LBD01478-01-7
A. 6672 2
§ 1-BB. DEFINITIONS. AS USED IN THIS ARTICLE UNLESS THE CONTEXT OTHER-
WISE REQUIRES:
(A) THE TERM "CLIENT" SHALL MEAN EVERY PERSON OR ORGANIZATION WHO
RETAINS, EMPLOYS OR DESIGNATES ANY PERSON OR ORGANIZATION TO CARRY ON
CONSULTING ACTIVITIES ON BEHALF OF SUCH CLIENT.
(B) THE TERM "ORGANIZATION" SHALL MEAN ANY CORPORATION, COMPANY, FOUN-
DATION, ASSOCIATION, COLLEGE AS DEFINED BY SECTION TWO OF THE EDUCATION
LAW, LABOR ORGANIZATION, FIRM, PARTNERSHIP, SOCIETY, JOINT STOCK COMPA-
NY, STATE AGENCY OR PUBLIC CORPORATION.
(C) THE TERM "STATE AGENCY" SHALL MEAN ANY DEPARTMENT, BOARD, BUREAU,
COMMISSION, DIVISION, OFFICE, COUNCIL, COMMITTEE OR OFFICER OF THE
STATE, WHETHER PERMANENT OR TEMPORARY, OR A PUBLIC BENEFIT CORPORATION
OR PUBLIC AUTHORITY AT LEAST ONE OF WHOSE MEMBERS IS APPOINTED BY THE
GOVERNOR, AUTHORIZED BY LAW TO MAKE RULES OR TO MAKE FINAL DECISIONS IN
ADJUDICATORY PROCEEDINGS BUT SHALL NOT INCLUDE THE JUDICIAL BRANCH OR
AGENCIES CREATED BY INTERSTATE COMPACT OR INTERNATIONAL AGREEMENT.
(D) THE TERM "COMMISSION" SHALL MEAN THE JOINT COMMISSION ON PUBLIC
ETHICS CREATED BY SECTION NINETY-FOUR OF THE EXECUTIVE LAW.
(E) THE TERM "EXPENSE" OR "EXPENSES" SHALL MEAN ANY EXPENDITURES
INCURRED BY OR REIMBURSED TO THE CONSULTANT FOR CONSULTING BUT SHALL NOT
INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO ARTICLE FOURTEEN OF THE
ELECTION LAW.
(F) 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 CONSULTANT BY THE CLIENT FOR CONSULTING BUT SHALL NOT
INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO ARTICLE FOURTEEN OF THE
ELECTION LAW.
(G) THE TERM "PUBLIC CORPORATION" SHALL MEAN A MUNICIPAL CORPORATION,
A DISTRICT CORPORATION, OR A PUBLIC BENEFIT CORPORATION AS DEFINED IN
SECTION SIXTY-SIX OF THE GENERAL CONSTRUCTION LAW.
(H) THE TERM "GIFT" SHALL MEAN ANYTHING OF MORE THAN NOMINAL VALUE
GIVEN TO A PUBLIC OFFICIAL IN ANY FORM INCLUDING, BUT NOT LIMITED TO
MONEY, SERVICE, LOAN, TRAVEL, LODGING, MEALS, REFRESHMENTS, ENTER-
TAINMENT, DISCOUNT, FORBEARANCE, OR PROMISE, HAVING A MONETARY VALUE.
THE FOLLOWING ARE EXCLUDED FROM THE DEFINITION OF A GIFT:
(I) COMPLIMENTARY ATTENDANCE, INCLUDING FOOD AND BEVERAGE, AT BONA
FIDE CHARITABLE OR POLITICAL EVENTS;
(II) COMPLIMENTARY ATTENDANCE, FOOD AND BEVERAGE OFFERED BY THE SPON-
SOR OF A WIDELY ATTENDED EVENT. THE TERM "WIDELY ATTENDED EVENT" SHALL
MEAN AN EVENT: (A) WHICH AT LEAST TWENTY-FIVE INDIVIDUALS OTHER THAN
MEMBERS, OFFICERS, OR EMPLOYEES FROM THE GOVERNMENTAL ENTITY IN WHICH
THE PUBLIC OFFICIAL SERVES ATTEND OR WERE, IN GOOD FAITH, INVITED TO
ATTEND, AND (B) WHICH IS RELATED TO THE ATTENDEE'S DUTIES OR RESPONSI-
BILITIES OR WHICH ALLOWS THE PUBLIC OFFICIAL TO PERFORM A CEREMONIAL
FUNCTION APPROPRIATE TO HIS OR HER POSITION. FOR THE PURPOSES OF THIS
EXCLUSION, A PUBLIC OFFICIAL'S DUTIES OR RESPONSIBILITIES SHALL INCLUDE
BUT NOT BE LIMITED TO EITHER (1) ATTENDING AN EVENT OR A MEETING AT
WHICH A SPEAKER OR ATTENDEE ADDRESSES AN ISSUE OF PUBLIC INTEREST OR
CONCERN AS A SIGNIFICANT ACTIVITY AT SUCH EVENT OR MEETING; OR (2) FOR
ELECTED PUBLIC OFFICIALS, OR THEIR STAFF ATTENDING WITH OR ON BEHALF OF
SUCH ELECTED OFFICIALS, ATTENDING AN EVENT OR A MEETING AT WHICH MORE
THAN ONE-HALF OF THE ATTENDEES, OR PERSONS INVITED IN GOOD FAITH TO
ATTEND, ARE RESIDENTS OF THE COUNTY, DISTRICT OR JURISDICTION FROM WHICH
THE ELECTED PUBLIC OFFICIAL WAS ELECTED;
(III) AWARDS, PLAQUES, AND OTHER CEREMONIAL ITEMS WHICH ARE PUBLICLY
PRESENTED, OR INTENDED TO BE PUBLICLY PRESENTED, IN RECOGNITION OF
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PUBLIC SERVICE, PROVIDED THAT THE ITEM OR ITEMS ARE OF THE TYPE CUSTOM-
ARILY BESTOWED AT SUCH OR SIMILAR CEREMONIES AND ARE OTHERWISE REASON-
ABLE UNDER THE CIRCUMSTANCES, AND FURTHER PROVIDED THAT THE FUNCTIONALI-
TY OF SUCH ITEMS SHALL NOT DETERMINE WHETHER SUCH ITEMS ARE PERMITTED
UNDER THIS PARAGRAPH;
(IV) AN HONORARY DEGREE BESTOWED UPON A PUBLIC OFFICIAL BY A PUBLIC OR
PRIVATE COLLEGE OR UNIVERSITY;
(V) PROMOTIONAL ITEMS HAVING NO SUBSTANTIAL RESALE VALUE SUCH AS PENS,
MUGS, CALENDARS, HATS, AND T-SHIRTS WHICH BEAR AN ORGANIZATION'S NAME,
LOGO, OR MESSAGE IN A MANNER WHICH PROMOTES THE ORGANIZATION'S CAUSE;
(VI) GOODS AND SERVICES, OR DISCOUNTS FOR GOODS AND SERVICES, OFFERED
TO THE GENERAL PUBLIC OR A SEGMENT OF THE GENERAL PUBLIC DEFINED ON A
BASIS OTHER THAN STATUS AS A PUBLIC OFFICIAL AND OFFERED ON THE SAME
TERMS AND CONDITIONS AS THE GOODS OR SERVICES ARE OFFERED TO THE GENERAL
PUBLIC OR SEGMENT THEREOF;
(VII) GIFTS FROM A FAMILY MEMBER, MEMBER OF THE SAME HOUSEHOLD, OR
PERSON WITH A PERSONAL RELATIONSHIP WITH THE PUBLIC OFFICIAL, INCLUDING
INVITATIONS TO ATTEND PERSONAL OR FAMILY SOCIAL EVENTS, WHEN THE CIRCUM-
STANCES ESTABLISH THAT IT IS THE FAMILY, HOUSEHOLD, OR PERSONAL
