Bill Text: NY A09715 | 2009-2010 | General Assembly | Amended
Bill Title: Relates to ethics reform and campaign finance reform; creates a state government ethics commission and a designating commission; relates to duties of the attorney general; establishes the employee retirement system board of trustees; participation in fundraisers during the legislative session; forfeiture of pension rights upon conviction of a felony related to public employment; repeals provisions of the legislative law relating to the lobbying act and ethics; repeals provisions of the executive law relating to the commission on public integrity; and repeals provisions of the election law relating to powers of the state board of elections.
Spectrum: Committee Bill
Status: (Introduced - Dead) 2010-02-17 - print number 9715a [A09715 Detail]
Download: New_York-2009-A09715-Amended.html
S T A T E O F N E W Y O R K ________________________________________________________________________ S. 6615--A A. 9715--A S E N A T E - A S S E M B L Y January 19, 2010 ___________ 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 -- committee discharged, bill amended, ordered reprinted as amended and recommitted to said committee 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 -- committee discharged, bill amended, ordered reprinted as amended and recommitted to said committee AN ACT to amend the public officers law, in relation to creating a state government ethics commission and a designating commission; to amend the executive law, in relation to the duties of the attorney general; and to repeal article 1-A of the legislative law relating to the lobbying act; to repeal article 5 of the legislative law relating to legislative ethics; to repeal section 94 of the executive law relating to the commission on public integrity (Part A); to amend the retire- ment and social security law, the state finance law and the public officers law, in relation to establishing the employee retirement system board of trustees to operate the New York state and local employees' retirement system and the New York state and local police and fire retirement system, and regulating investment firms doing business with the common retirement fund (Part B); to amend the election law, in relation to campaign finance reform; to amend the legislative law, in relation to participation in fundraisers during a legislative session; to amend the election law, in relation to public financing; and to repeal certain provisions of the election law relat- ing to campaign financing; to repeal subdivisions 7 and 9-A of section 3-102 of the election law relating to the state board of elections' power to enforce campaign receipts and expenditures provisions (Part C); and to amend the retirement and social security law, in relation to forfeiture of pension rights or retirement benefits upon conviction of a felony related to public employment (Part D) THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM- BLY, DO ENACT AS FOLLOWS: EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets [ ] is old law to be omitted. LBD12677-02-0 S. 6615--A 2 A. 9715--A 1 Section 1. This act enacts into law major components of legislation 2 relating to ethics reform and campaign finance reform. Each component 3 is wholly contained within a Part identified as Parts A through D. The 4 effective date for each particular provision contained within such Part 5 is set forth in the last section of such Part. Any provision in any 6 section contained within a Part, including the effective date of the 7 Part, which makes reference to a section "of this act", when used in 8 connection with that particular component, shall be deemed to mean and 9 refer to the corresponding section of the Part in which it is found. 10 Section three of this act sets forth the general effective date of this 11 act. 12 PART A 13 Section 1. This act shall be known and may be cited as the "State 14 Government Ethics and Campaign Finance Enforcement Reform Act of 2010". 15 S 2. Article 1-A of the legislative law is REPEALED. 16 S 3. Article 5 of the legislative law is REPEALED. 17 S 4. The public officers law is amended by adding a new section 73-c 18 to read as follows: 19 S 73-C. STATE GOVERNMENT ETHICS COMMISSION; FUNCTIONS, POWERS AND 20 DUTIES; REVIEW OF FINANCIAL DISCLOSURE STATEMENTS; ADMINISTRATION OF 21 CAMPAIGN FINANCE PRACTICES; ADVISORY OPINIONS; INVESTIGATION AND 22 ENFORCEMENT. 1. THERE IS ESTABLISHED WITHIN THE DEPARTMENT OF STATE A 23 STATE GOVERNMENT ETHICS COMMISSION WHICH SHALL CONSIST OF FIVE MEMBERS 24 AND SHALL HAVE AND EXERCISE THE POWERS AND DUTIES SET FORTH IN THIS 25 SECTION WITH RESPECT TO STATE ELECTED OFFICIALS AND STATE OFFICERS AND 26 EMPLOYEES, AS DEFINED IN SECTIONS SEVENTY-THREE AND SEVENTY-THREE-A OF 27 THIS ARTICLE; CANDIDATES FOR STATE ELECTED OFFICE, THE POLITICAL PARTY 28 CHAIRMAN AS THAT TERM IS DEFINED IN SECTION SEVENTY-THREE-A OF THIS 29 ARTICLE, LOBBYISTS AND THE CLIENTS OF LOBBYISTS AS SUCH TERMS ARE 30 DEFINED IN SECTION SEVENTY-THREE-D OF THIS ARTICLE, MEMBERS OF THE 31 LEGISLATURE, LEGISLATIVE EMPLOYEES AS DEFINED IN SECTION SEVENTY-THREE 32 OF THIS ARTICLE, CANDIDATES FOR MEMBERS OF THE LEGISLATURE AND INDIVID- 33 UALS WHO HAVE FORMERLY HELD SUCH POSITIONS OR WHO HAVE FORMERLY BEEN 34 SUCH CANDIDATES. THIS ACT SHALL NOT REVOKE OR RESCIND ANY REGULATIONS 35 DULY PROMULGATED OR ADVISORY OPINIONS DULY ISSUED BY THE STATE COMMIS- 36 SION ON PUBLIC INTEGRITY, THE STATE ETHICS COMMISSION, THE TEMPORARY 37 LOBBYING COMMISSION, THE LEGISLATIVE ETHICS COMMISSION, THE STATE BOARD 38 OF ELECTIONS AS SUCH REGULATIONS OR OPINIONS PERTAIN TO ARTICLE FOURTEEN 39 OF THE ELECTION LAW, AND THE COMMITTEE ON OPEN GOVERNMENT AS SUCH REGU- 40 LATIONS OR OPINIONS PERTAIN TO ARTICLE SEVEN OF THIS CHAPTER IN EFFECT 41 UPON THE EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND TEN 42 WHICH ADDED THIS SECTION TO THE EXTENT THAT SUCH REGULATIONS OR OPINIONS 43 ARE NOT INCONSISTENT WITH ANY LAW OF THE STATE OF NEW YORK. THE STATE 44 GOVERNMENT ETHICS COMMISSION SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF 45 ALL SUCH REGULATIONS AND OPINIONS, WHICH WILL ADDRESS THE CONSISTENCY 46 OF SUCH REGULATIONS AND OPINIONS AMONG EACH OTHER AND WITH THE NEW STAT- 47 UTORY LANGUAGE. THE STATE GOVERNMENT ETHICS COMMISSION SHALL, BEFORE 48 JUNE FIRST, TWO THOUSAND TEN, REPORT TO THE GOVERNOR AND LEGISLATURE 49 REGARDING SUCH REVIEW AND SHALL PROPOSE ANY REGULATORY CHANGES AND 50 ISSUE ANY ADVISORY OPINIONS NECESSITATED BY SUCH REVIEW. 51 2. THE MEMBERS OF THE COMMISSION SHALL BE APPOINTED BY THE DESIGNATING 52 COMMISSION AS DEFINED IN SECTION SEVENTY-THREE-E OF THIS ARTICLE. 53 3. MEMBERS OF THE STATE GOVERNMENT ETHICS COMMISSION SHALL SERVE FOR 54 TERMS OF FIVE YEARS; PROVIDED, HOWEVER, THAT OF THE MEMBERS FIRST S. 6615--A 3 A. 9715--A 1 APPOINTED BY THE DESIGNATING COMMISSION, ONE SHALL SERVE FOR ONE YEAR, 2 ONE SHALL SERVE FOR TWO YEARS, ONE SHALL SERVE FOR THREE YEARS, ONE 3 SHALL SERVE FOR FOUR YEARS AND ONE SHALL SERVE FOR FIVE YEARS, AS DESIG- 4 NATED BY RANDOM CHANCE. THE PROCESS FOR DETERMINING STAGGERED TERMS 5 SHALL BE MADE BY A DRAWING OF LOTS. 6 4. THE CHAIRMAN OR ANY THREE MEMBERS OF THE COMMISSION MAY CALL A 7 MEETING. 8 5. ANY VACANCY OCCURRING ON THE STATE GOVERNMENT ETHICS COMMISSION 9 SHALL BE FILLED WITHIN SIXTY DAYS OF ITS OCCURRENCE IN THE SAME MANNER 10 AS THE MEMBER WHOSE VACANCY IS BEING FILLED WAS APPOINTED. A PERSON 11 APPOINTED TO FILL A VACANCY OCCURRING OTHER THAN BY EXPIRATION OF A TERM 12 OF OFFICE SHALL BE APPOINTED FOR THE UNEXPIRED TERM OF THE MEMBER HE OR 13 SHE SUCCEEDS. 14 6. THREE MEMBERS OF THE STATE GOVERNMENT ETHICS COMMISSION SHALL 15 CONSTITUTE A QUORUM, AND THE COMMISSION SHALL HAVE POWER TO ACT BY 16 MAJORITY VOTE OF THE TOTAL NUMBER OF MEMBERS OF THE COMMISSION WITHOUT 17 VACANCY. 18 7. MEMBERS OF THE STATE GOVERNMENT ETHICS COMMISSION MAY BE REMOVED 19 BY APPLICATION AND MOTION OF THE ATTORNEY GENERAL IN A STATE TRIAL LEVEL 20 COURT FOR SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN OFFICE, 21 INABILITY TO DISCHARGE THE POWERS OR DUTIES OF OFFICE OR VIOLATION OF 22 THIS SECTION, AFTER WRITTEN NOTICE AND OPPORTUNITY FOR A REPLY. THE 23 ATTORNEY GENERAL ALSO MAY SEEK RECUSAL OF ANY MEMBER OR MEMBERS UPON THE 24 SHOWING OF A CONFLICT OF INTEREST AND ANY FAILURE TO RECUSE. 25 8. THE MEMBERS OF THE COMMISSION SHALL NOT RECEIVE COMPENSATION BUT 26 SHALL BE REIMBURSED FOR REASONABLE EXPENSES INCURRED IN THE PERFORMANCE 27 OF THEIR OFFICIAL DUTIES. 28 9. THE COMMISSION SHALL: 29 (A) APPOINT AND EMPLOY AND AT PLEASURE REMOVE COUNSEL, AN EXECUTIVE 30 DIRECTOR, INVESTIGATORS, ACCOUNTANTS, CLERKS AND OTHER SUCH PERSONS AS 31 IT MAY DEEM NECESSARY WHO SHALL ACT IN ACCORDANCE WITH THE POLICIES OF 32 THE COMMISSION. THE COMMISSION MAY DELEGATE AUTHORITY TO THE EXECUTIVE 33 DIRECTOR TO ACT IN THE NAME OF THE COMMISSION BETWEEN MEETINGS OF THE 34 COMMISSION PROVIDED SUCH DELEGATION IS IN WRITING AND THE SPECIFIC 35 POWERS TO BE DELEGATED ARE ENUMERATED. 