEGATE TO A
CONVENTION TO REVISE AND AMEND THE STATE CONSTITUTION, NOT LESS THAN TEN
THOUSAND DOLLARS IN MATCHABLE CONTRIBUTIONS INCLUDING AT LEAST ONE
HUNDRED MATCHABLE CONTRIBUTIONS COMPRISED OF SUMS BETWEEN TEN AND ONE
HUNDRED SEVENTY-FIVE DOLLARS PER CONTRIBUTOR, FROM RESIDENTS OF THE
DISTRICT IN WHICH THE SEAT IS TO BE FILLED.
(B) ANY PARTICIPATING CANDIDATE MEETING THE THRESHOLD FOR ELIGIBILITY
IN A PRIMARY ELECTION FOR ONE OF THE FOREGOING OFFICES SHALL BE DEEMED
TO HAVE MET THE THRESHOLD FOR ELIGIBILITY FOR SUCH OFFICE IN ANY OTHER
SUBSEQUENT ELECTION HELD IN THE SAME CALENDAR YEAR.
S 14-205. LIMITS ON PUBLIC FINANCING. THE FOLLOWING LIMITATIONS APPLY
TO THE TOTAL AMOUNTS OF PUBLIC FUNDS THAT MAY BE PROVIDED TO A PARTIC-
IPATING CANDIDATE'S AUTHORIZED COMMITTEE FOR AN ELECTION CYCLE:
1. IN ANY PRIMARY ELECTION, RECEIPT OF PUBLIC FUNDS BY PARTICIPATING
CANDIDATES AND BY THEIR PARTICIPATING COMMITTEES SHALL NOT EXCEED:
(I) FOR GOVERNOR, THE SUM OF EIGHT MILLION DOLLARS;
(II) FOR LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENERAL, THE SUM
OF FOUR MILLION DOLLARS;
(III) FOR SENATOR, THE SUM OF THREE HUNDRED SEVENTY-FIVE THOUSAND
DOLLARS;
(IV) FOR MEMBER OF THE ASSEMBLY, DELEGATE-AT-LARGE TO A CONVENTION TO
REVISE AND AMEND THE STATE CONSTITUTION, OR DISTRICT DELEGATE TO A
CONVENTION TO REVISE AND AMEND THE STATE CONSTITUTION, THE SUM OF ONE
HUNDRED SEVENTY-FIVE THOUSAND DOLLARS.
2. IN ANY GENERAL OR SPECIAL ELECTION, RECEIPT OF PUBLIC FUNDS BY A
PARTICIPATING CANDIDATE'S AUTHORIZED COMMITTEES SHALL NOT EXCEED THE
FOLLOWING AMOUNTS:
CANDIDATES FOR ELECTION TO THE OFFICE OF:
GOVERNOR AND LIEUTENANT GOVERNOR (COMBINED) $10,000,000
ATTORNEY GENERAL $4,000,000
COMPTROLLER $4,000,000
MEMBER OF SENATE $375,000
MEMBER OF ASSEMBLY, DELEGATE-AT-LARGE TO A $175,000
CONVENTION TO REVISE AND AMEND THE STATE
CONSTITUTION, OR DISTRICT DELEGATE TO A
CONVENTION TO REVISE AND AMEND THE STATE
CONSTITUTION
3. NO PARTICIPATING CANDIDATE FOR NOMINATION FOR AN OFFICE WHO IS NOT
OPPOSED BY A CANDIDATE ON THE BALLOT IN A PRIMARY ELECTION SHALL BE
ENTITLED TO PAYMENT OF PUBLIC MATCHING FUNDS, EXCEPT THAT, WHERE THERE
IS A CONTEST IN SUCH PRIMARY ELECTION FOR THE NOMINATION OF AT LEAST ONE
S. 6411 15 A. 9011
OF THE TWO POLITICAL PARTIES WITH THE HIGHEST AND SECOND HIGHEST NUMBER
OF ENROLLED MEMBERS FOR SUCH OFFICE, A PARTICIPATING CANDIDATE WHO IS
UNOPPOSED IN THE PRIMARY ELECTION MAY RECEIVE PUBLIC FUNDS BEFORE THE
PRIMARY ELECTION, FOR EXPENSES INCURRED ON OR BEFORE THE DATE OF SUCH
PRIMARY ELECTION, IN AN AMOUNT EQUAL TO UP TO HALF THE SUM SET FORTH IN
PARAGRAPH ONE OF THIS SECTION.
S 14-206. PAYMENT OF PUBLIC MATCHING FUNDS. 1. DETERMINATION OF ELIGI-
BILITY. NO PUBLIC MATCHING FUNDS SHALL BE PAID TO AN AUTHORIZED COMMIT-
TEE UNLESS THE BOARD DETERMINES THAT THE PARTICIPATING CANDIDATE HAS MET
THE ELIGIBILITY REQUIREMENTS OF THIS TITLE. PAYMENT SHALL NOT EXCEED THE
AMOUNTS SPECIFIED IN SUBDIVISION TWO OF THIS SECTION, AND SHALL BE MADE
ONLY IN ACCORDANCE WITH THE PROVISIONS OF THIS TITLE. SUCH PAYMENT MAY
BE MADE ONLY TO THE PARTICIPATING CANDIDATE'S AUTHORIZED COMMITTEE. NO
PUBLIC MATCHING FUNDS SHALL BE USED EXCEPT AS REIMBURSEMENT OR PAYMENT
FOR QUALIFIED CAMPAIGN EXPENDITURES ACTUALLY AND LAWFULLY INCURRED OR TO
REPAY LOANS USED TO PAY QUALIFIED CAMPAIGN EXPENDITURES.
2. CALCULATION OF PAYMENT. IF THE THRESHOLD FOR ELIGIBILITY IS MET,
THE PARTICIPATING CANDIDATE'S AUTHORIZED COMMITTEE SHALL RECEIVE PAYMENT
FOR QUALIFIED CAMPAIGN EXPENDITURES OF SIX DOLLARS OF PUBLIC MATCHING
FUNDS FOR EACH ONE DOLLAR OF MATCHABLE CONTRIBUTIONS, FOR THE FIRST ONE
HUNDRED SEVENTY-FIVE DOLLARS OF ELIGIBLE PRIVATE FUNDS PER CONTRIBUTOR,
OBTAINED AND REPORTED TO THE BOARD IN ACCORDANCE WITH THE PROVISIONS OF
THIS TITLE. THE MAXIMUM PAYMENT OF PUBLIC MATCHING FUNDS SHALL BE LIMIT-
ED TO THE AMOUNTS SET FORTH IN SECTION 14-205 OF THIS TITLE FOR THE
COVERED ELECTION.
3. TIMING OF PAYMENT. THE BOARD SHALL MAKE ANY PAYMENT OF PUBLIC
MATCHING FUNDS TO PARTICIPATING CANDIDATES AS SOON AS IS PRACTICABLE.
BUT IN ALL CASES, IT SHALL VERIFY ELIGIBILITY FOR PUBLIC MATCHING FUNDS
WITHIN FOUR DAYS, EXCLUDING WEEKENDS AND HOLIDAYS, OF RECEIVING A
CAMPAIGN CONTRIBUTION REPORT FILED IN COMPLIANCE WITH SECTION 14-104 OF
THIS ARTICLE. WITHIN TWO DAYS OF DETERMINING THAT A CANDIDATE FOR A
COVERED OFFICE IS ELIGIBLE FOR PUBLIC MATCHING FUNDS, IT SHALL AUTHORIZE
PAYMENT OF THE APPLICABLE MATCHING FUNDS OWED TO THE CANDIDATE. HOWEVER,
IT SHALL NOT MAKE ANY PAYMENTS OF PUBLIC MONEY EARLIER THAN THE EARLIEST
DATES FOR MAKING SUCH PAYMENTS AS PROVIDED BY THIS TITLE. IF ANY OF
SUCH PAYMENTS WOULD REQUIRE PAYMENT ON A WEEKEND OR FEDERAL HOLIDAY,
PAYMENT SHALL BE MADE ON THE NEXT BUSINESS DAY.
4. ELECTRONIC FUNDS TRANSFER. THE BOARD SHALL, IN CONSULTATION WITH
THE OFFICE OF THE COMPTROLLER, PROMULGATE RULES TO FACILITATE ELECTRONIC
FUNDS TRANSFERS DIRECTLY FROM THE CAMPAIGN FINANCE FUND INTO AN AUTHOR-
IZED COMMITTEE'S BANK ACCOUNT.
5. IRREGULARLY SCHEDULED ELECTIONS. NOTWITHSTANDING ANY OTHER
PROVISION OF THIS TITLE, THE BOARD SHALL PROMULGATE RULES TO PROVIDE FOR
THE PROMPT ISSUANCE OF PUBLIC MATCHING FUNDS TO ELIGIBLE PARTICIPATING
CANDIDATES FOR QUALIFIED CAMPAIGN EXPENDITURES IN THE CASE OF ANY OTHER
COVERED ELECTION HELD ON A DAY DIFFERENT FROM THAT THAN ORIGINALLY SCHE-
DULED INCLUDING SPECIAL ELECTIONS. BUT IN ALL CASES, THE BOARD SHALL (A)
WITHIN FOUR DAYS, EXCLUDING WEEKENDS AND HOLIDAYS, OF RECEIVING A REPORT
OF CONTRIBUTIONS FROM A CANDIDATE FOR A COVERED OFFICE CLAIMING ELIGI-
BILITY FOR PUBLIC MATCHING FUNDS VERIFY THAT CANDIDATE'S ELIGIBILITY FOR
PUBLIC MATCHING FUNDS; AND (B) WITHIN TWO DAYS OF DETERMINING THAT THE
CANDIDATE FOR A COVERED OFFICE IS ELIGIBLE FOR PUBLIC MATCHING FUNDS, IT
SHALL AUTHORIZE PAYMENT OF THE APPLICABLE MATCHING FUNDS OWED TO THE
CANDIDATE.
S 14-207. USE OF PUBLIC MATCHING FUNDS; QUALIFIED CAMPAIGN EXPENDI-
TURES. 1. PUBLIC MATCHING FUNDS PROVIDED UNDER THE PROVISIONS OF THIS
S. 6411 16 A. 9011
TITLE MAY BE USED ONLY BY AN AUTHORIZED COMMITTEE FOR EXPENDITURES TO
FURTHER THE PARTICIPATING CANDIDATE'S NOMINATION FOR ELECTION OR
ELECTION, INCLUDING PAYING FOR DEBTS INCURRED WITHIN ONE YEAR PRIOR TO
AN ELECTION TO FURTHER THE PARTICIPATING CANDIDATE'S NOMINATION FOR
ELECTION OR ELECTION.
2. SUCH PUBLIC MATCHING FUNDS MAY NOT BE USED FOR:
(A) AN EXPENDITURE IN VIOLATION OF ANY LAW;
(B) AN EXPENDITURE IN EXCESS OF THE FAIR MARKET VALUE OF SERVICES,
MATERIALS, FACILITIES OR OTHER THINGS OF VALUE RECEIVED IN EXCHANGE;
(C) AN EXPENDITURE MADE AFTER THE CANDIDATE HAS BEEN FINALLY DISQUALI-
FIED FROM THE BALLOT;
(D) AN EXPENDITURE MADE AFTER THE ONLY REMAINING OPPONENT OF THE
CANDIDATE HAS BEEN FINALLY DISQUALIFIED FROM THE GENERAL OR SPECIAL
ELECTION BALLOT;
(E) AN EXPENDITURE MADE BY CASH PAYMENT;
(F) A CONTRIBUTION OR LOAN OR TRANSFER MADE TO OR EXPENDITURE TO
SUPPORT ANOTHER CANDIDATE OR POLITICAL COMMITTEE OR PARTY, COMMITTEE OR
CONSTITUTED COMMITTEE;
(G) AN EXPENDITURE TO SUPPORT OR OPPOSE A CANDIDATE FOR AN OFFICE
OTHER THAN THAT WHICH THE PARTICIPATING CANDIDATE SEEKS;
(H) GIFTS, EXCEPT BROCHURES, BUTTONS, SIGNS AND OTHER PRINTED CAMPAIGN
MATERIAL;
(I) LEGAL FEES TO DEFEND AGAINST A CRIMINAL CHARGE;
(J) PAYMENTS TO IMMEDIATE FAMILY MEMBERS OF THE PARTICIPATING CANDI-
DATE; OR
(K) ANY EXPENDITURE MADE TO CHALLENGE THE VALIDITY OF ANY PETITION OF
DESIGNATION OR NOMINATION OR ANY CERTIFICATE OF NOMINATION, ACCEPTANCE,
AUTHORIZATION, DECLINATION OR SUBSTITUTION.
S 14-208. POWERS AND DUTIES OF THE BOARD. 1. ADVISORY OPINIONS. THE
BOARD SHALL RENDER ADVISORY OPINIONS WITH RESPECT TO QUESTIONS ARISING
UNDER THIS TITLE UPON THE WRITTEN REQUEST OF A CANDIDATE, AN OFFICER OF
A POLITICAL COMMITTEE OR MEMBER OF THE PUBLIC, OR UPON ITS OWN INITI-
ATIVE. THE BOARD SHALL PROMULGATE RULES REGARDING REASONABLE TIMES TO
RESPOND TO SUCH REQUESTS. THE BOARD SHALL MAKE PUBLIC THE QUESTIONS OF
INTERPRETATION FOR WHICH ADVISORY OPINIONS WILL BE CONSIDERED BY THE
BOARD AND ITS ADVISORY OPINIONS, INCLUDING BY PUBLICATION ON ITS WEBPAGE
WITH IDENTIFYING INFORMATION REDACTED AS THE BOARD DETERMINES TO BE
APPROPRIATE.
2. PUBLIC INFORMATION AND CANDIDATE EDUCATION. THE BOARD SHALL DEVELOP
A PROGRAM FOR INFORMING CANDIDATES AND THE PUBLIC AS TO THE PURPOSE AND
EFFECT OF THE PROVISIONS OF THIS TITLE, INCLUDING BY MEANS OF A WEBPAGE.
THE BOARD SHALL PREPARE IN PLAIN LANGUAGE AND MAKE AVAILABLE EDUCATIONAL
MATERIALS, INCLUDING COMPLIANCE MANUALS AND SUMMARIES AND EXPLANATIONS
OF THE PURPOSES AND PROVISIONS OF THIS TITLE. THE BOARD SHALL PREPARE OR
HAVE PREPARED AND MAKE AVAILABLE MATERIALS, INCLUDING, TO THE EXTENT
FEASIBLE, COMPUTER SOFTWARE, TO FACILITATE THE TASK OF COMPLIANCE WITH
THE DISCLOSURE AND RECORD-KEEPING REQUIREMENTS OF THIS TITLE.
3. RULES AND REGULATIONS. THE BOARD SHALL HAVE THE AUTHORITY TO
PROMULGATE SUCH RULES AND REGULATIONS AND PROVIDE SUCH FORMS AS IT DEEMS
NECESSARY FOR THE ADMINISTRATION OF THIS TITLE.
4. DATABASE. THE BOARD SHALL DEVELOP AN INTERACTIVE, SEARCHABLE
COMPUTER DATABASE THAT SHALL CONTAIN ALL INFORMATION NECESSARY FOR THE
PROPER ADMINISTRATION OF THIS TITLE INCLUDING INFORMATION ON CONTRIB-
UTIONS TO AND EXPENDITURES BY CANDIDATES AND THEIR AUTHORIZED COMMITTEE,
INDEPENDENT EXPENDITURES IN SUPPORT OR OPPOSITION OF CANDIDATES FOR
S. 6411 17 A. 9011
COVERED OFFICES, AND DISTRIBUTIONS OF MONEYS FROM THE FUND. SUCH DATA-
BASE SHALL BE ACCESSIBLE TO THE PUBLIC ON THE BOARD'S WEBPAGE.
5. THE BOARD SHALL WORK WITH THE CHIEF ENFORCEMENT COUNSEL TO ENFORCE
THIS SECTION.
S 14-209. AUDITS AND REPAYMENTS. 1. AUDITS. THE BOARD SHALL AUDIT AND
EXAMINE ALL MATTERS RELATING TO THE PROPER ADMINISTRATION OF THIS TITLE
AND SHALL COMPLETE SUCH AUDIT NO LATER THAN TWO YEARS AFTER THE ELECTION
IN QUESTION. EVERY CANDIDATE WHO RECEIVES PUBLIC FUNDS UNDER THIS TITLE
SHALL BE AUDITED BY THE BOARD. THE COST OF COMPLYING WITH A POST-ELEC-
TION AUDIT SHALL BE BORNE BY THE CANDIDATE'S AUTHORIZED COMMITTEE USING
PUBLIC FUNDS, PRIVATE FUNDS OR ANY COMBINATION OF SUCH FUNDS. CANDI-
DATES WHO RUN IN ANY PRIMARY OR GENERAL ELECTION MUST MAINTAIN A RESERVE
OF THREE PERCENT OF THE PUBLIC FUNDS RECEIVED TO COMPLY WITH THE POST-E-
LECTION AUDIT. THE BOARD SHALL ISSUE TO EACH CAMPAIGN AUDITED A FINAL
AUDIT REPORT THAT DETAILS ITS FINDINGS.
2. REPAYMENTS. (A) IF THE BOARD DETERMINES THAT ANY PORTION OF THE
PAYMENT MADE TO A CANDIDATE'S AUTHORIZED COMMITTEE FROM THE FUND WAS IN
EXCESS OF THE AGGREGATE AMOUNT OF PAYMENTS THAT SUCH CANDIDATE WAS
ELIGIBLE TO RECEIVE PURSUANT TO THIS TITLE, IT SHALL NOTIFY SUCH COMMIT-
TEE AND SUCH COMMITTEE SHALL PAY TO THE BOARD AN AMOUNT EQUAL TO THE
AMOUNT OF EXCESS PAYMENTS. PROVIDED, HOWEVER, THAT IF THE ERRONEOUS
PAYMENT WAS THE RESULT OF AN ERROR BY THE BOARD, THEN THE ERRONEOUS
PAYMENT WILL BE DEDUCTED FROM ANY FUTURE PAYMENT, IF ANY, AND IF NO
PAYMENT IS TO BE MADE THEN NEITHER THE CANDIDATE NOR THE COMMITTEE SHALL
BE LIABLE TO REPAY THE EXCESS AMOUNT TO THE BOARD. THE CANDIDATE, THE
TREASURER AND THE CANDIDATE'S AUTHORIZED COMMITTEE ARE JOINTLY AND
SEVERABLY LIABLE FOR ANY REPAYMENTS TO THE BOARD.
(B) IF THE BOARD DETERMINES THAT ANY PORTION OF THE PAYMENT MADE TO A
CANDIDATE'S AUTHORIZED COMMITTEE FROM THE FUND WAS USED FOR PURPOSES
OTHER THAN QUALIFIED CAMPAIGN EXPENDITURES AND SUCH EXPENDITURES WERE
NOT APPROVED BY THE BOARD, IT SHALL NOTIFY SUCH COMMITTEE OF THE AMOUNT
SO DISQUALIFIED AND SUCH COMMITTEE SHALL PAY TO THE BOARD AN AMOUNT
EQUAL TO SUCH DISQUALIFIED AMOUNT. THE CANDIDATE, THE TREASURER AND THE
CANDIDATE'S AUTHORIZED COMMITTEE ARE JOINTLY AND SEVERABLY LIABLE FOR
ANY REPAYMENTS TO THE BOARD.
(C) IF THE TOTAL OF PAYMENTS FROM THE FUND RECEIVED BY A PARTICIPATING
CANDIDATE AND HIS OR HER AUTHORIZED COMMITTEE EXCEED THE TOTAL CAMPAIGN
EXPENDITURES OF SUCH CANDIDATE AND AUTHORIZED COMMITTEE FOR ALL COVERED
ELECTIONS HELD IN THE SAME CALENDAR YEAR OR FOR A SPECIAL ELECTION TO
FILL A VACANCY, SUCH CANDIDATE AND COMMITTEE SHALL USE SUCH EXCESS FUNDS
TO REIMBURSE THE FUND FOR PAYMENTS RECEIVED BY SUCH AUTHORIZED COMMITTEE
FROM THE FUND DURING SUCH CALENDAR YEAR OR FOR SUCH SPECIAL ELECTION.
PARTICIPATING CANDIDATES SHALL PAY TO THE BOARD UNSPENT PUBLIC CAMPAIGN
FUNDS FROM AN ELECTION NOT LATER THAN TWENTY-SEVEN DAYS AFTER ALL
LIABILITIES FOR THE ELECTION HAVE BEEN PAID AND IN ANY EVENT, NOT LATER
THAN THE DAY ON WHICH THE BOARD ISSUES ITS FINAL AUDIT REPORT FOR THE
PARTICIPATING CANDIDATE'S AUTHORIZED COMMITTEE; PROVIDED, HOWEVER, THAT
ALL UNSPENT PUBLIC CAMPAIGN FUNDS FOR A PARTICIPATING CANDIDATE SHALL BE
IMMEDIATELY DUE AND PAYABLE TO THE BOARD UPON A DETERMINATION BY THE
BOARD THAT THE PARTICIPANT HAS DELAYED THE POST-ELECTION AUDIT. A
PARTICIPATING CANDIDATE MAY MAKE POST-ELECTION EXPENDITURES WITH PUBLIC
FUNDS ONLY FOR ROUTINE ACTIVITIES INVOLVING NOMINAL COST ASSOCIATED WITH
WINDING UP A CAMPAIGN AND RESPONDING TO THE POST-ELECTION AUDIT. NOTH-
ING IN THIS TITLE SHALL BE CONSTRUED TO PREVENT A CANDIDATE OR HIS OR
HER AUTHORIZED COMMITTEE FROM USING CAMPAIGN CONTRIBUTIONS RECEIVED FROM
PRIVATE CONTRIBUTORS FOR OTHERWISE LAWFUL EXPENDITURES.
S. 6411 18 A. 9011
3. RULES AND REGULATIONS. THE BOARD SHALL PROMULGATE REGULATIONS FOR
THE CERTIFICATION OF THE AMOUNT OF FUNDS PAYABLE BY THE COMPTROLLER,
FROM THE FUND ESTABLISHED PURSUANT TO SECTION NINETY-TWO-T OF THE STATE
FINANCE LAW, TO A PARTICIPATING CANDIDATE THAT HAS QUALIFIED TO RECEIVE
SUCH PAYMENT. THESE REGULATIONS SHALL INCLUDE THE PROMULGATION AND
DISTRIBUTION OF FORMS ON WHICH CONTRIBUTIONS AND EXPENDITURES ARE TO BE
REPORTED, THE PERIODS DURING WHICH SUCH REPORTS MUST BE FILED AND THE
VERIFICATION REQUIRED. THE BOARD SHALL INSTITUTE PROCEDURES WHICH WILL
MAKE POSSIBLE PAYMENT BY THE FUND WITHIN FOUR BUSINESS DAYS AFTER
RECEIPT OF THE REQUIRED FORMS AND VERIFICATIONS.
S 14-210. ENFORCEMENT AND PENALTIES FOR VIOLATIONS AND OTHER
PROCEEDINGS. 1. CIVIL PENALTIES. VIOLATIONS OF ANY PROVISION OF THIS
TITLE OR RULE PROMULGATED PURSUANT TO THIS TITLE SHALL BE SUBJECT TO A
CIVIL PENALTY IN AN AMOUNT NOT IN EXCESS OF FIFTEEN THOUSAND DOLLARS.
2. NOTICE OF VIOLATION AND OPPORTUNITY TO CONTEST. THE BOARD SHALL:
(A) DETERMINE WHETHER A VIOLATION OF ANY PROVISION OF THIS TITLE OR
RULE PROMULGATED HEREUNDER HAS BEEN COMMITTED;
(B) GIVE WRITTEN NOTICE AND THE OPPORTUNITY TO CONTEST BEFORE AN INDE-
PENDENT HEARING OFFICER TO EACH PERSON OR ENTITY IT HAS REASON TO
BELIEVE HAS COMMITTED A VIOLATION; AND
(C) IF APPROPRIATE, ASSESS PENALTIES FOR VIOLATIONS, FOLLOWING SUCH
NOTICE AND OPPORTUNITY TO CONTEST.
3. CRIMINAL CONDUCT. ANY PERSON WHO KNOWINGLY AND WILLFULLY FURNISHES
OR SUBMITS FALSE STATEMENTS OR INFORMATION TO THE BOARD IN CONNECTION
WITH ITS ADMINISTRATION OF THIS TITLE, SHALL BE GUILTY OF A MISDEMEANOR
IN ADDITION TO ANY OTHER PENALTY AS MAY BE IMPOSED UNDER THIS CHAPTER OR
PURSUANT TO ANY OTHER LAW. THE CHIEF ENFORCEMENT COUNSEL SHALL SEEK TO
RECOVER ANY PUBLIC MATCHING FUNDS OBTAINED AS A RESULT OF SUCH CRIMINAL
CONDUCT.
4. PROCEEDINGS AS TO PUBLIC FINANCING. (A) THE DETERMINATION OF ELIGI-
BILITY PURSUANT TO THIS TITLE AND ANY QUESTION OR ISSUE RELATING TO
PAYMENTS FOR CAMPAIGN EXPENDITURES PURSUANT TO THIS TITLE MAY BE
CONTESTED IN A PROCEEDING INSTITUTED IN THE SUPREME COURT, ALBANY COUN-
TY, BY ANY AGGRIEVED CANDIDATE.
(B) A PROCEEDING WITH RESPECT TO SUCH A DETERMINATION OF ELIGIBILITY
OR PAYMENT FOR QUALIFIED CAMPAIGN EXPENDITURES PURSUANT TO THIS CHAPTER
SHALL BE INSTITUTED WITHIN FOURTEEN DAYS AFTER SUCH DETERMINATION WAS
MADE. THE BOARD SHALL BE MADE A PARTY TO ANY SUCH PROCEEDING.
(C) UPON THE BOARD'S FAILURE TO RECEIVE THE AMOUNT DUE FROM A PARTIC-
IPATING CANDIDATE OR SUCH CANDIDATE'S AUTHORIZED COMMITTEE AFTER THE
ISSUANCE OF WRITTEN NOTICE OF SUCH AMOUNT DUE, AS REQUIRED BY THIS
TITLE, THE CHIEF ENFORCEMENT COUNSEL IS AUTHORIZED TO INSTITUTE A
SPECIAL PROCEEDING OR CIVIL ACTION IN SUPREME COURT, ALBANY COUNTY, TO
OBTAIN A JUDGMENT FOR ANY AMOUNTS DETERMINED TO BE PAYABLE TO THE BOARD
AS A RESULT OF AN EXAMINATION AND AUDIT MADE PURSUANT TO THIS TITLE OR
TO OBTAIN SUCH AMOUNTS DIRECTLY FROM THE CANDIDATE OR AUTHORIZED COMMIT-
TEE AFTER A HEARING AT THE BOARD.