RELATIONSHIP THAT IS THE PRIMARY MOTIVATING FACTOR; IN DETERMINING MOTI-
VATION, THE FOLLOWING FACTORS SHALL BE AMONG THOSE CONSIDERED: (A) THE
HISTORY AND NATURE OF THE RELATIONSHIP BETWEEN THE DONOR AND THE RECIPI-
ENT, INCLUDING WHETHER OR NOT ITEMS HAVE PREVIOUSLY BEEN EXCHANGED; (B)
WHETHER THE ITEM WAS PURCHASED BY THE DONOR; AND (C) WHETHER OR NOT THE
DONOR AT THE SAME TIME GAVE SIMILAR ITEMS TO OTHER PUBLIC OFFICIALS; THE
TRANSFER SHALL NOT BE CONSIDERED TO BE MOTIVATED BY A FAMILY, HOUSEHOLD,
OR PERSONAL RELATIONSHIP IF THE DONOR SEEKS TO CHARGE OR DEDUCT THE
VALUE OF SUCH ITEM AS A BUSINESS EXPENSE OR SEEKS REIMBURSEMENT FROM A
CLIENT;
(VIII) CONTRIBUTIONS REPORTABLE UNDER ARTICLE FOURTEEN OF THE ELECTION
LAW, INCLUDING CONTRIBUTIONS MADE IN VIOLATION OF THAT ARTICLE OF THE
ELECTION LAW;
(IX) TRAVEL REIMBURSEMENT OR PAYMENT FOR TRANSPORTATION, MEALS AND
ACCOMMODATIONS FOR AN ATTENDEE, PANELIST OR SPEAKER AT AN INFORMATIONAL
EVENT OR INFORMATIONAL MEETING WHEN SUCH REIMBURSEMENT OR PAYMENT IS
MADE BY A GOVERNMENTAL ENTITY OR BY AN IN-STATE ACCREDITED PUBLIC OR
PRIVATE INSTITUTION OF HIGHER EDUCATION THAT HOSTS THE EVENT ON ITS
CAMPUS, PROVIDED, HOWEVER, THAT THE PUBLIC OFFICIAL MAY ONLY ACCEPT
LODGING FROM AN INSTITUTION OF HIGHER EDUCATION: (A) AT A LOCATION ON OR
WITHIN CLOSE PROXIMITY TO THE HOST CAMPUS; AND (B) FOR THE NIGHT PRECED-
ING AND THE NIGHTS OF THE DAYS ON WHICH THE ATTENDEE, PANELIST OR SPEAK-
ER ACTUALLY ATTENDS THE EVENT OR MEETING;
(X) PROVISION OF LOCAL TRANSPORTATION TO INSPECT OR TOUR FACILITIES,
OPERATIONS OR PROPERTY LOCATED IN NEW YORK STATE, PROVIDED, HOWEVER,
THAT SUCH INSPECTION OR TOUR IS RELATED TO THE INDIVIDUAL'S OFFICIAL
DUTIES OR RESPONSIBILITIES AND THAT PAYMENT OR REIMBURSEMENT FOR
EXPENSES FOR LODGING OR TRAVEL EXPENSES TO AND FROM THE LOCALITY WHERE
SUCH FACILITIES, OPERATIONS OR PROPERTY ARE LOCATED SHALL BE CONSIDERED
TO BE GIFTS UNLESS OTHERWISE PERMITTED UNDER THIS SUBDIVISION;
(XI) MEALS OR REFRESHMENTS WHEN PARTICIPATING IN A PROFESSIONAL OR
EDUCATIONAL PROGRAM AND THE MEALS OR REFRESHMENTS ARE PROVIDED TO ALL
PARTICIPANTS; AND
(XII) FOOD OR BEVERAGE VALUED AT FIFTEEN DOLLARS OR LESS.
(I) THE TERM "MUNICIPALITY" SHALL MEAN ANY JURISDICTIONAL SUBDIVISION
OF THE STATE, INCLUDING BUT NOT LIMITED TO COUNTIES, CITIES, TOWNS,
VILLAGES, IMPROVEMENT DISTRICTS AND SPECIAL DISTRICTS, WITH A POPULATION
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OF MORE THAN FIVE THOUSAND, AND INDUSTRIAL DEVELOPMENT AGENCIES IN
JURISDICTIONAL SUBDIVISIONS WITH A POPULATION OF MORE THAN FIVE THOU-
SAND; AND PUBLIC AUTHORITIES, AND PUBLIC CORPORATIONS.
(J) THE TERM "PUBLIC OFFICIAL" SHALL MEAN:
(I) THE GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENER-
AL;
(II) MEMBERS OF THE STATE LEGISLATURE;
(III) STATE OFFICERS AND EMPLOYEES INCLUDING:
(A) HEADS OF STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS OTHER
THAN MEMBERS OF THE BOARD OF REGENTS OF THE UNIVERSITY OF THE STATE OF
NEW YORK WHO RECEIVE NO COMPENSATION OR ARE COMPENSATED ON A PER DIEM
BASIS,
(B) OFFICERS AND EMPLOYEES OF STATEWIDE ELECTED OFFICIALS,
(C) OFFICERS AND EMPLOYEES OF STATE DEPARTMENTS, BOARDS, BUREAUS,
DIVISIONS, COMMISSIONS, COUNCILS OR OTHER STATE AGENCIES,
(D) MEMBERS OR DIRECTORS OF PUBLIC AUTHORITIES, OTHER THAN MULTI-STATE
AUTHORITIES, PUBLIC BENEFIT CORPORATIONS AND COMMISSIONS AT LEAST ONE OF
WHOSE MEMBERS IS APPOINTED BY THE GOVERNOR, AND EMPLOYEES OF SUCH
AUTHORITIES, CORPORATIONS AND COMMISSIONS;
(IV) OFFICERS AND EMPLOYEES OF THE LEGISLATURE; AND
(V) MUNICIPAL OFFICERS AND EMPLOYEES INCLUDING AN OFFICER OR EMPLOYEE
OF A MUNICIPALITY, WHETHER PAID OR UNPAID, INCLUDING MEMBERS OF ANY
ADMINISTRATIVE BOARD, COMMISSION OR OTHER AGENCY THEREOF AND IN THE CASE
OF A COUNTY, SHALL BE DEEMED TO ALSO INCLUDE ANY OFFICER OR EMPLOYEE
PAID FROM COUNTY FUNDS. NO PERSON SHALL BE DEEMED TO BE A MUNICIPAL
OFFICER OR EMPLOYEE SOLELY BY REASON OF BEING A VOLUNTEER FIREFIGHTER OR
CIVIL DEFENSE VOLUNTEER, EXCEPT A FIRE CHIEF OR ASSISTANT FIRE CHIEF.
(K) THE TERM "RESTRICTED PERIOD" SHALL MEAN THE PERIOD OF TIME
COMMENCING WITH THE EARLIEST WRITTEN NOTICE, ADVERTISEMENT OR SOLICITA-
TION OF A REQUEST FOR PROPOSAL, INVITATION FOR BIDS, OR SOLICITATION OF
PROPOSALS, OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS
INTENDING TO RESULT IN A PROCUREMENT CONTRACT WITH A STATE AGENCY,
EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, OR A
MUNICIPAL AGENCY, AS THAT TERM IS DEFINED BY PARAGRAPH (II) OF SUBDIVI-
SION (Q) OF THIS SECTION, AND ENDING WITH THE FINAL CONTRACT AWARD AND
APPROVAL BY THE STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE
UNIFIED COURT SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED BY
PARAGRAPH (II) OF SUBDIVISION (Q) OF THIS SECTION, AND, WHERE APPLICA-
BLE, THE STATE COMPTROLLER.