36 (B) APPOINT SUCH OTHER STAFF AS ARE NECESSARY TO CARRY OUT ITS DUTIES 37 UNDER THIS SECTION. 38 (C) ADOPT, AMEND, AND RESCIND RULES AND REGULATIONS TO GOVERN PROCE- 39 DURES OF THE COMMISSION, WHICH SHALL INCLUDE, BUT NOT BE LIMITED TO, THE 40 PROCEDURE WHEREBY A PERSON WHO IS REQUIRED TO FILE AN ANNUAL FINANCIAL 41 DISCLOSURE STATEMENT WITH THE COMMISSION MAY REQUEST AN ADDITIONAL PERI- 42 OD OF TIME WITHIN WHICH TO FILE SUCH STATEMENT, DUE TO JUSTIFIABLE CAUSE 43 OR UNDUE HARDSHIP; SUCH RULES OR REGULATIONS SHALL PROVIDE FOR A DATE 44 BEYOND WHICH IN ALL CASES OF JUSTIFIABLE CAUSE OR UNDUE HARDSHIP NO 45 FURTHER EXTENSION OF TIME WILL BE GRANTED. 46 (D) ADOPT, AMEND, AND RESCIND RULES AND REGULATIONS TO ASSIST APPOINT- 47 ING AUTHORITIES IN DETERMINING WHICH PERSONS HOLD POLICY-MAKING POSI- 48 TIONS FOR PURPOSES OF SECTION SEVENTY-THREE-A OF THIS ARTICLE. 49 (E) MAKE AVAILABLE FORMS FOR ANNUAL STATEMENTS OF FINANCIAL DISCLOSURE 50 REQUIRED TO BE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THIS ARTI- 51 CLE. 52 (F) REVIEW FINANCIAL DISCLOSURE STATEMENTS IN ACCORDANCE WITH THE 53 PROVISIONS OF THIS SECTION, PROVIDED HOWEVER, THAT THE COMMISSION MAY 54 DELEGATE ALL OR PART OF THIS REVIEW FUNCTION TO THE EXECUTIVE DIRECTOR 55 WHO SHALL BE RESPONSIBLE FOR COMPLETING STAFF REVIEW OF SUCH STATEMENTS 56 IN A MANNER CONSISTENT WITH THE TERMS OF THE COMMISSION'S DELEGATION. S. 6615--A 4 A. 9715--A 1 (F-1) ISSUE INSTRUCTIONS AND PROMULGATE RULES AND REGULATIONS RELATING 2 TO THE ADMINISTRATION OF CAMPAIGN FINANCE PRACTICES CONSISTENT WITH 3 ARTICLE FOURTEEN OF THE ELECTION LAW IN CONSULTATION WITH THE STATE 4 BOARD OF ELECTIONS AND PROVIDING THE GOVERNMENT ETHICS COMMISSION WITH 5 THE POWER AND DUTY TO: 6 (I) PREPARE UNIFORM FORMS FOR THE STATEMENTS REQUIRED BY ARTICLE FOUR- 7 TEEN OF THE ELECTION LAW; 8 (II) (A) DEVELOP AN ELECTRONIC REPORTING SYSTEM TO PROCESS THE STATE- 9 MENTS OF RECEIPTS, CONTRIBUTIONS, TRANSFERS AND EXPENDITURES REQUIRED TO 10 BE FILED WITH THE GOVERNMENT ETHICS COMMISSION PURSUANT TO THE 11 PROVISIONS OF SECTIONS 14-102 AND 14-104 OF THE ELECTION LAW; 12 (B) PRESCRIBE THE INFORMATION REQUIRED IN THE FORM FOR EACH STATEMENT 13 TO BE FILED; 14 (C) ESTABLISH A TRAINING PROGRAM ON THE ELECTRONIC REPORTING PROCESS 15 AND MAKE IT AVAILABLE TO ANY SUCH CANDIDATE OR COMMITTEE; 16 (D) MAKE THE ELECTRONIC REPORTING PROCESS AVAILABLE TO ANY SUCH CANDI- 17 DATE OR COMMITTEE WHICH IS REQUIRED TO FILE OR WHICH AGREES TO FILE SUCH 18 STATEMENTS BY SUCH ELECTRONIC REPORTING PROCESS; 19 (E) CAUSE ALL INFORMATION CONTAINED IN SUCH A STATEMENT FILED WITH THE 20 GOVERNMENT ETHICS COMMISSION WHICH IS NOT ON SUCH ELECTRONIC REPORTING 21 SYSTEM TO BE ENTERED IN SUCH SYSTEM AS SOON AS PRACTICABLE BUT IN NO 22 EVENT LATER THAN TEN BUSINESS DAYS AFTER ITS RECEIPT BY THE GOVERNMENT 23 ETHICS COMMISSION; AND 24 (F) MAKE ALL DATA FROM THE ELECTRONIC REPORTING PROCESS AVAILABLE AT 25 ALL TIMES ON THE INTERNET; 26 (III) STUDY AND EXAMINE THE ADMINISTRATION OF CAMPAIGN FINANCING AND 27 CAMPAIGN FINANCE REPORTING WITHIN THE STATE; 28 (IV) RECOMMEND SUCH LEGISLATION OR ADMINISTRATIVE MEASURES AS IT FINDS 29 APPROPRIATE TO ADJUST THE CONTRIBUTION LIMITATIONS SET FORTH IN ARTICLE 30 FOURTEEN OF THE ELECTION LAW; AND 31 (V) INSTITUTE SUCH JUDICIAL PROCEEDINGS AS MAY BE NECESSARY TO ENFORCE 32 COMPLIANCE WITH ANY PROVISION OF ARTICLE FOURTEEN OF THE ELECTION LAW OR 33 ANY REGULATION PROMULGATED THEREUNDER INCLUDING, BUT NOT LIMITED TO, 34 APPLICATION, ON NOTICE SERVED UPON THE RESPONDENT IN THE MANNER DIRECTED 35 BY THE COURT AT LEAST SIX HOURS PRIOR TO THE TIME OF RETURN THEREON, TO 36 A JUSTICE OF THE SUPREME COURT WITHIN THE JUDICIAL DISTRICT IN WHICH AN 37 ALLEGED VIOLATION OF ANY SUCH PROVISION OR REGULATION OCCURRED OR IS 38 THREATENED, FOR AN ORDER PROHIBITING THE CONTINUED OR THREATENED 39 VIOLATION THEREOF OR FOR SUCH OTHER OR FURTHER RELIEF AS THE COURT MAY 40 DEEM JUST AND PROPER. 41 (G) RECEIVE COMPLAINTS ALLEGING A VIOLATION OF SECTION SEVENTY-THREE, 42 SEVENTY-THREE-A, SEVENTY-THREE-D, OR SEVENTY-FOUR OF THIS ARTICLE OR 43 SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW OR RECEIVE COMPLAINTS 44 AS AUTHORIZED BY SUBDIVISION ONE OF SECTION ONE HUNDRED SEVEN OF THIS 45 CHAPTER AS IT RELATES TO STATE OPEN MEETINGS AND ARTICLE FOURTEEN OF THE 46 ELECTION LAW. 47 (H) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE- 48 MENT TO REQUEST THE COMMISSION TO DELETE FROM THE COPY THEREOF MADE 49 AVAILABLE FOR PUBLIC INSPECTION ONE OR MORE ITEMS OF INFORMATION WHICH 50 MAY BE DELETED BY THE COMMISSION, AFTER DENIAL OF A REQUEST FOR DELETION 51 BY THE COMMITTEE ON OPEN GOVERNMENT PURSUANT TO SECTION EIGHTY-NINE OF 52 THIS CHAPTER, UPON A FINDING BY A MAJORITY OF THE TOTAL NUMBER OF 53 MEMBERS OF THE COMMISSION WITHOUT VACANCY THAT THE INFORMATION WHICH 54 WOULD OTHERWISE BE REQUIRED TO BE MADE AVAILABLE FOR PUBLIC INSPECTION 55 WILL HAVE NO MATERIAL BEARING ON THE DISCHARGE OF THE REPORTING PERSON'S 56 OFFICIAL DUTIES. IF SUCH REQUEST FOR DELETION IS DENIED, THE COMMISSION, S. 6615--A 5 A. 9715--A 1 IN ITS NOTIFICATION OF DENIAL, SHALL INFORM THE PERSON OF HIS OR HER 2 RIGHT TO APPEAL THE COMMISSION'S DETERMINATION PURSUANT TO ITS RULES 3 GOVERNING ADJUDICATORY PROCEEDINGS AND APPEALS ADOPTED PURSUANT TO 4 SUBDIVISION THIRTEEN OF THIS SECTION. THE COMMISSION SHALL PROMULGATE 5 RULES AND REGULATIONS GOVERNING THE ISSUANCE OF WRITTEN DECISIONS IN 6 CONNECTION WITH APPEALS FROM THE COMMITTEE ON OPEN GOVERNMENT PURSUANT 7 TO SECTION EIGHTY-NINE OF THIS CHAPTER. 8 (I) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE- 9 MENT TO REQUEST AN EXEMPTION FROM ANY REQUIREMENT TO REPORT ONE OR MORE 10 ITEMS OF INFORMATION WHICH PERTAIN TO SUCH PERSON'S SPOUSE OR UNEMANCI- 11 PATED CHILDREN WHICH ITEM OR ITEMS MAY BE EXEMPTED BY THE COMMISSION, 12 INCLUDING THE NAMES OF CLIENTS OF PUBLIC OFFICERS WHO ARE CONSULTANTS OR 13 OTHER PROFESSIONALS WHERE DISCLOSURE OF SUCH CLIENTS IDENTITY COULD 14 REVEAL THE NATURE OF AN ATTORNEY-CLIENT COMMUNICATION OR PURSUANT TO 15 SECTION EIGHTY-NINE OF THIS CHAPTER AS PROVIDED IN SUBDIVISION EIGHTEEN 16 OF THIS SECTION, UPON A FINDING BY A MAJORITY OF THE TOTAL NUMBER OF 17 MEMBERS OF THE COMMISSION WITHOUT VACANCY THAT THE REPORTING INDIVID- 18 UAL'S SPOUSE, ON HIS OR HER OWN BEHALF OR ON BEHALF OF AN UNEMANCIPATED 19 CHILD, OBJECTS TO PROVIDING THE INFORMATION NECESSARY TO MAKE SUCH 20 DISCLOSURE AND THAT THE INFORMATION WHICH WOULD OTHERWISE BE REQUIRED TO 21 BE REPORTED WILL HAVE NO MATERIAL BEARING ON THE DISCHARGE OF THE 22 REPORTING PERSON'S OFFICIAL DUTIES, PROVIDED THAT THE ADDRESS AND TELE- 23 PHONE NUMBERS OF SPOUSES AND UNEMANCIPATED CHILDREN SHALL IN NO INSTANCE 24 BE MADE AVAILABLE TO THE PUBLIC. IF SUCH REQUEST FOR EXEMPTION IS 25 DENIED, THE COMMISSION, IN ITS NOTIFICATION OF DENIAL, SHALL INFORM THE 26 PERSON OF HIS OR HER RIGHT TO APPEAL THE COMMISSION'S DETERMINATION 27 PURSUANT TO ITS RULES GOVERNING ADJUDICATORY PROCEEDINGS AND APPEALS 28 ADOPTED PURSUANT TO SUBDIVISION THIRTEEN OF THIS SECTION. THE COMMIS- 29 SION SHALL PROMULGATE RULES AND REGULATIONS GOVERNING THE ISSUANCE OF 30 WRITTEN DECISIONS IN CONNECTION WITH APPEALS FROM THE COMMITTEE ON OPEN 31 GOVERNMENT. 32 (J) ADVISE AND ASSIST ANY STATE OFFICER, STATE AGENCY OR THE LEGISLA- 33 TURE IN ESTABLISHING RULES AND REGULATIONS RELATING TO POSSIBLE 34 CONFLICTS BETWEEN PRIVATE INTERESTS AND OFFICIAL DUTIES OF PRESENT OR 35 FORMER STATE ELECTED OFFICIALS, MEMBERS OF THE LEGISLATURE AND LEGISLA- 36 TIVE EMPLOYEES, AND STATE OFFICERS AND EMPLOYEES. 37 (K) PERMIT ANY PERSON WHO HAS NOT BEEN DETERMINED BY HIS OR HER 38 APPOINTING AUTHORITY OR THE LEGISLATURE TO HOLD A POLICY-MAKING POSITION 39 BUT WHO IS OTHERWISE REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT 40 TO REQUEST AN EXEMPTION FROM SUCH REQUIREMENT IN ACCORDANCE WITH RULES 41 AND REGULATIONS GOVERNING SUCH EXEMPTIONS. SUCH RULES AND REGULATIONS 42 SHALL PROVIDE FOR EXEMPTIONS TO BE GRANTED EITHER ON THE APPLICATION OF 43 AN INDIVIDUAL OR ON BEHALF OF PERSONS WHO SHARE THE SAME JOB TITLE OR 44 EMPLOYMENT CLASSIFICATION WHICH THE COMMISSION DEEMS TO BE COMPARABLE 45 FOR PURPOSES OF THIS SECTION. SUCH RULES AND REGULATIONS MAY PERMIT THE 46 GRANTING OF AN EXEMPTION WHERE, IN THE DISCRETION OF THE COMMISSION, THE 47 PUBLIC INTEREST DOES NOT REQUIRE DISCLOSURE AND THE APPLICANT'S DUTIES 48 DO NOT INVOLVE THE NEGOTIATION, AUTHORIZATION OR APPROVAL OF: 49 (I) CONTRACTS, LEASES, FRANCHISES, REVOCABLE CONSENTS, CONCESSIONS, 50 VARIANCES, SPECIAL PERMITS, OR LICENSES AS DEFINED IN SECTION 51 SEVENTY-THREE OF THIS ARTICLE; 52 (II) THE PURCHASE, SALE, RENTAL OR LEASE OF REAL PROPERTY, GOODS OR 53 SERVICES, OR A CONTRACT THEREFOR; 54 (III) THE OBTAINING OF GRANTS OF MONEY OR LOANS; OR 55 (IV) THE ADOPTION OR REPEAL OF ANY LAW, RULE OR REGULATION HAVING THE 56 FORCE AND EFFECT OF LAW. S. 6615--A 6 A. 9715--A 1 (L) PREPARE AN ANNUAL REPORT TO THE GOVERNOR AND LEGISLATURE SUMMARIZ- 2 ING THE ACTIVITIES OF THE COMMISSION DURING THE PREVIOUS YEAR AND RECOM- 3 MENDING ANY CHANGES IN THE LAWS GOVERNING THE CONDUCT OF PERSONS SUBJECT 4 TO THE JURISDICTION OF THE COMMISSION, OR THE RULES, REGULATIONS AND 5 PROCEDURES GOVERNING THE COMMISSION'S CONDUCT. SUCH REPORT SHALL 6 INCLUDE: (I) A LISTING BY ASSIGNED NUMBER OF EACH COMPLAINT AND REFERRAL 7 RECEIVED WHICH ALLEGED A POSSIBLE VIOLATION WITHIN ITS JURISDICTION, 8 INCLUDING THE CURRENT STATUS OF EACH COMPLAINT, AND (II) WHERE A MATTER 9 HAS BEEN RESOLVED, THE DATE AND NATURE OF THE DISPOSITION AND ANY SANC- 10 TION IMPOSED, SUBJECT TO THE CONFIDENTIALITY REQUIREMENTS OF THIS 11 SECTION, PROVIDED, HOWEVER, THAT SUCH ANNUAL REPORT SHALL NOT CONTAIN 12 ANY INFORMATION FOR WHICH DISCLOSURE IS NOT PERMITTED PURSUANT TO SUBDI- 13 VISION SEVENTEEN OF THIS SECTION. 