(D) THE CHIEF ENFORCEMENT COUNSEL IS AUTHORIZED TO INSTITUTE A SPECIAL
PROCEEDING OR CIVIL ACTION IN SUPREME COURT, ALBANY COUNTY, TO OBTAIN A
JUDGMENT FOR CIVIL PENALTIES DETERMINED TO BE PAYABLE TO THE BOARD
PURSUANT TO THIS TITLE OR TO IMPOSE SUCH PENALTY DIRECTLY AFTER A HEAR-
ING AT THE BOARD.
S 14-211. REPORTS. THE BOARD SHALL REVIEW AND EVALUATE THE EFFECT OF
THIS TITLE UPON THE CONDUCT OF ELECTION CAMPAIGNS AND SHALL SUBMIT A
REPORT TO THE LEGISLATURE ON OR BEFORE JANUARY FIRST, TWO THOUSAND TWEN-
TY, AND EVERY THIRD YEAR THEREAFTER, AND AT ANY OTHER TIME UPON THE
S. 6411 19 A. 9011
REQUEST OF THE GOVERNOR AND AT SUCH OTHER TIMES AS THE BOARD DEEMS
APPROPRIATE. THESE REPORTS SHALL INCLUDE:
1. A LIST OF THE PARTICIPATING AND NONPARTICIPATING CANDIDATES IN
COVERED ELECTIONS AND THE VOTES RECEIVED BY EACH CANDIDATE IN THOSE
ELECTIONS;
2. THE AMOUNT OF CONTRIBUTIONS AND LOANS RECEIVED, AND EXPENDITURES
MADE, ON BEHALF OF THESE CANDIDATES;
3. THE AMOUNT OF PUBLIC MATCHING FUNDS EACH PARTICIPATING CANDIDATE
RECEIVED, SPENT, AND REPAID PURSUANT TO THIS TITLE;
4. ANALYSIS OF THE EFFECT OF THIS TITLE ON POLITICAL CAMPAIGNS,
INCLUDING ITS EFFECT ON THE SOURCES AND AMOUNTS OF PRIVATE FINANCING,
THE LEVEL OF CAMPAIGN EXPENDITURES, VOTER PARTICIPATION, THE NUMBER OF
CANDIDATES, THE CANDIDATES' ABILITY TO CAMPAIGN EFFECTIVELY FOR PUBLIC
OFFICE, AND THE DIVERSITY OF CANDIDATES SEEKING AND ELECTED TO OFFICE;
AND
5. RECOMMENDATIONS FOR AMENDMENTS TO THIS TITLE, INCLUDING CHANGES IN
CONTRIBUTION LIMITS, THRESHOLDS FOR ELIGIBILITY, AND ANY OTHER FEATURES
OF THE SYSTEM.
S 14-212. DEBATES FOR CANDIDATES FOR STATEWIDE OFFICE. THE BOARD
SHALL PROMULGATE REGULATIONS TO FACILITATE DEBATES AMONG PARTICIPATING
CANDIDATES WHO SEEK ELECTION TO STATEWIDE OFFICE. PARTICIPATING CANDI-
DATES ARE REQUIRED TO PARTICIPATE IN ONE DEBATE BEFORE EACH ELECTION FOR
WHICH THE CANDIDATE RECEIVES PUBLIC FUNDS, UNLESS THE PARTICIPATING
CANDIDATE IS RUNNING UNOPPOSED. NONPARTICIPATING CANDIDATES MAY PARTIC-
IPATE IN SUCH DEBATES.
S 14-213. SEVERABILITY. IF ANY CLAUSE, SENTENCE, SUBDIVISION, PARA-
GRAPH, SECTION OR PART OF THIS TITLE BE ADJUDGED BY ANY COURT OF COMPE-
TENT JURISDICTION TO BE INVALID, SUCH JUDGMENT SHALL NOT AFFECT, IMPAIR
OR INVALIDATE THE REMAINDER THEREOF, BUT SHALL BE CONFINED IN ITS OPERA-
TION TO THE CLAUSE, SENTENCE, SUBDIVISION, PARAGRAPH, SECTION OR PART
THEREOF DIRECTLY INVOLVED IN THE CONTROVERSY IN WHICH SUCH JUDGMENT
SHALL HAVE BEEN RENDERED.
S 9. The state finance law is amended by adding a new section 92-t to
read as follows:
S 92-T. NEW YORK STATE CAMPAIGN FINANCE FUND. 1. THERE IS HEREBY
ESTABLISHED IN THE JOINT CUSTODY OF THE STATE COMPTROLLER AND THE
COMMISSIONER OF TAXATION AND FINANCE A FUND TO BE KNOWN AS THE NEW YORK
STATE CAMPAIGN FINANCE FUND.
2. SUCH FUND SHALL CONSIST OF ALL REVENUES RECEIVED FROM THE NEW YORK
STATE CAMPAIGN FINANCE FUND CHECK-OFF PURSUANT TO SUBSECTION (H) OF
SECTION SIX HUNDRED FIFTY-EIGHT OF THE TAX LAW, FROM THE ABANDONED PROP-
ERTY FUND PURSUANT TO SECTION NINETY-FIVE OF THIS ARTICLE, FROM THE
GENERAL FUND, AND FROM ALL OTHER MONEYS CREDITED OR TRANSFERRED THERETO
FROM ANY OTHER FUND OR SOURCE PURSUANT TO LAW. SUCH FUND SHALL ALSO
RECEIVE CONTRIBUTIONS FROM PRIVATE INDIVIDUALS, ORGANIZATIONS, OR OTHER
PERSONS TO FULFILL THE PURPOSES OF THE PUBLIC FINANCING SYSTEM.
3. MONEYS OF THE FUND, FOLLOWING APPROPRIATION BY THE LEGISLATURE, MAY
BE EXPENDED FOR THE PURPOSES OF MAKING PAYMENTS TO CANDIDATES PURSUANT
TO TITLE II OF ARTICLE FOURTEEN OF THE ELECTION LAW AND FOR ADMINISTRA-
TIVE EXPENSES RELATED TO THE IMPLEMENTATION OF ARTICLE FOURTEEN OF THE
ELECTION LAW. MONEYS SHALL BE PAID OUT OF THE FUND BY THE STATE COMP-
TROLLER ON VOUCHERS CERTIFIED OR APPROVED BY THE STATE BOARD OF
ELECTIONS, OR ITS DULY DESIGNATED REPRESENTATIVE, IN THE MANNER
PRESCRIBED BY LAW, NOT MORE THAN FIVE WORKING DAYS AFTER SUCH VOUCHER IS
RECEIVED BY THE STATE COMPTROLLER.
S. 6411 20 A. 9011
4. NOTWITHSTANDING ANY PROVISION OF LAW TO THE CONTRARY, IF, IN ANY
STATE FISCAL YEAR, THE STATE CAMPAIGN FINANCE FUND LACKS THE AMOUNT OF
MONEY TO PAY ALL CLAIMS VOUCHERED BY ELIGIBLE CANDIDATES AND CERTIFIED
OR APPROVED BY THE STATE BOARD OF ELECTIONS, ANY SUCH DEFICIENCY SHALL
BE PAID BY THE STATE COMPTROLLER, FROM FUNDS DEPOSITED IN THE GENERAL
FUND OF THE STATE NOT MORE THAN FOUR WORKING DAYS AFTER SUCH VOUCHER IS
RECEIVED BY THE STATE COMPTROLLER.
5. COMMENCING IN TWO THOUSAND NINETEEN, IF THE SURPLUS IN THE FUND ON
APRIL FIRST OF THE YEAR AFTER A YEAR IN WHICH A GOVERNOR IS ELECTED
EXCEEDS TWENTY-FIVE PERCENT OF THE DISBURSEMENTS FROM THE FUND OVER THE
PREVIOUS FOUR YEARS, THE EXCESS SHALL REVERT TO THE GENERAL FUND OF THE
STATE.
6. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A
PRIMARY ELECTION ANY EARLIER THAN THIRTY DAYS AFTER DESIGNATING
PETITIONS OR CERTIFICATES OF NOMINATION HAVE BEEN FILED AND NOT LATER
THAN THIRTY DAYS AFTER SUCH PRIMARY ELECTION.
7. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A
GENERAL ELECTION ANY EARLIER THAN THE DAY AFTER THE DAY OF THE PRIMARY
ELECTION HELD TO NOMINATE CANDIDATES FOR SUCH ELECTION.
8. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A
SPECIAL ELECTION ANY EARLIER THAN THE DAY AFTER THE LAST DAY TO FILE
CERTIFICATES OF PARTY NOMINATION FOR SUCH SPECIAL ELECTION.
9. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATE WHO
HAS BEEN DISQUALIFIED OR WHOSE DESIGNATING PETITIONS HAVE BEEN DECLARED
INVALID BY THE APPROPRIATE BOARD OF ELECTIONS OR A COURT OF COMPETENT
JURISDICTION UNTIL AND UNLESS SUCH FINDING IS REVERSED BY A HIGHER COURT
IN A FINAL JUDGMENT. NO PAYMENT FROM THE FUND IN THE POSSESSION OF SUCH
A CANDIDATE OR SUCH CANDIDATE'S PARTICIPATING COMMITTEE ON THE DATE OF
SUCH DISQUALIFICATION OR INVALIDATION MAY THEREAFTER BE EXPENDED FOR ANY
PURPOSE EXCEPT THE PAYMENT OF LIABILITIES INCURRED BEFORE SUCH DATE.
ALL SUCH MONEYS SHALL BE REPAID TO THE FUND.
S 10. Section 95 of the state finance law is amended by adding a new
subdivision 5 to read as follows:
5. (A) AS OFTEN AS NECESSARY, THE CO-CHAIRS OF THE STATE BOARD OF
ELECTIONS SHALL CERTIFY THE AMOUNT SUCH CO-CHAIRS HAVE DETERMINED NECES-
SARY TO FUND ESTIMATED PAYMENTS FROM THE FUND ESTABLISHED BY SECTION
NINETY-TWO-T OF THIS ARTICLE FOR THE PRIMARY, GENERAL OR SPECIAL
ELECTION.
(B) NOTWITHSTANDING ANY PROVISION OF THIS SECTION AUTHORIZING THE
TRANSFER OF ANY MONEYS IN THE ABANDONED PROPERTY FUND TO THE GENERAL
FUND, THE COMPTROLLER, AFTER RECEIVING AMOUNTS SUFFICIENT TO PAY CLAIMS
AGAINST THE ABANDONED PROPERTY FUND, SHALL, BASED UPON A CERTIFICATION
OF THE STATE BOARD OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF THIS SUBDI-
VISION, AND AT THE DIRECTION OF THE DIRECTOR OF THE BUDGET, TRANSFER THE
REQUESTED AMOUNT FROM REMAINING AVAILABLE MONIES IN THE ABANDONED PROP-
ERTY FUND TO THE CAMPAIGN FINANCE FUND ESTABLISHED BY SECTION
NINETY-TWO-T OF THIS ARTICLE.
S 11. Section 658 of the tax law is amended by adding a new subsection
(h) to read as follows:
(H) NEW YORK STATE CAMPAIGN FINANCE FUND CHECK-OFF. (1) FOR EACH TAXA-
BLE YEAR BEGINNING ON AND AFTER JANUARY FIRST, TWO THOUSAND SIXTEEN,
EVERY RESIDENT TAXPAYER WHOSE NEW YORK STATE INCOME TAX LIABILITY FOR
THE TAXABLE YEAR FOR WHICH THE RETURN IS FILED IS FORTY DOLLARS OR MORE
MAY DESIGNATE ON SUCH RETURN THAT FORTY DOLLARS BE PAID INTO THE NEW
YORK STATE CAMPAIGN FINANCE FUND ESTABLISHED BY SECTION NINETY-TWO-T OF
THE STATE FINANCE LAW. WHERE A HUSBAND AND WIFE FILE A JOINT RETURN AND
S. 6411 21 A. 9011
HAVE A NEW YORK STATE INCOME TAX LIABILITY FOR THE TAXABLE YEAR FOR
WHICH THE RETURN IS FILED IS EIGHTY DOLLARS OR MORE, OR FILE SEPARATE
RETURNS ON A SINGLE FORM, EACH SUCH TAXPAYER MAY MAKE SEPARATE DESIG-
NATIONS ON SUCH RETURN OF FORTY DOLLARS TO BE PAID INTO THE NEW YORK
STATE CAMPAIGN FINANCE FUND.
(2) THE COMMISSIONER SHALL TRANSFER TO THE NEW YORK STATE CAMPAIGN
FINANCE FUND, ESTABLISHED PURSUANT TO SECTION NINETY-TWO-T OF THE STATE
FINANCE LAW, AN AMOUNT EQUAL TO FORTY DOLLARS MULTIPLIED BY THE NUMBER
OF DESIGNATIONS.
(3) FOR PURPOSES OF THIS SUBSECTION, THE INCOME TAX LIABILITY OF AN
INDIVIDUAL FOR ANY TAXABLE YEAR IS THE AMOUNT OF TAX IMPOSED UNDER THIS
ARTICLE REDUCED BY THE SUM OF THE CREDITS (AS SHOWN IN HIS OR HER
RETURN) ALLOWABLE UNDER THIS ARTICLE.
(4) THE DEPARTMENT SHALL INCLUDE A PLACE ON EVERY PERSONAL INCOME TAX
RETURN FORM TO BE FILED BY AN INDIVIDUAL FOR A TAX YEAR BEGINNING ON OR
AFTER JANUARY FIRST, TWO THOUSAND SIXTEEN, FOR SUCH TAXPAYER TO MAKE THE
DESIGNATIONS DESCRIBED IN PARAGRAPH ONE OF THIS SUBSECTION. SUCH RETURN
FORM SHALL CONTAIN A CONCISE EXPLANATION OF THE PURPOSE OF SUCH OPTIONAL
DESIGNATIONS.
S 12. Severability. If any clause, sentence, subdivision, paragraph,
section or part of title II of article 14 of the election law, as added
by section three of this act be adjudged by any court of competent
jurisdiction to be invalid, such judgment shall not affect, impair or
invalidate the remainder thereof, but shall be confined in its operation
to the clause, sentence, subdivision, paragraph, section or part thereof
directly involved in the controversy in which such judgment shall have
been rendered.
S 13. This act shall take effect immediately; provided, however, all
affected candidates will be eligible to participate in voluntary public
financing beginning with the 2018 primary election.
PART D
Section 1. Subdivisions 2 and 3 of section 86 of the public officers
law, as added by chapter 933 of the laws of 1977, are amended and a new
subdivision 6 is added to read as follows:
2. "State legislature" means the [legislature of the state of New
York, including] NEW YORK STATE SENATE, NEW YORK STATE ASSEMBLY, any
committee, subcommittee, joint committee, select committee, or commis-
sion thereof, AND ANY MEMBERS, OFFICERS, REPRESENTATIVES AND EMPLOYEES
THEREOF.
3. "Agency" means any state or municipal department, board, bureau,
division, commission, committee, public authority, public corporation,
council, office or other governmental entity performing a governmental
or proprietary function for the state or any one or more municipalities
thereof, except the judiciary [or the state legislature].
6. "RESPECTIVE HOUSE OF THE STATE LEGISLATURE" MEANS THE NEW YORK
STATE SENATE, NEW YORK STATE ASSEMBLY, AND ANY CORRESPONDING COMMITTEE,
SUBCOMMITTEE, JOINT COMMITTEE, SELECT COMMITTEE, OR COMMISSION THEREOF,
AND ANY MEMBERS, OFFICERS, REPRESENTATIVES AND EMPLOYEES THEREOF.
S 2. Section 87 of the public officers law, as added by chapter 933 of
the laws of 1977, paragraph (a) and the opening paragraph of paragraph
(b) of subdivision 1 as amended by chapter 80 of the laws of 1983,
subparagraph iii of paragraph (b) of subdivision 1 as amended and para-
graph (c) of subdivision 1 and subdivision 5 as added by chapter 223 of
the laws of 2008, paragraph (d) of subdivision 2 as amended by chapter
S. 6411 22 A. 9011
289 of the laws of 1990, paragraph (f) of subdivision 2 as amended by
chapter 403 of the laws of 2003, paragraph (g) of subdivision 2 as
amended by chapter 510 of the laws of 1999, paragraph (i) of subdivision
2 as amended by chapter 154 of the laws of 2010, paragraph (j) of subdi-
vision 2 as added by chapter 746 of the laws of 1988, paragraph (k) of
subdivision 2 as separately added by chapters 19, 20, 21, 22, 23 and 383
of the laws of 2009, paragraph (l) of subdivision 2 as added by section
12 of part II of chapter 59 of the laws of 2010, paragraph (m) of subdi-
vision 2 as added by chapter 189 of the laws of 2013, paragraph (n) of
subdivision 2 as added by chapter 43 of the laws of 2014, paragraph (n)
of subdivision 2 as separately added by chapters 99, 101, and 123 of the
laws of 2014, paragraph (o) of subdivision 2 as added by chapter 222 of
the laws of 2015, paragraph (c) of subdivision 3 as amended by chapter
499 of the laws of 2008, subdivision 4 as added by chapter 890 of the
laws of 1981, and paragraph (c) of subdivision 4 as added by chapter 102
of the laws of 2007, is amended to read as follows:
S 87. Access to agency OR STATE LEGISLATURE records. 1. (a) Within
sixty days after the effective date of this article, the governing body
of each public corporation shall promulgate uniform rules and regu-
lations for all agencies in such public corporation pursuant to such
general rules and regulations as may be promulgated by the committee on
open government in conformity with the provisions of this article,
pertaining to the administration of this article.
(b) Each agency AND EACH HOUSE OF THE STATE LEGISLATURE shall promul-
gate rules and regulations, in conformity with this article and applica-
ble rules and regulations promulgated pursuant to the provisions of
paragraph (a) of this subdivision, and pursuant to such general rules
and regulations as may be promulgated by the committee on open govern-
ment in conformity with the provisions of this article, pertaining to
the availability of records and procedures to be followed, including,
but not limited to:
i. the times and places such records are available;
ii. the persons from whom such records may be obtained[,]; and
iii. the fees for copies of records which shall not exceed twenty-five
cents per photocopy not in excess of nine inches by fourteen inches, or
the actual cost of reproducing any other record in accordance with the
provisions of paragraph (c) of this subdivision, except when a different
fee is otherwise prescribed by statute.
(c) In determining the actual cost of reproducing a record, an agency
AND THE STATE LEGISLATURE may include only:
i. an amount equal to the hourly salary attributed to the lowest paid
EMPLOYEE OF AN agency or [employee] RESPECTIVE HOUSE OF THE STATE LEGIS-
LATURE who has the necessary skill required to prepare a copy of the
requested record;
ii. the actual cost of the storage devices or media provided to the
person making the request in complying with such request;
iii. the actual cost to the agency OR TO THE RESPECTIVE HOUSE OF THE
STATE LEGISLATURE of engaging an outside professional service to prepare
a copy of a record, but only when an agency's OR RESPECTIVE HOUSE OF THE
STATE LEGISLATURE'S information technology equipment is inadequate to
prepare a copy, if such service is used to prepare the copy; and
iv. preparing a copy shall not include search time or administrative
costs, and no fee shall be charged unless at least two hours of agency
OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE employee time is needed to
prepare a copy of the record requested. A person requesting a record
shall be informed of the estimated cost of preparing a copy of the
S. 6411 23 A. 9011
record if more than two hours of an agency OR RESPECTIVE HOUSE OF THE
STATE LEGISLATURE employee's time is needed, or if an outside profes-
sional service would be retained to prepare a copy of the record.
2. Each agency AND THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE
shall, in accordance with its published rules, make available for public
inspection and copying all records, except that such agency AND THE
RESPECTIVE HOUSE OF THE STATE LEGISLATURE may deny access to records or
portions thereof that:
(a) are specifically exempted from disclosure by state or federal
statute;
(b) if disclosed would constitute an unwarranted invasion of personal
privacy under the provisions of subdivision two of section eighty-nine
of this article;
(c) if disclosed would impair present or imminent contract awards or
collective bargaining negotiations PROVIDED, HOWEVER, THAT THE PROPOSED
TERMS OF AN AGREEMENT BETWEEN A PUBLIC EMPLOYER AND AN EMPLOYEE ORGAN-
IZATION, AS THOSE TERMS ARE DEFINED IN ARTICLE FOURTEEN OF THE CIVIL
SERVICE LAW, THAT REQUIRE RATIFICATION BY MEMBERS OF THE EMPLOYEE ORGAN-
IZATION OR BY THE PUBLIC EMPLOYER, WHERE APPLICABLE, OR APPROVAL OF SUCH
PROVISIONS BY THE APPROPRIATE LEGISLATIVE BODY AS REQUIRED BY SECTION
TWO HUNDRED FOUR-A OF THE CIVIL SERVICE LAW, SHALL BE MADE AVAILABLE TO
THE PUBLIC NO LATER THAN WHEN SUCH PROPOSED TERMS ARE SENT TO MEMBERS OF
THE EMPLOYEE ORGANIZATION FOR RATIFICATION, WHEN SUCH TERMS ARE
PRESENTED TO THE EMPLOYER FOR RATIFICATION, WHERE APPLICABLE, OR WHEN
THE PROVISIONS OF SUCH AGREEMENT REQUIRING APPROVAL BY THE APPROPRIATE
LEGISLATIVE BODY PURSUANT TO SECTION TWO HUNDRED FOUR-A OF THE CIVIL
SERVICE LAW ARE SUBMITTED TO SUCH BODY, WHICHEVER DATE IS EARLIEST.
ADDITIONALLY, A COPY OF THE PROPOSED TERMS OF SUCH AGREEMENT SHALL BE
PLACED ON THE WEBSITE OF THE APPLICABLE PUBLIC EMPLOYER, IF SUCH
WEBSITES EXIST, AND WITHIN THE LOCAL PUBLIC LIBRARIES AND OFFICES OF
SUCH PUBLIC EMPLOYER, OR IN THE CASE OF COLLECTIVE BARGAINING AGREEMENTS
NEGOTIATED BY THE STATE, ON THE WEBSITE OF THE OFFICE OF EMPLOYEE
RELATIONS ON SUCH DATE;
(d) are trade secrets or are submitted to an agency OR TO THE RESPEC-
TIVE HOUSE OF THE STATE LEGISLATURE by a commercial enterprise or
derived from information obtained from a commercial enterprise and which
if disclosed would cause substantial injury to the competitive position
of the subject enterprise;
(e) are compiled for law enforcement purposes and which, if disclosed,
would:
i. interfere with law enforcement investigations or judicial
proceedings;
ii. deprive a person of a right to a fair trial or impartial adjudi-
cation;
iii. identify a confidential source or disclose confidential informa-
tion relating to a criminal investigation; or
iv. reveal criminal investigative techniques or procedures, except
routine techniques and procedures;
(f) if disclosed could endanger CRITICAL INFRASTRUCTURE OR the life or
safety of any person;
(g) are inter-agency or intra-agency materials which are not:
i. statistical or factual tabulations or data;
ii. instructions to staff that affect the public;
iii. final agency policy or determinations;
iv. external audits, including but not limited to audits performed by
the comptroller and the federal government; [or]
S. 6411 24 A. 9011
(G-1) ARE MATERIALS EXCHANGED WITHIN THE STATE LEGISLATURE WHICH ARE
NOT:
I. STATISTICAL OR FACTUAL TABULATIONS OR DATA;
II. INSTRUCTIONS TO STAFF THAT AFFECT THE PUBLIC;
III. FINAL POLICY OR DETERMINATIONS OF THE RESPECTIVE HOUSE OF THE
STATE LEGISLATURE;
IV. EXTERNAL AUDITS, INCLUDING BUT NOT LIMITED TO AUDITS PERFORMED BY
THE COMPTROLLER AND THE FEDERAL GOVERNMENT; OR
(h) are examination questions or answers which are requested prior to
the final administration of such questions.
(i) if disclosed, would jeopardize the capacity of an agency, THE
STATE LEGISLATURE, or an entity that has shared information with an
agency OR THE STATE LEGISLATURE to guarantee the security of its infor-
mation technology assets, such assets encompassing both electronic
information systems and infrastructures; or
(j) are photographs, microphotographs, videotape or other recorded
images prepared under authority of section eleven hundred eleven-a of
the vehicle and traffic law.
(k) are photographs, microphotographs, videotape or other recorded
images prepared under authority of section eleven hundred eleven-b of
the vehicle and traffic law.
(l) are photographs, microphotographs, videotape or other recorded
images produced by a bus lane photo device prepared under authority of
section eleven hundred eleven-c of the vehicle and traffic law.
(m) are photographs, microphotographs, videotape or other recorded
images prepared under the authority of section eleven hundred eighty-b
of the vehicle and traffic law.
(n) are photographs, microphotographs, videotape or other recorded
images prepared under the authority of section eleven hundred eighty-c
of the vehicle and traffic law.
(n) are photographs, microphotographs, videotape or other recorded
images prepared under authority of section eleven hundred eleven-d of
the vehicle and traffic law.
(o) are photographs, microphotographs, videotape or other recorded
images prepared under authority of section eleven hundred eleven-e of
the vehicle and traffic law.
3. Each agency AND THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE shall
maintain:
(a) a record of the final vote of each member in every agency OR STATE
LEGISLATURE proceeding in which the member votes;
(B) A RECORD OF VOTES OF EACH MEMBER IN EVERY SESSION AND EVERY
COMMITTEE AND SUBCOMMITTEE MEETING IN WHICH THE MEMBER OF THE SENATE OR
ASSEMBLY VOTES;
[(b)] (C) a record setting forth the name, public office address,
title and salary of every officer or employee of the agency OR THE STATE
LEGISLATURE; and
[(c)] (D) a reasonably detailed current list by subject matter of all
records in the possession of the agency OR STATE LEGISLATURE, whether or
not available under this article. Each agency AND EACH RESPECTIVE HOUSE
OF THE STATE LEGISLATURE shall update its subject matter list annually,
and the date of the most recent update shall be conspicuously indicated
on the list. [Each] THE STATE LEGISLATURE AND EACH state agency as
defined in subdivision four of this section that maintains a website
shall post its current list on its website and such posting shall be
linked to the website of the committee on open government. Any such
agency OR PART OF THE STATE LEGISLATURE that does not maintain a website
S. 6411 25 A. 9011
shall arrange to have its list posted on the website of the committee on
open government.
4. (a) Each state agency OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE
which maintains records containing trade secrets, to which access may be
denied pursuant to paragraph (d) of subdivision two of this section,
shall promulgate regulations in conformity with the provisions of subdi-
vision five of section eighty-nine of this article pertaining to such
records, including, but not limited to the following:
(1) the manner of identifying the records or parts;
(2) the manner of identifying persons within the agency OR RESPECTIVE
HOUSE OF THE STATE LEGISLATURE to whose custody the records or parts
will be charged and for whose inspection and study the records will be
made available;
(3) the manner of safeguarding against any unauthorized access to the
records.
(b) As used in this subdivision the term "agency" or "state agency"
means only a state department, board, bureau, division, council or
office and any public corporation the majority of whose members are
appointed by the governor.
(c) AS USED IN THIS SUBDIVISION THE TERM "STATE LEGISLATURE" MEANS THE
LEGISLATURE AS DEFINED IN SUBDIVISION TWO OF SECTION EIGHTY-SIX OF THIS
ARTICLE.