(L) THE TERM "REVENUE CONTRACT" SHALL MEAN ANY WRITTEN AGREEMENT
BETWEEN A STATE OR MUNICIPAL AGENCY OR A LOCAL LEGISLATIVE BODY AND AN
OFFERER WHEREBY THE STATE OR MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY
GIVES OR GRANTS A CONCESSION OR A FRANCHISE.
(M) THE TERM "ARTICLE OF PROCUREMENT" SHALL MEAN A COMMODITY, SERVICE,
TECHNOLOGY, PUBLIC WORK, CONSTRUCTION, REVENUE CONTRACT, THE PURCHASE,
SALE OR LEASE OF REAL PROPERTY OR AN ACQUISITION OR GRANTING OF OTHER
INTEREST IN REAL PROPERTY, THAT IS THE SUBJECT OF A GOVERNMENTAL
PROCUREMENT.
(N) THE TERM "GOVERNMENTAL PROCUREMENT" SHALL MEAN: (I) THE PUBLIC
ANNOUNCEMENT, PUBLIC NOTICE, OR PUBLIC COMMUNICATION TO ANY POTENTIAL
VENDOR OF A DETERMINATION OF NEED FOR A PROCUREMENT, WHICH SHALL
INCLUDE, BUT NOT BE LIMITED TO, THE PUBLIC NOTIFICATION OF THE SPECIFI-
CATIONS, BID DOCUMENTS, REQUEST FOR PROPOSALS, OR EVALUATION CRITERIA
FOR A PROCUREMENT CONTRACT, (II) SOLICITATION FOR A PROCUREMENT
CONTRACT, (III) EVALUATION OF A PROCUREMENT CONTRACT, (IV) AWARD,
APPROVAL, DENIAL OR DISAPPROVAL OF A PROCUREMENT CONTRACT, OR (V)
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APPROVAL OR DENIAL OF AN ASSIGNMENT, AMENDMENT (OTHER THAN AMENDMENTS
THAT ARE AUTHORIZED AND PAYABLE UNDER THE TERMS OF THE PROCUREMENT
CONTRACT AS IT WAS FINALLY AWARDED OR APPROVED BY THE COMPTROLLER, AS
APPLICABLE), RENEWAL OR EXTENSION OF A PROCUREMENT CONTRACT, OR ANY
OTHER MATERIAL CHANGE IN THE PROCUREMENT CONTRACT RESULTING IN A FINAN-
CIAL BENEFIT TO THE OFFERER.
(O) THE TERM "OFFERER" SHALL MEAN THE INDIVIDUAL OR ENTITY, OR ANY
EMPLOYEE, AGENT OR CONSULTANT OF SUCH INDIVIDUAL OR ENTITY, THAT
CONTACTS A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE
UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY ABOUT
A GOVERNMENTAL PROCUREMENT PROVIDED, HOWEVER, THAT A GOVERNMENTAL AGENCY
OR ITS EMPLOYEES THAT COMMUNICATE WITH THE PROCURING AGENCY REGARDING A
GOVERNMENTAL PROCUREMENT IN THE EXERCISE OF ITS OVERSIGHT DUTIES SHALL
NOT BE CONSIDERED AN OFFERER.
(P) THE TERM "PROCUREMENT CONTRACT" SHALL MEAN ANY CONTRACT OR OTHER
AGREEMENT, INCLUDING AN AMENDMENT, EXTENSION, RENEWAL, OR CHANGE ORDER
TO AN EXISTING CONTRACT (OTHER THAN AMENDMENTS, EXTENSIONS, RENEWALS, OR
CHANGE ORDERS THAT ARE AUTHORIZED AND PAYABLE UNDER THE TERMS OF THE
CONTRACT AS IT WAS FINALLY AWARDED OR APPROVED BY THE COMPTROLLER, AS
APPLICABLE), FOR AN ARTICLE OF PROCUREMENT INVOLVING AN ESTIMATED ANNU-
ALIZED EXPENDITURE IN EXCESS OF FIFTEEN THOUSAND DOLLARS. GRANTS, ARTI-
CLE XI-B STATE FINANCE LAW CONTRACTS, PROGRAM CONTRACTS BETWEEN NOT-FOR-
PROFIT ORGANIZATIONS, AS DEFINED IN ARTICLE XI-B OF THE STATE FINANCE
LAW, AND THE UNIFIED COURT SYSTEM, INTERGOVERNMENTAL AGREEMENTS, RAIL-
ROAD AND UTILITY FORCE ACCOUNTS, UTILITY RELOCATION PROJECT AGREEMENTS
OR ORDERS, CONTRACTS GOVERNING ORGAN TRANSPLANTS, CONTRACTS ALLOWING FOR
STATE PARTICIPATION IN TRADE SHOWS, AND EMINENT DOMAIN TRANSACTIONS
SHALL NOT BE DEEMED PROCUREMENT CONTRACTS.
(Q) THE TERM "MUNICIPAL AGENCY" SHALL MEAN: (I) ANY DEPARTMENT, BOARD,
BUREAU, COMMISSION, DIVISION, OFFICE, COUNCIL, COMMITTEE OR OFFICER OF A
MUNICIPALITY, WHETHER PERMANENT OR TEMPORARY; OR (II) AN INDUSTRIAL
DEVELOPMENT AGENCY, LOCATED IN A JURISDICTIONAL SUBDIVISION OF THE STATE
WITH A POPULATION OF MORE THAN FIFTY THOUSAND, OR LOCAL PUBLIC BENEFIT
CORPORATION, AS THAT TERM IS DEFINED IN SECTION SIXTY-SIX OF THE GENERAL
CONSTRUCTION LAW.
(R) THE TERM "LOCAL LEGISLATIVE BODY" SHALL MEAN THE BOARD OF SUPERVI-
SORS, BOARD OF ALDERMEN, COMMON COUNCIL, COUNCIL, COMMISSION, TOWN
BOARD, BOARD OF TRUSTEES OR OTHER ELECTIVE GOVERNING BOARD OR BODY OF A
MUNICIPALITY NOW OR HEREAFTER VESTED BY STATE STATUTE, CHARTER OR OTHER
LAW WITH JURISDICTION TO INITIATE AND ADOPT LOCAL LAWS, ORDINANCES AND
BUDGETS, WHETHER OR NOT SUCH LOCAL LAWS, ORDINANCES OR BUDGETS REQUIRE
APPROVAL OF THE ELECTIVE CHIEF EXECUTIVE OFFICER OR OTHER OFFICIAL OR
BODY TO BECOME EFFECTIVE.
(S) THE TERM "COMMISSION SALESPERSON" SHALL MEAN ANY PERSON THE PRIMA-
RY PURPOSE OF WHOSE EMPLOYMENT IS TO CAUSE OR PROMOTE THE SALE OF, OR TO
INFLUENCE OR INDUCE ANOTHER TO MAKE A PURCHASE OF AN ARTICLE OF PROCURE-
MENT, WHETHER SUCH PERSON IS AN EMPLOYEE (AS THAT TERM IS DEFINED FOR
TAX PURPOSES) OF OR AN INDEPENDENT CONTRACTOR FOR A VENDOR, PROVIDED
THAT AN INDEPENDENT CONTRACTOR SHALL HAVE A WRITTEN CONTRACT FOR A TERM
OF NOT LESS THAN SIX MONTHS OR FOR AN INDEFINITE TERM, AND WHICH PERSON
SHALL BE COMPENSATED, IN WHOLE OR IN PART, BY THE PAYMENT OF A PERCENT-
AGE AMOUNT OF ALL OR A SUBSTANTIAL PART OF THE SALES WHICH SUCH PERSON
HAS CAUSED, PROMOTED, INFLUENCED OR INDUCED, PROVIDED, HOWEVER, THAT NO
PERSON SHALL BE CONSIDERED A COMMISSION SALESPERSON WITH RESPECT TO ANY
SALE TO OR PURCHASE BY A STATE AGENCY, EITHER HOUSE OF THE STATE LEGIS-
LATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLA-
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TIVE BODY IF THE PERCENTAGE AMOUNT OF ANY COMMISSION PAYABLE WITH
RESPECT TO SUCH SALE OR PURCHASE IS SUBSTANTIALLY IN EXCESS OF ANY
COMMISSION PAYABLE WITH RESPECT TO ANY COMPARABLE SALE TO A PURCHASER
THAT IS NOT A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE
UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY;
PROVIDED FURTHER, HOWEVER, THAT ANY PERSON THAT IS REQUIRED TO FILE A
STATEMENT OR REPORT PURSUANT TO THIS ARTICLE BY VIRTUE OF ENGAGING IN
CONSULTING ACTIVITIES SHALL NOT BE DEEMED TO BE A "COMMISSION SALESPER-
SON" FOR PURPOSES OF THIS ARTICLE.