14 (M) DETERMINE A QUESTION COMMON TO A CLASS OR DEFINED CATEGORY OF 15 PERSONS OR ITEMS OF INFORMATION REQUIRED TO BE DISCLOSED, WHERE DETERMI- 16 NATION OF THE QUESTION WILL PREVENT UNDUE REPETITION OF REQUESTS FOR 17 EXEMPTION OR DELETION OR PREVENT UNDUE COMPLICATION IN COMPLYING WITH 18 THE REQUIREMENTS OF SUCH SECTION. 19 10. THE COMMISSION, OR THE EXECUTIVE DIRECTOR AND STAFF OF THE COMMIS- 20 SION IF RESPONSIBILITY THEREFOR HAS BEEN DELEGATED, SHALL REGULARLY 21 INSPECT ALL FINANCIAL DISCLOSURE STATEMENTS FILED WITH THE COMMISSION TO 22 ASCERTAIN WHETHER ANY PERSON SUBJECT TO THE REPORTING REQUIREMENTS OF 23 SECTION SEVENTY-THREE-A OF THIS ARTICLE HAS FAILED TO FILE SUCH A STATE- 24 MENT, HAS FILED A DEFICIENT STATEMENT OR HAS FILED A STATEMENT WHICH 25 REVEALS A POSSIBLE VIOLATION OF SECTION SEVENTY-THREE, SEVENTY-THREE-A, 26 SEVENTY-THREE-D, OR SEVENTY-FOUR OF THIS ARTICLE OR ARTICLE SEVEN AS IT 27 RELATES TO STATE OPEN MEETINGS. THE COMMISSION SHALL PROMULGATE GUIDE- 28 LINES TO CONDUCT A PROGRAM OF REGULAR AND RANDOM REVIEWS OF ANNUAL 29 FINANCIAL DISCLOSURE STATEMENTS FILED WITH THE COMMISSION, SUBJECT TO 30 THE CONDITIONS OF THIS SECTION. SUCH PROGRAM SHALL BE CARRIED OUT IN THE 31 FOLLOWING MANNER: 32 (A) THE COMMISSION SHALL SELECT ANNUAL FINANCIAL DISCLOSURE STATEMENTS 33 REQUIRED TO BE FILED PURSUANT TO THIS ARTICLE FOR REVIEW. ANY SUCH 34 SELECTION SHALL BE DONE IN A MANNER PURSUANT TO WHICH THE IDENTITY OF 35 ANY PARTICULAR PERSON WHOSE STATEMENT IS SELECTED FOR REVIEW IS UNKNOWN 36 TO THE COMMISSION AND ITS STAFF. 37 (B) THE COMMISSION SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH 38 REGULAR AND RANDOM REVIEWS. SUCH REGULAR AND RANDOM REVIEWS MAY REQUIRE 39 THE PRODUCTION OF BOOKS, PAPERS, RECORDS OR MEMORANDA RELEVANT AND MATE- 40 RIAL TO THE PREPARATION OF THE SELECTED STATEMENTS FOR EXAMINATION. ANY 41 SUCH PROTOCOLS SHALL ENSURE THAT SIMILARLY SITUATED STATEMENTS ARE 42 AUDITED IN A UNIFORM MANNER. 43 (C) THE COMMISSION MAY CONTRACT WITH AN OUTSIDE ACCOUNTING ENTITY, 44 WHICH SHALL MONITOR THE PROCESS PURSUANT TO WHICH THE COMMISSION SELECTS 45 STATEMENTS FOR REVIEW, AND THE PROCESS PURSUANT TO WHICH THE COMMISSION 46 CARRIES OUT THE PROVISIONS OF PARAGRAPHS (A) AND (B) OF THIS SUBDIVISION 47 AND CERTIFIES THAT SUCH PROCESS COMPLIES WITH THE PROVISIONS OF SUCH 48 PARAGRAPHS. 49 (D) UPON COMPLETION OF A REVIEW BY THE COMMISSION CONDUCTED IN ACCORD- 50 ANCE WITH THE PROVISIONS OF PARAGRAPHS (A), (B) AND (C) OF THIS SUBDIVI- 51 SION, THE COMMISSION SHALL DETERMINE WHETHER THERE IS REASONABLE CAUSE 52 TO BELIEVE THAT ANY SUCH STATEMENT OR REPORT IS INACCURATE OR INCOM- 53 PLETE. UPON A DETERMINATION THAT SUCH REASONABLE CAUSE EXISTS, THE 54 COMMISSION MAY REQUIRE THE PRODUCTION OF FURTHER BOOKS, RECORDS OR MEMO- 55 RANDA, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE AND TESTIMONY AND 56 ADMINISTER OATHS OR AFFIRMATIONS, TO THE EXTENT THE COMMISSION DETER- S. 6615--A 7 A. 9715--A 1 MINES SUCH ACTIONS ARE NECESSARY TO OBTAIN INFORMATION RELEVANT AND 2 MATERIAL TO INVESTIGATING SUCH INACCURACIES OR OMISSIONS. 3 11. (A) IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT 4 WITH THE COMMISSION HAS FAILED TO FILE A DISCLOSURE STATEMENT OR HAS 5 FILED A DEFICIENT STATEMENT, THE COMMISSION SHALL NOTIFY THE REPORTING 6 PERSON IN WRITING, STATE THE FAILURE TO FILE OR DETAIL THE DEFICIENCY, 7 PROVIDE THE PERSON WITH A FIFTEEN DAY PERIOD TO CURE THE DEFICIENCY, AND 8 ADVISE THE PERSON OF THE PENALTIES FOR FAILURE TO COMPLY WITH THE 9 REPORTING REQUIREMENTS. SUCH NOTICE SHALL BE CONFIDENTIAL. IF THE PERSON 10 FAILS TO MAKE SUCH FILING OR FAILS TO CURE THE DEFICIENCY WITHIN THE 11 SPECIFIED TIME PERIOD, THE COMMISSION SHALL SEND A NOTICE OF DELINQUEN- 12 CY: (I) TO THE REPORTING PERSON; AND (II) IN THE CASE OF A STATE ELECTED 13 OFFICIAL, MEMBER OF THE LEGISLATURE, OR LEGISLATIVE EMPLOYEE, TO THE 14 TEMPORARY PRESIDENT OF THE SENATE AND THE SPEAKER OF THE ASSEMBLY; AND 15 (III) IN THE CASE OF A STATE OFFICER OR EMPLOYEE, TO THE APPOINTING 16 AUTHORITY FOR SUCH PERSON. SUCH NOTICE OF DELINQUENCY MAY BE SENT AT 17 ANY TIME DURING THE REPORTING PERSON'S SERVICE AS A STATE ELECTED OFFI- 18 CIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE, LEGISLATIVE 19 EMPLOYEE, POLITICAL PARTY CHAIR OR WHILE A CANDIDATE FOR STATEWIDE 20 OFFICE OR MEMBER OF THE LEGISLATURE, OR WITHIN ONE YEAR AFTER TERMI- 21 NATION OF SUCH SERVICE OR CANDIDACY. THE JURISDICTION OF THE COMMISSION, 22 WHEN ACTING PURSUANT TO SUBDIVISION THIRTEEN OF THIS SECTION WITH 23 RESPECT TO FINANCIAL DISCLOSURE, SHALL CONTINUE NOTWITHSTANDING THAT THE 24 REPORTING PERSON SEPARATES FROM STATE SERVICE, OR CEASES TO HOLD OFFICE 25 AS A STATE ELECTED OFFICIAL, MEMBER OF THE LEGISLATURE OR POLITICAL 26 PARTY CHAIR, OR CEASES TO BE A CANDIDATE, PROVIDED THE COMMISSION NOTI- 27 FIES SUCH PERSON OF THE ALLEGED FAILURE TO FILE OR DEFICIENT FILING 28 PURSUANT TO THIS SUBDIVISION. 29 (B) IF THE COMMISSION RECEIVES ANY COMPLAINT THAT A CORPORATION IS 30 USING ITS NOT FOR PROFIT STATUS TO CONCEAL POLITICAL CAMPAIGN FINANCE 31 SUPPORT WITHIN ITS ISSUE ADVOCACY REALM, THE COMMISSION SHALL HAVE THE 32 AUTHORITY TO DETERMINE WHETHER THERE HAVE BEEN VIOLATIONS OF THE STATE'S 33 CAMPAIGN FINANCE LAWS. THE COMMISSION SHALL FILE A SUMMARY PROCEEDING IN 34 THE SUPREME COURT REQUIRING THE CORPORATION TO STATE ANY REASONS WHY IT 35 SHOULD NOT BE COMPELLED TO OPEN ITS FISCAL BOOKS FOR INSPECTION BY THE 36 COMMISSION IN ORDER TO DETERMINE WHETHER VIOLATIONS OF THE STATE'S 37 CAMPAIGN FINANCE LAWS HAVE TAKEN PLACE. UPON THE FINDING OF ANY 38 VIOLATIONS, THE COMMISSION MAY ISSUE A FINE TO SUCH CORPORATION OR 39 CORPORATIONS OR MAY FINE THE PARTICIPANTS FOUND TO HAVE VIOLATED THE 40 STATE'S CAMPAIGN FINANCE LAWS IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND 41 DOLLARS. FURTHER, UPON ANY FINDING OF A VIOLATION OF THE CAMPAIGN 42 FINANCE LAWS THE COMMISSION SHALL ALSO NOTIFY THE FEDERAL INTERNAL 43 REVENUE SERVICE, THE DISTRICT ATTORNEY OF THE COUNTY WHERE THE VIOLATION 44 OCCURRED, AS WELL AS THE ATTORNEY GENERAL OF SUCH VIOLATION OR 45 VIOLATIONS. 46 12. (A) IF THE COMMISSION RECEIVES A SWORN COMPLAINT ALLEGING A 47 VIOLATION OF SECTION SEVENTY-THREE, SEVENTY-THREE-A, SEVENTY-THREE-D OR 48 SEVENTY-FOUR OF THIS ARTICLE OR ARTICLE SEVEN OF THIS CHAPTER AS IT 49 RELATES TO STATE OPEN MEETINGS, OR RECEIVES COMPLAINTS AS AUTHORIZED BY 50 ARTICLE FOURTEEN OF THE ELECTION LAW OR SECTION ONE HUNDRED SEVEN OF THE 51 CIVIL SERVICE LAW BY A PERSON OR ENTITY SUBJECT TO SUCH LAW UNDER THE 52 COMMISSION'S JURISDICTION, OR IF A REPORTING INDIVIDUAL HAS FILED A 53 STATEMENT WHICH REVEALS A POSSIBLE VIOLATION THEREOF, OR IF THE COMMIS- 54 SION DETERMINES ON ITS OWN INITIATIVE TO INVESTIGATE A POSSIBLE 55 VIOLATION, THE COMMISSION SHALL NOTIFY THE INDIVIDUAL IN WRITING, 56 DESCRIBE THE POSSIBLE OR ALLEGED VIOLATION OF SUCH LAW AND PROVIDE THE S. 6615--A 8 A. 9715--A 1 PERSON WITH A FIFTEEN DAY PERIOD IN WHICH TO SUBMIT A WRITTEN RESPONSE 2 SETTING FORTH INFORMATION RELATING TO THE ACTIVITIES CITED AS A POSSIBLE 3 OR ALLEGED VIOLATION OF LAW. IF THE COMMISSION THEREAFTER MAKES A DETER- 4 MINATION THAT FURTHER INQUIRY IS JUSTIFIED, IT SHALL GIVE THE INDIVIDUAL 5 AN OPPORTUNITY TO BE HEARD. THE COMMISSION SHALL ALSO INFORM THE INDI- 6 VIDUAL OF ITS RULES REGARDING THE CONDUCT OF ADJUDICATORY PROCEEDINGS 7 AND APPEALS AND THE DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO SUCH 8 INDIVIDUAL. IF THE COMMISSION DETERMINES AT ANY STAGE OF THE PROCEEDING, 9 THAT THERE IS NO VIOLATION OR THAT ANY POTENTIAL CONFLICT OF INTEREST 10 VIOLATION HAS BEEN RECTIFIED, IT SHALL SO ADVISE THE INDIVIDUAL AND THE 11 COMPLAINANT, IF ANY. ALL OF THE FOREGOING PROCEEDINGS SHALL BE CONFIDEN- 12 TIAL, EXCEPT AS RELATING TO LOBBYISTS AND CLIENTS OF LOBBYISTS. THE 13 COMMISSION SHALL PROMULGATE A STATEMENT OF NON-DISCLOSURE AND ESTABLISH 14 RULES FOR ABIDING BY SUCH STATEMENT. EVERY COMMISSIONER AND EVERY 15 EMPLOYEE OF THE COMMISSION SHALL BE REQUIRED TO SIGN A NON-DISCLOSURE 16 STATEMENT PRIOR TO REVIEWING ANY INFORMATION. 