(D) Each state agency AND RESPECTIVE HOUSE OF THE STATE LEGISLATURE
that maintains a website shall post information related to this article
and article six-A of this chapter on its website. Such information shall
include, at a minimum, contact information for the persons from whom
records of the agency OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE may
be obtained, the times and places such records are available for
inspection and copying, and information on how to request records in
person, by mail, and, if the agency OR RESPECTIVE HOUSE OF THE STATE
LEGISLATURE accepts requests for records electronically, by e-mail. This
posting shall be linked to the website of the committee on open govern-
ment.
5. (a) An agency AND THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE
shall provide records on the medium requested by a person, if the agency
OR THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE can reasonably make
such copy or have such copy made by engaging an outside professional
service. Records provided in a computer format shall not be encrypted.
(b) No agency NOR THE STATE LEGISLATURE shall enter into or renew a
contract for the creation or maintenance of records if such contract
impairs the right of the public to inspect or copy the agency's OR THE
STATE LEGISLATURE'S records.
6. (A) EACH AGENCY AND HOUSE OF THE STATE LEGISLATURE SHALL PUBLISH,
ON ITS INTERNET WEBSITE, TO THE EXTENT PRACTICABLE, RECORDS OR PORTIONS
OF RECORDS THAT ARE AVAILABLE TO THE PUBLIC PURSUANT TO THE PROVISIONS
OF THIS ARTICLE, OR WHICH, IN CONSIDERATION OF THEIR NATURE, CONTENT OR
SUBJECT MATTER, ARE DETERMINED BY THE AGENCY OR HOUSE OF THE STATE
LEGISLATURE TO BE OF SUBSTANTIAL INTEREST TO THE PUBLIC. ANY SUCH
RECORDS MAY BE REMOVED FROM THE INTERNET WEBSITE WHEN THE AGENCY OR
HOUSE OF THE STATE LEGISLATURE DETERMINES THAT THEY ARE NO LONGER OF
SUBSTANTIAL INTEREST TO THE PUBLIC. ANY SUCH RECORDS MAY BE REMOVED FROM
THE INTERNET WEBSITE WHEN THEY HAVE REACHED THE END OF THEIR LEGAL
RETENTION PERIOD. GUIDANCE ON CREATING RECORDS IN ACCESSIBLE FORMATS AND
ENSURING THEIR CONTINUING ACCESSIBILITY SHALL BE AVAILABLE FROM THE
OFFICE FOR TECHNOLOGY AND THE STATE ARCHIVES.
S. 6411 26 A. 9011
(B) THE PROVISIONS OF PARAGRAPH (A) OF THIS SUBDIVISION SHALL NOT
APPLY TO RECORDS OR PORTIONS OF RECORDS THE DISCLOSURE OF WHICH WOULD
CONSTITUTE AN UNWARRANTED INVASION OF PERSONAL PRIVACY IN ACCORDANCE
WITH SUBDIVISION TWO OF SECTION EIGHTY-NINE OF THIS ARTICLE.
(C) THE COMMITTEE ON OPEN GOVERNMENT SHALL PROMULGATE GUIDELINES TO
EFFECTUATE THIS SUBDIVISION.
(D) NOTHING IN THIS SUBDIVISION SHALL BE CONSTRUED AS TO LIMIT OR
ABRIDGE THE POWER OF AN AGENCY OR HOUSE OF THE STATE LEGISLATURE TO
PUBLISH RECORDS ON ITS INTERNET WEBSITE THAT ARE SUBJECT TO THE
PROVISIONS OF THIS ARTICLE PRIOR TO A WRITTEN REQUEST OR PRIOR TO A
FREQUENT REQUEST.
S 3. Section 88 of the public officers law is REPEALED.
S 4. Section 89 of the public officers law, as added by chapter 933 of
the laws of 1977, paragraph (a) of subdivision 1 as amended by chapter
33 of the laws of 1984, paragraph (b) of subdivision 1 as amended by
chapter 182 of the laws of 2006, subdivision 2 as amended by section 11
of part U of chapter 61 of the laws of 2011, subdivision 2-a as added by
chapter 652 of the laws of 1983, subdivision 3 as amended by chapter 223
of the laws of 2008, subdivision 4 as amended by chapter 22 of the laws
of 2005, paragraph (c) of subdivision 4 as amended by chapter 492 of the
laws of 2006, subdivision 5 as added and subdivision 6 as renumbered by
chapter 890 of the laws of 1981, paragraph (a) of subdivision 5 as
amended by chapter 403 of the laws of 2003, paragraph (d) of subdivision
5 as amended by chapter 339 of the laws of 2004, subdivision 7 as added
by chapter 783 of the laws of 1983, subdivision 8 as added by chapter
705 of the laws of 1989, and subdivision 9 as added by chapter 351 of
the laws of 2008, is amended to read as follows:
S 89. General provisions relating to access to records; certain cases.
The provisions of this section apply to access to all records, except as
hereinafter specified:
1. (a) The committee on open government is continued and shall consist
of the lieutenant governor or the delegate of such officer, the secre-
tary of state or the delegate of such officer, whose office shall act as
secretariat for the committee, the commissioner of the office of general
services or the delegate of such officer, the director of the budget or
the delegate of such officer, and seven other persons, none of whom
shall hold any other state or local public office except the represen-
tative of local governments as set forth herein, to be appointed as
follows: five by the governor, at least two of whom are or have been
representatives of the news media, one of whom shall be a representative
of local government who, at the time of appointment, is serving as a
duly elected officer of a local government, one by the temporary presi-
dent of the senate, and one by the speaker of the assembly. The persons
appointed by the temporary president of the senate and the speaker of
the assembly shall be appointed to serve, respectively, until the expi-
ration of the terms of office of the temporary president and the speaker
to which the temporary president and speaker were elected. The four
persons presently serving by appointment of the governor for fixed terms
shall continue to serve until the expiration of their respective terms.
Thereafter, their respective successors shall be appointed for terms of
four years. The member representing local government shall be appointed
for a term of four years, so long as such member shall remain a duly
elected officer of a local government. The committee shall hold no less
than two meetings annually, but may meet at any time. The members of the
committee shall be entitled to reimbursement for actual expenses
incurred in the discharge of their duties.
S. 6411 27 A. 9011
(b) The committee shall:
i. furnish to any agency AND TO EACH HOUSE OF THE STATE LEGISLATURE
advisory guidelines, opinions or other appropriate information regarding
this article;
ii. furnish to any person advisory opinions or other appropriate
information regarding this article;
iii. promulgate rules and regulations with respect to the implementa-
tion of subdivision one and paragraph (c) of subdivision three of
section eighty-seven of this article;
iv. request from any agency AND FROM EITHER HOUSE OF THE STATE LEGIS-
LATURE such assistance, services and information as will enable the
committee to effectively carry out its powers and duties;
v. develop a form, which shall be made available on the internet, that
may be used by the public to request a record; and
vi. report on its activities and findings regarding this article and
article seven of this chapter, including recommendations for changes in
the law, to the governor and the legislature annually, on or before
December fifteenth.
2. (a) The committee on public access to records may promulgate guide-
lines regarding deletion of identifying details or withholding of
records otherwise available under this article to prevent unwarranted
invasions of personal privacy. In the absence of such guidelines, an
agency AND THE RESPECTIVE HOUSE OF STATE LEGISLATURE may delete identi-
fying details when it makes records available.
(b) An unwarranted invasion of personal privacy includes, but shall
not be limited to:
i. disclosure of employment, medical or credit histories or personal
references of applicants for employment;
ii. disclosure of items involving the medical or personal records of a
client or patient in a medical facility;
iii. sale or release of lists of names and addresses if such lists
would be used for solicitation or fund-raising purposes;
iv. disclosure of information of a personal nature when disclosure
would result in economic or personal hardship to the subject party and
such information is not relevant to the work of the agency OR RESPECTIVE
HOUSE OF THE STATE LEGISLATURE requesting or maintaining it;
v. disclosure of information of a personal nature reported in confi-
dence to an agency OR TO THE STATE LEGISLATURE and not relevant to the
ordinary work of such agency OR THE STATE LEGISLATURE;
vi. information of a personal nature contained in a workers' compen-
sation record, except as provided by section one hundred ten-a of the
workers' compensation law; [or]
vii. disclosure of electronic contact information, such as an e-mail
address or a social network username, that has been collected from a
taxpayer under section one hundred four of the real property tax law[.];
OR
VIII. DISCLOSURE OF COMMUNICATIONS OF A PERSONAL NATURE BETWEEN LEGIS-
LATORS AND THEIR CONSTITUENTS.
(c) Unless otherwise provided by this article, disclosure shall not be
construed to constitute an unwarranted invasion of personal privacy
pursuant to paragraphs (a) and (b) of this subdivision:
i. when identifying details are deleted;
ii. when the person to whom a record pertains consents in writing to
disclosure;
iii. when upon presenting reasonable proof of identity, a person seeks
access to records pertaining to him or her; or
S. 6411 28 A. 9011
iv. when a record or group of records relates to the right, title or
interest in real property, or relates to the inventory, status or char-
acteristics of real property, in which case disclosure and providing
copies of such record or group of records shall not be deemed an unwar-
ranted invasion of personal privacy, provided that nothing herein shall
be construed to authorize the disclosure of electronic contact informa-
tion, such as an e-mail address or a social network username, that has
been collected from a taxpayer under section one hundred four of the
real property tax law.
2-a. Nothing in this article shall permit disclosure which constitutes
an unwarranted invasion of personal privacy as defined in subdivision
two of this section if such disclosure is prohibited under section nine-
ty-six of this chapter.
3. (a) Each entity subject to the provisions of this article, within
five business days of the receipt of a written request for a record
reasonably described, shall make such record available to the person
requesting it, deny such request in writing or furnish a written
acknowledgement of the receipt of such request and a statement of the
approximate date, which shall be reasonable under the circumstances of
the request, when such request will be granted or denied, including,
where appropriate, a statement that access to the record will be deter-
mined in accordance with subdivision five of this section. [An] NEITHER
AN agency NOR THE STATE LEGISLATURE shall [not] deny a request on the
basis that the request is voluminous or that locating or reviewing the
requested records or providing the requested copies is burdensome
because the agency OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE lacks
sufficient staffing or on any other basis if the agency OR RESPECTIVE
HOUSE OF THE STATE LEGISLATURE may engage an outside professional
service to provide copying, programming or other services required to
provide the copy, the costs of which the agency OR RESPECTIVE HOUSE OF
THE STATE LEGISLATURE may recover pursuant to paragraph (c) of subdivi-
sion one of section eighty-seven of this article. An agency OR RESPEC-
TIVE HOUSE OF THE STATE LEGISLATURE may require a person requesting
lists of names and addresses to provide a written certification that
such person will not use such lists of names and addresses for solicita-
tion or fund-raising purposes and will not sell, give or otherwise make
available such lists of names and addresses to any other person for the
purpose of allowing that person to use such lists of names and addresses
for solicitation or fund-raising purposes. If an agency OR RESPECTIVE
HOUSE OF THE STATE LEGISLATURE determines to grant a request in whole or
in part, and if circumstances prevent disclosure to the person request-
ing the record or records within twenty business days from the date of
the acknowledgement of the receipt of the request, the agency OR RESPEC-
TIVE HOUSE OF THE STATE LEGISLATURE shall state, in writing, both the
reason for the inability to grant the request within twenty business
days and a date certain within a reasonable period, depending on the
circumstances, when the request will be granted in whole or in part.
Upon payment of, or offer to pay, the fee prescribed therefor, the enti-
ty shall provide a copy of such record and certify to the correctness of
such copy if so requested, or as the case may be, shall certify that it
does not have possession of such record or that such record cannot be
found after diligent search. Nothing in this article shall be construed
to require any entity to prepare any record not possessed or maintained
by such entity except the records specified in subdivision three of
section eighty-seven [and subdivision three of section eighty-eight] of
this article. When an agency OR THE RESPECTIVE HOUSE OF THE STATE LEGIS-
S. 6411 29 A. 9011
LATURE has the ability to retrieve or extract a record or data main-
tained in a computer storage system with reasonable effort, it shall be
required to do so. When doing so requires less employee time than engag-
ing in manual retrieval or redactions from non-electronic records, the
agency AND RESPECTIVE HOUSE OF THE STATE LEGISLATURE shall be required
to retrieve or extract such record or data electronically. Any program-
ming necessary to retrieve a record maintained in a computer storage
system and to transfer that record to the medium requested by a person
or to allow the transferred record to be read or printed shall not be
deemed to be the preparation or creation of a new record.
(b) All entities shall, provided such entity has reasonable means
available, accept requests for records submitted in the form of elec-
tronic mail and shall respond to such requests by electronic mail, using
forms, to the extent practicable, consistent with the form or forms
developed by the committee on open government pursuant to subdivision
one of this section and provided that the written requests do not seek a
response in some other form.
4. (a) Except as provided in subdivision five of this section, any
person denied access to a record may within thirty days appeal in writ-
ing such denial to the head, chief executive or governing body of the
entity, or the person therefor designated by such head, chief executive,
or governing body, who shall within ten business days of the receipt of
such appeal fully explain in writing to the person requesting the record
the reasons for further denial, or provide access to the record sought.
In addition, each agency OR THE RESPECTIVE HOUSE OF THE STATE LEGISLA-
TURE shall immediately forward to the committee on open government a
copy of such appeal when received by the agency OR SUCH HOUSE and the
ensuing determination thereon. Failure by an agency OR RESPECTIVE HOUSE
OF THE STATE LEGISLATURE to conform to the provisions of subdivision
three of this section shall constitute a denial.
(b) Except as provided in subdivision five of this section, a person
denied access to a record in an appeal determination under the
provisions of paragraph (a) of this subdivision may bring a proceeding
for review of such denial pursuant to article seventy-eight of the civil
practice law and rules. In the event that access to any record is denied
pursuant to the provisions of subdivision two of section eighty-seven of
this article, the agency OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE
involved shall have the burden of proving that such record falls within
the provisions of such subdivision two. Failure by an agency OR RESPEC-
TIVE HOUSE OF THE STATE LEGISLATURE to conform to the provisions of
paragraph (a) of this subdivision shall constitute a denial.
(c) (I) The court in such a proceeding may assess, against such agency
OR THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE involved, reasonable
[attorney's] ATTORNEYS' fees and other litigation costs reasonably
incurred by such person, in any case under the provisions of this
section in which such person has substantially prevailed[, when:
i. the agency had no reasonable basis for denying access; or
ii.] AND the agency failed to respond to a request or appeal within
the statutory time.
(II) THE COURT IN SUCH PROCEEDING SHALL ASSESS, AGAINST SUCH AGENCY OR
THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE INVOLVED, REASONABLE
ATTORNEYS' FEES AND OTHER LITIGATION COSTS REASONABLY INCURRED BY SUCH
PERSON, IN ANY CASE UNDER THE PROVISIONS OF THIS SECTION IN WHICH SUCH
PERSON HAS SUBSTANTIALLY PREVAILED AND THE COURT FINDS THAT THE AGENCY
DENIED ACCESS IN CLEAR DISREGARD OF THE EXCEPTIONS TO RIGHTS OF ACCESS
S. 6411 30 A. 9011
IN SECTION EIGHTY-SEVEN OF THIS ARTICLE AND HAD NO REASONABLE BASIS FOR
DENYING ACCESS.
(D) APPEAL TO THE APPELLATE DIVISION OF THE SUPREME COURT MUST BE MADE
IN ACCORDANCE WITH LAW, AND MUST BE FILED WITHIN THIRTY DAYS AFTER
SERVICE BY A PARTY UPON THE APPELLANT OF A COPY OF THE JUDGMENT OR ORDER
APPEALED FROM AND WRITTEN NOTICE OF ITS ENTRY. NOTWITHSTANDING ANY
PROVISION OF LAW, RULE OR REGULATION TO THE CONTRARY, AN APPEAL TAKEN
FROM AN ORDER OF THE COURT UNDER THIS SECTION SHALL BE GIVEN PREFERENCE,
SHALL BE BROUGHT ON FOR ARGUMENT ON SUCH TERMS AND CONDITIONS AS THE
PRESIDING JUSTICE MAY DIRECT UPON APPLICATION OF ANY PARTY TO THE
PROCEEDING, AND SHALL BE DEEMED NOT TIMELY FILED WHEN A PARTY FAILS TO
SERVE AND FILE A RECORD AND BRIEF WITHIN SIXTY DAYS AFTER THE DATE OF
THE NOTICE OF APPEAL. THE CLERK OR A JUSTICE MAY GRANT REASONABLE
ENLARGEMENTS OF TIME TO PERFECT OR TO SERVE AND FILE A BRIEF UPON STIPU-
LATION OF THE PARTIES, OR, FOR CAUSE WHERE A PARTY ESTABLISHES A REASON-
ABLE GROUND WHY THERE CANNOT OR COULD NOT BE COMPLIANCE WITH THE TIME
LIMITS PRESCRIBED BY THIS SUBDIVISION. FAILURE BY A PARTY TO SERVE AND
FILE A RECORD AND BRIEF WITHIN THE ALLOTTED TIME, SUBJECT TO ANY
ENLARGEMENTS OF TIME GRANTED BY A CLERK OR JUSTICE, SHALL RESULT IN THE
DISMISSAL OF THE APPEAL.
5. (a) (1) A person acting pursuant to law or regulation who, subse-
quent to the effective date of this subdivision, submits any information
to any state agency OR TO THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE
may, at the time of submission, request that the agency OR SUCH HOUSE
PROVISIONALLY except such information from disclosure under paragraph
(d) of subdivision two of section eighty-seven of this article. Where
the request itself contains information which if disclosed would defeat
the purpose for which the exception is sought, such information shall
also be PROVISIONALLY excepted from disclosure.
(1-a) A person or entity who submits or otherwise makes available any
records to any agency OR A HOUSE OF THE STATE LEGISLATURE, may, at any
time, identify those records or portions thereof that may contain crit-
ical infrastructure information, and request that the agency OR HOUSE OF
THE STATE LEGISLATURE that maintains such records except such informa-
tion from disclosure under subdivision two of section eighty-seven of
this article. Where the request itself contains information which if
disclosed would defeat the purpose for which the exception is sought,
such information shall also be PROVISIONALLY excepted from disclosure.
(2) The request for an exception shall be in writing, SHALL SPECIF-
ICALLY IDENTIFY WHICH PORTIONS OF THE RECORD ARE THE SUBJECT OF THE
REQUEST FOR EXCEPTION and SHALL state the reasons why the information
should be PROVISIONALLY excepted from disclosure. ANY SUCH REQUEST FOR
AN EXCEPTION SHALL BE EFFECTIVE FOR A FIVE-YEAR PERIOD FROM THE AGENCY'S
OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE'S RECEIPT THEREOF.
PROVIDED, HOWEVER, THAT NOT LESS THAN SIXTY DAYS PRIOR TO THE EXPIRATION
OF THE THEN CURRENT TERM OF THE EXCEPTION REQUEST, THE SUBMITTER MAY
APPLY TO THE AGENCY OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE FOR A
TWO-YEAR EXTENSION OF ITS EXCEPTION REQUEST. UPON TIMELY RECEIPT OF A
REQUEST FOR AN EXTENSION OF AN EXCEPTION REQUEST, AN AGENCY OR RESPEC-
TIVE HOUSE OF THE STATE LEGISLATURE MAY EITHER (A) PERFORM A CURSORY
REVIEW OF THE APPLICATION AND GRANT THE EXTENSION SHOULD IT FIND ANY
JUSTIFICATION FOR SUCH DETERMINATION, OR (B) COMMENCE THE PROCEDURE SET
FORTH IN PARAGRAPH (B) OF THIS SUBDIVISION TO MAKE A FINAL DETERMINATION
GRANTING OR TERMINATING SUCH EXCEPTION.
(3) Information submitted as provided in subparagraphs one and one-a
of this paragraph shall be PROVISIONALLY excepted from disclosure and be
S. 6411 31 A. 9011
maintained apart by the agency AND THE RESPECTIVE HOUSE OF THE STATE
LEGISLATURE from all other records until THE EXPIRATION OF THE SUBMIT-
TER'S EXCEPTION REQUEST OR fifteen days after the entitlement to such
exception has been finally determined or such further time as ordered by
a court of competent jurisdiction.
(b) [On the] DURING THE EFFECTIVE PERIOD OF AN EXCEPTION REQUEST UNDER
THIS SUBDIVISION, ON THE initiative of the agency OR EITHER HOUSE OF THE
STATE LEGISLATURE at any time, or upon the request of any person for a
record excepted from disclosure pursuant to this subdivision, the agency
OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE shall:
(1) inform the person who requested the exception of the agency's OR
SUCH HOUSE'S intention to determine whether such exception should be
granted or continued;
(2) permit the person who requested the exception, within ten business
days of receipt of notification from the agency OR RESPECTIVE HOUSE OF
THE STATE LEGISLATURE, to submit a written statement of the necessity
for the granting or continuation of such exception;
(3) within seven business days of receipt of such written statement,
or within seven business days of the expiration of the period prescribed
for submission of such statement, issue a written determination grant-
ing, continuing or terminating such exception and stating the reasons
therefor; copies of such determination shall be served upon the person,
if any, requesting the record, the person who requested the exception,
and the committee on [public access to records] OPEN GOVERNMENT.
(c) A denial of an exception from disclosure under paragraph (b) of
this subdivision may be appealed by the person submitting the informa-
tion and a denial of access to the record may be appealed by the person
requesting the record in accordance with this subdivision:
(1) Within seven business days of receipt of written notice denying
the request, the person may file a written appeal from the determination
of the agency OR THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE with the
head of the agency OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE, the
chief executive officer or governing body or their designated represen-
tatives.
(2) The appeal shall be determined within ten business days of the
receipt of the appeal. Written notice of the determination shall be
served upon the person, if any, requesting the record, the person who
requested the exception and the committee on [public access to records]
OPEN GOVERNMENT. The notice shall contain a statement of the reasons for
the determination.
(d) A proceeding to review an adverse determination pursuant to para-
graph (c) of this subdivision may be commenced pursuant to article
seventy-eight of the civil practice law and rules. Such proceeding, when
brought by a person seeking an exception from disclosure pursuant to
this subdivision, must be commenced within fifteen days of the service
of the written notice containing the adverse determination provided for
in subparagraph two of paragraph (c) of this subdivision. THE PROCEEDING
SHALL BE GIVEN PREFERENCE AND SHALL BE BROUGHT ON FOR ARGUMENT ON SUCH
TERMS AND CONDITIONS AS THE PRESIDING JUSTICE MAY DIRECT, NOT TO EXCEED
FORTY-FIVE DAYS. APPEAL TO THE APPELLATE DIVISION OF THE SUPREME COURT
MUST BE MADE IN ACCORDANCE WITH LAW, AND MUST BE FILED WITHIN FIFTEEN
DAYS AFTER SERVICE BY A PARTY UPON THE APPELLANT OF A COPY OF THE JUDG-
MENT OR ORDER APPEALED FROM AND WRITTEN NOTICE OF ITS ENTRY. AN APPEAL
TAKEN FROM AN ORDER OF THE COURT REQUIRING DISCLOSURE SHALL BE GIVEN
PREFERENCE AND SHALL BE BROUGHT ON FOR ARGUMENT ON SUCH TERMS AND CONDI-
TIONS AS THE PRESIDING JUSTICE MAY DIRECT, NOT TO EXCEED SIXTY DAYS.
S. 6411 32 A. 9011
THIS ACTION SHALL BE DEEMED ABANDONED WHEN THE PARTY REQUESTING AN
EXCLUSION FROM DISCLOSURE FAILS TO SERVE AND FILE A RECORD AND BRIEF
WITHIN THIRTY DAYS AFTER THE DATE OF THE NOTICE OF APPEAL. FAILURE BY
THE PARTY REQUESTING AN EXCLUSION FROM DISCLOSURE TO SERVE AND FILE A
RECORD AND BRIEF WITHIN THE ALLOTTED TIME SHALL RESULT IN THE DISMISSAL
OF THE APPEAL.
(e) The person requesting an exception from disclosure pursuant to
this subdivision shall in all proceedings have the burden of proving
entitlement to the exception.
(f) Where the agency OR THE RESPECTIVE HOUSE OF THE STATE LEGISLATURE
denies access to a record pursuant to paragraph [(d) of] (B) OF THIS
SUBDIVISION IN CONJUNCTION WITH subdivision two of section eighty-seven
of this article, the agency OR RESPECTIVE HOUSE OF THE STATE LEGISLATURE
shall have the burden of proving that the record falls within the
provisions of such exception.
(g) Nothing in this subdivision shall be construed to deny any person
access, pursuant to the remaining provisions of this article, to any
record or part excepted from disclosure upon the express written consent
of the person who had requested the exception.
(h) As used in this subdivision the term "agency" or "state agency"
means only a state department, board, bureau, division, council or
office and any public corporation the majority of whose members are
appointed by the governor.
(I) AS USED IN THIS SUBDIVISION THE TERM "STATE LEGISLATURE" MEANS THE
LEGISLATURE AS DEFINED IN SUBDIVISION TWO OF SECTION EIGHTY-SIX OF THIS
ARTICLE.
6. Nothing in this article shall be construed to limit or abridge any
otherwise available right of access at law or in equity of any party to
records.
7. Nothing in this article shall require the disclosure of the home
address of an officer or employee, former officer or employee, or of a
retiree of a public employees' retirement system; nor shall anything in
this article require the disclosure of the name or home address of a
beneficiary of a public employees' retirement system or of an applicant
for appointment to public employment; provided however, that nothing in
this subdivision shall limit or abridge the right of an employee organ-
ization, certified or recognized for any collective negotiating unit of
an employer pursuant to article fourteen of the civil service law, to
obtain the name or home address of any officer, employee or retiree of
such employer, if such name or home address is otherwise available under
this article.
8. Any person who, with intent to prevent the public inspection of a
record pursuant to this article, willfully conceals or destroys any such
record shall be guilty of a violation.
9. When records maintained electronically include items of information
that would be available under this article, as well as items of informa-
tion that may be withheld, an agency OR RESPECTIVE HOUSE OF THE STATE
LEGISLATURE in designing its information retrieval methods, whenever
practicable and reasonable, shall do so in a manner that permits the
segregation and retrieval of available items in order to provide maximum
public access.
S 5. Subdivisions (t) and (u) of section 105 of the civil practice law
and rules, subdivision (u) as relettered by chapter 100 of the laws of
1994, are relettered subdivisions (u) and (v) and a new subdivision (t)
is added to read as follows:
S. 6411 33 A. 9011
(T) "STATE LEGISLATURE" MEANS THE NEW YORK STATE SENATE, NEW YORK
STATE ASSEMBLY, ANY COMMITTEE, SUBCOMMITTEE, JOINT COMMITTEE, SELECT
COMMITTEE, OR COMMISSION THEREOF, AND ANY MEMBERS, OFFICERS, REPRESEN-
TATIVES AND EMPLOYEES THEREOF.