(T) THE TERM "UNIFIED COURT SYSTEM" SHALL, FOR THE PURPOSES OF THIS
ARTICLE ONLY, MEAN THE UNIFIED COURT SYSTEM OF THE STATE OF NEW YORK, OR
THE OFFICE OF COURT ADMINISTRATION, WHERE APPROPRIATE, OTHER THAN TOWN
AND VILLAGE JUSTICE COURTS IN JURISDICTIONS WITH A POPULATION UNDER
FIFTY THOUSAND, WHEN IT ACTS SOLELY IN AN ADMINISTRATIVE CAPACITY TO
ENGAGE IN GOVERNMENTAL PROCUREMENTS AND SHALL NOT INCLUDE THE UNIFIED
COURT SYSTEM OR ANY COURT OF THE STATE JUDICIARY WHEN IT ACTS TO HEAR
AND DECIDE CASES OF ORIGINAL OR APPELLATE JURISDICTION OR OTHERWISE ACTS
IN ITS JUDICIAL, AS OPPOSED TO ADMINISTRATIVE, CAPACITY.
(U) THE TERM "REPORTABLE BUSINESS RELATIONSHIP" SHALL MEAN A RELATION-
SHIP IN WHICH COMPENSATION IS PAID BY A CONSULTANT OR BY A CLIENT OF A
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 CONSULTANT OR THE CLIENT OF A CONSULTANT KNOWS OR HAS REASON
TO KNOW THE STATEWIDE ELECTED OFFICIAL, STATE OFFICER, STATE EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE IS A PROPRIETOR, PART-
NER, 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 CORPO-
RATION WHOSE STOCK IS REGULARLY TRADED ON AN ESTABLISHED SECURITIES
EXCHANGE).
(V) THE TERM "BUSINESS DEALINGS" SHALL MEAN (I) ANY CONTRACT, OTHER
THAN AN EMERGENCY CONTRACT OR A CONTRACT PROCURED THROUGH PUBLICLY-AD-
VERTISED COMPETITIVE SEALED BIDDING, WHICH IS FOR THE PROCUREMENT OF
GOODS, SERVICES OR CONSTRUCTION THAT IS ENTERED INTO OR IN EFFECT WITH
THE PUBLIC CORPORATION AT OR ABOVE FIVE HUNDRED THOUSAND DOLLARS, OR AN
EMERGENCY CONTRACT, AND SHALL INCLUDE ANY CONTRACT FOR THE UNDERWRITING
OF THE DEBT OF THE PUBLIC CORPORATION AND THE RETENTION OF ANY BOND
COUNSEL, DISCLOSURE COUNSEL OR UNDERWRITER'S COUNSEL IN CONNECTION THER-
EWITH; (II) ANY ACQUISITION OR DISPOSITION OF REAL PROPERTY, OTHER THAN
A PUBLIC AUCTION OR COMPETITIVE SEALED BID TRANSACTION OR THE ACQUISI-
TION OF PROPERTY PURSUANT TO THE DEPARTMENT OF ENVIRONMENTAL PROTECTION
WATERSHED LAND ACQUISITION PROGRAM, WITH THE PUBLIC CORPORATION; (III)
ANY CONCESSION, OTHER THAN A CONCESSION AWARDED THROUGH PUBLICLY-ADVER-
TISED COMPETITIVE SEALED BID, OR ANY FRANCHISE FROM A PUBLIC CORPORATION
WHICH HAS AN ESTIMATED ANNUAL VALUE AT OR ABOVE THE DOLLAR VALUE DEFINED
IN PARAGRAPH (II) OF SUBDIVISION (W) OF THIS SECTION; OR (IV) ANY
CONTRACT FOR THE INVESTMENT OF PENSION FUNDS, INCLUDING INVESTMENTS IN A
PRIVATE EQUITY FIRM AND CONTRACTS WITH INVESTMENT RELATED CONSULTANTS.
FOR PURPOSES OF THIS ARTICLE, ALL CONTRACTS, CONCESSIONS, FRANCHISES AND
GRANTS THAT ARE FIVE THOUSAND DOLLARS OR LESS IN VALUE SHALL BE EXCLUDED
FROM ANY CALCULATION AS TO WHETHER A CONTRACT, CONCESSION, FRANCHISE OR
GRANT IS A BUSINESS DEALING WITH THE PUBLIC CORPORATION.
(W) THE TERM "CONTRACT" SHALL MEAN AND INCLUDE ANY AGREEMENT BETWEEN A
PUBLIC CORPORATION OR ELECTED OFFICIAL AND A CONTRACTOR, OR ANY AGREE-
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MENT BETWEEN SUCH A CONTRACTOR AND A SUBCONTRACTOR, WHICH (I) IS FOR THE
PROVISION OF GOODS, SERVICES OR CONSTRUCTION AND HAS A VALUE THAT WHEN
AGGREGATED WITH THE VALUES OF ALL OTHER SUCH AGREEMENTS WITH THE SAME
CONTRACTOR OR SUBCONTRACTOR AND ANY FRANCHISES OR CONCESSIONS AWARDED TO
SUCH CONTRACTOR OR SUBCONTRACTOR DURING THE IMMEDIATELY PRECEDING
TWELVE-MONTH PERIOD IS VALUED AT ONE HUNDRED THOUSAND DOLLARS OR MORE;
(II) IS FOR THE PROVISION OF GOODS, SERVICES OR CONSTRUCTION, IS AWARDED
TO A SOLE SOURCE AND IS VALUED AT TEN THOUSAND DOLLARS OR MORE; (III) IS
A CONCESSION AND HAS A VALUE THAT WHEN AGGREGATED WITH THE VALUE OF ALL
OTHER CONTRACTS HELD BY THE SAME CONCESSIONAIRE IS VALUED AT ONE HUNDRED
THOUSAND DOLLARS OR MORE; OR (IV) IS A FRANCHISE.
§ 1-CC. POWERS OF THE COMMISSION. IN ADDITION TO ANY OTHER POWERS AND
DUTIES PROVIDED BY SECTION NINETY-FOUR OF THE EXECUTIVE LAW, THE COMMIS-
SION SHALL, WITH RESPECT TO ITS CONSULTANT-RELATED FUNCTIONS 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 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 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
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-GG OF THIS ARTICLE
AND MAY MEET AT SUCH OTHER TIMES AS THE COMMISSION, OR THE CHAIR AND
VICE-CHAIR JOINTLY, SHALL DETERMINE;
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(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 CONSULT-
ANT'S 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 CONSULTANTS PURSUANT TO SECTION ONE-DD OF THIS ARTICLE. THE
CURRICULUM FOR THE COURSE SHALL INCLUDE, BUT NOT BE LIMITED TO, EXPLANA-
TIONS 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 METH-
ODS AND MATERIALS NECESSARY TO IMPLEMENT THE CURRICULUM. EACH INDIVIDUAL
REGISTERED AS A CONSULTANT PURSUANT TO SECTION ONE-DD 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 CONSULTANT.