17 (B) IF THE COMMISSION DETERMINES THAT THERE IS REASONABLE CAUSE TO 18 BELIEVE THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF REASON- 19 ABLE CAUSE: (I) TO THE REPORTING PERSON; (II) IN THE CASE OF A STATE 20 ELECTED OFFICIAL, TO THE TEMPORARY PRESIDENT OF THE SENATE AND THE 21 SPEAKER OF THE ASSEMBLY; (III) IN THE CASE OF A MEMBER OF THE SENATE OR 22 EMPLOYEE OF THE SENATE, TO THE TEMPORARY PRESIDENT OF THE SENATE, (IV) 23 IN THE CASE OF A MEMBER OF THE ASSEMBLY OR EMPLOYEE OF THE ASSEMBLY, TO 24 THE SPEAKER OF THE ASSEMBLY; AND (V) IN THE CASE OF A STATE OFFICER OR 25 EMPLOYEE, TO THE APPOINTING AUTHORITY FOR SUCH PERSON. 26 (C) THE JURISDICTION OF THE COMMISSION WHEN ACTING PURSUANT TO THIS 27 SECTION SHALL CONTINUE NOTWITHSTANDING THAT A STATE ELECTED OFFICIAL, 28 MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR A STATE OFFICER OR 29 EMPLOYEE SEPARATES FROM STATE SERVICE, OR A POLITICAL PARTY CHAIR CEASES 30 TO HOLD SUCH OFFICE, OR A CANDIDATE CEASES TO BE A CANDIDATE, OR A 31 LOBBYIST OR CLIENT OF A LOBBYIST CEASES TO ACT AS SUCH, PROVIDED THAT 32 THE COMMISSION NOTIFIES SUCH INDIVIDUAL OR ENTITY OF THE ALLEGED 33 VIOLATION OF LAW PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION WITHIN 34 ONE YEAR FROM HIS OR HER SEPARATION FROM STATE OR LEGISLATIVE SERVICE, 35 OR HIS OR HER TERMINATION OF PARTY SERVICE OR CANDIDACY, OR HIS OR HER 36 OR ITS TERMINATION OF LOBBYING ACTIVITY. NOTHING IN THIS SECTION SHALL 37 SERVE TO LIMIT THE JURISDICTION OF THE COMMISSION IN ENFORCEMENT OF 38 SUBDIVISION EIGHT OF SECTION SEVENTY-THREE OF THIS ARTICLE. 39 13. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF THE COMMISSION WHO 40 KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF SUBDIVISIONS TWO 41 THROUGH FIVE, SEVEN, EIGHT, TWELVE OR SUBDIVISIONS FOURTEEN THROUGH 42 SEVENTEEN OF SECTION SEVENTY-THREE OF THIS ARTICLE, SECTION ONE HUNDRED 43 SEVEN OF THE CIVIL SERVICE LAW, OR A REPORTING INDIVIDUAL WHO KNOWINGLY 44 AND WILFULLY FAILS TO FILE AN ANNUAL STATEMENT OF FINANCIAL DISCLOSURE 45 OR WHO KNOWINGLY AND WILFULLY WITH INTENT TO DECEIVE MAKES A FALSE 46 STATEMENT OR OMISSION OR GIVES INFORMATION WHICH SUCH INDIVIDUAL KNOWS 47 TO BE FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE FILED PURSUANT TO 48 SECTION SEVENTY-THREE-A OF THIS ARTICLE SHALL BE SUBJECT TO A CIVIL 49 PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND DOLLARS PLUS THE 50 DISGORGEMENT OF THE AMOUNT OF THE VALUE OF ANY GIFT, COMPENSATION OR 51 BENEFIT RECEIVED AS A RESULT OF SUCH VIOLATION. AN INDIVIDUAL WHO KNOW- 52 INGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF PARAGRAPH B, C, D OR 53 I OF SUBDIVISION THREE OF SECTION SEVENTY-FOUR OF THIS ARTICLE SHALL BE 54 SUBJECT TO A CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND 55 DOLLARS AND THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A 56 RESULT OF SUCH VIOLATION. AN INDIVIDUAL WHO KNOWINGLY AND INTENTIONALLY S. 6615--A 9 A. 9715--A 1 VIOLATES THE PROVISIONS OF PARAGRAPH A, E OR G OF SUBDIVISION THREE OF 2 SECTION SEVENTY-FOUR OF THIS ARTICLE SHALL BE SUBJECT TO A CIVIL PENALTY 3 IN AN AMOUNT NOT TO EXCEED THE VALUE OF ANY GIFT, COMPENSATION OR BENE- 4 FIT RECEIVED AS A RESULT OF SUCH VIOLATION. AN INDIVIDUAL WHO KNOWINGLY 5 VIOLATES THE PROVISIONS OF PARAGRAPH J OF SUBDIVISION THREE OF SECTION 6 SEVENTY-FOUR OF THIS ARTICLE SHALL BE SUBJECT TO A CIVIL PENALTY IN AN 7 AMOUNT NOT TO EXCEED ONE HUNDRED FIFTY DOLLARS. ASSESSMENT OF A CIVIL 8 PENALTY HEREUNDER SHALL BE MADE BY THE COMMISSION WITH RESPECT TO 9 PERSONS SUBJECT TO ITS JURISDICTION. FOR A VIOLATION OF THIS SUBDIVI- 10 SION, OTHER THAN FOR CONDUCT WHICH CONSTITUTES A VIOLATION OF SUBDIVI- 11 SION TWELVE OF SECTION SEVENTY-THREE OR SECTION SEVENTY-FOUR OF THIS 12 ARTICLE, THE COMMISSION MAY, IN LIEU OF A CIVIL PENALTY, REFER A 13 VIOLATION TO THE DISTRICT ATTORNEY OF THE COUNTY OR COUNTIES HAVING 14 JURISDICTION OF THE ACT OR THE STATE ATTORNEY GENERAL AND UPON 15 CONVICTION, SUCH VIOLATION SHALL BE PUNISHABLE AS A CLASS A MISDEMEANOR, 16 EXCEPT THAT A VIOLATION OF SECTION ONE HUNDRED SEVEN OF THE CIVIL 17 SERVICE LAW SHALL BE PUNISHABLE AS PROVIDED HEREIN. A CIVIL PENALTY FOR 18 FALSE FILING MAY NOT BE IMPOSED HEREUNDER IN THE EVENT A CATEGORY OF 19 "VALUE" OR "AMOUNT" REPORTED HEREUNDER IS INCORRECT UNLESS SUCH REPORTED 20 INFORMATION IS FALSELY UNDERSTATED. NOTWITHSTANDING ANY OTHER PROVISION 21 OF LAW TO THE CONTRARY, NO OTHER PENALTY, CIVIL OR CRIMINAL MAY BE 22 IMPOSED FOR A FAILURE TO FILE, OR FOR A FALSE FILING, OF SUCH STATEMENT, 23 OR A VIOLATION OF SECTION SEVENTY-THREE OF THIS ARTICLE, EXCEPT THAT THE 24 APPOINTING AUTHORITY MAY IMPOSE DISCIPLINARY ACTION AS OTHERWISE 25 PROVIDED BY LAW. THE STATE GOVERNMENT ETHICS COMMISSION MAY REFER 26 VIOLATIONS OF THIS ARTICLE TO THE APPOINTING AUTHORITY FOR DISCIPLINARY 27 ACTION AS OTHERWISE PROVIDED BY LAW. THE STATE GOVERNMENT ETHICS 28 COMMISSION SHALL BE DEEMED TO BE AN AGENCY WITHIN THE MEANING OF ARTICLE 29 THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT AND SHALL ADOPT RULES 30 GOVERNING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND APPEALS TAKEN 31 PURSUANT TO A PROCEEDING COMMENCED UNDER ARTICLE SEVENTY-EIGHT OF THE 32 CIVIL PRACTICE LAW AND RULES RELATING TO THE ASSESSMENT OF THE CIVIL 33 PENALTIES HEREIN AUTHORIZED AND COMMISSION DENIALS OF REQUESTS FOR 34 CERTAIN DELETIONS OR EXEMPTIONS TO BE MADE FROM A FINANCIAL DISCLOSURE 35 STATEMENT AS AUTHORIZED IN PARAGRAPH (H) OR PARAGRAPH (I) OF SUBDIVISION 36 NINE OF THIS SECTION. SUCH RULES, WHICH SHALL NOT BE SUBJECT TO THE 37 APPROVAL REQUIREMENTS OF THE STATE ADMINISTRATIVE PROCEDURE ACT, SHALL 38 PROVIDE FOR DUE PROCESS PROCEDURAL MECHANISMS SUBSTANTIALLY SIMILAR TO 39 THOSE SET FORTH IN ARTICLE THREE OF THE STATE ADMINISTRATIVE PROCEDURE 40 ACT BUT SUCH MECHANISMS NEED NOT BE IDENTICAL IN TERMS OR SCOPE. ASSESS- 41 MENT OF A CIVIL PENALTY OR COMMISSION DENIAL OF SUCH A REQUEST SHALL BE 42 FINAL UNLESS MODIFIED, SUSPENDED OR VACATED WITHIN THIRTY DAYS OF IMPO- 43 SITION, WITH RESPECT TO THE ASSESSMENT OF SUCH PENALTY, OR UNLESS SUCH 44 DENIAL OF REQUEST IS REVERSED WITHIN SUCH TIME PERIOD, AND UPON BECOMING 45 FINAL SHALL BE SUBJECT TO REVIEW AT THE INSTANCE OF THE AFFECTED REPORT- 46 ING INDIVIDUALS IN A PROCEEDING COMMENCED AGAINST THE STATE GOVERNMENT 47 ETHICS COMMISSION, PURSUANT TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRAC- 48 TICE LAW AND RULES. 49 14. A COPY OF ANY NOTICE OF DELINQUENCY OR NOTICE OF REASONABLE CAUSE 50 SENT PURSUANT TO SUBDIVISIONS ELEVEN AND TWELVE OF THIS SECTION SHALL BE 51 INCLUDED IN THE REPORTING PERSON'S FILE AND BE AVAILABLE FOR PUBLIC 52 INSPECTION UPON A FINDING OR FINAL DETERMINATION OF WRONGDOING OR A 53 NOTICE OF CIVIL ASSESSMENT IS ISSUED. 54 15. UPON WRITTEN REQUEST FROM ANY PERSON WHO IS SUBJECT TO THE JURIS- 55 DICTION OF THE COMMISSION TO THE REQUIREMENTS OF SECTIONS SEVENTY-THREE, 56 SEVENTY-THREE-A, SEVENTY-THREE-D, SEVENTY-FOUR OF THIS ARTICLE OR ARTI- S. 6615--A 10 A. 9715--A 1 CLE FOURTEEN OF THE ELECTION LAW, THE COMMISSION SHALL RENDER ADVISORY 2 OPINIONS ON THE REQUIREMENTS OF SAID PROVISIONS. AN OPINION RENDERED BY 3 THE COMMISSION, UNTIL AND UNLESS AMENDED OR REVOKED, SHALL BE BINDING ON 4 THE COMMISSION IN ANY SUBSEQUENT PROCEEDING CONCERNING THE PERSON WHO 5 REQUESTED THE OPINION AND WHO ACTED IN GOOD FAITH, UNLESS MATERIAL FACTS 6 WERE OMITTED OR MISSTATED BY THE PERSON IN THE REQUEST FOR AN OPINION. 7 SUCH OPINION MAY ALSO BE RELIED UPON BY SUCH PERSON, AND MAY BE INTRO- 8 DUCED AND SHALL BE A DEFENSE, IN ANY CRIMINAL OR CIVIL ACTION. SUCH 9 REQUESTS SHALL BE CONFIDENTIAL BUT THE COMMISSION MAY PUBLISH SUCH OPIN- 10 IONS PROVIDED THAT THE NAME OF THE REQUESTING PERSON AND OTHER IDENTIFY- 11 ING DETAILS SHALL NOT BE INCLUDED IN THE PUBLICATION. 12 16. IN ADDITION TO ANY OTHER POWERS AND DUTIES SPECIFIED BY LAW, THE 13 COMMISSION SHALL HAVE THE POWER AND DUTY TO: 14 (A) PROMULGATE RULES CONCERNING RESTRICTIONS ON OUTSIDE ACTIVITIES, 15 LIMITATIONS ON THE RECEIPT OF GIFTS AND HONORARIA BY PERSONS SUBJECT TO 16 ITS JURISDICTION, PROVIDED, HOWEVER, A VIOLATION OF SUCH RULES IN AND OF 17 ITSELF SHALL NOT BE PUNISHABLE PURSUANT TO SUBDIVISION THIRTEEN OF THIS 18 SECTION UNLESS THE CONDUCT CONSTITUTING THE VIOLATION WOULD OTHERWISE 19 CONSTITUTE A VIOLATION OF THIS SECTION; AND 20 (B) CONDUCT TRAINING PROGRAMS IN COOPERATION WITH THE GOVERNOR'S 21 OFFICE OF EMPLOYEE RELATIONS, THE LEGISLATURE, THE ATTORNEY GENERAL, 22 OFFICE OF STATE COMPTROLLER AND UNIFIED COURT SYSTEM TO PROVIDE EDUCA- 23 TION TO INDIVIDUALS SUBJECT TO ITS JURISDICTION; AND 24 (C) ADMINISTER AND ENFORCE ALL THE PROVISIONS OF THIS SECTION; AND 25 (D) CONDUCT ANY INVESTIGATION NECESSARY TO CARRY OUT THE PROVISIONS OF 26 THIS SECTION. PURSUANT TO THIS POWER AND DUTY, THE COMMISSION MAY ADMIN- 27 ISTER OATHS OR AFFIRMATIONS, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE 28 AND REQUIRE THE PRODUCTION OF ANY BOOKS OR RECORDS WHICH IT MAY DEEM 29 RELEVANT OR MATERIAL. 