S 6. Subdivision (a) of section 7802 of the civil practice law and
rules is amended to read as follows:
(a) Definition of "body or officer". The expression "body or officer"
includes every court, tribunal, board, corporation, officer, STATE
LEGISLATURE, or other person, or aggregation of persons, whose action
may be affected by a proceeding under this article.
S 7. Subdivision 3 of section 713 of the executive law, as amended by
section 16 of part B of chapter 56 of the laws of 2010, is amended to
read as follows:
3. Any reports prepared pursuant to this article shall not be subject
to disclosure pursuant to [section eighty-eight] ARTICLE SIX of the
public officers law.
S 8. Section 70-0113 of the environmental conservation law is
REPEALED.
S 9. Subdivision 4 of section 308 of the county law is REPEALED.
S 10. This act shall take effect immediately; provided however that
the amendments to paragraphs (j), (k), (l), (m), (n), (n), and (o) of
subdivision 2 of section 87 of the public officers law made by section
two of this act shall not affect the repeal of such paragraphs and shall
be deemed repealed therewith.
PART E
Section 1. Subdivision 4 of section 74 of the public officers law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
4. Violations. In addition to any penalty contained in any other
provision of law any such officer, member or employee who shall knowing-
ly and intentionally violate any of the provisions of this section may
be fined, suspended or removed from office or employment in the manner
provided by law. Any such individual who knowingly and intentionally
violates the provisions of [paragraph b, c, d or i of] subdivision three
of this section shall be subject to a civil penalty in an amount not to
exceed ten thousand dollars and the value of any gift, compensation or
benefit received as a result of such violation. [Any such individual who
knowingly and intentionally violates the provisions of paragraph a, e or
g of subdivision three of this section shall be subject to a civil
penalty in an amount not to exceed the value of any gift, compensation
or benefit received as a result of such violation.]
S 2. Subparagraph (b) of paragraph 3 of subdivision 3 of section 73-a
of the public officers law, as amended by section 5 of part A of chapter
399 of the laws of 2011, is amended to read as follows:
(b) List
the names of all unemancipated children.
___________
___________
___________
___________
___________
S. 6411 34 A. 9011
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported [as being within one of the following
Categories in Table I or Table II of this subdivision as called for in
the question: A reporting individual shall indicate the Category by
letter only] TO THE NEAREST DOLLAR.
Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source identi-
fied.
The term "calendar year" shall mean the year ending the December 31st
preceding the date of filing of the annual statement.
S 3. Paragraph 6 of subdivision 3 of section 73-a of the public offi-
cers law, as amended by section 5 of part A of chapter 399 of the laws
of 2011, is amended to read as follows:
6. List any interest, in EXCESS of $1,000, held by the reporting indi-
vidual, such individual's spouse or unemancipated child, or partner-
ship of which any such person is a member, or corporation, 10% or
more of the stock of which is owned or controlled by any such
person, whether vested or contingent, in any contract made or
executed by a state or local agency and include the name of the
entity which holds such interest and the relationship of the report-
ing individual or such individual's spouse or such child to such
entity and the interest in such contract. Do NOT include bonds and
notes. Do NOT list any interest in any such contract on which final
payment has been made and all obligations under the contract except
for guarantees and warranties have been performed, provided, howev-
er, that such an interest must be listed if there has been an ongo-
ing dispute during the calendar year for which this statement is
filed with respect to any such guarantees or warranties. Do NOT list
any interest in a contract made or executed by a local agency after
public notice and pursuant to a process for competitive bidding or a
process for competitive requests for proposals.
Entity Relationship Contracting [Category
Self, Which Held to Entity State or of] TOTAL
Spouse or Interest in and Interest Local Value of
Child Contract in Contract Agency Contract
[(In Table II)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S 4. Subparagraphs (b-1), (b-2), and (c) of paragraph 8 of subdivision
3 of section 73-a of the public officers law, subparagraphs (b-1) and
(b-2) as added by section 2 of part CC of chapter 56 of the laws of
2015, and subparagraph (c) as amended by section 1 of part CC of chapter
56 of the laws of 2015, are amended to read as follows:
(b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
S. 6411 35 A. 9011
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
If the reporting individual receives income from employment reportable
in question 8(a) and personally provides services to any person or enti-
ty, or works as a member or employee of a partnership or corporation
that provides such services (referred to hereinafter as a "firm"), the
reporting individual shall identify each client or customer to whom the
reporting individual personally provided services, or who was referred
to the firm by the reporting individual, and from whom the reporting
individual or his or her firm earned fees in excess of $10,000 during
the reporting period in direct connection with:
(i) A contract in an amount totaling $10,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For such services rendered by the reporting individual directly to
each such client, describe each matter that was the subject of such
representation, the services actually provided and the payment received.
For payments received from clients referred to the firm by the reporting
individual, if the reporting individual directly received a referral fee
or fees for such referral, identify the client and the payment so
received.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
having knowingly solicited or directed to the reporting individual's
firm in whole or substantial part, a person or entity that becomes a
client of that firm for the purposes of representation for a matter as
defined in clauses (i) through (iv) of this subparagraph, as the result
of such procurement, solicitation or direction of the reporting individ-
ual. A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
Client Matter Nature of Services Provided [Category
of] Amount
[(in Table I)]
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
S. 6411 36 A. 9011
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services [Category of] Amount
Actually Provided [(in Table I)]
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
The disclosure requirement in questions (b-1) and (b-2) shall not
require disclosing clients or customers receiving medical, pharmaceu-
tical or dental services, mental health services, or residential real
estate brokering services from the reporting individual or his or her
firm or if federal law prohibits or limits disclosure. The reporting
individual need not identify any client to whom he or she or his or her
firm provided legal representation with respect to investigation or
prosecution by law enforcement authorities, bankruptcy, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
policy but the reporting individual shall in such circumstances only
S. 6411 37 A. 9011
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or his or her
firm, provided legal representation with respect to an initial public
offering, and professional disciplinary rules, federal law or regu-
lations restrict the disclosure of information relating to such work,
the reporting individual shall (i) disclose the identity of the client
and the services provided relating to the initial public offering to the
office of court administration, who will maintain such information
confidentially in a locked box; and (ii) include in his or her response
to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo-
sure to the office of court administration has been made. Upon such time
that the disclosure of information maintained in the locked box is no
longer restricted by professional disciplinary rules, federal law or
regulation, the reporting individual shall disclose such information in
an amended disclosure statement in response to the disclosure require-
ments in questions (b-1) and (b-2). The office of court administration
shall develop and maintain a secure portal through which information
submitted to it pursuant to this paragraph can be safely and confiden-
tially stored. With respect to clients represented in other matters not
otherwise exempt, the reporting individual may request an exemption to
publicly disclosing the name of that client from the joint commission
pursuant to paragraph (i) of subdivision nine of section ninety-four of
the executive law, or from the office of court administration. In such
application, the reporting individual shall state the following: "My
client is not currently receiving my services or seeking my services in
connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the joint commission or the
office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the joint commission or the
office of court administration shall conduct its own inquiry and shall
consider factors including, but not limited to: (i) the nature and the
size of the client; (ii) whether the client has any business before the
state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
S. 6411 38 A. 9011
The joint commission or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after January first, two thousand sixteen, need not
report clients or customers with respect to matters for which the
reporting individual or his or her firm was retained prior to entering
public office.
Client Services [Category of] Amount
Actually Provided [(in Table I)]
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:
If the reporting individual receives income of ten thousand dollars or
greater from any employment or activity reportable under question 8(a),
identify each registered lobbyist who has directly referred to such
individual a client who was successfully referred to the reporting indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the client,
the registered lobbyist who has made the referral, the category of value
of the compensation received and a general description of the type of
matter so referred. A reporting individual need not disclose activities
performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
(f) of subdivision seven of section seventy-three of this article. The
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or his or her firm or if federal
law prohibits or limits disclosure. The reporting individual need not
identify any client to whom he or she or his or her firm provided legal
representation with respect to investigation or prosecution by law
enforcement authorities, bankruptcy, family court, estate planning, or
domestic relations matters, nor shall the reporting individual identify
individuals represented pursuant to an insurance policy but the report-
ing individual shall in such circumstances only report the entity that
provides compensation to the reporting individual; with respect to
matters in which the client's name is required by law to be kept confi-
dential (such as matters governed by the family court act) or in matters
in which the reporting individual represents or provides services to
S. 6411 39 A. 9011
minors, the client's name may be replaced with initials. To the extent
that the reporting individual, or his or her firm, provided legal repre-
sentation with respect to an initial public offering, and federal law or
regulations restricts the disclosure of information relating to such
work, the reporting individual shall (i) disclose the identity of the
client and the services provided relating to the initial public offering
to the office of court administration, who will maintain such informa-
tion confidentially in a locked box; and (ii) include in his or her
response a statement that pursuant to this paragraph, a disclosure to
the office of court administration has been made. Upon such time that
the disclosure of information maintained in the locked box is no longer
restricted by federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements of this paragraph. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the joint
commission pursuant to paragraph (i) of subdivision nine of section
ninety-four of the executive law, or from the office of court adminis-
tration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the joint commission or the
office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the joint commission or the
office of court administration shall conduct its own inquiry and shall
consider factors including, but not limited to: (i) the nature and the
size of the client; (ii) whether the client has any business before the
state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The joint commission or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
S. 6411 40 A. 9011
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after December thirty-first, two thousand fifteen,
need not report clients or customers with respect to matters for which
the reporting individual or his or her firm was retained prior to enter-
ing public office.
Client Name of Lobbyist [Category of] Amount [(in
Table 1)]
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
S 5. Paragraphs 9, 11, 13, 14, 15, 16, 17, 18 and 19 of subdivision 3
of section 73-a of the public officers law, as amended by section 5 of
part A of chapter 399 of the laws of 2011, paragraph 13 as amended by
section 1 of part CC of chapter 56 of the laws of 2015, are amended to
read as follows:
9. List each source of gifts, EXCLUDING campaign contributions, in
EXCESS of $1,000, received during the reporting period for which this
statement is filed by the reporting individual or such individual's
spouse or unemancipated child from the same donor, EXCLUDING gifts from
a relative. INCLUDE the name and address of the donor. The term "gifts"
does not include reimbursements, which term is defined in item 10.
Indicate the value and nature of each such gift.
[Category
Self, of]
Spouse or Name of Nature Value of
Child Donor Address of Gift Gift
[(In Table I)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
11. List the identity and value, if reasonably ascertainable, of each
interest in a trust, estate or other beneficial interest, including
retirement plans (other than retirement plans of the state of New
York or the city of New York), and deferred compensation plans
(e.g., 401, 403(b), 457, etc.) established in accordance with the
internal revenue code, in which the REPORTING INDIVIDUAL held a
beneficial interest in EXCESS of $1,000 at any time during the
preceding year. Do NOT report interests in a trust, estate or other
beneficial interest established by or for, or the estate of, a rela-
tive.
[Category
Identity of] Value*
[(In Table II)]
S. 6411 41 A. 9011
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
* The value of such interest shall be reported only if reasonably
ascertainable.
13. List below the nature and amount of any income in EXCESS of $1,000
from EACH SOURCE for the reporting individual and such individual's
spouse for the taxable year last occurring prior to the date of
filing. Each such source must be described with particularity.
Nature of income includes, but is not limited to, all income (other
than that received from the employment listed under Item 2 above)
from compensated employment whether public or private, directorships
and other fiduciary positions, contractual arrangements, teaching
income, partnerships, honorariums, lecture fees, consultant fees,
bank and bond interest, dividends, income derived from a trust, real
estate rents, and recognized gains from the sale or exchange of real
or other property. Income from a business or profession and real
estate rents shall be reported with the source identified by the
building address in the case of real estate rents and otherwise by
the name of the entity and not by the name of the individual custom-
ers, clients or tenants, with the aggregate net income before taxes
for each building address or entity. The receipt of maintenance
received in connection with a matrimonial action, alimony and child
support payments shall not be listed.
Self/ [Category
Spouse Source Nature of] Amount
[(In Table I)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
14. List the sources of any deferred income (not retirement income) in
EXCESS of $1,000 from each source to be paid to the reporting indi-
vidual following the close of the calendar year for which this
disclosure statement is filed, other than deferred compensation
reported in item 11 hereinabove. Deferred income derived from the
practice of a profession shall be listed in the aggregate and shall
identify as the source, the name of the firm, corporation, partner-
ship or association through which the income was derived, but shall
not identify individual clients.
S. 6411 42 A. 9011
[Category
Source of] Amount
[(In Table I)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
15. List each assignment of income in EXCESS of $1,000, and each trans-
fer other than to a relative during the reporting period for which
this statement is filed for less than fair consideration of an
interest in a trust, estate or other beneficial interest, securities
or real property, by the reporting individual, in excess of $1,000,
which would otherwise be required to be reported herein and is not
or has not been so reported.
Item Assigned Assigned or [Category
or Transferred Transferred to of] Value
[(In Table I)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16. List below the type and market value of securities held by the
reporting individual or such individual's spouse from each issuing
entity in EXCESS of $1,000 at the close of the taxable year last
occurring prior to the date of filing, including the name of the
issuing entity exclusive of securities held by the reporting indi-
vidual issued by a professional corporation. Whenever an interest in
securities exists through a beneficial interest in a trust, the
securities held in such trust shall be listed ONLY IF the reporting
individual has knowledge thereof except where the reporting individ-
ual or the reporting individual's spouse has transferred assets to
such trust for his or her benefit in which event such securities
shall be listed unless they are not ascertainable by the reporting
individual because the trustee is under an obligation or has been
instructed in writing not to disclose the contents of the trust to
the reporting individual. Securities of which the reporting individ-
ual or the reporting individual's spouse is the owner of record but
in which such individual or the reporting individual's spouse has no
beneficial interest shall not be listed. Indicate percentage of
ownership ONLY if the reporting person or the reporting person's
spouse holds more than five percent (5%) of the stock of a corpo-
ration in which the stock is publicly traded or more than ten
percent (10%) of the stock of a corporation in which the stock is
NOT publicly traded. Also list securities owned for investment
purposes by a corporation more than fifty percent (50%) of the stock
of which is owned or controlled by the reporting individual or such
individual's spouse. For the purpose of this item the term "securi-
ties" shall mean mutual funds, bonds, mortgages, notes, obligations,
S. 6411 43 A. 9011
warrants and stocks of any class, investment interests in limited or
general partnerships and certificates of deposits (CDs) and such
other evidences of indebtedness and certificates of interest as are
usually referred to as securities. The market value for such secu-
rities shall be reported only if reasonably ascertainable and shall
not be reported if the security is an interest in a general partner-
ship that was listed in item 8 (a) or if the security is corporate
stock, NOT publicly traded, in a trade or business of a reporting
individual or a reporting individual's spouse.
Percentage
of corporate
stock owned
or controlled [Category of]
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% if stock prior to
Self/ Issuing Type of not publicly the filing of
Spouse Entity Security traded, is held) this statement
[(In Table II)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
17. List below the location, size, general nature, acquisition date,
market value and percentage of ownership of any real property in
which any vested or contingent interest in EXCESS of $1,000 is held
by the reporting individual or the reporting individual's spouse.
Also list real property owned for investment purposes by a corpo-
ration more than fifty percent (50%) of the stock of which is owned
or controlled by the reporting individual or such individual's
spouse. Do NOT list any real property which is the primary or
secondary personal residence of the reporting individual or the
reporting individual's spouse, except where there is a co-owner who
is other than a relative.
[Category
Self/ Percentage of]
Spouse/ General Acquisition of Market
Corporation Location Size Nature Date Ownership Value
[(In
Table
II)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 6411 44 A. 9011
18. List below all notes and accounts receivable, other than from goods
or services sold, held by the reporting individual at the close of
the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in EXCESS of $1,000,
including the name of the debtor, type of obligation, date due and
the nature of the collateral securing payment of each, if any,
excluding securities reported in item 16 hereinabove. Debts, notes
and accounts receivable owed to the individual by a relative shall
not be reported.
Type of Obligation, [Category
Date Due, and Nature of]
Name of Debtor of Collateral, if any Amount
[(In Table II)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse, in EXCESS of $10,000 as of the date of filing
of this statement, other than liabilities to a relative. Do NOT list
liabilities incurred by, or guarantees made by, the reporting indi-
vidual or such individual's spouse or by any proprietorship, part-
nership or corporation in which the reporting individual or such
individual's spouse has an interest, when incurred or made in the
ordinary course of the trade, business or professional practice of
the reporting individual or such individual's spouse. Include the
name of the creditor and any collateral pledged by such individual
to secure payment of any such liability. A reporting individual
shall not list any obligation to pay maintenance in connection with
a matrimonial action, alimony or child support payments. Any loan
issued in the ordinary course of business by a financial institution
to finance educational costs, the cost of home purchase or improve-
ments for a primary or secondary residence, or purchase of a
personally owned motor vehicle, household furniture or appliances
shall be excluded. If any such reportable liability has been guaran-
teed by any third person, list the liability and name the guarantor.
[Category
Name of Creditor Type of Liability of]
or Guarantor and Collateral, if any Amount
[(In Table II)]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
The requirements of law relating to the reporting of financial
interests are in the public interest and no adverse inference of
S. 6411 45 A. 9011
unethical or illegal conduct or behavior will be drawn merely from
compliance with these requirements.
___________________________________ _________________________
(Signature of Reporting Individual) Date (month/day/year)
[TABLE I
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 350,000
Category K $ 350,000 to under $ 450,000
Category L $ 450,000 to under $ 550,000
Category M $ 550,000 to under $ 650,000
Category N $ 650,000 to under $ 750,000
Category O $ 750,000 to under $ 850,000
Category P $ 850,000 to under $ 950,000
Category Q $ 950,000 to under $1,050,000
Category R $1,050,000 to under $1,150,000
Category S $1,150,000 to under $1,250,000
Category T $1,250,000 to under $1,350,000
Category U $1,350,000 to under $1,450,000
Category V $1,450,000 to under $1,550,000
Category W $1,550,000 to under $1,650,000
Category X $1,650,000 to under $1,750,000
Category Y $1,750,000 to under $1,850,000
Category Z $1,850,000 to under $1,950,000
Category AA $1,950,000 to under $2,050,000
Category BB $2,050,000 to under $2,150,000
Category CC $2,150,000 to under $2,250,000
Category DD $2,250,000 to under $2,350,000
Category EE $2,350,000 to under $2,450,000
Category FF $2,450,000 to under $2,550,000
Category GG $2,550,000 to under $2,650,000
Category HH $2,650,000 to under $2,750,000
Category II $2,750,000 to under $2,850,000
Category JJ $2,850,000 to under $2,950,000
Category KK $2,950,000 to under $3,050,000
Category LL $3,050,000 to under $3,150,000
Category MM $3,150,000 to under $3,250,000
Category NN $3,250,000 to under $3,350,000
Category OO $3,350,000 to under $3,450,000
Category PP $3,450,000 to under $3,550,000
Category QQ $3,550,000 to under $3,650,000
Category RR $3,650,000 to under $3,750,000
Category SS $3,750,000 to under $3,850,000
Category TT $3,850,000 to under $3,950,000
Category UU $3,950,000 to under $4,050,000
Category VV $4,050,000 to under $4,150,000
Category WW $4,150,000 to under $4,250,000
S. 6411 46 A. 9011
Category XX $4,250,000 to under $4,350,000
Category YY $4,350,000 to under $4,450,000
Category ZZ $4,450,000 to under $4,550,000
Category AAA $4,550,000 to under $4,650,000
Category BBB $4,650,000 to under $4,750,000
Category CCC $4,750,000 to under $4,850,000
Category DDD $4,850,000 to under $4,950,000
Category EEE $4,950,000 to under $5,050,000
Category FFF $5,050,000 to under $5,150,000
Category GGG $5,150,000 to under $5,250,000
Category HHH $5,250,000 to under $5,350,000
Category III $5,350,000 to under $5,450,000
Category JJJ $5,450,000 to under $5,550,000
Category KKK $5,550,000 to under $5,650,000
Category LLL $5,650,000 to under $5,750,000
Category MMM $5,750,000 to under $5,850,000
Category NNN $5,580,000 to under $5,950,000
Category OOO $5,950,000 to under $6,050,000
Category PPP $6,050,000 to under $6,150,000
Category QQQ $6,150,000 to under $6,250,000
Category RRR $6,250,000 to under $6,350,000
Category SSS $6,350,000 to under $6,450,000
Category TTT $6,450,000 to under $6,550,000
Category UUU $6,550,000 to under $6,650,000
Category VVV $6,650,000 to under $6,750,000
Category WWW $6,750,000 to under $6,850,000
Category XXX $6,850,000 to under $6,950,000
Category YYY $6,950,000 to under $7,050,000
Category ZZZ $7,050,000 to under $7,150,000
Category AAAA $7,150,000 to under $7,250,000
Category BBBB $7,250,000 to under $7,350,000
Category CCCC $7,350,000 to under $7,450,000
Category DDDD $7,450,000 to under $7,550,000
Category EEEE $7,550,000 to under $7,650,000
Category FFFF $7,650,000 to under $7,750,000
Category GGGG $7,750,000 to under $7,850,000
Category HHHH $7,850,000 to under $7,950,000
Category IIII $7,950,000 to under $8,050,000
Category JJJJ $8,050,000 to under $8,150,000
Category KKKK $8,150,000 to under $8,250,000
Category LLLL $8,250,000 to under $8,350,000
Category MMMM $8,350,000 to under $8,450,000
Category NNNN $8,450,000 to under $8,550,000
Category OOOO $8,550,000 to under $8,650,000
Category PPPP $8,650,000 to under $8,750,000
Category QQQQ $8,750,000 to under $8,850,000
Category RRRR $8,850,000 to under $8,950,000
Category SSSS $8,950,000 to under $9,050,000
Category TTTT $9,050,000 to under $9,150,000
Category UUUU $9,150,000 to under $9,250,000
Category VVVV $9,250,000 to under $9,350,000
Category WWWW $9,350,000 to under $9,450,000
Category XXXX $9,450,000 to under $9,550,000
Category YYYY $9,550,000 to under $9,650,000
Category ZZZZ $9,650,000 to under $9,750,000
Category AAAAA $9,750,000 to under $9,850,000
S. 6411 47 A. 9011
Category BBBBB $9,850,000 to under $9,950,000
Category CCCCC $9,950,000 to under $10,000,000
Category DDDDD $10,000,000 or over
TABLE II
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 500,000
Category K $ 500,000 to under $ 750,000
Category L $ 750,000 to under $1,000,000
Category M $1,000,000 to under $1,250,000
Category N $1,250,000 to under $1,500,000
Category O $1,500,000 to under $1,750,000
Category P $1,750,000 to under $2,000,000
Category Q $2,000,000 to under $2,250,000
Category R $2,250,000 to under $2,500,000
Category S $2,500,000 to under $2,750,000
Category T $2,750,000 to under $3,000,000
Category U $3,000,000 to under $3,250,000
Category V $3,250,000 to under $3,500,000
Category W $3,500,000 to under $3,750,000
Category X $3,750,000 to under $4,000,000
Category Y $4,000,000 to under $4,250,000
Category Z $4,250,000 to under $4,500,000
Category AA $4,500,000 to under $4,750,000
Category BB $4,750,000 to under $5,000,000
Category CC $5,000,000 to under $5,250,000
Category DD $5,250,000 to under $5,500,000
Category EE $5,500,000 to under $5,750,000
Category FF $5,750,000 to under $6,000,000
Category GG $6,000,000 to under $6,250,000
Category HH $6,250,000 to under $6,500,000
Category II $6,500,000 to under $6,750,000
Category JJ $6,750,000 to under $7,000,000
Category KK $7,000,000 to under $7,250,000
Category LL $7,250,000 to under $7,500,000
Category MM $7,500,000 to under $7,750,000
Category NN $7,750,000 to under $8,000,000
Category OO $8,000,000 to under $8,250,000
Category PP $8,250,000 to under $8,500,000
Category QQ $8,500,000 to under $8,750,000
Category RR $8,750,000 to under $9,000,000
Category SS $9,000,000 to under $9,250,000
Category TT $9,250,000 to under $9,500,000
Category UU $9,500,000 or over]
S 6. Subdivision 4 of section 73-a of the public officers law, as
amended by section 5 of part A of chapter 399 of the laws of 2011, is
amended to read as follows:
S. 6411 48 A. 9011
4. A reporting individual who knowingly and wilfully fails to file an
annual statement of financial disclosure or who knowingly and wilfully
with intent to deceive makes a false statement or gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to this section shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars AND ADDI-
TIONALLY SUCH VIOLATION MAY BE PUNISHABLE AS A CLASS A MISDEMEANOR. A
PERSON WHO KNOWINGLY AND WILFULLY FAILS TO RESPOND TO THE COMMISSION,
FAILS TO PROVIDE INFORMATION REQUESTED, OR OTHERWISE REFUSES TO COOPER-
ATE IN THE CONDUCT OF A REVIEW OF AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE CONDUCTED PURSUANT TO SECTION NINETY-FOUR OF THE EXECUTIVE
LAW MAY BE SUBJECT TO A CIVIL PENALTY NOT TO EXCEED FORTY THOUSAND
DOLLARS. Assessment of a civil penalty hereunder shall be made by the
joint commission on public ethics or by the legislative ethics commis-
sion, as the case may be, with respect to persons subject to their
respective jurisdictions. The joint commission on public ethics acting
pursuant to subdivision fourteen of section ninety-four of the executive
law or the legislative ethics commission acting pursuant to [subdivision
eleven of section eighty] PARAGRAPH (A) OF SUBDIVISION NINE OF SECTION
EIGHTY of the legislative law, as the case may be, may, in lieu of or in
addition to a civil penalty, refer a violation to the appropriate prose-
cutor [and upon such conviction, but only after such referral, such
violation shall be punishable as a class A misdemeanor]. A civil penalty
for false filing may not be imposed hereunder in the event a [category
of] "value" or "amount" reported hereunder is incorrect unless such
reported information is falsely understated. [Notwithstanding any other
provision of law to the contrary, no other penalty, civil or criminal
may be imposed for a failure to file, or for a false filing, of such
statement, except that the appointing authority may impose disciplinary
action as otherwise provided by law.] The joint commission on public
ethics and the legislative ethics commission shall each be deemed to be
an agency within the meaning of article three of the state administra-
tive procedure act and shall adopt rules governing the conduct of adju-
dicatory proceedings and appeals relating to the assessment of the civil
penalties herein authorized. Such rules, which shall not be subject to
the approval requirements of the state administrative procedure act,
shall provide for due process procedural mechanisms substantially simi-
lar to those set forth in such article three but such mechanisms need
not be identical in terms or scope. Assessment of a civil penalty shall
be final unless modified, suspended or vacated within thirty days of
imposition and upon becoming final shall be subject to review at the
instance of the affected reporting individual in a proceeding commenced
against the joint commission on public ethics or the legislative ethics
commission, pursuant to article seventy-eight of the civil practice law
and rules.