§ 1-DD. STATEMENT OF REGISTRATION. (A) (I) EVERY 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 CONSULTANT WHO (A) IN ANY YEAR DOES NOT EXPEND, INCUR OR RECEIVE
AN AMOUNT IN EXCESS OF TWO THOUSAND DOLLARS FOR YEARS PRIOR TO TWO THOU-
SAND SIX AND IN EXCESS OF FIVE THOUSAND DOLLARS IN THE YEAR TWO THOUSAND
SIX AND THE YEARS THEREAFTER OF REPORTABLE COMPENSATION AND EXPENSES, AS
PROVIDED IN PARAGRAPH (V) OF SUBDIVISION (B) OF SECTION ONE-GG OF THIS
ARTICLE, FOR THE PURPOSES OF CONSULTING OR (B) IS AN OFFICER, DIRECTOR,
TRUSTEE OR EMPLOYEE OF ANY PUBLIC CORPORATION, WHEN ACTING IN SUCH OFFI-
CIAL 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 CONSULTING ACTIVITIES SHALL BE COMPUTED CUMULATIVELY FOR ALL
CONSULTING ACTIVITIES WHEN DETERMINING WHETHER THE THRESHOLDS SET FORTH
IN THIS SECTION HAVE BEEN MET.
(II) (A) THROUGH CALENDAR YEAR TWO THOUSAND TWENTY-TWO, SUCH FILING
SHALL BE COMPLETED ON OR BEFORE JANUARY FIRST BY THOSE PERSONS WHO HAVE
BEEN RETAINED, EMPLOYED OR DESIGNATED AS CONSULTANT ON OR BEFORE DECEM-
BER 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
CONSULTANTS RETAINED, EMPLOYED OR DESIGNATED AFTER DECEMBER FIFTEENTH,
AND FOR THOSE 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.
A. 6672 9
(B) FOR CALENDAR YEAR TWO THOUSAND TWENTY-THREE, SUCH FILINGS SHALL BE
COMPLETED ON OR BEFORE JANUARY FIRST BY THOSE PERSONS WHO HAVE BEEN
RETAINED, EMPLOYED OR DESIGNATED AS CONSULTANT ON OR BEFORE DECEMBER
FIFTEENTH, TWO THOUSAND TWENTY-TWO 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 CONSULTANTS RETAINED, EMPLOYED OR DESIGNATED AFTER
DECEMBER FIFTEENTH, TWO THOUSAND TWENTY-TWO, AND FOR THOSE 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 THEREAFT-
ER, BUT IN NO EVENT LATER THAN TEN DAYS AFTER THE ACTUAL INCURRING OR
RECEIVING OF SUCH REPORTABLE COMPENSATION AND EXPENSES.
(III) COMMENCING CALENDAR YEAR TWO THOUSAND TWENTY-FOUR AND THEREAFTER
EVERY CONSULTANT SHALL BIENNIALLY FILE WITH THE COMMISSION, ON FORMS
PROVIDED BY THE COMMISSION, A STATEMENT OF REGISTRATION FOR EACH BIENNI-
AL PERIOD BEGINNING WITH THE FIRST YEAR OF THE BIENNIAL CYCLE COMMENCING
CALENDAR YEAR TWO THOUSAND TWENTY-FOUR AND THEREAFTER; PROVIDED, HOWEV-
ER, THAT THE BIENNIAL FILING OF SUCH STATEMENT OF REGISTRATION SHALL NOT
BE REQUIRED OF ANY CONSULTANT WHO (A) IN ANY YEAR PRIOR TO CALENDAR YEAR
TWO THOUSAND TWENTY-FIVE DOES NOT EXPEND, INCUR OR RECEIVE AN AMOUNT IN
EXCESS OF TWO THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND EXPENSES,
AS PROVIDED IN PARAGRAPH (V) OF SUBDIVISION (B) OF SECTION ONE-GG OF
THIS ARTICLE, FOR THE PURPOSES OF CONSULTING AND COMMENCING WITH CALEN-
DAR YEAR TWO THOUSAND EIGHTEEN DOES NOT EXPEND, INCUR OR RECEIVE AN
AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION, AS
PROVIDED IN PARAGRAPH (V) OF SUBDIVISION (B) OF SECTION ONE-GG OF THIS
ARTICLE FOR THE PURPOSES OF CONSULTING OR (B) IS AN OFFICER, DIRECTOR,
TRUSTEE OR EMPLOYEE OF ANY PUBLIC CORPORATION, WHEN ACTING IN SUCH OFFI-
CIAL 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.
(IV) 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 TWENTY-FOUR AND THEREAFTER, BY THOSE PERSONS WHO HAVE BEEN
RETAINED, EMPLOYED OR DESIGNATED AS 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 THOU-
SAND DOLLARS IN YEARS PRIOR TO CALENDAR YEAR TWO THOUSAND TWENTY-FIVE
AND FIVE THOUSAND DOLLARS COMMENCING IN TWO THOUSAND TWENTY-FIVE; FOR
THOSE CONSULTANTS RETAINED, EMPLOYED OR DESIGNATED AFTER THE PREVIOUS
DECEMBER FIFTEENTH, AND FOR THOSE 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:
A. 6672 10
(I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CONSULTANT, AND IF
THE CONSULTANT IS AN ORGANIZATION THE NAMES, ADDRESSES AND TELEPHONE
NUMBERS OF ANY OFFICER OR EMPLOYEE OF SUCH CONSULTANT WHO ENGAGES IN ANY
CONSULTING ACTIVITIES OR WHO IS EMPLOYED IN AN ORGANIZATION'S DIVISION
THAT ENGAGES IN CONSULTING ACTIVITIES OF THE ORGANIZATION;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR
ON WHOSE BEHALF THE CONSULTANT IS RETAINED, EMPLOYED OR DESIGNATED;
(III) IF SUCH 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;
(IV) A WRITTEN AUTHORIZATION FROM THE CLIENT BY WHOM THE CONSULTANT IS
AUTHORIZED TO CONSULT, UNLESS SUCH CONSULTANT HAS FILED A WRITTEN AGREE-
MENT OF RETAINER OR EMPLOYMENT PURSUANT TO PARAGRAPH THREE OF THIS
SUBDIVISION;
(V) THE FOLLOWING INFORMATION ON WHICH THE CONSULTANT EXPECTS TO
CONSULT: (A) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS, (B) THE
LEGISLATIVE BILL NUMBERS OF ANY BILLS, (C) 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, (D) THE
SUBJECT MATTER OF AND TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORAN-
DA OF UNDERSTANDING, OR ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY STATE
ACTIONS RELATED TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. § 2701, (E)
THE RULE, REGULATION, AND RATEMAKING NUMBERS OF ANY RULES, REGULATIONS,
RATES, OR MUNICIPAL ORDINANCES AND RESOLUTIONS, OR PROPOSED RULES, REGU-
LATIONS, OR RATES, OR MUNICIPAL ORDINANCES AND RESOLUTIONS, AND (F) 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;
(VI) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE
WHICH THE CONSULTANT IS CONSULTING OR EXPECTS TO CONSULT;
(VII) IF THE CONSULTANT IS RETAINED, EMPLOYED OR DESIGNATED BY MORE
THAN ONE CLIENT, A SEPARATE STATEMENT OF REGISTRATION SHALL BE REQUIRED
FOR EACH SUCH CLIENT;
(VIII) (A) 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 CONSULTANT HAS A REPORTABLE
BUSINESS RELATIONSHIP;
(B) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE CONSULTANT OR CONSULTANTS AND THE STATEWIDE ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY; AND
(C) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID AND PAID BY
VIRTUE OF THE BUSINESS RELATIONSHIP.