30 16-A. WITHIN ONE HUNDRED TWENTY DAYS OF THE EFFECTIVE DATE OF THIS 31 SUBDIVISION, THE COMMISSION SHALL CREATE AND THEREAFTER MAINTAIN A 32 PUBLICLY ACCESSIBLE WEBSITE WHICH SHALL SET FORTH THE PROCEDURE FOR 33 FILING A COMPLAINT WITH THE COMMISSION, AND WHICH SHALL CONTAIN THE 34 DOCUMENTS IDENTIFIED IN SUBDIVISION SEVENTEEN OF THIS SECTION, OTHER 35 THAN FINANCIAL DISCLOSURE STATEMENTS, AND ANY OTHER RECORDS OR INFORMA- 36 TION WHICH THE COMMISSION DETERMINES TO BE APPROPRIATE. 37 17. (A) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THIS CHAPTER, 38 THE ONLY RECORDS OF THE COMMISSION WHICH SHALL BE AVAILABLE FOR PUBLIC 39 INSPECTION AND COPYING ARE: 40 (1) THE INFORMATION SET FORTH IN AN ANNUAL STATEMENT OF FINANCIAL 41 DISCLOSURE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THIS CHAPTER 42 EXCEPT THE CATEGORIES OF VALUE OR AMOUNT, WHICH SHALL REMAIN CONFIDEN- 43 TIAL, AND ANY OTHER ITEM OF INFORMATION DELETED PURSUANT TO PARAGRAPH 44 (H) OF SUBDIVISION NINE OF THIS SECTION; 45 (2) NOTICES OF DELINQUENCY SENT UNDER SUBDIVISION ELEVEN OF THIS 46 SECTION; 47 (3) NOTICES OF REASONABLE CAUSE SENT UNDER PARAGRAPH (B) OF SUBDIVI- 48 SION TWELVE OF THIS SECTION; 49 (4) NOTICES OF CIVIL ASSESSMENTS IMPOSED UNDER THIS SECTION WHICH 50 SHALL INCLUDE A DESCRIPTION OF THE NATURE OF THE ALLEGED WRONGDOING, THE 51 PROCEDURAL HISTORY OF THE COMPLAINT, THE FINDINGS AND DETERMINATIONS 52 MADE BY THE COMMISSION, AND ANY SANCTION IMPOSED; AND 53 (5) THE TERMS OF ANY SETTLEMENT OR COMPROMISE OF A COMPLAINT OR REFER- 54 RAL WHICH INCLUDES A FINE, PENALTY OR OTHER REMEDY. 55 (B) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SEVEN OF THIS CHAPTER, 56 NO MEETING OR PROCEEDING, INCLUDING ANY SUCH PROCEEDING CONTEMPLATED S. 6615--A 11 A. 9715--A 1 UNDER PARAGRAPH (H) OR (I) OF SUBDIVISION NINE OF THIS SECTION, OF THE 2 COMMISSION SHALL BE OPEN TO THE PUBLIC, EXCEPT IF EXPRESSLY PROVIDED 3 OTHERWISE BY THE COMMISSION. 4 (C) PENDING ANY APPLICATION FOR DELETION OR EXEMPTION TO THE COMMIS- 5 SION, ALL INFORMATION WHICH IS THE SUBJECT OR A PART OF THE APPLICATION 6 SHALL REMAIN CONFIDENTIAL. UPON AN ADVERSE DETERMINATION BY THE COMMIS- 7 SION, THE REPORTING INDIVIDUAL MAY REQUEST, AND UPON SUCH REQUEST THE 8 COMMISSION SHALL PROVIDE, THAT ANY INFORMATION WHICH IS THE SUBJECT OR 9 PART OF THE APPLICATION REMAIN CONFIDENTIAL FOR A PERIOD OF THIRTY DAYS 10 FOLLOWING NOTICE OF SUCH DETERMINATION. IN THE EVENT THAT THE REPORTING 11 INDIVIDUAL RESIGNS HIS OFFICE AND HOLDS NO OTHER OFFICE SUBJECT TO THE 12 JURISDICTION OF THE COMMISSION, THE INFORMATION SHALL NOT BE MADE PUBLIC 13 AND SHALL BE EXPUNGED IN ITS ENTIRETY. 14 18. IF ANY PART OR PROVISION OF THIS SECTION OR THE APPLICATION THERE- 15 OF TO ANY PERSON OR ORGANIZATION IS ADJUDGED BY A COURT OF COMPETENT 16 JURISDICTION TO BE UNCONSTITUTIONAL OR OTHERWISE INVALID, SUCH JUDGMENT 17 SHALL NOT AFFECT OR IMPAIR ANY OTHER PART OR PROVISION OR THE APPLICA- 18 TION THEREOF TO ANY OTHER PERSON OR ORGANIZATION, BUT SHALL BE CONFINED 19 IN ITS OPERATION TO SUCH PART OR PROVISION. 20 S 5. Legislative declaration. The legislature hereby declares that the 21 operation of responsible democratic government requires that the fullest 22 opportunity be afforded to the people to petition their government for 23 the redress of grievances and to express freely to appropriate officials 24 their opinions on legislation and governmental operations; and that, to 25 preserve and maintain the integrity of the governmental decision-making 26 process in this state, it is necessary that the identity, expenditures 27 and activities of persons and organizations retained, employed or desig- 28 nated to influence the passage or defeat of any legislation by either 29 house of the legislature or the approval, or veto, of any legislation by 30 the governor and attempts to influence the adoption or rejection of any 31 rule or regulation having the force and effect of law or the outcome of 32 any rate making proceeding by a state agency, and the attempts to influ- 33 ence the passage or defeat of any local law, ordinance, or regulation be 34 publicly and regularly disclosed. 35 S 6. The public officers law is amended by adding a new section 73-d 36 to read as follows: 37 S 73-D. LOBBYING ACTIVITY. 1. SHORT TITLE. THIS SECTION SHALL BE 38 KNOWN AND MAY BE CITED AS THE "LOBBYING ACT". 39 2. DEFINITIONS. AS USED IN THIS SECTION UNLESS THE CONTEXT OTHERWISE 40 REQUIRES: 41 (A) THE TERM "LOBBYIST" SHALL MEAN EVERY PERSON OR ORGANIZATION 42 RETAINED, EMPLOYED OR DESIGNATED BY ANY CLIENT TO ENGAGE IN DIRECTLY OR 43 TO SOLICIT OTHERS TO COMMUNICATE FOR THE PURPOSES OF LOBBYING. THE TERM 44 "LOBBYIST" SHALL NOT INCLUDE ANY OFFICER, DIRECTOR, TRUSTEE, EMPLOYEE, 45 COUNSEL OR AGENT OF THE STATE, OR ANY MUNICIPALITY OR SUBDIVISION THERE- 46 OF OF NEW YORK WHEN DISCHARGING THEIR OFFICIAL DUTIES; EXCEPT THOSE 47 OFFICERS, DIRECTORS, TRUSTEES, EMPLOYEES, COUNSELS, OR AGENTS OF 48 COLLEGES, AS DEFINED BY SECTION TWO OF THE EDUCATION LAW. 49 (B) THE TERM "CLIENT" SHALL MEAN EVERY PERSON OR ORGANIZATION WHO 50 RETAINS, EMPLOYS OR DESIGNATES ANY PERSON OR ORGANIZATION TO CARRY ON 51 LOBBYING ACTIVITIES ON BEHALF OF SUCH CLIENT. 52 (C) THE TERM "LOBBYING" OR "LOBBYING ACTIVITIES" SHALL MEAN AND 53 INCLUDE ANY ATTEMPT BY A PERSON OR ENTITY TO DIRECTLY OR TO SOLICIT 54 OTHERS TO COMMUNICATE FOR THE PURPOSE OF INFLUENCING: S. 6615--A 12 A. 9715--A 1 (I) THE PASSAGE OR DEFEAT OF ANY LEGISLATION BY EITHER HOUSE OF THE 2 STATE LEGISLATURE OR APPROVAL OR DISAPPROVAL OF ANY LEGISLATION BY THE 3 GOVERNOR; 4 (II) THE ADOPTION, ISSUANCE, RESCISSION, MODIFICATION OR TERMS OF A 5 GUBERNATORIAL EXECUTIVE ORDER; 6 (III) THE ADOPTION OR REJECTION OF ANY PROCEDURE, RULE OR REGULATION 7 HAVING THE FORCE AND EFFECT OF LAW BY A STATE AGENCY; 8 (IV) THE OUTCOME OF ANY RATE MAKING PROCEEDING BY A STATE AGENCY; 9 (V) ANY DETERMINATION: (A) BY A PUBLIC OFFICIAL, OR BY A PERSON OR 10 ENTITY WORKING IN COOPERATION WITH A PUBLIC OFFICIAL RELATED TO A 11 GOVERNMENTAL PROCUREMENT, (B) BY AN OFFICER OR EMPLOYEE OF THE UNIFIED 12 COURT SYSTEM, OR BY A PERSON OR ENTITY WORKING IN COOPERATION WITH AN 13 OFFICER OR EMPLOYEE OF THE UNIFIED COURT SYSTEM RELATED TO A GOVERN- 14 MENTAL PROCUREMENT, OR (C) BY THE STATE OR NEW YORK CITY COMPTROLLER 15 WORKING IN COOPERATION WITH A PERSON OR ENTITY FOR THE INVESTMENT OF 16 PUBLIC PENSION FUNDS; 17 (VI) THE APPROVAL, DISAPPROVAL, IMPLEMENTATION OR ADMINISTRATION OF 18 TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER TRIBAL- 19 STATE AGREEMENTS AND ANY OTHER STATE ACTIONS RELATED TO CLASS III GAMING 20 AS PROVIDED IN 25 U.S.C. S 2701, EXCEPT TO THE EXTENT DESIGNATION OF 21 SUCH ACTIVITIES AS "LOBBYING" IS BARRED BY THE FEDERAL INDIAN GAMING 22 REGULATORY ACT, BY A PUBLIC OFFICIAL OR BY A PERSON OR ENTITY WORKING IN 23 COOPERATION WITH A PUBLIC OFFICIAL IN RELATION TO SUCH APPROVAL, DISAP- 24 PROVAL, IMPLEMENTATION OR ADMINISTRATION; 25 (VII) THE PASSAGE OR DEFEAT OF ANY LOCAL LAW, ORDINANCE, RESOLUTION, 26 OR REGULATION BY ANY MUNICIPALITY OR SUBDIVISION THEREOF; 27 (VIII) THE ADOPTION, ISSUANCE, RESCISSION, MODIFICATION OR TERMS OF AN 28 EXECUTIVE ORDER ISSUED BY THE CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY; 29 (IX) THE ADOPTION OR REJECTION OF ANY RULE, REGULATION, OR RESOLUTION 30 HAVING THE FORCE AND EFFECT OF A LOCAL LAW, ORDINANCE, RESOLUTION, OR 31 REGULATION; OR 32 (X) THE OUTCOME OF ANY RATE MAKING PROCEEDING BY ANY MUNICIPALITY OR 33 SUBDIVISION THEREOF. 