S 7. Paragraph (a) of subdivision 9 of section 80 of the legislative
law, as amended by section 9 of part A of chapter 399 of the laws of
2011, is amended to read as follows:
(a) An individual subject to the jurisdiction of the commission with
respect to the imposition of penalties who knowingly and intentionally
violates the provisions of subdivisions two through five-a, seven,
eight, twelve, fourteen or fifteen of section seventy-three of the
public officers law or a reporting individual who knowingly and wilfully
fails to file an annual statement of financial disclosure or who know-
ingly and wilfully with intent to deceive makes a false statement or
gives information which such individual knows to be false on such state-
S. 6411 49 A. 9011
ment of financial disclosure filed pursuant to section seventy-three-a
of the public officers law, OR WHO SOLICITS, REQUESTS, COMMANDS, IMPOR-
TUNES, OR INTENTIONALLY AIDS ANOTHER PERSON TO ENGAGE IN ANY OF THE
ABOVE-MENTIONED CONDUCT, OR WHO KNOWINGLY AND WILLFULLY FAILS TO RESPOND
TO THE JOINT COMMISSION ON PUBLIC ETHICS, FAILS TO PROVIDE INFORMATION
REQUESTED, OR OTHERWISE REFUSES TO COOPERATE IN THE CONDUCT OF A REVIEW
OF AN ANNUAL STATEMENT OF FINANCIAL DISCLOSURE CONDUCTED PURSUANT TO
SECTION NINETY-FOUR OF THE EXECUTIVE LAW shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars and the value
of any gift, compensation or benefit received as a result of such
violation. Any such individual who knowingly and intentionally violates
the provisions of [paragraph a, b, c, d, e, g, or i of] subdivision
three of section seventy-four of the public officers law, OR WHO SOLIC-
ITS, REQUESTS, COMMANDS, IMPORTUNES, OR INTENTIONALLY AIDS ANOTHER
PERSON TO ENGAGE IN ANY OF THE ABOVE-MENTIONED CONDUCT, shall be subject
to a civil penalty in an amount not to exceed ten thousand dollars and
the value of any gift, compensation or benefit received as a result of
such violation. Assessment of a civil penalty hereunder shall be made by
the commission with respect to persons subject to its jurisdiction. In
assessing the amount of the civil penalties to be imposed, the commis-
sion shall consider the seriousness of the violation, the amount of gain
to the individual and whether the individual previously had any civil or
criminal penalties imposed pursuant to this section, and any other
factors the commission deems appropriate. For a violation of this
section, other than for conduct which constitutes a violation of subdi-
vision twelve, fourteen or fifteen of section seventy-three or section
seventy-four of the public officers law, the legislative ethics commis-
sion may, in lieu of or in addition to a civil penalty, refer a
violation to the appropriate prosecutor [and upon such conviction, but
only after such referral, such violation shall be punishable as a class
A misdemeanor]. Where the commission finds sufficient cause, it shall
refer such matter to the appropriate prosecutor. A civil penalty for
false filing may not be imposed hereunder in the event a category of
"value" or "amount" reported hereunder is incorrect unless such reported
information is falsely understated. [Notwithstanding any other provision
of law to the contrary, no other penalty, civil or criminal may be
imposed for a failure to file, or for a false filing, of such statement,
or a violation of subdivision six of section seventy-three of the public
officers law, except that the appointing authority may impose discipli-
nary action as otherwise provided by law.] The legislative ethics
commission shall be deemed to be an agency within the meaning of article
three of the state administrative procedure act and shall adopt rules
governing the conduct of adjudicatory proceedings and appeals taken
pursuant to a proceeding commenced under article seventy-eight of the
civil practice law and rules relating to the assessment of the civil
penalties herein authorized. Such rules, which shall not be subject to
the promulgation and hearing requirements of the state administrative
procedure act, shall provide for due process procedural mechanisms
substantially similar to those set forth in such article three but such
mechanisms need not be identical in terms or scope. Assessment of a
civil penalty shall be final unless modified, suspended or vacated with-
in thirty days of imposition, with respect to the assessment of such
penalty, or unless such denial of request is reversed within such time
period, and upon becoming final shall be subject to review at the
instance of the affected reporting individuals in a proceeding commenced
S. 6411 50 A. 9011
against the legislative ethics commission, pursuant to article seventy-
eight of the civil practice law and rules.
S 8. Paragraph (n) of subdivision 9 of section 94 of the executive
law, as added by section 6 of part A of chapter 399 of the laws of 2011,
are amended to read as follows:
(n) Promulgate guidelines for the commission to conduct a program of
random reviews, to be carried out in the following manner: (i) annual
statements of financial disclosure shall be selected for review in a
manner pursuant to which the identity of any particular person whose
statement is selected is unknown to the commission and its staff prior
to its selection; (ii) such review shall include a preliminary examina-
tion of the selected statement for internal consistency, a comparison
with other records maintained by the commission, including previously
filed statements and requests for advisory opinions, and examination of
relevant public information; (iii) upon completion of the preliminary
examination, the commission shall determine whether further inquiry is
warranted, whereupon it shall notify the reporting individual in writing
that the statement is under review, advise the reporting individual of
the specific areas of inquiry, and provide the reporting individual with
the opportunity to provide any relevant information related to the
specific areas of inquiry, REQUEST SUPPORTING DOCUMENTATION (IF A PERSON
CANNOT OBTAIN DOCUMENTS REQUESTED BY THE COMMISSION, OR SUCH DOCUMENTS
DO NOT EXIST, THE PERSON MUST SIGN A STATEMENT BASED ON KNOWLEDGE AND
BELIEF THAT SUCH DOCUMENTS ARE UNAVAILABLE OR DO NOT EXIST), and the
opportunity to file amendments to the selected statement on forms
provided by the commission; and (iv) if thereafter sufficient cause
exists, the commission shall take additional actions, as appropriate and
consistent with law.
S 9. Paragraph (b) of subdivision 9-a of section 94 of the executive
law, as added by section 6 of part A of chapter 399 of the laws of 2011,
is amended to read as follows:
(b) [Except as otherwise required or provided by law,] UNLESS OTHER-
WISE REQUIRED HEREIN, CONFIDENTIAL INFORMATION, INCLUDING testimony
received or any other information obtained by a commissioner or staff of
the commission DURING THE COURSE OF AN INVESTIGATION, shall not be
disclosed by any such individual to any person or entity outside the
commission [during the pendency of any matter. Any confidential communi-
cation to any person or entity outside the commission related to the
matters before the commission may occur only as authorized by the
commission] EXCEPT AS AUTHORIZED BY THE COMMISSION OR IN RESPONSE TO A
COURT ORDER OR A SUBPOENA LAWFULLY ISSUED BY A FEDERAL, STATE OR LOCAL
LAW ENFORCEMENT AGENCY.
S 10. Paragraph (a) of subdivision 13 of section 94 of the executive
law, as amended by section 6 of part A of chapter 399 of the laws of
2011, is amended to read as follows:
(a) Investigations. If the commission receives a sworn complaint
alleging a violation of section seventy-three, seventy-three-a, or
seventy-four of the public officers law, section one hundred seven of
the civil service law or article one-A of the legislative law by a
person or entity subject to the jurisdiction of the commission including
members of the legislature and legislative employees and candidates for
member of the legislature, or if a reporting individual has filed a
statement which reveals a possible violation of these provisions, or if
the commission determines on its own initiative to investigate a possi-
ble violation, the commission shall notify the individual in writing,
describe the possible or alleged violation of such laws and provide the
S. 6411 51 A. 9011
person with a fifteen day period in which to submit a written response
setting forth information relating to the activities cited as a possible
or alleged violation of law. The commission shall, within [forty-five]
SIXTY calendar days after a complaint or a referral is received or an
investigation is initiated on the commission's own initiative, vote on
whether to commence a full investigation of the matter under consider-
ation to determine whether a substantial basis exists to conclude that a
violation of law has occurred. IN LIEU OF SUCH VOTE, THE COMMISSION MAY
VOTE TO ADJOURN A MATTER UNTIL THE NEXT SCHEDULED MEETING OF THE COMMIS-
SION OR, UPON THE REQUEST OF A LAW ENFORCEMENT AGENCY, THE COMMISSION
MAY VOTE TO DEFER A DETERMINATION ON WHETHER TO COMMENCE AN INVESTI-
GATION PENDING THE OUTCOME OF A CRIMINAL PROCEEDING. The staff of the
joint commission shall provide to the members prior to such vote infor-
mation regarding the likely scope and content of the investigation, and
a subpoena plan, to the extent such information is available. Such
investigation shall be conducted if at least eight members of the
commission vote to authorize it. Where the subject of such investigation
is a member of the legislature or a legislative employee or a candidate
for member of the legislature, at least two of the eight or more members
who so vote to authorize such an investigation must have been appointed
by a legislative leader or leaders from the major political party in
which the subject of the proposed investigation is enrolled if such
person is enrolled in a major political party. Where the subject of such
investigation is a state officer or state employee, at least two of the
eight or more members who so vote to authorize such an investigation
must have been appointed by the governor and lieutenant governor. Where
the subject of such investigation is a statewide elected official or a
direct appointee of such an official, at least two of the eight or more
members who so vote to authorize such an investigation must have been
appointed by the governor and lieutenant governor and be enrolled in the
major political party in which the subject of the proposed investigation
is enrolled, if such person is enrolled in a major political party.
S 11. Subdivision 14 of section 94 of the executive law, as amended by
section 6 of part A of chapter 399 of the laws of 2011, is amended to
read as follows:
14. An individual subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions two
through five-a, seven, eight, twelve or fourteen through seventeen of
section seventy-three of the public officers law, section one hundred
seven of the civil service law, or a reporting individual who knowingly
and wilfully fails to file an annual statement of financial disclosure
or who knowingly and wilfully with intent to deceive makes a false
statement or fraudulent omission or gives information which such indi-
vidual knows to be false on such statement of financial disclosure filed
pursuant to section seventy-three-a of the public officers law, OR WHO
SOLICITS, REQUESTS, COMMANDS, IMPORTUNES, OR INTENTIONALLY AIDS ANOTHER
PERSON TO ENGAGE IN ANY OF THE ABOVE-MENTIONED CONDUCT, OR WHO KNOWINGLY
AND WILFULLY FAILS TO RESPOND TO THE COMMISSION, FAILS TO PROVIDE INFOR-
MATION REQUESTED, OR OTHERWISE REFUSES TO COOPERATE IN THE CONDUCT OF A
REVIEW OF AN ANNUAL STATEMENT OF FINANCIAL DISCLOSURE CONDUCTED PURSUANT
TO THIS SECTION, shall be subject to a civil penalty in an amount not to
exceed forty thousand dollars and the value of any gift, compensation or
benefit received as a result of such violation. An individual who know-
ingly and intentionally violates the provisions of [paragraph a, b, c,
d, e, g, or i of] subdivision three of section seventy-four of the
public officers law, OR WHO SOLICITS, REQUESTS, COMMANDS, IMPORTUNES, OR
S. 6411 52 A. 9011
INTENTIONALLY AIDS ANOTHER PERSON TO ENGAGE IN ANY OF THE ABOVE-MEN-
TIONED CONDUCT, shall be subject to a civil penalty in an amount not to
exceed ten thousand dollars and the value of any gift, compensation or
benefit received as a result of such violation. An individual OR ENTITY
subject to the jurisdiction of the commission who knowingly and willful-
ly violates article one-A of the legislative law, OR WHO SOLICITS,
REQUESTS, COMMANDS, IMPORTUNES, OR INTENTIONALLY AIDS ANOTHER PERSON OR
ENTITY TO ENGAGE IN ANY OF THE ABOVE-MENTIONED CONDUCT, shall be subject
to civil penalty as provided for in that article. Except with respect to
members of the legislature and legislative employees, assessment of a
civil penalty hereunder shall be made by the commission with respect to
persons subject to its jurisdiction. With respect to a violation of any
law other than sections seventy-three, seventy-three-a, and seventy-four
of the public officers law, where the commission finds sufficient cause
by a vote [held in the same manner as set forth in paragraph (b) of
subdivision thirteen of this section], it shall refer such matter to the
appropriate prosecutor for further investigation. In assessing the
amount of the civil penalties to be imposed, the commission shall
consider the seriousness of the violation, the amount of gain to the
individual and whether the individual previously had any civil or crimi-
nal penalties imposed pursuant to this section, and any other factors
the commission deems appropriate. Except with respect to members of the
legislature and legislative employees, for a violation of this subdivi-
sion, other than for conduct which constitutes a violation of section
one hundred seven of the civil service law, subdivisions twelve or four-
teen through seventeen of section seventy-three or section seventy-four
of the public officers law or article one-A of the legislative law, the
commission may, in lieu of or in addition to a civil penalty, refer a
violation to the appropriate prosecutor [and upon such conviction, such
violation shall be punishable as a class A misdemeanor]. A civil penalty
for false filing may not be imposed hereunder in the event a category of
"value" or "amount" reported hereunder is incorrect unless such reported
information is falsely understated. [Notwithstanding any other provision
of law to the contrary, no other penalty, civil or criminal may be
imposed for a failure to file, or for a false filing, of such statement,
or a violation of subdivision six of section seventy-three of the public
officers law, except that the appointing authority may impose discipli-
nary action as otherwise provided by law.] The commission may refer
violations of this subdivision to the appointing authority for discipli-
nary action as otherwise provided by law. The commission shall be deemed
to be an agency within the meaning of article three of the state admin-
istrative procedure act and shall adopt rules governing the conduct of
adjudicatory proceedings and appeals taken pursuant to a proceeding
commenced under article seventy-eight of the civil practice law and
rules relating to the assessment of the civil penalties herein author-
ized and commission denials of requests for certain deletions or
exemptions to be made from a financial disclosure statement as author-
ized in paragraph (h) or paragraph (i) of subdivision nine of this
section. Such rules, which shall not be subject to the approval require-
ments of the state administrative procedure act, shall provide for due
process procedural mechanisms substantially similar to those set forth
in article three of the state administrative procedure act but such
mechanisms need not be identical in terms or scope. Assessment of a
civil penalty or commission denial of such a request shall be final
unless modified, suspended or vacated within thirty days of imposition,
with respect to the assessment of such penalty, or unless such denial of
S. 6411 53 A. 9011
request is reversed within such time period, and upon becoming final
shall be subject to review at the instance of the affected reporting
individuals in a proceeding commenced against the commission, pursuant
to article seventy-eight of the civil practice law and rules.
S 12. Subdivision 18 of section 94 of the executive law, as amended by
section 6 of part A of chapter 399 of the laws of 2011, is amended to
read as follows:
18. Within one hundred twenty days of the effective date of this
subdivision, the commission shall create and thereafter maintain a
publicly accessible website which shall set forth the procedure for
filing a complaint with the commission, and which shall contain [the
documents identified in subdivision nineteen of this section, other than
financial disclosure statements filed by state officers or employees or
legislative employees, and] any other records or information which the
commission determines to be appropriate.
S 13. Paragraphs (a) and (b) of subdivision 19 of section 94 of the
executive law, as amended by section 6 of part A of chapter 399 of the
laws of 2011, are amended and a new paragraph (a-1) is added to read as
follows:OFF;
(a) [Notwithstanding the provisions of article six of the public offi-
cers law, the only records of the commission which shall be available
for public inspection and copying are:
(1) the information set forth in an annual statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law except information deleted pursuant to paragraph (h) of subdi-
vision nine of this section;
(2) notices of delinquency sent under subdivision twelve of this
section;
(3) notices of civil assessments imposed under this section which
shall include a description of the nature of the alleged wrongdoing, the
procedural history of the complaint, the findings and determinations
made by the commission, and any sanction imposed;
(4) the terms of any settlement or compromise of a complaint or refer-
ral which includes a fine, penalty or other remedy;
(5) those required to be held or maintained publicly available pursu-
ant to article one-A of the legislative law; and
(6) substantial basis investigation reports issued by the commission
pursuant to subdivision fourteen-a or fourteen-b of this section. With
respect to reports concerning members of the legislature or legislative
employees or candidates for member of the legislature, the joint commis-
sion shall not publicly disclose or otherwise disseminate such reports
except in conformance with the requirements of paragraph (b) of subdivi-
sion nine of section eighty of the legislative law.] COMMISSION RECORDS
CREATED AFTER THE EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF 2016
WHICH AMENDED THIS PARAGRAPH SHALL BE AVAILABLE FOR PUBLIC INSPECTION
AND COPYING PURSUANT TO THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC
OFFICERS LAW, EXCEPT THAT THE COMMISSION MAY ALSO DENY ACCESS TO RECORDS
OR PORTIONS THEREOF THAT RELATE TO REQUESTS FROM ANY PERSON OR ENTITY,
WHO IS SUBJECT TO THE JURISDICTION OF THE COMMISSION AND THE REQUIRE-
MENTS OF SECTIONS SEVENTY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE
PUBLIC OFFICERS LAW OR ARTICLE ONE-A OF THE LEGISLATIVE LAW OR APPLICA-
BLE REGULATIONS, FOR ADVICE AND GUIDANCE OR APPROVAL RELATING TO SAID
PROVISIONS.
(A-1) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC
OFFICERS LAW, THE ONLY RECORDS OF THE COMMISSION CREATED BEFORE THE
S. 6411 54 A. 9011
CHAPTER OF THE LAWS OF 2016 WHICH AMENDED THIS PARAGRAPH WHICH SHALL BE
AVAILABLE FOR PUBLIC INSPECTION AND COPYING ARE:
(1) THE INFORMATION SET FORTH IN AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THE PUBLIC OFFI-
CERS LAW EXCEPT THE CATEGORIES OF VALUE OR AMOUNT, WHICH SHALL REMAIN
CONFIDENTIAL, AND ANY OTHER ITEM OF INFORMATION DELETED PURSUANT TO
PARAGRAPH (H) OF SUBDIVISION NINE OF THIS SECTION;
(2) THE INFORMATION SET FORTH IN AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THE PUBLIC OFFI-
CERS LAW EXCEPT INFORMATION DELETED PURSUANT TO PARAGRAPH (H) OF SUBDI-
VISION NINE OF THIS SECTION;
(3) NOTICES OF DELINQUENCY SENT UNDER SUBDIVISION TWELVE OF THIS
SECTION;
(4) NOTICES OF CIVIL ASSESSMENTS IMPOSED UNDER THIS SECTION WHICH
SHALL INCLUDE A DESCRIPTION OF THE NATURE OF THE ALLEGED WRONGDOING, THE
PROCEDURAL HISTORY OF THE COMPLAINT, THE FINDINGS AND DETERMINATIONS
MADE BY THE COMMISSION, AND ANY SANCTION IMPOSED;
(5) THE TERMS OF ANY SETTLEMENT OR COMPROMISE OF A COMPLAINT OR REFER-
RAL WHICH INCLUDES A FINE, PENALTY OR OTHER REMEDY;
(6) THOSE REQUIRED TO BE HELD OR MAINTAINED PUBLICLY AVAILABLE PURSU-
ANT TO ARTICLE ONE-A OF THE LEGISLATIVE LAW; AND
(7) SUBSTANTIAL BASIS INVESTIGATION REPORTS ISSUED BY THE COMMISSION
PURSUANT TO SUBDIVISION FOURTEEN-A OR FOURTEEN-B OF THIS SECTION. WITH
RESPECT TO REPORTS CONCERNING MEMBERS OF THE LEGISLATURE OR LEGISLATIVE
EMPLOYEES OR CANDIDATES FOR MEMBER OF THE LEGISLATURE, THE JOINT COMMIS-
SION SHALL NOT PUBLICLY DISCLOSE OR OTHERWISE DISSEMINATE SUCH REPORTS
EXCEPT IN CONFORMANCE WITH THE REQUIREMENTS OF PARAGRAPH (B) OF SUBDIVI-
SION NINE OF SECTION EIGHTY OF THE LEGISLATIVE LAW.
(b) [Notwithstanding the provisions of article seven of the public
officers law, no meeting or proceeding, including any such proceeding
contemplated under paragraph (h) or (i) of subdivision nine of this
section,] MEETINGS AND PROCEEDINGS of the commission shall be open to
the public[, except if expressly provided otherwise by the commission or
as is required by article one-A of the legislative law] PURSUANT TO
ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW. NOTWITHSTANDING THE PROVISIONS
OF ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, COMMISSIONERS MAY PARTIC-
IPATE IN A MEETING OR PROCEEDING OF THE COMMISSION, INCLUDING VOTING,
FROM A LOCATION NOT OPEN TO THE GENERAL PUBLIC TO CONDUCT THE BUSINESS
OF THE COMMISSION, SO LONG AS ONE OF THE LOCATIONS FROM WHICH THE MEET-
ING OR PROCEEDING IS BEING CONDUCTED COMPLIES WITH THE PROVISIONS OF
ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW. SUCH PARTICIPATION SHALL COUNT
TOWARDS QUORUM.
S 14. Subdivision (b) of section 1-k of the legislative law, as
amended by chapter 1 of the laws of 2005, is amended to read as follows:
(b) No person shall accept such a retainer or employment. [A violation
of] ANY PERSON WHO VIOLATES this section shall be SUBJECT TO A CIVIL
PENALTY NOT TO EXCEED THE GREATER OF TEN THOUSAND DOLLARS OR THE VALUE
OF THE CONTINGENT FEE, AND SUCH VIOLATION SHALL BE a class [A misdemea-
nor] E FELONY.
S 15. Subdivision (b) of section 1-o of the legislative law is amended
by adding a new paragraph (vii) to read as follows:
(VII) A LOBBYIST OR CLIENT WHO KNOWINGLY AND WILFULLY FAILS TO COMPLY
WITH REQUESTS FOR THE PRODUCTION OF DOCUMENTS OR OTHERWISE FAILS TO
COOPERATE DURING THE CONDUCT OF A RANDOM AUDIT UNDER SECTION 1-D OF THIS
ARTICLE SHALL BE SUBJECT TO A CIVIL PENALTY NOT TO EXCEED TEN THOUSAND
DOLLARS.
S. 6411 55 A. 9011
S 16. Section 1-s of the legislative law, as relettered by chapter 1
of the laws of 2005, is amended to read as follows:
S 1-s. Public access to records; format of records and reports. (A)
The commission shall make information furnished by lobbyists and clients
available to the public for inspection and copying in electronic [and
paper formats] FORMAT. Access to such information shall also be made
available for remote computer users through the internet network.
(B) BEGINNING WITH THE STATEMENT OF REGISTRATION AND REPORTS DUE IN
CALENDAR YEAR TWO THOUSAND SEVENTEEN, ALL REGISTRATION STATEMENTS AND
REPORTS MUST BE SUBMITTED ON THE ELECTRONIC FILING SYSTEM ADMINISTERED
BY THE JOINT COMMISSION ON PUBLIC ETHICS.
(I) AN INDIVIDUAL MAY SUBMIT A REGISTRATION STATEMENT OR REPORT ON A
FORM SUPPLIED BY THE COMMISSION WITH A WRITTEN ATTESTATION FROM A PHYSI-
CIAN OR OTHER HEALTH PROVIDER INDICATING THAT THE INDIVIDUAL HAS A DISA-
BILITY OR INFIRMITY PREVENTING THE INDIVIDUAL FROM COMPLETING THE REGIS-
TRATION STATEMENT OR REPORT ON THE ELECTRONIC FILING SYSTEM PROVIDED BY
THE COMMISSION.
(II) ANY INDIVIDUAL REQUIRED TO FILE A STATEMENT PURSUANT TO THIS
SECTION MAY REQUEST FROM THE JOINT COMMISSION ON PUBLIC ETHICS ACCESS TO
AN ELECTRONIC COMPUTER TERMINAL TO FILE THE STATEMENT.
(III) AN INDIVIDUAL WHO REQUESTS ACCESS TO AN ELECTRONIC COMPUTER
TERMINAL PURSUANT TO PARAGRAPH (I) OF THIS SUBDIVISION MUST BE PROVIDED
SUCH ACCESS WITHIN TWO BUSINESS DAYS OF SUBMITTING THE REQUEST.
(IV) NO INDIVIDUAL SHALL BE DEEMED TO NOT HAVE TIMELY FILED A REGIS-
TRATION STATEMENT OR REPORT IF ACCESS TO AN ELECTRONIC COMPUTER TERMINAL
WAS NOT AVAILABLE AS PROVIDED IN PARAGRAPH (II) OF THIS SUBDIVISION.
S 17. Paragraph a of subdivision 12 of section 80 of the legislative
law, as amended by section 9 of part A of chapter 399 of the laws of
2011, is amended to read as follows:
a. [Notwithstanding the provisions of article six of the public offi-
cers law, the only records of the commission which shall be available
for public inspection and copying are:
(1) the terms of any settlement or compromise of a complaint or refer-
ral or report which includes a fine, penalty or other remedy reached
after the commission has received a report from the joint commission on
public ethics pursuant to subdivision fourteen-a of section ninety-four
of the executive law;
(2) generic advisory opinions;
(3) all reports required by this section; and
(4) all reports received from the joint commission on public ethics
pursuant to subdivision fourteen-a of section ninety-four of the execu-
tive law and in conformance with paragraph (b) of subdivision nine-b of
this section.] COMMISSION RECORDS CREATED AFTER THE EFFECTIVE DATE OF
THE CHAPTER OF THE LAWS OF TWO THOUSAND SIXTEEN WHICH AMENDED THIS PARA-
GRAPH SHALL BE MADE AVAILABLE FOR PUBLIC INSPECTION AND COPYING PURSUANT
TO THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC OFFICERS LAW.
S 18. This act shall take effect immediately provided, however, that
sections two, three, four, five, twelve, thirteen, fourteen, fifteen,
sixteen and seventeen of this act shall take effect January 1, 2017.
PART F
Section 1. Section 5-212 of the election law is REPEALED and a new
section 5-212 is added to read as follows:
S 5-212. MOTOR VEHICLE REGISTRATION. 1. IN ADDITION TO ANY OTHER METH-
OD OF VOTER REGISTRATION PROVIDED FOR IN THIS ARTICLE, ANY QUALIFIED
S. 6411 56 A. 9011
PERSON SHALL BE AUTOMATICALLY APPLIED FOR REGISTRATION AND ENROLLMENT
SIMULTANEOUSLY WITH AND UPON APPLICATION FOR A MOTOR VEHICLE DRIVER'S
LICENSE, A DRIVER'S LICENSE RENEWAL OR AN IDENTIFICATION CARD IF SUCH A
CARD IS ISSUED BY THE DEPARTMENT OF MOTOR VEHICLES IN ITS NORMAL COURSE
OF BUSINESS UNLESS SUCH QUALIFIED PERSON DECLINES SUCH APPLICATION FOR
REGISTRATION AND ENROLLMENT AT THE TIME OF MAKING AN APPLICATION FOR A
MOTOR VEHICLE DRIVER'S LICENSE, DRIVER'S LICENSE RENEWAL OR AN IDENTIFI-
CATION CARD IF SUCH CARD IS ISSUED BY THE DEPARTMENT OF MOTOR VEHICLES
IN ITS NORMAL COURSE OF BUSINESS.