(D) ANY AMENDMENT TO THE INFORMATION FILED BY THE CONSULTANT IN THE
ORIGINAL STATEMENT OF REGISTRATION SHALL BE SUBMITTED TO THE COMMISSION
ON FORMS SUPPLIED BY THE COMMISSION WITHIN TEN DAYS AFTER SUCH AMEND-
MENT, HOWEVER, THIS SHALL NOT REQUIRE THE CONSULTANT TO AMEND THE ENTIRE
REGISTRATION FORM.
(E) (I) THE FIRST STATEMENT OF REGISTRATION FILED ANNUALLY BY EACH
CONSULTANT FOR CALENDAR YEARS THROUGH TWO THOUSAND TWENTY-TWO SHALL BE
ACCOMPANIED BY A REGISTRATION FEE OF FIFTY DOLLARS EXCEPT THAT NO REGIS-
TRATION FEE SHALL BE REQUIRED OF A PUBLIC CORPORATION. A FEE OF FIFTY
A. 6672 11
DOLLARS SHALL BE REQUIRED FOR ANY SUBSEQUENT STATEMENT OF REGISTRATION
FILED BY A CONSULTANT DURING THE SAME CALENDAR YEAR; (II) THE FIRST
STATEMENT OF REGISTRATION FILED ANNUALLY BY EACH CONSULTANT FOR CALENDAR
YEAR TWO THOUSAND TWENTY-ONE SHALL BE ACCOMPANIED BY A REGISTRATION FEE
OF ONE HUNDRED DOLLARS EXCEPT THAT NO REGISTRATION FEE SHALL BE REQUIRED
FROM ANY 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 (V) OF SUBDIVISION (B) OF SECTION
ONE-GG OF THIS ARTICLE, FOR THE PURPOSES OF CONSULTING OR OF A PUBLIC
CORPORATION. A FEE OF ONE HUNDRED DOLLARS SHALL BE REQUIRED FOR ANY
SUBSEQUENT STATEMENT OF REGISTRATION FILED BY A CONSULTANT DURING THE
SAME CALENDAR YEAR; (III) THE FIRST STATEMENT OF REGISTRATION FILED
BIENNIALLY BY EACH CONSULTANT FOR THE FIRST BIENNIAL REGISTRATION
REQUIREMENTS FOR CALENDAR YEARS TWO THOUSAND TWENTY-FOUR AND TWO THOU-
SAND TWENTY-FIVE AND THEREAFTER, SHALL BE ACCOMPANIED BY A REGISTRATION
FEE OF TWO HUNDRED DOLLARS EXCEPT THAT NO REGISTRATION FEE SHALL BE
REQUIRED FROM ANY 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 (V) OF SUBDIVISION
(B) OF SECTION ONE-GG OF THIS ARTICLE, FOR THE PURPOSES OF CONSULTING OR
OF A PUBLIC CORPORATION. A FEE OF TWO HUNDRED DOLLARS SHALL BE REQUIRED
FOR ANY SUBSEQUENT STATEMENT OF REGISTRATION FILED BY A 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 REGISTRATION 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 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.
§ 1-EE. MONTHLY REGISTRATION DOCKET. IT SHALL BE THE DUTY OF THE
COMMISSION TO COMPILE A MONTHLY DOCKET OF STATEMENTS OF REGISTRATION
CONTAINING ALL INFORMATION REQUIRED BY SECTION ONE-DD OF THIS ARTICLE.
EACH SUCH MONTHLY DOCKET SHALL CONTAIN ALL STATEMENTS OF REGISTRATION
FILED DURING SUCH MONTH AND ALL AMENDMENTS TO PREVIOUSLY FILED STATE-
MENTS OF REGISTRATION. COPIES SHALL BE MADE AVAILABLE FOR PUBLIC
INSPECTION.
§ 1-FF. TERMINATION OF RETAINER, EMPLOYMENT OR DESIGNATION. UPON THE
TERMINATION OF A CONSULTANT'S RETAINER, EMPLOYMENT OR DESIGNATION, SUCH
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 CONSULTANT CEASES THE ACTIVITY THAT REQUIRED SUCH CONSULTANT
TO FILE A STATEMENT OF REGISTRATION; HOWEVER, SUCH CONSULTANT SHALL
NEVERTHELESS COMPLY WITH THE BI-MONTHLY REPORTING REQUIREMENTS UP TO THE
DATE SUCH ACTIVITY HAS CEASED AS REQUIRED BY THIS ARTICLE. THE COMMIS-
SION SHALL ENTER NOTICE OF SUCH TERMINATION IN THE APPROPRIATE MONTHLY
REGISTRATION DOCKET REQUIRED BY SECTION ONE-EE OF THIS ARTICLE.
§ 1-GG. BI-MONTHLY REPORTS. (A) ANY CONSULTANT REQUIRED TO FILE A
STATEMENT OF REGISTRATION PURSUANT TO SECTION ONE-DD OF THIS ARTICLE WHO
IN ANY CONSULTANT YEAR REASONABLY ANTICIPATES THAT DURING THE YEAR SUCH
CONSULTANT WILL EXPEND, INCUR OR RECEIVE COMBINED REPORTABLE COMPEN-
SATION AND EXPENSES IN AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS, AS
A. 6672 12
PROVIDED IN PARAGRAPH (V) OF SUBDIVISION (B) OF THIS SECTION, FOR THE
PURPOSE OF CONSULTING, SHALL FILE WITH THE COMMISSION A BI-MONTHLY WRIT-
TEN REPORT, ON FORMS SUPPLIED BY THE COMMISSION, BY THE FIFTEENTH DAY
NEXT SUCCEEDING THE END OF THE REPORTING PERIOD IN WHICH THE 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 FEBRU-
ARY, MARCH FIRST TO APRIL THIRTIETH, MAY FIRST TO JUNE THIRTIETH, JULY
FIRST TO AUGUST THIRTY-FIRST, SEPTEMBER FIRST TO OCTOBER THIRTY-FIRST
AND NOVEMBER FIRST TO DECEMBER THIRTY-FIRST.
(B) SUCH BI-MONTHLY REPORT SHALL CONTAIN:
(I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CONSULTANT;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR
ON WHOSE BEHALF THE CONSULTANT IS RETAINED, EMPLOYED OR DESIGNATED;
(III) THE FOLLOWING INFORMATION ON WHICH THE CONSULTANT HAS CONSULTED:
(A) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS, (B) THE LEGISLA-
TIVE BILL NUMBERS OF ANY BILLS, (C) 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, (D) THE
SUBJECT MATTER OF AND TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORAN-
DA OF UNDERSTANDING, OR ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY STATE
ACTIONS RELATED TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. § 2701, (E)
THE RULE, REGULATION, AND RATEMAKING OR MUNICIPAL ORDINANCE OR RESOL-
UTION NUMBERS OF ANY RULES, REGULATIONS, OR RATES OR ORDINANCE OR
PROPOSED RULES, REGULATIONS, OR RATES OR MUNICIPAL ORDINANCES OR RESOL-
UTIONS, AND (F) THE TITLES AND ANY IDENTIFYING NUMBERS OF ANY PROCURE-
MENT CONTRACTS AND OTHER DOCUMENTS DISSEMINATED BY A STATE AGENCY,
EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, MUNICI-
PAL AGENCY OR LOCAL LEGISLATIVE BODY IN CONNECTION WITH A GOVERNMENTAL
PROCUREMENT;
(IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE
WHICH THE CONSULTANT HAS CONSULTED;
(V) (A) THE COMPENSATION PAID OR OWED TO THE CONSULTANT, AND ANY
EXPENSES EXPENDED, RECEIVED OR INCURRED BY THE CONSULTANT FOR THE
PURPOSE OF CONSULTING.