34 THE TERM "LOBBYING" SHALL NOT INCLUDE: 35 (A) PERSONS ENGAGED IN DRAFTING, ADVISING CLIENTS ON OR RENDERING 36 OPINIONS ON PROPOSED LEGISLATION, RULES, REGULATIONS OR RATES, MUNICIPAL 37 ORDINANCES AND RESOLUTIONS, EXECUTIVE ORDERS, PROCUREMENT CONTRACTS, OR 38 TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER TRIBAL- 39 STATE AGREEMENTS OR OTHER WRITTEN MATERIALS RELATED TO CLASS III GAMING 40 AS PROVIDED IN 25 U.S.C. S 2701, WHEN SUCH PROFESSIONAL SERVICES ARE NOT 41 OTHERWISE CONNECTED WITH STATE OR MUNICIPAL LEGISLATIVE OR EXECUTIVE 42 ACTION ON SUCH LEGISLATION, RULES, REGULATIONS OR RATES, MUNICIPAL ORDI- 43 NANCES AND RESOLUTIONS, EXECUTIVE ORDERS, PROCUREMENT CONTRACTS, OR 44 TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER TRIBAL- 45 STATE AGREEMENTS OR OTHER WRITTEN MATERIALS RELATED TO CLASS III GAMING 46 AS PROVIDED IN 25 U.S.C. S 2701; 47 (B) NEWSPAPERS AND OTHER PERIODICALS AND RADIO AND TELEVISION 48 STATIONS, AND OWNERS AND EMPLOYEES THEREOF, PROVIDED THAT THEIR ACTIV- 49 ITIES IN CONNECTION WITH PROPOSED LEGISLATION, RULES, REGULATIONS OR 50 RATES, MUNICIPAL ORDINANCES AND RESOLUTIONS, EXECUTIVE ORDERS, 51 TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING OR OTHER TRIBAL-STATE 52 AGREEMENTS RELATED TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. S 2701, 53 OR PROCUREMENT CONTRACTS BY A STATE AGENCY, MUNICIPAL AGENCY, LOCAL 54 LEGISLATIVE BODY, THE STATE LEGISLATURE, OR THE UNIFIED COURT SYSTEM, 55 ARE LIMITED TO THE PUBLICATION OR BROADCAST OF NEWS ITEMS, EDITORIALS OR 56 OTHER COMMENTS, OR PAID ADVERTISEMENTS; S. 6615--A 13 A. 9715--A 1 (C) PERSONS WHO PARTICIPATE AS WITNESSES, ATTORNEYS OR OTHER REPRESEN- 2 TATIVES IN PUBLIC PROCEEDINGS OF A STATE OR MUNICIPAL AGENCY WITH 3 RESPECT TO ALL PARTICIPATION BY SUCH PERSONS WHICH IS PART OF THE PUBLIC 4 RECORD THEREOF AND ALL PREPARATION BY SUCH PERSONS FOR SUCH PARTIC- 5 IPATION; 6 (D) PERSONS WHO ATTEMPT TO INFLUENCE A STATE OR MUNICIPAL AGENCY IN AN 7 ADJUDICATORY PROCEEDING, AS "ADJUDICATORY PROCEEDING" IS DEFINED BY 8 SECTION ONE HUNDRED TWO OF THE STATE ADMINISTRATIVE PROCEDURE ACT; 9 (E) PERSONS WHO PREPARE OR SUBMIT A RESPONSE TO A REQUEST FOR INFORMA- 10 TION OR COMMENTS BY THE STATE LEGISLATURE, THE GOVERNOR, OR A STATE 11 AGENCY OR A COMMITTEE OR OFFICER OF THE LEGISLATURE OR A STATE AGENCY, 12 OR BY THE UNIFIED COURT SYSTEM, OR BY A LEGISLATIVE OR EXECUTIVE BODY OR 13 OFFICER OF A MUNICIPALITY OR A COMMISSION, COMMITTEE OR OFFICER OF A 14 MUNICIPAL LEGISLATIVE OR EXECUTIVE BODY; 15 (F) ANY ATTEMPT BY A CHURCH, ITS INTEGRATED AUXILIARY, OR A CONVENTION 16 OR ASSOCIATION OF CHURCHES THAT IS EXEMPT FROM FILING A FEDERAL INCOME 17 TAX RETURN UNDER PARAGRAPH (A)(I) OF SECTION 6033(A) OF TITLE 26 OF THE 18 UNITED STATES CODE OR A RELIGIOUS ORDER THAT IS EXEMPT FROM FILING A 19 FEDERAL INCOME TAX RETURN UNDER PARAGRAPH (2)(A)(III) OF SUCH SECTION 20 6033(A) TO INFLUENCE PASSAGE OR DEFEAT OF A LOCAL LAW, ORDINANCE, RESOL- 21 UTION OR REGULATION OR ANY RULE OR REGULATION HAVING THE FORCE AND 22 EFFECT OF A LOCAL LAW, ORDINANCE OR REGULATION; 23 (G) ANY ACTIVITY RELATING TO GOVERNMENTAL PROCUREMENTS MADE UNDER 24 SECTION ONE HUNDRED SIXTY-TWO OF THE STATE FINANCE LAW UNDERTAKEN BY (I) 25 THE NON-PROFIT-MAKING AGENCIES APPOINTED PURSUANT TO PARAGRAPH E OF 26 SUBDIVISION SIX OF SECTION ONE HUNDRED SIXTY-TWO OF THE STATE FINANCE 27 LAW BY THE COMMISSIONER OF THE OFFICE OF CHILDREN AND FAMILY SERVICES, 28 THE COMMISSION FOR THE BLIND AND VISUALLY HANDICAPPED, OR THE COMMIS- 29 SIONER OF EDUCATION, AND (II) THE QUALIFIED CHARITABLE NON-PROFIT-MAKING 30 AGENCIES FOR THE BLIND, AND QUALIFIED CHARITABLE NON-PROFIT-MAKING AGEN- 31 CIES FOR OTHER SEVERELY DISABLED PERSONS AS IDENTIFIED IN SUBDIVISION 32 TWO OF SECTION ONE HUNDRED SIXTY-TWO OF THE STATE FINANCE LAW; PROVIDED, 33 HOWEVER, THAT ANY ATTEMPT TO INFLUENCE THE ISSUANCE OR TERMS OF THE 34 SPECIFICATIONS THAT SERVE AS THE BASIS FOR BID DOCUMENTS, REQUESTS FOR 35 PROPOSALS, INVITATIONS FOR BIDS, OR SOLICITATIONS OF PROPOSALS, OR ANY 36 OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS INTENDING TO RESULT 37 IN A PROCUREMENT CONTRACT WITH A STATE AGENCY, THE STATE LEGISLATURE, 38 THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY 39 SHALL NOT BE EXEMPT FROM THE DEFINITION OF "LOBBYING" OR "LOBBYING 40 ACTIVITIES" UNDER THIS CLAUSE; 41 (H) PARTICIPANTS, INCLUDING THOSE APPEARING ON BEHALF OF A CLIENT, IN 42 A CONFERENCE PROVIDED FOR IN A REQUEST FOR PROPOSALS, INVITATION FOR 43 BIDS, OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS 44 INTENDING TO RESULT IN A PROCUREMENT CONTRACT; 45 (I) OFFERERS WHO HAVE BEEN TENTATIVELY AWARDED A CONTRACT AND ARE 46 ENGAGED IN COMMUNICATIONS WITH A STATE AGENCY, EITHER HOUSE OF THE STATE 47 LEGISLATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL 48 LEGISLATIVE BODY SOLELY FOR THE PURPOSE OF NEGOTIATING THE TERMS OF THE 49 PROCUREMENT CONTRACT AFTER BEING NOTIFIED OF SUCH AWARD OR, WHEN A STATE 50 AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, 51 A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY IS PURCHASING AN ARTICLE OF 52 PROCUREMENT PURSUANT TO AN EXISTING STATE PROCUREMENT CONTRACT, OFFERERS 53 WHO ARE ENGAGED IN COMMUNICATIONS WITH THE PROCURING ENTITY SOLELY FOR 54 THE PURPOSE OF NEGOTIATING TERMS APPLICABLE TO THAT PURCHASE; OR PERSONS 55 WHO CURRENTLY HOLD A FRANCHISE AND WHO ARE ENGAGED IN NEGOTIATING THE 56 TERMS OF A TENTATIVE FRANCHISE RENEWAL CONTRACT WITH A MUNICIPALITY, BUT S. 6615--A 14 A. 9715--A 1 SUCH NEGOTIATIONS, WHICH DO NOT CONSTITUTE LOBBYING, DO NOT INCLUDE 2 COMMUNICATIONS TO THE LOCAL LEGISLATIVE BODY THAT MUST APPROVE THE 3 CONTRACT; PROVIDED, HOWEVER, THAT ANY ATTEMPT TO INFLUENCE THE FINAL 4 ISSUANCE OR TERMS OF THE SPECIFICATIONS THAT SERVE AS THE BASIS FOR BID 5 DOCUMENTS, REQUESTS FOR PROPOSALS, INVITATIONS FOR BIDS, OR SOLICITA- 6 TIONS OF PROPOSALS, OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM 7 OFFERERS INTENDING TO RESULT IN A PROCUREMENT CONTRACT WITH A STATE 8 AGENCY, THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL 9 AGENCY OR LOCAL LEGISLATIVE BODY SHALL NOT BE EXEMPT FROM THE DEFINITION 10 OF "LOBBYING" OR "LOBBYING ACTIVITIES" UNDER THIS SUBPARAGRAPH; 11 (J) (I) OFFERERS OR OTHER PERSONS WHO ARE A PARTY TO A PROTEST, APPEAL 12 OR OTHER REVIEW PROCEEDING (INCLUDING THE APPARENT SUCCESSFUL BIDDER OR 13 PROPOSER AND HIS OR HER REPRESENTATIVES) BEFORE THE GOVERNMENTAL ENTITY 14 CONDUCTING THE PROCUREMENT SEEKING A FINAL ADMINISTRATIVE DETERMINATION, 15 OR IN A SUBSEQUENT JUDICIAL PROCEEDING; OR 16 (II) OFFERERS OR OTHER PERSONS WHO BRING COMPLAINTS OF ALLEGED IMPROP- 17 ER CONDUCT IN A GOVERNMENTAL PROCUREMENT TO THE ATTORNEY GENERAL, 18 INSPECTOR GENERAL, DISTRICT ATTORNEY, OR COURT OF COMPETENT JURISDIC- 19 TION; OR 20 (III) OFFERERS OR OTHER PERSONS WHO SUBMIT WRITTEN PROTESTS, APPEALS 21 OR COMPLAINTS TO THE STATE COMPTROLLER'S OFFICE DURING THE PROCESS OF 22 CONTRACT APPROVAL, WHERE THE STATE COMPTROLLER'S APPROVAL IS REQUIRED BY 23 LAW, AND WHERE SUCH COMMUNICATIONS AND ANY RESPONSES THERETO ARE MADE IN 24 WRITING AND SHALL BE ENTERED IN THE PROCUREMENT RECORD PURSUANT TO 25 SECTION ONE HUNDRED SIXTY-THREE OF THE STATE FINANCE LAW; OR 26 (IV) OFFERERS OR OTHER PERSONS WHO BRING COMPLAINTS OF ALLEGED IMPROP- 27 ER CONDUCT IN A GOVERNMENTAL PROCUREMENT CONDUCTED BY A MUNICIPAL AGENCY 28 OR LOCAL LEGISLATIVE BODY TO THE STATE COMPTROLLER'S OFFICE; PROVIDED, 29 HOWEVER, THAT NOTHING IN THIS SUBPARAGRAPH SHALL BE CONSTRUED AS RECOG- 30 NIZING OR CREATING ANY NEW RIGHTS, DUTIES OR RESPONSIBILITIES OR ABRO- 31 GATING ANY EXISTING RIGHTS, DUTIES OR RESPONSIBILITIES OF ANY GOVERN- 32 MENTAL ENTITY AS IT PERTAINS TO IMPLEMENTATION AND ENFORCEMENT OF 33 ARTICLE ELEVEN OF THE STATE FINANCE LAW OR ANY OTHER PROVISION OF LAW 34 DEALING WITH THE GOVERNMENTAL PROCUREMENT PROCESS; 35 (K) THE SUBMISSION OF A BID OR PROPOSAL (WHETHER SUBMITTED ORALLY, IN 36 WRITING OR ELECTRONICALLY) IN RESPONSE TO A REQUEST FOR PROPOSALS, INVI- 37 TATION FOR BIDS OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM 38 OFFERERS INTENDING TO RESULT IN A PROCUREMENT CONTRACT; 39 (L) OFFERERS SUBMITTING WRITTEN QUESTIONS TO A DESIGNATED CONTACT OF A 40 STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT 41 SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY SET FORTH IN A 42 REQUEST FOR PROPOSALS, OR INVITATION FOR BIDS OR ANY OTHER METHOD FOR 43 SOLICITING A RESPONSE FROM OFFERERS INTENDING TO RESULT IN A PROCUREMENT 44 CONTRACT, WHEN ALL WRITTEN QUESTIONS AND RESPONSES ARE TO BE DISSEM- 45 INATED TO ALL OFFERERS WHO HAVE EXPRESSED AN INTEREST IN THE REQUEST FOR 46 PROPOSALS, OR INVITATION FOR BIDS, OR ANY OTHER METHOD FOR SOLICITING A 47 RESPONSE FROM OFFERERS INTENDING TO RESULT IN A PROCUREMENT CONTRACT; 48 (M) CONTACTS DURING GOVERNMENTAL PROCUREMENTS BETWEEN DESIGNATED STAFF 49 OF A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED 50 COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY INVOLVED IN 51 GOVERNMENTAL PROCUREMENTS AND OFFICERS OR EMPLOYEES OF BIDDERS OR POTEN- 52 TIAL BIDDERS, OR OFFICERS OR EMPLOYEES OF SUBCONTRACTORS OF BIDDERS OR 53 POTENTIAL BIDDERS, WHO ARE CHARGED WITH THE PERFORMANCE OF FUNCTIONS 54 RELATING TO CONTRACTS AND WHO ARE QUALIFIED BY EDUCATION, TRAINING OR 55 EXPERIENCE TO PROVIDE TECHNICAL SERVICES TO EXPLAIN, CLARIFY OR DEMON- 56 STRATE THE QUALITIES, CHARACTERISTICS OR ADVANTAGES OF AN ARTICLE OF S. 6615--A 15 A. 9715--A 1 PROCUREMENT. SUCH AUTHORIZED CONTACTS SHALL: (I) BE LIMITED TO PROVIDING 2 INFORMATION TO THE STAFF OF A STATE AGENCY, EITHER HOUSE OF THE STATE 3 LEGISLATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY AND LOCAL 4 LEGISLATIVE BODY TO ASSIST THEM IN UNDERSTANDING AND ASSESSING THE QUAL- 5 ITIES, CHARACTERISTICS OR ANTICIPATED PERFORMANCE OF AN ARTICLE OF 6 PROCUREMENT; (II) NOT INCLUDE ANY RECOMMENDATIONS OR ADVOCATE ANY 7 CONTRACT PROVISIONS; AND (III) OCCUR ONLY AT SUCH