2. THE DEPARTMENT OF MOTOR VEHICLES, WITH THE APPROVAL OF THE STATE
BOARD OF ELECTIONS, SHALL DESIGN A FORM OR FORMS WHICH SHALL, IN ADDI-
TION TO ELICITING SUCH INFORMATION AS MAY BE REQUIRED BY THE DEPARTMENT
OF MOTOR VEHICLES FOR A DRIVER'S LICENSE, A DRIVER'S LICENSE RENEWAL, A
CHANGE OF ADDRESS NOTIFICATION OR AN IDENTIFICATION CARD, SERVE AS AN
APPLICATION FOR REGISTRATION AND ENROLLMENT, OR A REGISTRATION NECESSI-
TATED BY A CHANGE OF RESIDENCE. ONLY ONE SIGNATURE SHALL BE REQUIRED TO
MEET THE CERTIFICATION AND ATTESTATION NEEDS OF THE PORTION OF THE FORM
PERTAINING TO THE APPLICATION FOR A DRIVER'S LICENSE, A DRIVER'S LICENSE
RENEWAL, A CHANGE OF ADDRESS NOTIFICATION OR AN IDENTIFICATION CARD, AND
THE PORTION OF THE FORM PERTAINING TO VOTER REGISTRATION AND ENROLLMENT.
THE COST OF SUCH FORMS SHALL BE BORNE BY THE DEPARTMENT OF MOTOR VEHI-
CLES.
3. THE VOTER REGISTRATION PORTION OF SUCH FORM SHALL:
(A) NOT REQUIRE ANY INFORMATION THAT DUPLICATES THE INFORMATION
REQUIRED ON THE APPLICATION FOR THE DRIVER LICENSE PORTION AND SHALL
REQUIRE ONLY SUCH ADDITIONAL INFORMATION AS WILL ENABLE ELECTION OFFI-
CIALS TO ASSESS THE APPLICANT'S ELIGIBILITY TO REGISTER TO VOTE, PREVENT
DUPLICATE REGISTRATION AND TO ADMINISTER VOTER REGISTRATION AND OTHER
PARTS OF THE ELECTION PROCESS;
(B) INCLUDE A STATEMENT OF THE ELIGIBILITY REQUIREMENTS FOR VOTER
REGISTRATION AND SHALL REQUIRE THE APPLICANT TO ATTEST BY HIS OR HER
SIGNATURE THAT HE OR SHE MEETS THOSE REQUIREMENTS UNDER PENALTY OF
PERJURY UNLESS SUCH APPLICANT DECLINES SUCH REGISTRATION;
(C) INFORM THE APPLICANT, IN PRINT IDENTICAL TO THAT USED IN THE
ATTESTATION SECTION OF THE FOLLOWING:
(I) VOTER ELIGIBILITY REQUIREMENTS;
(II) PENALTIES FOR SUBMISSION OF FALSE REGISTRATION APPLICATION;
(III) THAT THE OFFICE WHERE APPLICANT REGISTERS SHALL REMAIN CONFIDEN-
TIAL AND THE INFORMATION BE USED ONLY FOR VOTER REGISTRATION PURPOSES;
(IV) IF THE APPLICANT DECLINES TO REGISTER, SUCH APPLICANT'S DECLINA-
TION SHALL REMAIN CONFIDENTIAL AND BE USED ONLY FOR VOTER REGISTRATION
PURPOSES;
(D) INCLUDE A BOX FOR THE APPLICANT TO CHECK TO INDICATE WHETHER THE
APPLICANT WOULD LIKE TO DECLINE TO REGISTER TO VOTE ALONG WITH THE
STATEMENT IN PROMINENT TYPE, "IF YOU DO NOT CHECK THIS BOX, YOU PROVIDE
YOUR SIGNATURE ON THE SPACE PROVIDED BELOW, AND YOU ARE AT LEAST 18
YEARS OF AGE OR OLDER, YOU WILL HAVE PERSONALLY APPLIED TO REGISTER TO
VOTE AT THIS TIME.";
(E) INCLUDE A SPACE FOR THE APPLICANT TO INDICATE HIS OR HER CHOICE OF
PARTY ENROLLMENT, WITH A CLEAR ALTERNATIVE PROVIDED FOR THE APPLICANT TO
DECLINE TO AFFILIATE WITH ANY PARTY;
(F) INCLUDE THE STATEMENT, "IF YOU WOULD LIKE HELP IN FILLING OUT THE
VOTER REGISTRATION APPLICATION FORM, WE WILL HELP YOU. THE DECISION
WHETHER TO SEEK OR ACCEPT HELP IS YOURS. YOU MAY FILL OUT THE APPLICA-
TION FORM IN PRIVATE.";
S. 6411 57 A. 9011
(G) INCLUDE THE STATEMENT, "IF YOU BELIEVE THAT SOMEONE HAS INTERFERED
WITH YOUR RIGHT TO REGISTER OR DECLINE TO REGISTER TO VOTE, YOUR RIGHT
TO PRIVACY IN DECIDING WHETHER TO REGISTER OR IN APPLYING TO REGISTER TO
VOTE, OR YOUR RIGHT TO CHOOSE YOUR OWN POLITICAL PARTY OR OTHER POLI-
TICAL PREFERENCE, YOU MAY FILE A COMPLAINT WITH THE STATE BOARD OF
ELECTIONS (ADDRESS AND TOLL FREE TELEPHONE NUMBER).";
(H) INCLUDE A TOLL FREE NUMBER AT THE STATE BOARD OF ELECTIONS THAT
CAN BE CALLED FOR ANSWERS TO REGISTRATION QUESTIONS; AND
(I) INCLUDE ANY OTHER INFORMATION THAT IS NECESSARY TO COMPLY WITH THE
REQUIREMENTS OF THE NATIONAL VOTER REGISTRATION ACT.
4. THE DEPARTMENT OF MOTOR VEHICLES SHALL TRANSMIT THAT PORTION OF THE
FORM WHICH CONSTITUTES THE COMPLETED APPLICATION FOR REGISTRATION OR
CHANGE OF ADDRESS FORM TO THE APPROPRIATE BOARD OF ELECTIONS NOT LATER
THAN TEN DAYS AFTER RECEIPT EXCEPT THAT ALL SUCH COMPLETED APPLICATIONS
AND FORMS RECEIVED BY THE DEPARTMENT BETWEEN THE THIRTIETH AND
TWENTY-FIFTH DAY BEFORE AN ELECTION SHALL BE TRANSMITTED IN SUCH MANNER
AND AT SUCH TIME AS TO ASSURE THEIR RECEIPT BY SUCH BOARD OF ELECTIONS
NOT LATER THAN THE TWENTIETH DAY BEFORE SUCH ELECTION. ALL TRANSMITTALS
SHALL INCLUDE ORIGINAL SIGNATURES.
5. COMPLETED APPLICATION FORMS RECEIVED BY THE DEPARTMENT OF MOTOR
VEHICLES NOT LATER THAN THE TWENTY-FIFTH DAY BEFORE THE NEXT ENSUING
PRIMARY, GENERAL OR SPECIAL ELECTION AND TRANSMITTED BY SUCH DEPARTMENT
TO THE APPROPRIATE BOARD OF ELECTIONS SO THAT THEY ARE RECEIVED NOT
LATER THAN THE TWENTIETH DAY BEFORE SUCH ELECTION SHALL ENTITLE THE
APPLICANT TO VOTE IN SUCH ELECTION PROVIDED THE BOARD DETERMINES THAT
THE APPLICANT IS OTHERWISE QUALIFIED.
6. DISCLOSURE OF VOTER REGISTRATION INFORMATION, INCLUDING A DECLINA-
TION TO REGISTER, BY THE DEPARTMENT OF MOTOR VEHICLES, ITS AGENTS OR
EMPLOYEES, FOR OTHER THAN VOTER REGISTRATION PURPOSES, SHALL BE DEEMED
AN UNWARRANTED INVASION OF PERSONAL PRIVACY PURSUANT TO THE PROVISIONS
OF SUBDIVISION TWO OF SECTION EIGHTY-NINE OF THE PUBLIC OFFICERS LAW AND
SHALL CONSTITUTE A VIOLATION OF THIS CHAPTER.
7. APPLICATION FORMS SHALL BE PROCESSED BY THE BOARD OF ELECTIONS IN
THE MANNER PRESCRIBED BY SECTION 5-210 OF THIS TITLE OR, IF THE APPLI-
CANT IS ALREADY REGISTERED TO VOTE FROM ANOTHER ADDRESS IN SUCH COUNTY
OR CITY, IN THE MANNER PRESCRIBED BY SECTION 5-208 OF THIS TITLE. THE
BOARD SHALL SEND THE APPROPRIATE NOTICE OF APPROVAL OR REJECTION AS
REQUIRED BY EITHER SUBDIVISION NINE OF SUCH SECTION 5-210 OR SUBDIVISION
FIVE OF SUCH SECTION 5-208.
8. STRICT NEUTRALITY WITH RESPECT TO A PERSON'S PARTY ENROLLMENT SHALL
BE MAINTAINED AND ALL PERSONS SEEKING VOTER REGISTRATION FORMS AND
INFORMATION SHALL BE ADVISED THAT GOVERNMENT SERVICES ARE NOT CONDI-
TIONED ON BEING REGISTERED TO VOTE.
9. NO STATEMENT SHALL BE MADE NOR ANY ACTION TAKEN TO DISCOURAGE THE
APPLICANT FROM REGISTERING TO VOTE.
10. THE DEPARTMENT OF MOTOR VEHICLES SHALL PROVIDE TO EACH PERSON WHO
CHOOSES TO REGISTER TO VOTE THE SAME LEVEL OF ASSISTANCE PROVIDED TO
PERSONS IN CONNECTION WITH THE COMPLETION OF THE AGENCY'S REQUISITE
INFORMATION, UNLESS SUCH PERSON REFUSES SUCH ASSISTANCE.
11. THE STATE BOARD SHALL ADOPT SUCH RULES AND REGULATIONS AS MAY BE
NECESSARY TO CARRY OUT THE REQUIREMENTS OF THIS SECTION. THE BOARD SHALL
ALSO ADOPT SUCH RULES AND REGULATIONS AS MAY BE NECESSARY TO REQUIRE
COUNTY BOARDS AND THE DEPARTMENT OF MOTOR VEHICLES TO PROVIDE THE STATE
BOARD WITH SUCH INFORMATION AND DATA AS THE BOARD DEEMS NECESSARY TO
ASSESS COMPLIANCE WITH THIS SECTION AND TO COMPILE SUCH STATISTICS AS
MAY BE REQUIRED BY THE FEDERAL ELECTIONS COMMISSION.
S. 6411 58 A. 9011
12. THE STATE BOARD SHALL DEVELOP AND DISTRIBUTE PUBLIC INFORMATION
AND PROMOTIONAL MATERIALS RELATING TO THE PURPOSES AND IMPLEMENTATION OF
THIS PROGRAM.
13. THE STATE BOARD SHALL PREPARE AND DISTRIBUTE TO THE DEPARTMENT OF
MOTOR VEHICLES WRITTEN INSTRUCTIONS AS TO THE IMPLEMENTATION OF THE
PROGRAM AND SHALL BE RESPONSIBLE FOR ESTABLISHING TRAINING PROGRAMS FOR
EMPLOYEES OF THE DEPARTMENT OF MOTOR VEHICLES INVOLVED IN SUCH PROGRAM.
14. THE COMMISSIONER OF MOTOR VEHICLES SHALL TAKE ALL ACTIONS WHICH
ARE NECESSARY AND PROPER FOR THE IMPLEMENTATION OF THIS SECTION. THE
COMMISSIONER OF MOTOR VEHICLES SHALL DESIGNATE ONE PERSON WITHIN THE
AGENCY AS THE AGENCY VOTER REGISTRATION COORDINATOR WHO WILL, UNDER THE
DIRECTION OF THE STATE BOARD OF ELECTIONS, BE RESPONSIBLE FOR THE VOTER
REGISTRATION PROGRAM IN SUCH AGENCY.
15. NOTWITHSTANDING SUBDIVISION SIX OF SECTION 5-210 OF THIS TITLE AND
ANY OTHER LAW TO THE CONTRARY, AN APPLICANT WHO IS LESS THAN EIGHTEEN
YEARS OF AGE WHO IMPROPERLY FAILS TO DECLINE TO VOTE IN ACCORDANCE WITH
THE PROVISIONS OF THIS SECTION SHALL NOT BE GUILTY OF ANY CRIME AS THE
RESULT OF THE APPLICANT'S FAILURE TO MAKE SUCH DECLINATION.
S 2. Paragraph (a) of subdivision 2 of section 5-712 of the election
law, as amended by chapter 200 of the laws of 1996, is amended to read
as follows:
(a) The board of elections shall also send a confirmation notice to
every registered voter for whom it receives a notice of change of
address to an address not in such city or county which is not signed by
the voter. Such change of address notices shall include, but not be
limited to, notices of change of address received pursuant to subdivi-
sion eleven of section 5-211 and subdivision [six] FOUR of section 5-212
of this article, notice of change of address from the United States
Postal Service through the National Change of Address System or from any
other agency of the federal government or any agency of any state or
local government and notice of a forwarding address on mail sent to a
voter by the board of elections and returned by the postal service. Such
confirmation notices shall be sent to such new address.
S 3. Subdivision 5 of section 5-210 of the election law is amended by
adding a new paragraph (n) to read as follows:
(N) THE FORM OF APPLICATION REQUIRED BY SECTION 5-212 OF THIS TITLE
SHALL BE DEEMED TO MEET THE REQUIREMENTS OF THIS SECTION.
S 4. Subdivision 27 of section 1-104 of the election law is amended to
read as follows:
27. The term "personal application" means a signed writing which may
be delivered by mailing [or], in person, OR ELECTRONICALLY.
S 5. Section 3-400 of the election law is amended by adding a new
subdivision 9 to read as follows:
9. NOTWITHSTANDING ANY INCONSISTENT PROVISIONS OF THIS ARTICLE,
ELECTION INSPECTORS OR POLL CLERKS, IF ANY, AT POLLING PLACES FOR EARLY
VOTING, SHALL CONSIST OF EITHER BOARD OF ELECTIONS EMPLOYEES WHO SHALL
BE APPOINTED BY THE COMMISSIONERS OF SUCH BOARD OR DULY QUALIFIED INDI-
VIDUALS, APPOINTED IN THE MANNER SET FORTH IN THIS SECTION. APPOINTMENTS
TO THE OFFICES OF ELECTION INSPECTOR OR POLL CLERK IN EACH POLLING PLACE
FOR EARLY VOTING SHALL BE EQUALLY DIVIDED BETWEEN THE MAJOR POLITICAL
PARTIES. THE BOARD OF ELECTIONS SHALL ASSIGN STAFF AND PROVIDE THE
RESOURCES THEY REQUIRE TO ENSURE WAIT TIMES AT EARLY VOTING SITES DO NOT
EXCEED THIRTY MINUTES.
S 6. Section 4-117 of the election law is amended by adding a new
subdivision 1-a to read as follows:
S. 6411 59 A. 9011
1-A. THE NOTICE REQUIRED BY SUBDIVISION ONE OF THIS SECTION SHALL
INCLUDE THE DATES, HOURS AND LOCATIONS OF EARLY VOTING FOR THE GENERAL
AND PRIMARY ELECTION. THE BOARD OF ELECTIONS MAY SATISFY THE NOTICE
REQUIREMENT OF THIS SUBDIVISION BY PROVIDING IN THE NOTICE INSTRUCTIONS
TO OBTAIN THE REQUIRED EARLY VOTING INFORMATION FROM A WEBSITE OF THE
BOARD OF ELECTIONS AND PROVIDING A PHONE NUMBER TO CALL FOR SUCH INFOR-
MATION.
S 7. Subdivision 2 of section 8-100 of the election law, as amended by
chapter 335 of the laws of 2000, is amended to read as follows:
2. Polls shall be open for voting during the following hours: a prima-
ry election from twelve o'clock noon until nine o'clock in the evening,
except in the city of New York and the counties of Nassau, Suffolk,
Westchester, Rockland, Orange, Putnam and Erie, and in such city or
county from six o'clock in the morning until nine o'clock in the even-
ing; the general election from six o'clock in the morning until nine
o'clock in the evening; a special election called by the governor pursu-
ant to the public officers law, and, except as otherwise provided by
law, every other election, from six o'clock in the morning until nine
o'clock in the evening; EARLY VOTING HOURS SHALL BE AS PROVIDED IN
SECTION 8-600 OF THIS ARTICLE.
S 8. Subdivision 1 of section 8-102 of the election law is amended by
adding a new paragraph (k) to read as follows:
(K) VOTING AT EACH POLLING PLACE FOR EARLY VOTING SHALL BE CONDUCTED
IN A MANNER CONSISTENT WITH THE PROVISIONS OF THIS ARTICLE, WITH THE
EXCEPTION OF THE TABULATION AND PROCLAMATION OF ELECTION RESULTS WHICH
SHALL BE COMPLETED ACCORDING TO SUBDIVISIONS EIGHT AND NINE OF SECTION
8-600 OF THIS ARTICLE.
S 9. Section 8-104 of the election law is amended by adding a new
subdivision 7 to read as follows:
7. THIS SECTION SHALL APPLY ON ALL EARLY VOTING DAYS AS PROVIDED FOR
IN SECTION 8-600 OF THIS ARTICLE.
S 10. Paragraph (b) of subdivision 2 of section 8-508 of the election
law, as amended by chapter 200 of the laws of 1996, is amended to read
as follows:
(b) The second section of such report shall be reserved for the board
of inspectors to enter the name, address and registration serial number
of each person who is challenged on the day of election OR ON ANY DAY IN
WHICH THERE IS EARLY VOTING PURSUANT TO SECTION 8-600 OF THIS ARTICLE,
together with the reason for the challenge. If no voters are chal-
lenged, the board of inspectors shall enter the words "No Challenges"
across the space reserved for such names. In lieu of preparing section
two of the challenge report, the board of elections may provide, next to
the name of each voter on the computer generated registration list, a
place for the inspectors of election to record the information required
to be entered in such section two, or provide at the end of such comput-
er generated registration list, a place for the inspectors of election
to enter such information.
S 11. Article 8 of the election law is amended by adding a new title 6
to read as follows:
TITLE VI
EARLY VOTING
SECTION 8-600. EARLY VOTING.
8-602. STATE BOARD OF ELECTIONS; POWERS AND DUTIES FOR EARLY
VOTING.
S 8-600. EARLY VOTING. 1. BEGINNING THE THIRTEENTH DAY PRIOR TO ANY
GENERAL, PRIMARY OR SPECIAL ELECTION FOR ANY PUBLIC OR PARTY OFFICE, AND
S. 6411 60 A. 9011
ENDING ON AND INCLUDING THE SECOND DAY PRIOR TO SUCH GENERAL, PRIMARY OR
SPECIAL ELECTION FOR SUCH PUBLIC OR PARTY OFFICE, PERSONS DULY REGIS-
TERED AND ELIGIBLE TO VOTE AT SUCH ELECTION SHALL BE PERMITTED TO VOTE
AS PROVIDED IN THIS TITLE. THE BOARD OF ELECTIONS OF EACH COUNTY AND
THE CITY OF NEW YORK SHALL ESTABLISH PROCEDURES, SUBJECT TO APPROVAL OF
THE STATE BOARD OF ELECTIONS, TO ENSURE THAT PERSONS WHO VOTE DURING THE
EARLY VOTING PERIOD SHALL NOT BE PERMITTED TO VOTE SUBSEQUENTLY IN THE
SAME ELECTION.
2. (A) THE BOARD OF ELECTIONS OF EACH COUNTY OR THE CITY OF NEW YORK
SHALL DESIGNATE POLLING PLACES FOR EARLY VOTING IN EACH COUNTY, WHICH
MAY INCLUDE THE OFFICES OF THE BOARD OF ELECTIONS, FOR PERSONS TO VOTE
EARLY PURSUANT TO THIS SECTION. THERE SHALL BE SO DESIGNATED AT LEAST
ONE EARLY VOTING POLLING PLACE FOR EVERY FULL INCREMENT OF FIFTY THOU-
SAND REGISTERED VOTERS IN EACH COUNTY; PROVIDED, HOWEVER, THE NUMBER OF
EARLY VOTING POLLING PLACES IN A COUNTY SHALL NOT BE REQUIRED TO BE
GREATER THAN SEVEN, AND A COUNTY WITH FEWER THAN FIFTY THOUSAND VOTERS
SHALL HAVE AT LEAST ONE EARLY VOTING POLLING PLACE.
(B) THE BOARD OF ELECTIONS OF EACH COUNTY OR THE CITY OF NEW YORK MAY
ESTABLISH ADDITIONAL POLLING PLACES FOR EARLY VOTING IN EXCESS OF THE
MINIMUM NUMBER REQUIRED BY THIS SUBDIVISION FOR THE CONVENIENCE OF
ELIGIBLE VOTERS WISHING TO VOTE DURING THE EARLY VOTING PERIOD.
(C) NOTWITHSTANDING THE MINIMUM NUMBER OF EARLY VOTING POLL SITES
OTHERWISE REQUIRED BY THIS SUBDIVISION, FOR ANY PRIMARY OR SPECIAL
ELECTION, UPON MAJORITY VOTE OF THE BOARD OF ELECTIONS, THE NUMBER OF
EARLY VOTING SITES MAY BE REDUCED IF THE BOARD OF ELECTIONS REASONABLY
DETERMINES A LESSER NUMBER OF SITES IS SUFFICIENT TO MEET THE NEEDS OF
EARLY VOTERS.
(D) POLLING PLACES FOR EARLY VOTING SHALL BE LOCATED TO ENSURE, TO THE
EXTENT PRACTICABLE, THAT ELIGIBLE VOTERS HAVE ADEQUATE EQUITABLE ACCESS,
TAKING INTO CONSIDERATION POPULATION DENSITY, TRAVEL TIME TO THE POLLING
PLACE, PROXIMITY TO OTHER LOCATIONS OR COMMONLY USED TRANSPORTATION
ROUTES AND SUCH OTHER FACTORS THE BOARD OF ELECTIONS OF THE COUNTY OR
THE CITY OF NEW YORK DEEMS APPROPRIATE. THE PROVISIONS OF SECTION 4-104
OF THIS CHAPTER, EXCEPT SUBDIVISIONS FOUR AND FIVE OF SUCH SECTION,
SHALL APPLY TO THE DESIGNATION OF POLLING PLACES FOR EARLY VOTING EXCEPT
TO THE EXTENT SUCH PROVISIONS ARE INCONSISTENT WITH THIS SECTION.
3. ANY PERSON PERMITTED TO VOTE EARLY MAY DO SO AT ANY POLLING PLACE
FOR EARLY VOTING ESTABLISHED PURSUANT TO SUBDIVISION TWO OF THIS SECTION
IN THE COUNTY WHERE SUCH VOTER IS REGISTERED TO VOTE. PROVIDED, HOWEVER,
(I) IF IT IS IMPRACTICAL TO PROVIDE EACH POLLING PLACE FOR EARLY VOTING
ALL APPROPRIATE BALLOTS FOR EACH ELECTION TO BE VOTED ON IN THE COUNTY,
OR (II) IF PERMITTING SUCH PERSONS TO VOTE EARLY AT ANY POLLING PLACE
ESTABLISHED FOR EARLY VOTING WOULD MAKE IT IMPRACTICAL TO ENSURE THAT
SUCH VOTER HAS NOT PREVIOUSLY VOTED EARLY DURING SUCH ELECTION, THE
BOARD OF ELECTIONS MAY DESIGNATE EACH POLLING PLACE FOR EARLY VOTING
ONLY FOR THOSE VOTERS REGISTERED TO VOTE IN A PORTION OF THE COUNTY TO
BE SERVED BY SUCH POLLING PLACE FOR EARLY VOTING, PROVIDED THAT ALL
VOTERS IN EACH COUNTY SHALL HAVE ONE OR MORE POLLING PLACES AT WHICH
THEY ARE ELIGIBLE TO VOTE THROUGHOUT THE EARLY VOTING PERIOD ON A
SUBSTANTIALLY EQUAL BASIS.
4. (A) POLLS SHALL BE OPEN FOR EARLY VOTING FOR AT LEAST EIGHT HOURS
BETWEEN SEVEN O'CLOCK IN THE MORNING AND EIGHT O'CLOCK IN THE EVENING
EACH WEEK DAY DURING THE EARLY VOTING PERIOD.
(B) AT LEAST ONE POLLING PLACE FOR EARLY VOTING SHALL REMAIN OPEN
UNTIL EIGHT O'CLOCK IN THE EVENING ON AT LEAST TWO WEEK DAYS IN EACH
CALENDAR WEEK DURING THE EARLY VOTING PERIOD. IF POLLING PLACES FOR
S. 6411 61 A. 9011
EARLY VOTING ARE LIMITED TO VOTERS FROM CERTAIN AREAS PURSUANT TO SUBDI-
VISION THREE OF THIS SECTION, POLLING PLACES THAT REMAIN OPEN UNTIL
EIGHT O'CLOCK SHALL BE DESIGNATED SUCH THAT ANY PERSON ENTITLED TO VOTE
EARLY MAY VOTE UNTIL EIGHT O'CLOCK IN THE EVENING ON AT LEAST TWO WEEK
DAYS DURING THE EARLY VOTING PERIOD.
(C) POLLS SHALL BE OPEN FOR EARLY VOTING FOR AT LEAST FIVE HOURS
BETWEEN NINE O'CLOCK IN THE MORNING AND SIX O'CLOCK IN THE EVENING ON
EACH SATURDAY, SUNDAY AND LEGAL HOLIDAY DURING THE EARLY VOTING PERIOD.
(D) NOTHING IN THIS SECTION SHALL BE CONSTRUED TO PROHIBIT ANY BOARD
OF ELECTIONS FROM ESTABLISHING A GREATER NUMBER OF HOURS FOR VOTING
DURING THE EARLY VOTING PERIOD BEYOND THE NUMBER OF HOURS REQUIRED IN
THIS SUBDIVISION.
(E) EARLY VOTING POLLING PLACES AND THEIR HOURS OF OPERATION FOR EARLY
VOTING AT A GENERAL ELECTION SHALL BE DESIGNATED BY MAY FIRST OF EACH
YEAR PURSUANT TO SUBDIVISION ONE OF SECTION 4-104 OF THIS CHAPTER.
NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION ONE OF SECTION 4-104 OF
THIS CHAPTER REQUIRING POLL SITE DESIGNATION BY MAY FIRST, EARLY VOTING
POLLING PLACES AND THEIR HOURS OF OPERATION FOR EARLY VOTING FOR A
PRIMARY OR SPECIAL ELECTION SHALL BE MADE NOT LATER THAN FORTY-FIVE DAYS
BEFORE SUCH PRIMARY OR SPECIAL ELECTION.