(B) EXPENSES REQUIRED TO BE REPORTED PURSUANT TO SUBPARAGRAPH (A) 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.
(C) FOR THE PURPOSES OF THIS PARAGRAPH, EXPENSES SHALL NOT INCLUDE:
(1) PERSONAL SUSTENANCE, LODGING AND TRAVEL DISBURSEMENTS OF SUCH
CONSULTANT;
(2) 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.
(D) EXPENSES PAID OR INCURRED FOR SALARIES OTHER THAN THAT OF THE
CONSULTANT SHALL BE LISTED IN THE AGGREGATE.
(E) 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 CONSULTANT FOR A PERIOD OF THREE YEARS.
(C) (I) ALL SUCH BI-MONTHLY REPORTS SHALL BE SUBJECT TO REVIEW BY THE
COMMISSION.
(II) SUCH BI-MONTHLY REPORTS SHALL BE KEPT ON FILE FOR THREE YEARS AND
SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH TIME.
A. 6672 13
(III) 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
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.
(IV) ANY CONSULTANT REGISTERED PURSUANT TO SECTION ONE-DD OF THIS
ARTICLE WHOSE CONSULTING ACTIVITY IS PERFORMED ON ITS OWN BEHALF AND NOT
PURSUANT TO RETENTION BY A CLIENT:
(A) THAT HAS SPENT OVER FIFTY THOUSAND DOLLARS FOR REPORTABLE COMPEN-
SATION AND EXPENSES FOR CONSULTING EITHER DURING THE CALENDAR YEAR, OR
DURING THE TWELVE-MONTH PERIOD, PRIOR TO THE DATE OF THIS BI-MONTHLY
REPORT, AND
(B) AT LEAST THREE PERCENT OF WHOSE TOTAL EXPENDITURES DURING THE SAME
PERIOD WERE DEVOTED TO 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 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 CONSULTANT, MAY
CAUSE HARM, THREATS, HARASSMENT, OR REPRISALS TO THE SOURCE OR TO INDI-
VIDUALS OR PROPERTY AFFILIATED WITH THE SOURCE. THE REPORTING CONSULTANT
MAY APPEAL THE COMMISSION'S DETERMINATION AND SUCH APPEAL SHALL BE HEARD
BY A JUDICIAL HEARING OFFICER WHO IS INDEPENDENT AND NOT AFFILIATED WITH
OR EMPLOYED BY THE COMMISSION, PURSUANT TO REGULATIONS PROMULGATED BY
THE COMMISSION. THE REPORTING 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. § 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. § 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.
§ 1-HH. CONTINGENT RETAINER. (A) NO CLIENT SHALL RETAIN OR EMPLOY ANY
CONSULTANT FOR COMPENSATION, THE RATE OR AMOUNT OF WHICH COMPENSATION IN
WHOLE OR PART IS CONTINGENT OR DEPENDENT UPON:
(I) (A) THE PASSAGE OR DEFEAT OF ANY LEGISLATIVE BILL OR THE APPROVAL
OR VETO OF ANY LEGISLATION BY THE GOVERNOR, (B) THE TERMS, ISSUANCE,
MODIFICATION OR RESCISSION OF A GUBERNATORIAL EXECUTIVE ORDER, (C) THE
A. 6672 14
TERMS, APPROVAL OR DISAPPROVAL, OR THE IMPLEMENTATION AND ADMINISTRATION
OF TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER
TRIBAL-STATE AGREEMENTS AND ANY STATE ACTIONS RELATED TO CLASS III
GAMING AS PROVIDED IN 25 U.S.C. § 2701, OR (D) THE ADOPTION OR REJECTION
OF ANY CODE, RULE OR REGULATION HAVING THE FORCE AND EFFECT OF LAW OR
THE OUTCOME OF ANY RATE MAKING PROCEEDING BY A STATE AGENCY;
(II)(A) THE PASSAGE OR DEFEAT OF ANY LOCAL LAW, ORDINANCE, REGULATION
OR RESOLUTION BY ANY MUNICIPALITY OR SUBDIVISION THEREOF, (B) THE TERMS,
ISSUANCE, MODIFICATION OR RESCISSION OF AN EXECUTIVE ORDER ISSUED BY THE
CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY, OR (C) THE ADOPTION,
REJECTION OR IMPLEMENTATION OF ANY RULE, RESOLUTION OR REGULATION HAVING
THE FORCE AND EFFECT OF A LOCAL LAW, ORDINANCE OR REGULATION OR ANY RATE
MAKING PROCEEDING BY ANY MUNICIPALITY OR SUBDIVISION THEREOF;
(III) ANY DETERMINATION BY A STATE AGENCY, EITHER HOUSE OF THE STATE
LEGISLATURE, THE UNIFIED COURT SYSTEM, MUNICIPAL AGENCY OR LOCAL LEGIS-
LATIVE BODY WITH RESPECT TO A GOVERNMENTAL PROCUREMENT OR A GRANT, LOAN
OR AGREEMENT INVOLVING THE DISBURSEMENT OF PUBLIC MONIES.
(B) NO PERSON SHALL ACCEPT SUCH A RETAINER OR EMPLOYMENT. A VIOLATION
OF THIS SECTION SHALL BE A CLASS A MISDEMEANOR.
§ 1-II. REPORTS INVOLVING DISBURSEMENT OF PUBLIC MONIES. (A) ANY
CONSULTANT REQUIRED TO FILE A STATEMENT OF REGISTRATION PURSUANT TO
SECTION ONE-DD OF THIS ARTICLE WHO IN ANY CONSULTING YEAR REASONABLY
ANTICIPATES 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
ADMINISTRATION OF A GRANT, LOAN, OR AGREEMENT INVOLVING THE DISBURSEMENT
OF PUBLIC MONIES IN EXCESS OF FIFTEEN THOUSAND DOLLARS OTHER THAN A
GOVERNMENTAL PROCUREMENT AS DEFINED IN SECTION ONE-BB OF THIS ARTICLE.
(B) SUCH PUBLIC MONIES CONSULTING REPORTS SHALL CONTAIN:
(I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CONSULTANT AND THE
INDIVIDUALS EMPLOYED BY THE CONSULTANT ENGAGED IN SUCH PUBLIC MONIES
CONSULTING ACTIVITIES;
(II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR
ON WHOSE BEHALF THE CONSULTANT IS RETAINED, EMPLOYED OR DESIGNATED ON
WHOSE BEHALF THE CONSULTANT HAS ENGAGED IN CONSULTING REPORTABLE UNDER
THIS PARAGRAPH;
(III) A DESCRIPTION OF THE GRANT, LOAN, OR AGREEMENT INVOLVING THE
DISBURSEMENT OF PUBLIC MONIES ON WHICH THE CONSULTANT HAS CONSULTED;
(IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE
WHICH THE CONSULTANT HAS ENGAGED IN CONSULTING REPORTABLE UNDER THIS
PARAGRAPH; AND
(V) THE COMPENSATION PAID OR OWED TO THE CONSULTANT, AND ANY EXPENSES
EXPENDED, RECEIVED OR INCURRED BY THE CONSULTANT FOR THE PURPOSE OF
CONSULTING REPORTABLE UNDER THIS PARAGRAPH.
(C) PUBLIC MONIES 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-GG 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 CONSULTANT
A. 6672 15
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.
(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.