TIMES AND IN SUCH 8 MANNER AS AUTHORIZED UNDER THE PROCURING ENTITY'S SOLICITATION OR GUIDE- 9 LINES AND PROCEDURES. FOR THE PURPOSES OF THIS SUBPARAGRAPH, THE TERM 10 "TECHNICAL SERVICES" SHALL BE LIMITED TO ANALYSIS DIRECTLY APPLYING ANY 11 ACCOUNTING, ENGINEERING, SCIENTIFIC, OR OTHER SIMILAR TECHNICAL DISCI- 12 PLINES; 13 (N) APPLICATIONS FOR LICENSES, CERTIFICATES, AND PERMITS AUTHORIZED BY 14 STATUTES OR LOCAL LAWS OR ORDINANCES; 15 (O) THE ACTIVITIES OF PERSONS WHO ARE COMMISSION SALESPERSONS WITH 16 RESPECT TO GOVERNMENTAL PROCUREMENTS; 17 (P) COMMUNICATIONS MADE BY AN OFFICER OR EMPLOYEE OF THE OFFERER AFTER 18 THE AWARD OF THE PROCUREMENT CONTRACT WHEN SUCH COMMUNICATIONS ARE IN 19 THE ORDINARY COURSE OF PROVIDING THE ARTICLE OF PROCUREMENT PROVIDED BY 20 THE PROCUREMENT CONTRACT AND IN THE ORDINARY COURSE OF THE ASSIGNED 21 DUTIES OF THE OFFICER OR EMPLOYEE; PROVIDED, HOWEVER, THAT NOTHING HERE- 22 IN SHALL EXEMPT: (I) AN OFFICER OR EMPLOYEE WHOSE PRIMARY PURPOSE OF 23 EMPLOYMENT IS TO ENGAGE IN LOBBYING ACTIVITIES WITH REGARD TO GOVERN- 24 MENTAL PROCUREMENTS, OR (II) AN AGENT OR INDEPENDENT CONTRACTOR HIRED BY 25 AN OFFERER AND WHOSE PRIMARY DUTY IS TO ENGAGE IN LOBBYING ACTIVITIES 26 WITH REGARD TO GOVERNMENTAL PROCUREMENTS; AND 27 (Q) PERSONS WHO COMMUNICATE WITH PUBLIC OFFICIALS WHERE SUCH COMMUNI- 28 CATIONS ARE LIMITED TO OBTAINING FACTUAL INFORMATION RELATED TO BENEFITS 29 OR INCENTIVES OFFERED BY A STATE OR MUNICIPAL AGENCY AND WHERE SUCH 30 COMMUNICATIONS DO NOT INCLUDE ANY RECOMMENDATIONS OR ADVOCATE GOVERN- 31 MENTAL ACTION OR CONTRACT PROVISIONS, AND FURTHER WHERE SUCH COMMUNI- 32 CATIONS ARE NOT OTHERWISE CONNECTED WITH PENDING LEGISLATIVE OR EXECU- 33 TIVE ACTION OR DETERMINATIONS; PROVIDED, HOWEVER, THAT ANY PERSON WHO IS 34 OTHERWISE REQUIRED TO FILE A STATEMENT OR REPORT PURSUANT TO THIS 35 SECTION BY VIRTUE OF ENGAGING IN LOBBYING ACTIVITIES AS DEFINED IN THIS 36 PARAGRAPH SHALL NOT BE DEEMED TO FALL WITHIN THE EXCEPTION PROVIDED FOR 37 UNDER THIS SUBPARAGRAPH. 38 (D) THE TERM "ORGANIZATION" SHALL MEAN ANY CORPORATION, COMPANY, FOUN- 39 DATION, ASSOCIATION, COLLEGE AS DEFINED BY SECTION TWO OF THE EDUCATION 40 LAW, LABOR ORGANIZATION, FIRM, PARTNERSHIP, SOCIETY, JOINT STOCK COMPA- 41 NY, STATE AGENCY OR PUBLIC CORPORATION. 42 (E) THE TERM "STATE AGENCY" SHALL MEAN ANY DEPARTMENT, BOARD, BUREAU, 43 COMMISSION, DIVISION, OFFICE, COUNCIL, COMMITTEE OR OFFICER OF THE 44 STATE, WHETHER PERMANENT OR TEMPORARY, OR A PUBLIC BENEFIT CORPORATION 45 OR PUBLIC AUTHORITY AT LEAST ONE OF WHOSE MEMBERS IS APPOINTED BY THE 46 GOVERNOR, AUTHORIZED BY LAW TO MAKE RULES OR TO MAKE FINAL DECISIONS IN 47 ADJUDICATORY PROCEEDINGS BUT SHALL NOT INCLUDE THE JUDICIAL BRANCH OR 48 AGENCIES CREATED BY INTERSTATE COMPACT OR INTERNATIONAL AGREEMENT. 49 (F) THE TERM "COMMISSION" SHALL MEAN THE STATE GOVERNMENT ETHICS 50 COMMISSION CREATED BY SECTION SEVENTY-THREE-C OF THIS ARTICLE. 51 (G) THE TERM "EXPENSE" OR "EXPENSES" SHALL MEAN ANY EXPENDITURES 52 INCURRED BY OR REIMBURSED TO THE LOBBYIST FOR LOBBYING BUT SHALL NOT 53 INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO ARTICLE FOURTEEN OF THE 54 ELECTION LAW. 55 (H) THE TERM "COMPENSATION" SHALL MEAN ANY SALARY, FEE, GIFT, PAYMENT, 56 BENEFIT, LOAN, ADVANCE OR ANY OTHER THING OF VALUE PAID, OWED, GIVEN OR S. 6615--A 16 A. 9715--A 1 PROMISED TO THE LOBBYIST BY THE CLIENT FOR LOBBYING BUT SHALL NOT 2 INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO ARTICLE FOURTEEN OF THE 3 ELECTION LAW. 4 (I) THE TERM "PUBLIC CORPORATION" SHALL MEAN A MUNICIPAL CORPORATION, 5 A DISTRICT CORPORATION, OR A PUBLIC BENEFIT CORPORATION AS DEFINED IN 6 SECTION SIXTY-SIX OF THE GENERAL CONSTRUCTION LAW. 7 (J) THE TERM "GIFT" SHALL MEAN ANYTHING OVER TEN DOLLARS IN VALUE 8 GIVEN TO A PUBLIC OFFICIAL IN ANY FORM INCLUDING, BUT NOT LIMITED TO 9 MONEY, SERVICE, LOAN, TRAVEL, LODGING, MEALS, REFRESHMENTS, ENTER- 10 TAINMENT, DISCOUNT, FORBEARANCE, OR PROMISE, HAVING A MONETARY VALUE. 11 THE FOLLOWING ARE EXCLUDED FROM THE DEFINITION OF A GIFT: 12 (I) COMPLIMENTARY ATTENDANCE, INCLUDING FOOD AND BEVERAGE, AT BONA 13 FIDE CHARITABLE OR POLITICAL EVENTS, AND FOOD AND BEVERAGE OF A NOMINAL 14 VALUE GREATER THAN TEN DOLLARS OFFERED OTHER THAN AS PART OF A MEAL; 15 (II) COMPLIMENTARY ATTENDANCE, FOOD AND BEVERAGE OFFERED BY THE SPON- 16 SOR OF AN EVENT THAT IS WIDELY ATTENDED OR WAS IN GOOD FAITH INTENDED TO 17 BE WIDELY ATTENDED, WHEN ATTENDANCE AT THE EVENT IS RELATED TO THE 18 ATTENDEE'S DUTIES OR RESPONSIBILITIES AS A PUBLIC OFFICIAL OR ALLOWS THE 19 PUBLIC OFFICIAL TO PERFORM A CEREMONIAL FUNCTION APPROPRIATE TO HIS OR 20 HER POSITION. FOR THE PURPOSES OF THIS SUBPARAGRAPH, THE TERM WIDELY 21 ATTENDED SHALL MEAN THAT THE INTENT OF THE EVENT SPONSOR IS TO INVITE 22 MORE THAN TWENTY-FIVE STATE OFFICERS WHO REPRESENT DIVERSE VIEWS AND TO 23 ENCOURAGE DIALOGUE AMONG THE PARTICIPANTS; 24 (III) AWARDS, PLAQUES, AND OTHER CEREMONIAL ITEMS WHICH ARE PUBLICLY 25 PRESENTED, OR INTENDED TO BE PUBLICLY PRESENTED, IN RECOGNITION OF 26 PUBLIC SERVICE, PROVIDED THAT THE ITEM OR ITEMS ARE OF THE TYPE CUSTOM- 27 ARILY BESTOWED AT SUCH OR SIMILAR CEREMONIES AND ARE OTHERWISE REASON- 28 ABLE UNDER THE CIRCUMSTANCES, AND FURTHER PROVIDED THAT THE FUNCTIONALI- 29 TY OF SUCH ITEMS SHALL NOT DETERMINE WHETHER SUCH ITEMS ARE PERMITTED 30 UNDER THIS PARAGRAPH; 31 (IV) AN HONORARY DEGREE BESTOWED UPON A PUBLIC OFFICIAL BY A PUBLIC OR 32 PRIVATE COLLEGE OR UNIVERSITY; 33 (V) PROMOTIONAL ITEMS HAVING NO SUBSTANTIAL RESALE VALUE SUCH AS PENS, 34 MUGS, CALENDARS, HATS, AND T-SHIRTS WHICH BEAR AN ORGANIZATION'S NAME, 35 LOGO, OR MESSAGE IN A MANNER WHICH PROMOTES THE ORGANIZATION'S CAUSE; 36 (VI) GOODS AND SERVICES, OR DISCOUNTS FOR GOODS AND SERVICES, OFFERED 37 TO THE GENERAL PUBLIC OR A SEGMENT OF THE GENERAL PUBLIC DEFINED ON A 38 BASIS OTHER THAN STATUS AS A PUBLIC OFFICIAL AND OFFERED ON THE SAME 39 TERMS AND CONDITIONS AS THE GOODS OR SERVICES ARE OFFERED TO THE GENERAL 40 PUBLIC OR SEGMENT THEREOF; 41 (VII) GIFTS FROM A FAMILY MEMBER, MEMBER OF THE SAME HOUSEHOLD, OR 42 PERSON WITH A PERSONAL RELATIONSHIP WITH THE PUBLIC OFFICIAL, INCLUDING 43 INVITATIONS TO ATTEND PERSONAL OR FAMILY SOCIAL EVENTS, WHEN THE CIRCUM- 44 STANCES ESTABLISH THAT IT IS THE FAMILY, HOUSEHOLD, OR PERSONAL 45 RELATIONSHIP THAT IS THE PRIMARY MOTIVATING FACTOR; IN DETERMINING MOTI- 46 VATION, THE FOLLOWING FACTORS SHALL BE AMONG THOSE CONSIDERED: (A) THE 47 HISTORY AND NATURE OF THE RELATIONSHIP BETWEEN THE DONOR AND THE RECIPI- 48 ENT, INCLUDING WHETHER OR NOT ITEMS HAVE PREVIOUSLY BEEN EXCHANGED; (B) 49 WHETHER THE ITEM WAS PURCHASED BY THE DONOR; AND (C) WHETHER OR NOT THE 50 DONOR AT THE SAME TIME GAVE SIMILAR ITEMS TO OTHER PUBLIC OFFICIALS; THE 51 TRANSFER SHALL NOT BE CONSIDERED TO BE MOTIVATED BY A FAMILY, HOUSEHOLD, 52 OR PERSONAL RELATIONSHIP IF THE DONOR SEEKS TO CHARGE OR DEDUCT THE 53 VALUE OF SUCH ITEM AS A BUSINESS EXPENSE OR SEEKS REIMBURSEMENT FROM A 54 CLIENT; 55 (VIII) CONTRIBUTIONS REPORTABLE UNDER ARTICLE FOURTEEN OF THE ELECTION 56 LAW; S. 6615--A 17 A. 9715--A 1 (IX) TRAVEL REIMBURSEMENT OR PAYMENT FOR TRANSPORTATION, MEALS AND 2 ACCOMMODATIONS FOR AN ATTENDEE, PANELIST OR SPEAKER AT AN INFORMATIONAL 3 EVENT WHEN SUCH REIMBURSEMENT OR PAYMENT IS MADE BY A GOVERNMENTAL ENTI- 4 TY OR BY AN IN-STATE ACCREDITED PUBLIC OR PRIVATE INSTITUTION OF HIGHER 5 EDUCATION THAT HOSTS THE EVENT ON ITS CAMPUS, PROVIDED, HOWEVER, THAT 6 THE PUBLIC OFFICIAL MAY ONLY ACCEPT LODGING FROM AN INSTITUTION OF HIGH- 7 ER EDUCATION: (A) AT A LOCATION ON OR WITHIN CLOSE PROXIMITY TO THE HOST 8 CAMPUS; AND (B) FOR THE NIGHT PRECEDING AND THE NIGHTS OF THE DAYS ON 9 WHICH THE ATTENDEE, PANELIST OR SPEAKER ACTUALLY ATTENDS THE EVENT; 10 (X) PROVISION OF LOCAL TRANSPORTATION TO INSPECT OR TOUR FACILITIES, 11 OPERATIONS OR PROPERTY OWNED OR OPERATED BY THE ENTITY PROVIDING SUCH 12 TRANSPORTATION, PROVIDED, HOWEVER, THAT PAYMENT OR REIMBURSEMENT OF 13 LODGING, MEALS OR TRAVEL EXPENSES TO AND FROM THE LOCALITY WHERE SUCH 14 FACILITIES, OPERATIONS OR PROPERTY ARE LOCATED SHALL BE CONSIDERED TO BE 15 GIFTS UNLESS OTHERWISE PERMITTED UNDER THIS SUBDIVISION; AND 16 (XI) MEALS OR REFRESHMENTS WHEN PARTICIPATING IN A PROFESSIONAL OR 17 EDUCATIONAL PROGRAM AND THE MEALS OR REFRESHMENTS ARE PROVIDED TO ALL 18 PARTICIPANTS. 19 (K) THE TERM "MUNICIPALITY" SHALL MEAN ANY JURISDICTIONAL SUBDIVISION 20 OF THE STATE, INCLUDING BUT NOT LIMITED TO COUNTIES, CITIES, TOWNS, 21 VILLAGES, IMPROVEMENT DISTRICTS AND SPECIAL DISTRICTS, WITH A POPULATION 22 OF MORE THAN FIFTY THOUSAND, AND INDUSTRIAL DEVELOPMENT AGENCIES IN 23 JURISDICTIONAL SUBDIVISIONS WITH A POPULATION OF MORE THAN FIFTY THOU- 24 SAND; AND PUBLIC AUTHORITIES, AND PUBLIC CORPORATIONS, BUT SHALL NOT 25 INCLUDE SCHOOL DISTRICTS. 