5. EACH BOARD OF ELECTIONS SHALL CREATE A COMMUNICATION PLAN TO INFORM
ELIGIBLE VOTERS OF THE OPPORTUNITY TO VOTE EARLY. SUCH PLAN MAY UTILIZE
ANY AND ALL MEDIA OUTLETS, INCLUDING SOCIAL MEDIA, AND SHALL PUBLICIZE:
THE LOCATION AND DATES AND HOURS OF OPERATION OF ALL POLLING PLACES FOR
EARLY VOTING; AN INDICATION OF WHETHER EACH POLLING PLACE IS ACCESSIBLE
TO VOTERS WITH PHYSICAL DISABILITIES; A CLEAR AND UNAMBIGUOUS NOTICE TO
VOTERS THAT IF THEY CAST A BALLOT DURING THE EARLY VOTING PERIOD THEY
WILL NOT BE ALLOWED TO VOTE ELECTION DAY; AND IF POLLING PLACES FOR
EARLY VOTING ARE LIMITED TO VOTERS FROM CERTAIN AREAS PURSUANT TO SUBDI-
VISION THREE OF THIS SECTION, THE LOCATION OF THE POLLING PLACES FOR
EARLY VOTING SERVING THE VOTERS OF EACH PARTICULAR CITY, TOWN OR OTHER
POLITICAL SUBDIVISION.
6. THE FORM OF PAPER BALLOTS USED IN EARLY VOTING SHALL COMPLY WITH
THE PROVISIONS OF ARTICLE SEVEN OF THIS CHAPTER THAT ARE APPLICABLE TO
VOTING BY PAPER BALLOT ON ELECTION DAY AND SUCH BALLOT SHALL BE CAST IN
THE SAME MANNER AS PROVIDED FOR IN SECTION 8-312 OF THIS ARTICLE,
PROVIDED, HOWEVER, THAT BALLOTS CAST DURING THE EARLY VOTING PERIOD
SHALL BE SECURED IN THE MANNER OF VOTED BALLOTS CAST ON ELECTION DAY AND
SUCH BALLOTS SHALL NOT BE CANVASSED OR EXAMINED UNTIL AFTER THE CLOSE OF
THE POLLS ON ELECTION DAY, AND NO UNOFFICIAL TABULATIONS OF ELECTION
RESULTS SHALL BE PRINTED OR VIEWED IN ANY MANNER UNTIL AFTER THE CLOSE
OF POLLS ON ELECTION DAY.
7. VOTERS CASTING BALLOTS PURSUANT TO THIS TITLE SHALL BE SUBJECT TO
CHALLENGE AS PROVIDED IN SECTIONS 8-500, 8-502 AND 8-504 OF THIS ARTI-
CLE.
8. NOTWITHSTANDING ANY OTHER PROVISIONS OF THIS CHAPTER, AT THE END OF
EACH DAY OF EARLY VOTING, ANY EARLY VOTING BALLOTS THAT HAVE NOT BEEN
SCANNED BECAUSE A BALLOT SCANNER WAS NOT AVAILABLE OR BECAUSE THE BALLOT
HAS BEEN ABANDONED BY THE VOTER AT THE BALLOT SCANNER SHALL BE CAST IN A
MANNER CONSISTENT WITH SECTION 9-110 OF THIS CHAPTER, EXCEPT THAT ANY
BALLOTS THAT WOULD OTHERWISE BE SCANNED AT THE CLOSE OF THE POLLS PURSU-
ANT TO SUCH SECTION SHALL BE SCANNED AT THE CLOSE OF EACH DAY'S EARLY
VOTING.
9. THE BOARD OF ELECTIONS SHALL SECURE ALL BALLOTS AND SCANNERS USED
FOR EARLY VOTING FROM THE BEGINNING OF THE EARLY VOTING PERIOD THROUGH
THE CLOSE OF THE POLLS OF THE ELECTION ON ELECTION DAY. AS SOON AS THE
S. 6411 62 A. 9011
POLLS OF THE ELECTION ARE CLOSED ON ELECTION DAY, AND NOT BEFORE,
INSPECTORS OR BOARD OF ELECTIONS EMPLOYEES SHALL FOLLOW ALL RELEVANT
PROVISIONS OF ARTICLE NINE OF THIS CHAPTER THAT ARE NOT INCONSISTENT
WITH THIS SECTION, FOR CANVASSING, PROCESSING, RECORDING, AND ANNOUNCING
RESULTS OF VOTING AT POLLING PLACES FOR EARLY VOTING, AND SECURING
BALLOTS, SCANNERS, AND OTHER ELECTION MATERIALS.
S 8-602. STATE BOARD OF ELECTIONS; POWERS AND DUTIES FOR EARLY VOTING.
ANY RULE OR REGULATION NECESSARY FOR THE IMPLEMENTATION OF THE
PROVISIONS OF THIS TITLE SHALL BE PROMULGATED BY THE STATE BOARD OF
ELECTIONS PROVIDED THAT SUCH RULES AND REGULATIONS SHALL INCLUDE
PROVISIONS TO ENSURE THAT BALLOTS CAST EARLY, BY ANY METHOD ALLOWED
UNDER LAW, ARE COUNTED AND CANVASSED AS IF CAST ON ELECTION DAY. THE
STATE BOARD OF ELECTIONS SHALL PROMULGATE ANY OTHER RULES AND REGU-
LATIONS NECESSARY TO ENSURE AN EFFICIENT AND FAIR EARLY VOTING PROCESS
THAT RESPECTS THE PRIVACY OF THE VOTER. PROVIDED, FURTHER, THAT SUCH
RULES AND REGULATIONS SHALL REQUIRE THAT THE VOTING HISTORY RECORD FOR
EACH VOTER BE CONTINUALLY UPDATED TO REFLECT EACH INSTANCE OF EARLY
VOTING BY SUCH VOTER.
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 and shall apply to any
election held 120 days or more after it shall have taken effect;
provided, however that sections one, two, three and four of this act
shall take effect on April 1, 2017.
PART G
Section 1. The New York state comptroller, or his or her designee, the
attorney general of the state of New York, or his or her designee, the
chief information officer of the office of information technology
services, or his or her designee and the commissioner of general
services, or his or her designee, are hereby directed to review, examine
and make recommendations concerning the feasibility of assigning a
single identifying code to contractors, vendors and other payees to
track such entities and expenditures. This group shall submit a report
to the governor, temporary president of the senate, and the speaker of
the assembly on or before January 1, 2017, of its findings and recommen-
dations.
S 2. This act shall take effect immediately.
PART H
Section 1. Subdivisions (b), (h) and (w) of section 1-c of the legis-
lative law, subdivisions (b) and (h) as added by chapter 2 of the laws
of 1999 and subdivision (w) as added by section 8 of part A of chapter
399 of the laws of 2011, are amended and a new subdivision (x) is added
to read as follows:
(b) The term "client" shall mean every person or organization who
retains, employs or designates any person or organization to carry on
lobbying activities OR POLITICAL CONSULTING SERVICES on behalf of such
client.
(h) The term "compensation" shall mean any salary, fee, gift, payment,
benefit, loan, advance or any other thing of value paid, owed, given or
promised to the lobbyist OR POLITICAL CONSULTANT by the client for
lobbying OR POLITICAL CONSULTING but shall not include contributions
reportable pursuant to article fourteen of the election law.
S. 6411 63 A. 9011
(w) The term "reportable business relationship" shall mean a relation-
ship in which compensation is paid by a lobbyist, POLITICAL CONSULTANT,
or by a client of a lobbyist OR A POLITICAL CONSULTANT, in exchange for
any goods, services or anything of value, the total value of which is in
excess of one thousand dollars annually, to be performed or provided by
or intended to be performed or provided by (i) any statewide elected
official, state officer, state employee, member of the legislature or
legislative employee, or (ii) any entity in which the lobbyist or the
client of a lobbyist OR A POLITICAL CONSULTANT OR THE CLIENT OF A POLI-
TICAL CONSULTANT knows or has reason to know the statewide elected offi-
cial, state officer, state employee, member of the legislature or legis-
lative employee is a proprietor, partner, director, officer or manager,
or owns or controls ten percent or more of the stock of such entity (or
one percent in the case of a corporation whose stock is regularly traded
on an established securities exchange).
(X) THE TERM "POLITICAL CONSULTING" MEANS AND INCLUDES THE PROVISION
FOR COMPENSATION, TO ANY ELECTED STATE OR LOCAL PUBLIC OFFICIAL OF
ADVICE, SERVICES OR ASSISTANCE IN SECURING FUTURE STATE OR LOCAL PUBLIC
OFFICE INCLUDING, BUT NOT LIMITED TO, CAMPAIGN MANAGEMENT, FUNDRAISING
ACTIVITIES, PUBLIC RELATIONS OR MEDIA SERVICES, BUT SHALL EXCLUDE LEGAL
WORK DIRECTLY RELATED TO LITIGATION OR LEGAL ADVICE WITH REGARD TO
SECURING A PLACE ON THE BALLOT, THE PETITIONING PROCESS, THE CONDUCT OF
AN ELECTION OR WHICH INVOLVES THIS CHAPTER.
S 2. Section 1-d of the legislative law, as amended by chapter 14 of
the laws of 2007 and subdivision (h) as added by section 7 of part A of
chapter 399 of the laws of 2011, is amended to read as follows:
S 1-d. Lobby-related AND POLITICAL CONSULTING-RELATED powers of the
commission. In addition to any other powers and duties provided by
section ninety-four of the executive law, the commission shall, with
respect to its lobbying-related AND POLITICAL CONSULTING-RELATED func-
tions only, have the power and duty to:
(a) administer and enforce all the provisions of this article;
(b) conduct a program of random audits subject to the terms and condi-
tions of this section. Any such program shall be carried out in the
following manner:
(i) The commission may randomly select reports or registration state-
ments required to be filed by lobbyists, POLITICAL CONSULTANTS, or
clients pursuant to this article for audit. Any such selection shall be
done in a manner pursuant to which the identity of any particular lobby-
ist, POLITICAL CONSULTANT, or client whose statement or report is
selected for audit is unknown to the commission, its staff or any of
their agents prior to selection.
(ii) The commission shall develop protocols for the conduct of such
random audits. Such random audits may require the production of books,
papers, records or memoranda relevant and material to the preparation of
the selected statements or reports, for examination by the commission.
Any such protocols shall ensure that similarly situated statements or
reports 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 or reports for audit and carries out the provisions of para-
graphs (i) and (ii) of this subdivision and certifies that such process
complies with the provisions of such paragraphs.
(iv) Upon completion of a random audit conducted in accordance with
the provisions of paragraphs (i), (ii) and (iii) of this subdivision,
the commission shall determine whether there is reasonable cause to
S. 6411 64 A. 9011
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 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;
(c) conduct hearings pursuant to article seven of the public officers
law. Any hearing may be conducted as a video conference in accordance
with the provisions of subdivision four of section one hundred four of
the public officers law;
(d) prepare uniform forms for the statements and reports required by
this article;
(e) meet at least once during each bi-monthly reporting period of the
year as established by subdivision (a) of section one-h of this article
and may meet at such other times as the commission, or the chair and
vice-chair jointly, shall determine;
(f) issue advisory opinions to those under its jurisdiction. Such
advisory opinions, which shall be published and made available to the
public, shall not be binding upon such commission except with respect to
the person to whom such opinion is rendered, provided, however, that a
subsequent modification by such commission of such an advisory opinion
shall operate prospectively only; and
(g) submit by the first day of March next following the year for which
such report is made to the governor and the members of the legislature
an annual report summarizing the commission's work, listing the lobby-
ists, POLITICAL CONSULTANTS, and clients required to register pursuant
to this article and the expenses and compensation reported pursuant to
this article and making recommendations with respect to this article.
The commission shall make this report available free of charge to the
public.
(h) provide an online ethics training course for individuals regis-
tered as lobbyists AND POLITICAL CONSULTANTS pursuant to section one-e
of this article. The curriculum for the course shall include, but not be
limited to, explanations and discussions of the statutes and regulations
of New York concerning ethics in the public officers law, the election
law, the legislative law, summaries of advisory opinions, underlying
purposes and principles of the relevant laws, and examples of practical
application of these laws and principles. The commission shall prepare
those methods and materials necessary to implement the curriculum. Each
individual registered as a lobbyist OR A POLITICAL CONSULTANT pursuant
to section one-e of this article shall complete such training course at
least once in any three-year period during which he or she is registered
as a lobbyist OR A POLITICAL CONSULTANT.
S 3. Section 1-e of the legislative law, as amended by section 1 of
part S of chapter 62 of the laws of 2003, subdivisions (a) and (c) as
amended by chapter 1 of the laws of 2005, paragraph 1 of subdivision (c)
as amended by chapter 14 of the laws of 2007 and paragraph 8 of subdivi-
sion (c) as added by section 7-a of part A of chapter 399 of the laws of
2011, is amended to read as follows:
S 1-e. Statement of registration. (a) (1) Every lobbyist OR POLITICAL
CONSULTANT shall annually file with the commission, on forms provided by
the commission, a statement of registration for each calendar year;
provided, however, that the filing of such statement of registration
shall not be required of any lobbyist OR POLITICAL CONSULTANT who (i) in
any year does not expend, incur or receive an amount in excess of two
S. 6411 65 A. 9011
thousand dollars for years prior to two thousand six and in excess of
five thousand dollars in the year two thousand six and the years there-
after of reportable compensation and expenses, as provided in paragraph
five of subdivision (b) of section one-h of this article, for the
purposes of lobbying OR POLITICAL CONSULTING or (ii) is an officer,
director, trustee or employee of any public corporation, when acting in
such official capacity; provided however, that nothing in this section
shall be construed to relieve any public corporation of the obligation
to file such statements and reports as required by this article. The
amounts expended, incurred, or received of reportable compensation and
expenses for lobbying OR POLITICAL CONSULTING activities shall be
computed cumulatively for all lobbying OR POLITICAL CONSULTING activ-
ities when determining whether the thresholds set forth in this section
have been met.
(2) (i) Through calendar year two thousand three, such filing shall be
completed on or before January first by those persons who have been
retained, employed or designated as lobbyist on or before December
fifteenth who reasonably anticipate that in the coming year they will
expend, incur or receive combined reportable compensation and expenses
in an amount in excess of two thousand dollars; for those lobbyists
retained, employed or designated after December fifteenth, and for those
lobbyists who subsequent to their retainer, employment or designation
reasonably anticipate combined reportable compensation and expenses in
excess of such amount, such filing must be completed within fifteen days
thereafter, but in no event later than ten days after the actual incur-
ring or receiving of such reportable compensation and expenses.
(ii) For calendar year two thousand four, such filings shall be
completed on or before January first by those persons who have been
retained, employed or designated as lobbyist on or before December
fifteenth, two thousand three who reasonably anticipate that in the
coming year they will expend, incur or receive combined reportable
compensation and expenses in an amount in excess of two thousand
dollars; for those lobbyists retained, employed or designated after
December fifteenth, two thousand three, and for those lobbyists who
subsequent to their retainer, employment or designation reasonably
anticipate combined reportable compensation and expenses in excess of
such amount, such filing must be completed within fifteen days thereaft-
er, but in no event later than ten days after the actual incurring or
receiving of such reportable compensation and expenses.
(3) Commencing calendar year two thousand five and thereafter every
lobbyist shall, AND COMMENCING CALENDAR YEAR TWO THOUSAND SEVENTEEN
EVERY POLITICAL CONSULTANT SHALL, biennially file with the commission,
on forms provided by the commission, a statement of registration for
each biennial period beginning with the first year of the biennial cycle
commencing calendar year two thousand five and thereafter FOR LOBBYISTS,
AND TWO THOUSAND SEVENTEEN FOR POLITICAL CONSULTANTS; provided, however,
that the biennial filing of such statement of registration shall not be
required of any lobbyist OR POLITICAL CONSULTANT who (i) in any year
prior to calendar year two thousand six does not expend, incur or
receive an amount in excess of two thousand dollars of reportable
compensation and expenses, as provided in paragraph five of subdivision
(b) of section one-h of this article, for the purposes of lobbying OR
POLITICAL CONSULTING and commencing with calendar year two thousand six
does not expend, incur or receive an amount in excess of five thousand
dollars of reportable compensation, as provided in paragraph five of
subdivision (b) of section one-h of this article for the purposes of
S. 6411 66 A. 9011
lobbying OR POLITICAL CONSULTING or (ii) is an officer, director, trus-
tee or employee of any public corporation, when acting in such official
capacity; provided however, that nothing in this section shall be
construed to relieve any public corporation of the obligation to file
such statements and reports as required by this article.
(4) Such biennial filings shall be completed on or before January
first of the first year of a biennial cycle commencing in calendar year
two thousand five and thereafter, by those persons who have been
retained, employed or designated as A lobbyist OR A POLITICAL CONSULTANT
on or before December fifteenth of the previous calendar year and who
reasonably anticipate that in the coming year they will expend, incur or
receive combined reportable compensation and expenses in an amount in
excess of two thousand dollars in years prior to calendar year two thou-
sand six and five thousand dollars commencing in two thousand six; for
those lobbyists OR POLITICAL CONSULTANTS retained, employed or desig-
nated after the previous December fifteenth, and for those lobbyists OR
POLITICAL CONSULTANTS who subsequent to their retainer, employment or
designation reasonably anticipate combined reportable compensation and
expenses in excess of such amount, such filing must be completed within
fifteen days thereafter, but in no event later than ten days after the
actual incurring or receiving of such reportable compensation and
expenses.
(b) (i) Such statements of registration shall be kept on file for a
period of three years for those filing periods where annual statements
are required, and shall be open to public inspection during such period;
(ii) Biennial statements of registration shall be kept on file for a
period of three biennial filing periods where biennial statements are
required, and shall be open to public inspection during such period.
(c) Such statement of registration shall contain:
(1) the name, address and telephone number of the lobbyist OR POLI-
TICAL CONSULTANT, and if the lobbyist OR POLITICAL CONSULTANT is an
organization the names, addresses and telephone numbers of any officer
or employee of such lobbyist OR POLITICAL CONSULTANT who engages in any
lobbying OR POLITICAL CONSULTING activities or who is employed in an
organization's division that engages in lobbying OR POLITICAL CONSULTING
activities of the organization;
(2) the name, address and telephone number of the client by whom or on
whose behalf the lobbyist OR POLITICAL CONSULTANT is retained, employed
or designated;
(3) if such lobbyist OR POLITICAL CONSULTANT is retained or employed
pursuant to a written agreement of retainer or employment, a copy of
such shall also be attached and if such retainer or employment is oral,
a statement of the substance thereof; such written retainer, or if it is
oral, a statement of the substance thereof, and any amendment thereto,
shall be retained for a period of three years;
(4) a written authorization from the client by whom the lobbyist OR
POLITICAL CONSULTANT is authorized to lobby OR CONSULT FOR, unless such
lobbyist OR POLITICAL CONSULTANT has filed a written agreement of
retainer or employment pursuant to paragraph three of this subdivision;
(5) the following information on which the lobbyist expects to lobby
OR THE POLITICAL CONSULTANT INTENDS TO CONSULT: (i) a description of
the general subject or subjects, (ii) the legislative bill numbers of
any bills, (iii) the numbers or subject matter (if there are no numbers)
of gubernatorial executive orders or executive orders issued by the
chief executive officer of a municipality, (iv) the subject matter of
and tribes involved in tribal-state compacts, memoranda of understand-
S. 6411 67 A. 9011
ing, or any other state-tribal agreements and any state actions related
to class III gaming as provided in 25 U.S.C. S 2701, (v) the rule, regu-
lation, and ratemaking numbers of any rules, regulations, rates, or
municipal ordinances and resolutions, or proposed rules, regulations, or
rates, or municipal ordinances and resolutions, [and] (vi) the titles
and any identifying numbers of any procurement contracts and other docu-
ments disseminated by a state agency, either house of the state legisla-
ture, the unified court system, municipal agency or local legislative
body in connection with a governmental procurement, AND (VII) THE ISSUES
AND/OR CAMPAIGNS FOR WHICH WORK IS CONTEMPLATED;
(6) the name of the person, organization, or legislative body before
which the lobbyist is lobbying or expects to lobby OR THE NAME OF THE
ELECTED OFFICIAL FOR WHOM THE POLITICAL CONSULTANT INTENDS TO CONSULT;
(7) if the lobbyist OR POLITICAL CONSULTANT is retained, employed or
designated by more than one client, a separate statement of registration
shall be required for each such client.
(8) (i) the name and public office address of any statewide elected
official, state officer or employee, member of the legislature or legis-
lative employee and entity with whom the lobbyist OR POLITICAL CONSULT-
ANT has a reportable business relationship;
(ii) a description of the general subject or subjects of the trans-
actions between the lobbyist [or], lobbyists, POLITICAL CONSULTANT OR
POLITICAL CONSULTANTS and the statewide elected official, state officer
or employee, member of the legislature or legislative employee and enti-
ty; and
(iii) the compensation, including expenses, to be paid and paid by
virtue of the business relationship.
(d) Any amendment to the information filed by the lobbyist OR POLI-
TICAL CONSULTANT in the original statement of registration shall be
submitted to the commission on forms supplied by the commission within
ten days after such amendment, however, this shall not require the
lobbyist OR POLITICAL CONSULTANT to amend the entire registration form.
(e) (i) The first statement of registration filed annually by each
lobbyist OR POLITICAL CONSULTANT for calendar years through two thousand
three shall be accompanied by a registration fee of fifty dollars except
that no registration fee shall be required of a public corporation. A
fee of fifty dollars shall be required for any subsequent statement of
registration filed by a lobbyist OR POLITICAL CONSULTANT during the same
calendar year; (ii) The first statement of registration filed annually
by each lobbyist OR POLITICAL CONSULTANT for calendar year two thousand
four shall be accompanied by a registration fee of one hundred dollars
except that no registration fee shall be required from any lobbyist OR
POLITICAL CONSULTANT who in any year does not expend, incur or receive
an amount in excess of five thousand dollars of reportable compensation
and expenses, as provided in paragraph five of subdivision (b) of
section one-h of this article, for the purposes of lobbying, POLITICAL
CONSULTING or of a public corporation. A fee of one hundred dollars
shall be required for any subsequent statement of registration filed by
a lobbyist OR A POLITICAL CONSULTANT during the same calendar year;
(iii) The first statement of registration filed biennially by each
lobbyist OR POLITICAL CONSULTANT for the first biennial registration
requirements for calendar years two thousand five and two thousand six
and thereafter, shall be accompanied by a registration fee of two
hundred dollars except that no registration fee shall be required from
any lobbyist OR POLITICAL CONSULTANT who in any year does not expend,
incur or receive an amount in excess of five thousand dollars of report-
S. 6411 68 A. 9011
able compensation and expenses, as provided in paragraph five of subdi-
vision (b) of section one-h of this article, for the purposes of lobby-
ing, POLITICAL CONSULTING or of a public corporation. A fee of two
hundred dollars shall be required for any subsequent statement of regis-
tration filed by a lobbyist OR A POLITICAL CONSULTANT during the same
biennial period; (iv) The statement of registration filed after the due
date of a biennial registration shall be accompanied by a registration
fee that is prorated to one hundred dollars for any registration filed
after January first of the second calendar year covered by the biennial
reporting requirement. In addition to the fees authorized by this
section, the commission may impose a fee for late filing of a registra-
tion statement required by this section not to exceed twenty-five
dollars for each day that the statement required to be filed is late,
except that if the lobbyist OR POLITICAL CONSULTANT making a late filing
has not previously been required by statute to file such a statement,
the fee for late filing shall not exceed ten dollars for each day that
the statement required to be filed is late.
S 4. Section 1-g of the legislative law, as added by chapter 2 of the
laws of 1999, is amended to read as follows:
S 1-g. Termination of retainer, employment or designation. Upon the
termination of a lobbyist's OR POLITICAL CONSULTANT'S retainer, employ-
ment or designation, such lobbyist OR POLITICAL CONSULTANT and the
client on whose behalf such service has been rendered shall both give
written notice to the commission within thirty days after the lobbyist
OR POLITICAL CONSULTANT ceases the activity that required such lobbyist
OR POLITICAL CONSULTANT to file a statement of registration; however,
such lobbyist OR POLITICAL CONSULTANT shall nevertheless comply with the
bi-monthly reporting requirements up to the date such activity has
ceased as required by this article and both such parties shall each file
the semi-annual report required by section one-j of this article. The
commission shall enter notice of such termination in the appropriate
monthly registration docket required by section one-f of this article.
S 5. Section 1-h of the legislative law, as added by chapter 2 of the
laws of 1999, subdivision (a) and paragraph 3 of subdivision (b) as
amended by chapter 14 of the laws of 2007, and paragraph 4 of subdivi-
sion (c) as added by section 1 of part B of chapter 399 of the laws of
2011, is amended to read as follows:
S 1-h. Bi-monthly reports of certain lobbyists OR POLITICAL CONSULT-
ANTS. (a) Any lobbyist OR POLITICAL CONSULTANT required to file a state-
ment of registration pursuant to section one-e of this article who in
any lobbying OR POLITICAL CONSULTING year reasonably anticipates that
during the year such lobbyist OR POLITICAL CONSULTANT will expend, incur
or receive combined reportable compensation and expenses in an amount in
excess of five thousand dollars, as provided in paragraph five of subdi-
vision (b) of this section, for the purpose of lobbying OR POLITICAL
CONSULTING, shall file with the commission a bi-monthly written report,
on forms supplied by the commission, by the fifteenth day next succeed-
ing the end of the reporting period in which the lobbyist OR POLITICAL
CONSULTANT was first required to file a statement of registration. Such
reporting periods shall be the period of January first to the last day
of February, March first to April thirtieth, May first to June thirti-
eth, July first to August thirty-first, September first to October thir-
ty-first and November first to December thirty-first.
(b) Such bi-monthly report shall contain:
(1) the name, address and telephone number of the lobbyist OR POLI-
TICAL CONSULTANT;
S. 6411 69 A. 9011
(2) the name, address and telephone number of the client by whom or on
whose behalf the lobbyist OR POLITICAL CONSULTANT is retained, employed
or designated;
(3) the following information on which the lobbyist has lobbied OR THE
POLITICAL CONSULTANT HAS CONSULTED: (i) a description of the general
subject or subjects, (ii) the legislative bill numbers of any bills,
(iii) the numbers or subject matter (if there are no numbers) of guber-
natorial executive orders or executive orders issued by the chief execu-
tive officer of a municipality, (iv) the subject matter of and tribes
involved in tribal-state compacts, memoranda of understanding, or any
other state-tribal agreements and any state actions related to class III
gaming as provided in 25 U.S.C. S 2701, (v) the rule, regulation, and
ratemaking or municipal ordinance or resolution numbers of any rules,
regulations, or rates or ordinance or proposed rules, regulations, or
rates or municipal ordinances or resolutions, and (vi) the titles and
any identifying numbers of any procurement contracts and other documents
disseminated by a state agency, either house of the state legislature,
the unified court system, municipal agency or local legislative body in
connection with a governmental procurement;
(4) the name of the person, organization, or legislative body before
which the lobbyist has lobbied OR THE POLITICAL CONSULTANT HAS
CONSULTED;
(5) (i) the compensation paid or owed to the lobbyist OR POLITICAL
CONSULTANT, and any expenses expended, received or incurred by the
lobbyist OR POLITICAL CONSULTANT for the purpose of lobbying OR POLI-
TICAL CONSULTING.