§ 1-JJ. PROHIBITION OF GIFTS. NO INDIVIDUAL OR ENTITY REQUIRED TO BE
LISTED ON A STATEMENT OF REGISTRATION PURSUANT TO THIS ARTICLE SHALL
OFFER OR GIVE A GIFT TO ANY PUBLIC OFFICIAL AS DEFINED WITHIN THIS ARTI-
CLE, UNLESS UNDER THE CIRCUMSTANCES IT IS NOT REASONABLE TO INFER THAT
THE GIFT WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. NO INDIVIDUAL
OR ENTITY REQUIRED TO BE LISTED ON A STATEMENT OF REGISTRATION PURSUANT
TO THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO THE SPOUSE OR UNEMANCIPAT-
ED CHILD OF ANY PUBLIC OFFICIAL AS DEFINED WITHIN THIS ARTICLE UNDER
CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER THAT THE GIFT WAS INTENDED
TO INFLUENCE SUCH PUBLIC OFFICIAL. NO SPOUSE OR UNEMANCIPATED CHILD OF
AN INDIVIDUAL REQUIRED TO BE LISTED ON A STATEMENT OF REGISTRATION
PURSUANT TO THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO A PUBLIC OFFICIAL
UNDER CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER THAT THE GIFT WAS
INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. THIS SECTION SHALL NOT APPLY
TO GIFTS TO OFFICERS, MEMBERS OR DIRECTORS OF BOARDS, COMMISSIONS, COUN-
CILS, PUBLIC AUTHORITIES OR PUBLIC BENEFIT CORPORATIONS WHO RECEIVE NO
COMPENSATION OR ARE COMPENSATED ON A PER DIEM BASIS, UNLESS THE PERSON
LISTED ON THE STATEMENT OF REGISTRATION APPEARS OR HAS MATTERS PENDING
BEFORE THE BOARD, COMMISSION OR COUNCIL ON WHICH THE RECIPIENT SITS.
§ 1-KK. PENALTIES. (A) (I) ANY 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-JJ OF THIS
ARTICLE SHALL BE GUILTY OF A CLASS A MISDEMEANOR; AND
(II) ANY 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-JJ 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 GUILTY OF A
CLASS E FELONY. ANY CONSULTANT CONVICTED OF OR PLEADING GUILTY TO A
FELONY UNDER THE PROVISIONS OF THIS SECTION MAY BE BARRED FROM ACTING AS
A 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 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 WILFULLY VIOLATES SECTION
ONE-JJ 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 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
A. 6672 16
DOLLARS OR FIVE TIMES THE AMOUNT THE PERSON FAILED TO REPORT PROPERLY,
TO BE ASSESSED BY THE COMMISSION.
(III) ANY 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-JJ OF THIS ARTICLE, AFTER
HAVING BEEN FOUND BY THE COMMISSION TO HAVE KNOWING AND WILFULLY COMMIT-
TED SUCH CONDUCT OR VIOLATION IN THE PRECEDING FIVE YEARS, MAY BE
SUBJECT TO A DETERMINATION THAT THE CONSULTANT OR CLIENT IS PROHIBITED
FROM ENGAGING IN CONSULTING ACTIVITIES, FOR A PERIOD OF ONE YEAR.
(IV) ANY CONSULTANT OR CLIENT THAT KNOWINGLY AND WILFULLY ENGAGES IN
CONSULTING ACTIVITIES, DURING THE PERIOD IN WHICH THEY ARE PROHIBITED
FROM ENGAGING IN CONSULTING ACTIVITIES, MAY BE SUBJECT TO A DETERMI-
NATION THAT THE CONSULTANT OR CLIENT IS PROHIBITED FROM ENGAGING IN
CONSULTING ACTIVITIES, 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.
(V) A CONSULTANT, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND
WILFULLY FAILS TO RETAIN THEIR RECORDS PURSUANT TO PARAGRAPH (III) OF
SUBDIVISION (C) OF SECTION ONE-DD OF THIS ARTICLE OR SUBPARAGRAPH (E) OF
PARAGRAPH (V) OF SUBDIVISION (B) OF SECTION ONE-GG 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 CONSULT-
ANT, PUBLIC CORPORATION OR CLIENT HAS NOT PREVIOUSLY BEEN REQUIRED TO
REGISTER, AND (B) AS AN AGGRAVATING FACTOR THAT THE 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 CONSIDER IN DETERMINING A PROPORTIONATE PENALTY.
(III) ANY 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 CONSULTANT, PUBLIC CORPORATION OR CLIENT TO FILE WITHIN
SUCH FIFTEEN DAY PERIOD, SUCH 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.
§ 1-LL. ENFORCEMENT. (A) ALL STATEMENTS AND REPORTS REQUIRED UNDER
THIS ARTICLE SHALL BE SUBJECT TO A DECLARATION BY THE PERSON MAKING AND
FILING SUCH STATEMENT AND REPORT THAT THE INFORMATION IS TRUE, CORRECT
A. 6672 17
AND COMPLETE TO THE BEST KNOWLEDGE AND BELIEF OF THE SIGNER UNDER THE
PENALTIES OF PERJURY.
(B) THE COMMISSION SHALL BE CHARGED WITH THE DUTY OF REVIEWING ALL
STATEMENTS AND REPORTS REQUIRED UNDER THIS ARTICLE FOR VIOLATIONS, AND
IT SHALL BE THEIR DUTY, IF THEY DEEM SUCH TO BE WILFUL, TO REPORT SUCH
DETERMINATION TO THE ATTORNEY GENERAL OR OTHER APPROPRIATE AUTHORITY.
(C) UPON RECEIPT OF NOTICE OF SUCH FAILURE FROM THE COMMISSION, THE
ATTORNEY GENERAL OR OTHER APPROPRIATE AUTHORITY SHALL TAKE SUCH ACTION
AS HE DEEMS APPROPRIATE TO SECURE COMPLIANCE WITH THE PROVISIONS OF THIS
ARTICLE.
§ 1-MM. RECORD OF APPEARANCES. THE COMMISSION SHALL PROMULGATE ALL
RULES OR REGULATIONS AND ANY PROCEDURES, FORMS, OR INSTRUCTIONS NECES-
SARY TO IMPLEMENT THE PROVISIONS OF SECTION ONE HUNDRED SIXTY-SIX OF THE
EXECUTIVE LAW RELATING TO THE QUARTERLY FILING OF THE RECORD OF APPEAR-
ANCES BEFORE REGULATORY AGENCIES.
§ 1-NN. PUBLICATION OF STATEMENT ON CONSULTANT DISCLOSURE REGULATIONS.
THE COMMISSION SHALL PUBLISH A STATEMENT ON 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 PENALTIES FOR VIOLATION THEREOF, TOGETH-
ER 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.
§ 1-OO. PUBLIC ACCESS TO RECORDS. THE COMMISSION SHALL MAKE INFORMA-
TION FURNISHED BY 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.
§ 1-PP. APPLICABILITY OF CERTAIN LAWS. THE PROVISIONS OF THIS ARTICLE
INCLUDING, BUT NOT LIMITED TO, ANY PROCEEDING OR HEARING CONDUCTED
PURSUANT HERETO, SHALL BE SUBJECT TO THE APPLICABLE PROVISIONS OF THE
STATE ADMINISTRATIVE PROCEDURE ACT AND SECTION SEVENTY-THREE OF THE
CIVIL RIGHTS LAW.
§ 1-QQ. SEPARABILITY CLAUSE. IF ANY PART OR PROVISION OF THIS ARTICLE
OR THE APPLICATION THEREOF TO ANY PERSON OR ORGANIZATION IS ADJUDGED BY
A COURT OF COMPETENT JURISDICTION TO BE UNCONSTITUTIONAL, SUCH JUDGMENT
SHALL NOT AFFECT OR IMPAIR ANY OTHER PART OR PROVISION OR THE APPLICA-
TION THEREOF TO ANY OTHER PERSON OR ORGANIZATION, BUT SHALL BE CONFINED
IN ITS OPERATION TO THE PART, PROVISION, PERSON OR ORGANIZATION DIRECTLY
INVOLVED IN THE CONTROVERSY IN WHICH SUCH JUDGMENT SHALL HAVE BEEN
RENDERED.
§ 2. This act shall take effect immediately.