(ii) expenses required to be reported pursuant to subparagraph (i) of
this paragraph shall be listed in the aggregate if seventy-five dollars
or less and if more than seventy-five dollars such expenses shall be
detailed as to amount, to whom paid, and for what purpose; and where
such expense is more than seventy-five dollars on behalf of any one
person, the name of such person shall be listed.
(iii) for the purposes of this paragraph, expenses shall not include:
(A) personal sustenance, lodging and travel disbursements of such
lobbyist OR POLITICAL CONSULTANT;
(B) expenses, not in excess of five hundred dollars in any one calen-
dar year, directly incurred for the printing or other means of reprod-
uction or mailing of letters, memoranda or other written communications.
(iv) expenses paid or incurred for salaries other than that of the
lobbyist OR POLITICAL CONSULTANT shall be listed in the aggregate.
(v) expenses of more than fifty dollars shall be paid by check or
substantiated by receipts and such checks and receipts shall be kept on
file by the lobbyist OR POLITICAL CONSULTANT for a period of three
years.
(c) (1) All such bi-monthly reports shall be subject to review by the
commission.
(2) Such bi-monthly reports shall be kept on file for three years and
shall be open to public inspection during such time.
(3) In addition to the filing fees authorized by this article, the
commission may impose a fee for late filing of a bi-monthly report
required by this section not to exceed twenty-five dollars for each day
that the report required to be filed is late, except that if the lobby-
ist OR POLITICAL CONSULTANT making a late filing has not previously been
required by statute to file such a report, the fee for late filing shall
not exceed ten dollars for each day that the report required to be filed
is late.
S. 6411 70 A. 9011
(4) Any lobbyist OR POLITICAL CONSULTANT registered pursuant to
section one-e of this article whose lobbying OR CONSULTING activity is
performed on its own behalf and not pursuant to retention by a client:
(i) that has spent over fifty thousand dollars for reportable compen-
sation and expenses for lobbying OR POLITICAL CONSULTING either during
the calendar year, or during the twelve-month period, prior to the date
of this bi-monthly report, and
(ii) at least three percent of whose total expenditures during the
same period were devoted to lobbying OR POLITICAL CONSULTING in New York
shall report to the commission the names of each source of funding over
five thousand dollars from a single source that were used to fund the
lobbying OR CONSULTING activities reported and the amounts received from
each identified source of funding.
This disclosure shall not require disclosure of the sources of funding
whose disclosure, in the determination of the commission based upon a
review of the relevant facts presented by the reporting lobbyist OR
POLITICAL CONSULTANT, may cause harm, threats, harassment, or reprisals
to the source or to individuals or property affiliated with the source.
The reporting lobbyist OR POLITICAL CONSULTANT may appeal the commis-
sion's determination and such appeal shall be heard by a judicial hear-
ing officer who is independent and not affiliated with or employed by
the commission, pursuant to regulations promulgated by the commission.
The reporting lobbyist OR POLITICAL CONSULTANT shall not be required to
disclose the sources of funding that are the subject of such appeal
pending final judgment on appeal.
The disclosure shall not apply to:
(i) any corporation registered pursuant to article seven-A of the
executive law that is qualified as an exempt organization by the United
States Department of the Treasury under I.R.C. S 501(c)(3);
(ii) any corporation registered pursuant to article seven-A of the
executive law that is qualified as an exempt organization by the United
States Department of the Treasury under I.R.C. S 501(c)(4) and whose
primary activities concern any area of public concern determined by the
commission to create a substantial likelihood that application of this
disclosure requirement would lead to harm, threats, harassment, or
reprisals to a source of funding or to individuals or property affil-
iated with such source, including but not limited to the area of civil
rights and civil liberties and any other area of public concern deter-
mined pursuant to regulations promulgated by the commission to form a
proper basis for exemption on this basis from this disclosure require-
ment; or
(iii) any governmental entity.
The joint commission on public ethics shall promulgate regulations to
implement these requirements.
S 6. Section 1-j of the legislative law, as amended by chapter 1 of
the laws of 2005, subdivision (a) as amended by chapter 14 of the laws
of 2007, paragraph 6 of subdivision (b) as added by section 7-b of part
A and paragraph 4 of subdivision (c) as added by section 2 of part B of
chapter 399 of the laws of 2011, is amended to read as follows:
S 1-j. Semi-annual reports. (a) Semi-annual reports shall be filed by
any client retaining, employing or designating a lobbyist or lobbyists
OR POLITICAL CONSULTANT OR CONSULTANTS, whether or not any such lobbyist
OR POLITICAL CONSULTANT was required to file a bi-monthly report, if
such client reasonably anticipates that during the year such client will
expend or incur an amount in excess of five thousand dollars of combined
reportable compensation and expenses, as provided in paragraph five of
S. 6411 71 A. 9011
subdivision (c) of this section, for the purposes of lobbying OR POLI-
TICAL CONSULTING.
(b) Such report shall be filed with the commission, on forms supplied
by the commission, by the fifteenth day of July of the year and by the
fifteenth day of January next following the year for which such report
is made and shall contain:
(1) the name, address and telephone number of the client;
(2) the name, address and telephone number of each lobbyist OR POLI-
TICAL CONSULTANT retained, employed or designated by such client;
(3) the following information on which each lobbyist OR POLITICAL
CONSULTANT retained, employed or designated by such client has lobbied
OR CONSULTED, and on which such client has lobbied OR REQUIRED CONSULT-
ING: (i) a description of the general subject or subjects, (ii) the
legislative bill numbers of any bills, (iii) the numbers or subject
matter (if there are no numbers) of gubernatorial executive orders or
executive orders issued by the chief executive officer of a munici-
pality, (iv) the subject matter of and tribes involved in tribal-state
compacts, memoranda of understanding, or any other state-tribal agree-
ments and any state actions related to class III gaming as provided in
25 U.S.C. 2701, (v) the rule, regulation, and ratemaking or municipal
resolution or ordinance numbers of any rules, regulations, or rates, or
municipal resolutions or ordinances or proposed rules, regulations, or
rates, or municipal ordinances or resolutions and (vi) the titles and
any identifying numbers of any procurement contracts and other documents
disseminated by a state agency, either house of the state legislature,
the unified court system, municipal agency or local legislative body in
connection with a governmental procurement;
(4) the name of the person, organization, or legislative body before
which such client has lobbied OR CONSULTED;
(5) (i) the compensation paid or owed to each such lobbyist OR POLI-
TICAL CONSULTANT, and any other expenses paid or incurred by such client
for the purpose of lobbying OR POLITICAL CONSULTING.
(ii) any expenses required to be reported pursuant to subparagraph (i)
of this paragraph shall be listed in the aggregate if seventy-five
dollars or less and if more than seventy-five dollars such expenses
shall be detailed as to amount, to whom paid, and for what purpose; and
where such expenses are more than seventy-five dollars on behalf of any
one person, the name of such person shall be listed.
(iii) for the purposes of this paragraph, expenses shall not include:
(A) personal sustenance, lodging and travel disbursements of such
lobbyist OR POLITICAL CONSULTANT and client;
(B) expenses, not in excess of five hundred dollars, directly incurred
for the printing or other means of reproduction or mailing of letters,
memoranda or other written communications.
(iv) expenses paid or incurred for salaries other than that of the
lobbyist OR POLITICAL CONSULTANT shall be listed in the aggregate.
(v) expenses of more than fifty dollars must be paid by check or
substantiated by receipts and such checks and receipts shall be kept on
file by such client for a period of three years.
(6) (i) the name and public office address of any statewide elected
official, state officer or employee, member of the legislature or legis-
lative employee and entity with whom the client of a lobbyist OR POLI-
TICAL CONSULTANT has a reportable business relationship;
(ii) a description of the general subject or subjects of the trans-
actions between the client of a lobbyist OR POLITICAL CONSULTANT and the
S. 6411 72 A. 9011
statewide elected official, state officer or employee, member of the
legislature or legislative employee and entity; and
(iii) the compensation, including expenses, to be paid and paid by
virtue of the business relationship.
(c) (1) All such semi-annual reports shall be subject to review by the
commission.
(2) Such semi-annual reports shall be kept on file for a period of
three years and shall be open to public inspection during such period.
(3) Each semi-annual report filed by a client pursuant to this section
shall be accompanied by a filing fee of fifty dollars. In addition to
the filing fees authorized by this article, the commission may impose a
fee for late filing of a semi-annual report required by this section not
to exceed twenty-five dollars for each day that the report required to
be filed is late, except that if the client making a late filing has not
previously been required by statute to file an annual or semi-annual
report, the fee for late filing shall not exceed ten dollars for each
day that the report required to be filed is late.
(4) Any client of a lobbyist OR POLITICAL CONSULTANT that is required
to file a semi-annual report and:
(i) that has spent over fifty thousand dollars for reportable compen-
sation and expenses for lobbying OR POLITICAL CONSULTING either during
the calendar year, or during the twelve-month period, prior to the date
of this semi-annual report, and
(ii) at least three percent of whose total expenditures during the
same period were devoted to lobbying OR POLITICAL CONSULTING in New York
shall report to the commission the names of each source of funding over
five thousand dollars from a single source that were used to fund the
lobbying OR POLITICAL CONSULTING activities reported and the amounts
received from each identified source of funding.
This disclosure shall not require disclosure of the sources of funding
whose disclosure, in the determination of the commission based upon a
review of the relevant facts presented by the reporting client or lobby-
ist OR POLITICAL CONSULTANT, may cause harm, threats, harassment, or
reprisals to the source or to individuals or property affiliated with
the source. The reporting lobbyist OR POLITICAL CONSULTANT may appeal
the commission's determination and such appeal shall be heard by a judi-
cial hearing officer who is independent and not affiliated with or
employed by the commission, pursuant to regulations promulgated by the
commission. The reporting lobbyist OR POLITICAL CONSULTANT shall not be
required to disclose the sources of funding that are the subject of such
appeal pending final judgment on appeal. The disclosure shall not apply
to:
(i) any corporation registered pursuant to article seven-A of the
executive law that is qualified as an exempt organization by the United
States Department of the Treasury under I.R.C. S 501(c)(3);
(ii) any corporation registered pursuant to article seven-A of the
executive law that is qualified as an exempt organization by the United
States Department of the Treasury under I.R.C. S 501(c)(4) and whose
primary activities concern any area of public concern determined by the
commission to create a substantial likelihood that application of this
disclosure requirement would lead to harm, threats, harassment, or
reprisals to a source of funding or to individuals or property affil-
iated with such source, including but not limited to the area of civil
rights and civil liberties and any other area of public concern deter-
mined pursuant to regulations promulgated by the commission to form a
S. 6411 73 A. 9011
proper basis for exemption on this basis from this disclosure require-
ment; or
(iii) any governmental entity.
The joint commission on public ethics shall promulgate regulations to
implement these requirements.
S 7. The opening paragraph of subdivision (a) of section 1-k of the
legislative law, as amended by chapter 1 of the laws of 2005, is amended
to read as follows:
No client shall retain or employ any lobbyist OR POLITICAL CONSULTANT
for compensation, the rate or amount of which compensation in whole or
part is contingent or dependent upon:
S 8. Section 1-l of the legislative law , as added by chapter 14 of
the laws of 2007, is amended to read as follows:
S 1-l. Reports of lobbying OR POLITICAL CONSULTING for the purpose of
involving disbursement of public monies. (a) Any lobbyist OR POLITICAL
CONSULTANT required to file a statement of registration pursuant to
section one-e of this article who in any lobbying year reasonably antic-
ipates that during the year they will expend, incur or receive combined
reportable compensation and expenses in an amount in excess of five
thousand dollars shall file with the commission, on forms supplied by
the commission, a report of any attempts to influence a determination by
a public official, or by a person or entity working in cooperation with
a public official, with respect to the solicitation, award or adminis-
tration of a grant, loan, or agreement involving the disbursement of
public monies in excess of fifteen thousand dollars other than a govern-
mental procurement as defined in section one-c of this article.
(b) Such public monies lobbying OR POLITICAL CONSULTING reports shall
contain:
(i) the name, address and telephone number of the lobbyist OR POLI-
TICAL CONSULTANT and the individuals employed by the lobbyist OR POLI-
TICAL CONSULTANT engaged in such public monies lobbying activities;
(ii) the name, address and telephone number of the client by whom or
on whose behalf the lobbyist OR POLITICAL CONSULTANT is retained,
employed or designated on whose behalf the lobbyist OR POLITICAL
CONSULTANT has engaged in lobbying reportable under this paragraph;
(iii) a description of the grant, loan, or agreement involving the
disbursement of public monies on which the lobbyist has lobbied OR POLI-
TICAL CONSULTANT HAS CONSULTED;
(iv) the name of the person, organization, or legislative body before
which the lobbyist OR POLITICAL CONSULTANT has engaged in lobbying OR
CONSULTING reportable under this paragraph; and
(v) the compensation paid or owed to the lobbyist OR POLITICAL
CONSULTANT, and any expenses expended, received or incurred by the
lobbyist OR CONSULTANT for the purpose of lobbying reportable under this
paragraph.
(c) Public monies lobbying OR CONSULTING reports required pursuant to
this section shall be filed in accordance with the schedule applicable
to the filing of bi-monthly reports pursuant to section one-h of this
article and shall be filed not later than the fifteenth day next
succeeding the end of such reporting period.
(d) In addition to any other fees authorized by this section, the
commission may impose a fee for late filing of a report required by this
subdivision not to exceed twenty-five dollars for each day that the
report required to be filed is late, except that if the lobbyist OR
CONSULTANT making a late filing has not previously been required by
S. 6411 74 A. 9011
statute to file such a report, the fee for late filing shall not exceed
ten dollars for each day that the report required to be filed is late.
(e) All reports filed pursuant to this subdivision shall be subject to
review by the commission. Such reports shall be kept in electronic form
by the commission and shall be available for public inspection.
S 9. Section 1-o of the legislative law, as added by chapter 14 of
the laws of 2007, is amended to read as follows:
S 1-o. Penalties. (a) (i) Any lobbyist, POLITICAL CONSULTANT, public
corporation, or client who knowingly and wilfully fails to file timely a
report or statement required by this section or knowingly and wilfully
files false information or knowingly and wilfully violates section one-m
of this article shall be guilty of a class A misdemeanor; and
(ii) any lobbyist, POLITICAL CONSULTANT, public corporation, or client
who knowingly and wilfully fails to file timely a report or statement
required by this section or knowingly and wilfully files false informa-
tion or knowingly and wilfully violates section one-m of this article,
after having previously been convicted in the preceding five years of
the crime described in paragraph (i) of this subdivision, shall be guil-
ty of a class E felony. Any lobbyist OR POLITICAL CONSULTANT convicted
of or pleading guilty to a felony under the provisions of this section
may be barred from acting as a lobbyist OR POLITICAL CONSULTANT for a
period of one year from the date of the conviction. For the purposes of
this subdivision, the chief administrative officer of any organization
required to file a statement or report shall be the person responsible
for making and filing such statement or report unless some other person
prior to the due date thereof has been duly designated to make and file
such statement or report.
(b)(i) A lobbyist, POLITICAL CONSULTANT, public corporation, or client
who knowingly and wilfully fails to file a statement or report within
the time required for the filing of such report or knowingly and wilful-
ly violates section one-m of this article shall be subject to a civil
penalty for each such failure or violation, in an amount not to exceed
the greater of twenty-five thousand dollars or three times the amount
the person failed to report properly or unlawfully contributed,
expended, gave or received, to be assessed by the commission.
(ii) A lobbyist, POLITICAL CONSULTANT, public corporation, or client
who knowingly and wilfully files a false statement or report shall be
subject to a civil penalty, in an amount not to exceed the greater of
fifty thousand dollars or five times the amount the person failed to
report properly, to be assessed by the commission.
(iii)(A) A lobbyist, POLITICAL CONSULTANT or client who knowingly and
wilfully violates the provisions of subdivision one of section one-n of
this article shall be subject to a civil penalty not to exceed ten thou-
sand dollars for an initial violation.
(B) If, after a lobbyist, POLITICAL CONSULTANT or client has been
found to have violated subdivision one of section one-n of this article,
a lobbyist, POLITICAL CONSULTANT or client knowingly and wilfully
violates the provisions of subdivision one of section one-n of this
article within four years of such finding, the lobbyist, POLITICAL
CONSULTANT or client shall be subject to a civil penalty not to exceed
twenty-five thousand dollars.
(iv) Any lobbyist, POLITICAL CONSULTANT or client that knowingly and
wilfully fails to file a statement or report within the time required
for the filing of such report, knowingly and wilfully files a false
statement or report, or knowingly and wilfully violates section one-m of
this article, after having been found by the commission to have [know-
S. 6411 75 A. 9011
ing] KNOWINGLY and wilfully committed such conduct or violation in the
preceding five years, may be subject to a determination that the lobby-
ist, POLITICAL CONSULTANT or client is prohibited from engaging in
lobbying activities, as that term is defined in paragraph (v) of subdi-
vision (c) of section one-c of this article, for a period of one year.
(v) Any lobbyist, POLITICAL CONSULTANT or client that knowingly and
wilfully engages in lobbying OR POLITICAL CONSULTING activities, as that
term is defined in paragraph (v) of subdivision (c) of section one-c of
this article, during the period in which they are prohibited from engag-
ing in lobbying OR POLITICAL CONSULTING activities, as that term is
defined in paragraph (v) of subdivision (c) of section one-c of this
article pursuant to this subdivision, may be subject to a determination
that the lobbyist, POLITICAL CONSULTANT or client is prohibited from
engaging in lobbying OR POLITICAL CONSULTING activities, as that term is
defined in paragraph (v) of subdivision (c) of section one-c of this
article, for a period of up to four years, and shall be subject to a
civil penalty not to exceed fifty thousand dollars, plus a civil penalty
in an amount equal to five times the value of any gift, compensation or
benefit received as a result of the violation.
(vi) A lobbyist, POLITICAL CONSULTANT, public corporation, or client
who knowingly and wilfully fails to retain their records pursuant to
paragraph three of subdivision (c) of section one-e of this article,
subparagraph (v) of paragraph five of subdivision (b) of section one-h
of this article, or paragraph five of subdivision (b) of section one-j
of this article shall be subject to a civil penalty in an amount of two
thousand dollars per violation to be assessed by the commission.
(c)(i) Any assessment or order to debar shall be determined only after
a hearing at which the party shall be entitled to appear, present
evidence and be heard. Any assessment or order to debar pursuant to this
section may only be imposed after the commission sends by certified and
first-class mail written notice of intent to assess a penalty or order
to debar and the basis for the penalty or order to debar. Any assessment
may be recovered in an action brought by the attorney general.
(ii) In assessing any fine or penalty pursuant to this section, the
commission shall consider: (A) as a mitigating factor that the lobbyist,
POLITICAL CONSULTANT, public corporation or client has not previously
been required to register, and (B) as an aggravating factor that the
lobbyist, POLITICAL CONSULTANT, public corporation or client has had
fines or penalties assessed against it in the past. The amount of
compensation expended, incurred or received shall be a factor to consid-
er in determining a proportionate penalty.
(iii) Any lobbyist, POLITICAL CONSULTANT, public corporation or client
who receives a notice of intent to assess a penalty for knowingly and
wilfully failing to file a report or statement pursuant to subdivision
(b) of this section and who has never previously received a notice of
intent to assess a penalty for failing to file a report or statement
required under this section shall be granted fifteen days within which
to file the statement of registration or report without being subject to
the fine or penalty set forth in subdivision (b) of this section. Upon
the failure of such lobbyist, POLITICAL CONSULTANT, public corporation
or client to file within such fifteen day period, such lobbyist, POLI-
TICAL CONSULTANT, public corporation or client shall be subject to a
fine or penalty pursuant to subdivision (b) of this section.
(d) All moneys recovered by the attorney general or received by the
commission from the assessment of civil penalties authorized by this
section shall be deposited to the general fund.
S. 6411 76 A. 9011
S 10. Section 1-r of the legislative law, as added by chapter 2 of the
laws of 1999 and as relettered by chapter 1 of the laws of 2005, is
amended to read as follows:
S 1-r. Publication of statement on lobbying AND POLITICAL CONSULTING
regulations. The commission shall publish a statement on lobbying AND
POLITICAL CONSULTING regulations setting forth the requirements of this
article in a clear and brief manner. Such statement shall contain an
explanation of the registration and filing requirements and the penal-
ties for violation thereof, together with such other information as the
commission shall determine, and copies thereof shall be made available
to the public at convenient locations throughout the state.
S 11. Section 1-s of the legislative law, as added by chapter 2 of the
laws of 1999 and as relettered by chapter 1 of the laws of 2005, is
amended to read as follows:
S 1-s. Public access to records; format of records and reports. The
commission shall make information furnished by lobbyists, POLITICAL
CONSULTANTS, and clients available to the public for inspection and
copying in electronic and paper formats. Access to such information
shall also be made available for remote computer users through the
internet network.
S 12. The section heading, the opening paragraph of subdivision (a)
and subdivisions (c) and (d) of section 1-t of the legislative law, as
added by chapter 1 of the laws of 2005, are amended to read as follows:
Advisory council on procurement lobbying AND POLITICAL CONSULTING.
There is hereby established an advisory council on procurement lobby-
ing AND POLITICAL CONSULTING. The council shall be composed of eleven
members as follows:
(c) The council shall provide advice to the commission with respect to
the implementation of the provisions of this article as such provisions
pertain to procurement lobbying AND POLITICAL CONSULTING.
(d) The council shall annually report to the legislature any problems
in the implementation of the provisions of this article as such
provisions pertain to procurement lobbying AND POLITICAL CONSULTING.
The council shall include in the report any recommended changes to
increase the effectiveness of that implementation.
S 13. Section 14-100 of the election law is amended by adding two new
subdivisions 15 and 16 to read as follows:
15. "POLITICAL CONSULTING" MEANS AND INCLUDES THE PROVISION FOR
COMPENSATION, TO ANY ELECTED STATE OR LOCAL PUBLIC OFFICIAL OF ADVICE,
SERVICES OR ASSISTANCE IN SECURING FUTURE STATE OR LOCAL PUBLIC OFFICE
INCLUDING, BUT NOT LIMITED TO, CAMPAIGN MANAGEMENT, FUNDRAISING ACTIV-
ITIES, PUBLIC RELATIONS OR MEDIA SERVICES, BUT SHALL EXCLUDE LEGAL WORK
DIRECTLY RELATED TO LITIGATION OR LEGAL ADVICE WITH REGARD TO SECURING A
PLACE ON THE BALLOT, THE PETITIONING PROCESS, THE CONDUCT OF AN ELECTION
OR WHICH INVOLVES THIS CHAPTER.
16. "COMPENSATION" MEANS ANY SALARY, FEE, GIFT, PAYMENT, BENEFIT,
LOAN, ADVANCE OR ANY OTHER THING OF VALUE PAID, OWED, GIVEN OR PROMISED,
BUT SHALL NOT INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO THIS ARTICLE.
S 14. Subdivision 1 of section 14-102 of the election law, as amended
by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the
laws of 1978, is amended to read as follows:
1. The treasurer of every political committee which, or any officer,
member or agent of any such committee who, in connection with any
election, receives or expends any money or other valuable thing or
incurs any liability to pay money or its equivalent shall file state-
ments sworn, or subscribed and bearing a form notice that false state-
S. 6411 77 A. 9011
ments made therein are punishable as a class A misdemeanor pursuant to
section 210.45 of the penal law, at the times prescribed by this article
setting forth all the receipts, contributions to and the expenditures by
and liabilities of the committee, and of its officers, members and
agents in its behalf. Such statements shall include the dollar amount of
any receipt, contribution or transfer, or the fair market value of any
receipt, contribution or transfer, which is other than of money, the
name and address of the transferor, contributor or person from whom
received, and if the transferor, contributor or person is a political
committee; the name of and the political unit represented by the commit-
tee, the date of its receipt, the dollar amount of every expenditure,
the name and address of the person to whom it was made or the name of
and the political unit represented by the committee to which it was made
and the date thereof, and shall state clearly the purpose of such
expenditure. FURTHERMORE, SUCH STATEMENTS SHALL INCLUDE A LIST OF ALL
PERSONS AND ORGANIZATIONS WHICH PROVIDED POLITICAL CONSULTING SERVICES,
AND THE FAIR MARKET VALUE OF AND THE ACTUAL AMOUNT PAID TO EACH SUCH
PERSON AND ORGANIZATION FOR THE PROVISION OF POLITICAL CONSULTING
SERVICES. Any statement reporting a loan shall have attached to it a
copy of the evidence of indebtedness. Expenditures in sums under fifty
dollars need not be specifically accounted for by separate items in said
statements, and receipts and contributions aggregating not more than
ninety-nine dollars, from any one contributor need not be specifically
accounted for by separate items in said statements, provided however,
that such expenditures, receipts and contributions shall be subject to
the other provisions of section 14-118 of this article.
S 15. Subdivision 1 of section 14-104 of the election law, as amended
by chapter 430 of the laws of 1997, is amended to read as follows:
1. Any candidate for election to public office, or for nomination for
public office at a contested primary election or convention, or for
election to a party position at a primary election, shall file state-
ments sworn, or subscribed and bearing a form notice that false state-
ments made therein are punishable as a class A misdemeanor pursuant to
section 210.45 of the penal law, at the times prescribed by this article
setting forth the particulars specified by section 14-102 of this arti-
cle, as to all moneys or other valuable things, paid, given, expended or
promised by him OR HER to aid his OR HER own nomination or election, or
to promote the success or defeat of a political party, or to aid or
influence the nomination or election or the defeat of any other candi-
date to be voted for at the election or primary election or at a conven-
tion, including contributions to political committees, officers, members
or agents thereof, and transfers, receipts and contributions to him to
be used for any of the purposes above specified, or in lieu thereof, any
such candidate may file such a sworn statement at the first filing peri-
od, on a form prescribed by the state board of elections that such
candidate has made no such expenditures and does not intend to make any
such expenditures, except through a political committee authorized by
such candidate pursuant to this article. FURTHERMORE, SUCH STATEMENTS
SHALL INCLUDE A LIST OF ALL PERSONS AND ORGANIZATIONS WHICH PROVIDED
POLITICAL CONSULTING SERVICES, AND THE FAIR MARKET VALUE OF AND THE
ACTUAL AMOUNT PAID TO EACH SUCH PERSON AND ORGANIZATION FOR THE
PROVISION OF POLITICAL CONSULTING SERVICES. A committee authorized by
such a candidate may fulfill all of the filing requirements of this act
on behalf of such candidate.
S 16. Subparagraph (O) of paragraph (x) of subdivision (c) of section
1-c of the legislative law is REPEALED.
S. 6411 78 A. 9011
S 17. Subdivision (u) of section 1-c of the legislative law is
REPEALED.
S 18. This act shall take effect on the thirtieth day after it shall
have become a law.
S 2. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall be confined in
its operation to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would have been enacted even if such
invalid provisions had not been included herein.
S 3. This act shall take effect immediately provided, however, that
the applicable effective date of Parts A through H of this act shall be
as specifically set forth in the last section of such Parts.
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