26 (L) THE TERM "PUBLIC OFFICIAL" SHALL MEAN: 27 (I) THE GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENER- 28 AL; 29 (II) MEMBERS OF THE STATE LEGISLATURE; 30 (III) STATE OFFICERS AND EMPLOYEES INCLUDING: 31 (A) HEADS OF STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS OTHER 32 THAN MEMBERS OF THE BOARD OF REGENTS OF THE UNIVERSITY OF THE STATE OF 33 NEW YORK WHO RECEIVE NO COMPENSATION OR ARE COMPENSATED ON A PER DIEM 34 BASIS, 35 (B) OFFICERS AND EMPLOYEES OF STATE ELECTED OFFICIALS, 36 (C) OFFICERS AND EMPLOYEES OF STATE DEPARTMENTS, BOARDS, BUREAUS, 37 DIVISIONS, COMMISSIONS, COUNCILS OR OTHER STATE AGENCIES, 38 (D) MEMBERS OR DIRECTORS OF PUBLIC AUTHORITIES, OTHER THAN MULTI-STATE 39 AUTHORITIES, PUBLIC BENEFIT CORPORATIONS AND COMMISSIONS AT LEAST ONE OF 40 WHOSE MEMBERS IS APPOINTED BY THE GOVERNOR, AND EMPLOYEES OF SUCH 41 AUTHORITIES, CORPORATIONS AND COMMISSIONS; 42 (IV) OFFICERS AND EMPLOYEES OF THE LEGISLATURE; AND 43 (V) MUNICIPAL OFFICERS AND EMPLOYEES INCLUDING AN OFFICER OR EMPLOYEE 44 OF A MUNICIPAL ENTITY, WHETHER PAID OR UNPAID, INCLUDING MEMBERS OF ANY 45 ADMINISTRATIVE BOARD, COMMISSION OR OTHER AGENCY THEREOF AND IN THE CASE 46 OF A COUNTY, SHALL BE DEEMED TO ALSO INCLUDE ANY OFFICER OR EMPLOYEE 47 PAID FROM COUNTY FUNDS. NO PERSON SHALL BE DEEMED TO BE A MUNICIPAL 48 OFFICER OR EMPLOYEE SOLELY BY REASON OF BEING A VOLUNTEER FIREMAN OR 49 CIVIL DEFENSE VOLUNTEER, EXCEPT A FIRE CHIEF OR ASSISTANT FIRE CHIEF. 50 (M) THE TERM "RESTRICTED PERIOD" SHALL MEAN THE PERIOD OF TIME 51 COMMENCING WITH THE EARLIEST WRITTEN NOTICE, ADVERTISEMENT OR SOLICITA- 52 TION OF A REQUEST FOR PROPOSAL, INVITATION FOR BIDS, OR SOLICITATION OF 53 PROPOSALS, OR ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS 54 INTENDING TO RESULT IN A PROCUREMENT CONTRACT WITH A STATE AGENCY, 55 EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, OR A 56 MUNICIPAL AGENCY, AS THAT TERM IS DEFINED BY SUBPARAGRAPH (II) OF PARA- S. 6615--A 18 A. 9715--A 1 GRAPH (S) OF THIS SUBDIVISION, AND ENDING WITH THE FINAL CONTRACT AWARD 2 AND APPROVAL BY THE STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, 3 THE UNIFIED COURT SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED 4 BY SUBPARAGRAPH (II) OF PARAGRAPH (S) OF THIS SUBDIVISION, AND, WHERE 5 APPLICABLE, THE STATE COMPTROLLER. 6 (N) THE TERM "REVENUE CONTRACT" SHALL MEAN ANY WRITTEN AGREEMENT 7 BETWEEN A STATE OR MUNICIPAL AGENCY OR A LOCAL LEGISLATIVE BODY AND AN 8 OFFERER WHEREBY THE STATE OR MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY 9 GIVES OR GRANTS A CONCESSION OR A FRANCHISE. 10 (O) THE TERM "ARTICLE OF PROCUREMENT" SHALL MEAN A COMMODITY, SERVICE, 11 TECHNOLOGY, PUBLIC WORK, CONSTRUCTION, REVENUE CONTRACT, THE PURCHASE, 12 SALE OR LEASE OF PERSONAL OR REAL PROPERTY OR AN ACQUISITION OR GRANTING 13 OF OTHER INTEREST IN REAL PROPERTY, THAT IS THE SUBJECT OF A GOVERN- 14 MENTAL PROCUREMENT. 15 (P) THE TERM "GOVERNMENTAL PROCUREMENT" SHALL MEAN: (I) THE PREPARA- 16 TION OR TERMS OF THE SPECIFICATIONS, BID DOCUMENTS, REQUEST FOR 17 PROPOSALS, OR EVALUATION CRITERIA FOR A PROCUREMENT CONTRACT, (II) 18 SOLICITATION FOR A PROCUREMENT CONTRACT, (III) EVALUATION OF A PROCURE- 19 MENT CONTRACT, (IV) AWARD, APPROVAL, DENIAL OR DISAPPROVAL OF A PROCURE- 20 MENT CONTRACT, OR (V) APPROVAL OR DENIAL OF AN ASSIGNMENT, AMENDMENT 21 (OTHER THAN AMENDMENTS THAT ARE AUTHORIZED AND PAYABLE UNDER THE TERMS 22 OF THE PROCUREMENT CONTRACT AS IT WAS FINALLY AWARDED OR APPROVED BY THE 23 COMPTROLLER, AS APPLICABLE), RENEWAL OR EXTENSION OF A PROCUREMENT 24 CONTRACT, OR ANY OTHER MATERIAL CHANGE IN THE PROCUREMENT CONTRACT 25 RESULTING IN A FINANCIAL BENEFIT TO THE OFFERER. 26 (Q) THE TERM "OFFERER" SHALL MEAN THE INDIVIDUAL OR ENTITY, OR ANY 27 EMPLOYEE, AGENT, LOBBYIST OR CONSULTANT OF SUCH INDIVIDUAL OR ENTITY, 28 THAT CONTACTS A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE 29 UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY ABOUT 30 A GOVERNMENTAL PROCUREMENT. 31 (R) THE TERM "PROCUREMENT CONTRACT" SHALL MEAN ANY CONTRACT OR OTHER 32 AGREEMENT FOR AN ARTICLE OF PROCUREMENT INVOLVING AN ESTIMATED ANNUAL- 33 IZED EXPENDITURE IN EXCESS OF FIFTEEN THOUSAND DOLLARS. GRANTS, ARTICLE 34 ELEVEN-B STATE FINANCE LAW CONTRACTS, PROGRAM CONTRACTS BETWEEN 35 NOT-FOR-PROFIT ORGANIZATIONS, AS DEFINED IN ARTICLE ELEVEN-B OF THE 36 STATE FINANCE LAW, AND THE UNIFIED COURT SYSTEM, INTERGOVERNMENTAL 37 AGREEMENTS, RAILROAD AND UTILITY FORCE ACCOUNTS, UTILITY RELOCATION 38 PROJECT AGREEMENTS OR ORDERS AND EMINENT DOMAIN TRANSACTIONS SHALL NOT 39 BE DEEMED PROCUREMENT CONTRACTS. 40 (S) THE TERM "MUNICIPAL AGENCY" SHALL MEAN: (I) ANY DEPARTMENT, BOARD, 41 BUREAU, COMMISSION, DIVISION, OFFICE, COUNCIL, COMMITTEE OR OFFICER OF A 42 MUNICIPALITY, WHETHER PERMANENT OR TEMPORARY; OR (II) AN INDUSTRIAL 43 DEVELOPMENT AGENCY, LOCATED IN A JURISDICTIONAL SUBDIVISION OF THE STATE 44 WITH A POPULATION OF MORE THAN FIFTY THOUSAND, OR LOCAL PUBLIC BENEFIT 45 CORPORATION, AS THAT TERM IS DEFINED IN SECTION SIXTY-SIX OF THE GENERAL 46 CONSTRUCTION LAW. 47 (T) THE TERM "LOCAL LEGISLATIVE BODY" SHALL MEAN THE BOARD OF SUPERVI- 48 SORS, BOARD OF ALDERMEN, COMMON COUNCIL, COUNCIL, COMMISSION, TOWN 49 BOARD, BOARD OF TRUSTEES OR OTHER ELECTIVE GOVERNING BOARD OR BODY OF A 50 MUNICIPALITY NOW OR HEREAFTER VESTED BY STATE STATUTE, CHARTER OR OTHER 51 LAW WITH JURISDICTION TO INITIATE AND ADOPT LOCAL LAWS AND ORDINANCES, 52 WHETHER OR NOT SUCH LOCAL LAWS OR ORDINANCES REQUIRE APPROVAL OF THE 53 ELECTIVE CHIEF EXECUTIVE OFFICER OR OTHER OFFICIAL OR BODY TO BECOME 54 EFFECTIVE. 55 (U) THE TERM "COMMISSION SALESPERSON" SHALL MEAN ANY PERSON THE PRIMA- 56 RY PURPOSE OF WHOSE EMPLOYMENT IS TO CAUSE OR PROMOTE THE SALE OF, OR TO S. 6615--A 19 A. 9715--A 1 INFLUENCE OR INDUCE ANOTHER TO MAKE A PURCHASE OF AN ARTICLE OF PROCURE- 2 MENT, WHETHER SUCH PERSON IS AN EMPLOYEE (AS THAT TERM IS DEFINED FOR 3 TAX PURPOSES) OF OR AN INDEPENDENT CONTRACTOR FOR A VENDOR, PROVIDED 4 THAT AN INDEPENDENT CONTRACTOR SHALL HAVE A WRITTEN CONTRACT FOR A TERM 5 OF NOT LESS THAN SIX MONTHS OR FOR AN INDEFINITE TERM, AND WHICH PERSON 6 SHALL BE COMPENSATED, IN WHOLE OR IN PART, BY THE PAYMENT OF A PERCENT- 7 AGE AMOUNT OF ALL OR A SUBSTANTIAL PART OF THE SALES WHICH SUCH PERSON 8 HAS CAUSED, PROMOTED, INFLUENCED OR INDUCED, PROVIDED, HOWEVER, THAT NO 9 PERSON SHALL BE CONSIDERED A COMMISSION SALESPERSON WITH RESPECT TO ANY 10 SALE TO OR PURCHASE BY A STATE AGENCY, EITHER HOUSE OF THE STATE LEGIS- 11 LATURE, THE UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLA- 12 TIVE BODY IF THE PERCENTAGE AMOUNT OF ANY COMMISSION PAYABLE WITH 13 RESPECT TO SUCH SALE OR PURCHASE IS SUBSTANTIALLY IN EXCESS OF ANY 14 COMMISSION PAYABLE WITH RESPECT TO ANY COMPARABLE SALE TO A PURCHASER 15 THAT IS NOT A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE 16 UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY; 17 FURTHER, PROVIDED, HOWEVER, THAT ANY PERSON THAT IS REQUIRED TO FILE A 18 STATEMENT OR REPORT PURSUANT TO THIS SECTION BY VIRTUE OF ENGAGING IN 19 LOBBYING ACTIVITIES AS DEFINED IN SUBPARAGRAPHS (I) THROUGH (IV) AND 20 (VI) THROUGH (X) OF PARAGRAPH (C) OF THIS SUBDIVISION SHALL NOT BE 21 DEEMED TO BE A "COMMISSION SALESPERSON" FOR PURPOSES OF THIS SECTION. 22 (V) THE TERM "UNIFIED COURT SYSTEM", FOR THE PURPOSES OF THIS CHAPTER, 23 SHALL MEAN THE UNIFIED COURT SYSTEM OF THE STATE OF NEW YORK, OR THE 24 OFFICE OF COURT ADMINISTRATION, WHERE APPROPRIATE, OTHER THAN TOWN AND 25 VILLAGE JUSTICE COURTS IN JURISDICTIONS WITH A POPULATION UNDER FIFTY 26 THOUSAND, WHEN IT ACTS SOLELY IN AN ADMINISTRATIVE CAPACITY TO ENGAGE IN 27 GOVERNMENTAL PROCUREMENTS AND SHALL NOT INCLUDE THE UNIFIED COURT SYSTEM 28 OR ANY COURT OF THE STATE JUDICIARY WHEN IT ACTS TO HEAR AND DECIDE 29 CASES OF ORIGINAL OR APPELLATE JURISDICTION OR OTHERWISE ACTS IN ITS 30 JUDICIAL, AS OPPOSED TO ADMINISTRATIVE, CAPACITY. 31 (W) "DOMESTIC PARTNER" MEANS A PERSON AT LEAST EIGHTEEN YEARS OF AGE 32 WHO: 33 (A) IS DEPENDENT UPON THE EMPLOYEE FOR SUPPORT AS SHOWN BY EITHER 34 UNILATERAL DEPENDENCE OR MUTUAL INTERDEPENDENCE, AS EVIDENCED BY A NEXUS 35 OF FACTORS INCLUDING, BUT NOT LIMITED TO, COMMON OWNERSHIP OF REAL OR 36 PERSONAL PROPERTY, COMMON HOUSEHOLDING, CHILDREN IN COMMON, SIGNS OF 37 INTENT TO MARRY, SHARED BUDGETING, AND THE LENGTH OF THE PERSONAL 38 RELATIONSHIP WITH THE EMPLOYEE; OR 39 (B) HAS REGISTERED AS THE DOMESTIC PARTNER OF THE EMPLOYEE WITH ANY 40 REGISTRY OF DOMESTIC PARTNERSHIPS MAINTAINED BY THE EMPLOYER OF EITHER 41 PARTY, THE STATE, OR ANY COUNTY, CITY, TOWN, OR VILLAGE. 42 (C) FOR THE PURPOSES OF THIS SECTION, THE DEFINITION OF DOMESTIC PART- 43 NER MADE BY THIS SUBDIVISION SHALL SUPPLEMENT OR SUPERSEDE ANY INCON- 44 SISTENT DEFINITION OF SUCH TERM BY ANY OTHER GENERAL, SPECIAL, OR LOCAL 45 LAW, ORDINANCE, CODE, OR CHARTER SO THAT NO PERSON QUALIFYING AS A 46 DOMESTIC PARTNER, AS DEFINED IN THIS SUBDIVISION, WHETHER REGISTERED OR 47 UNREGISTERED, SHALL, FOR THE PURPOSES OF THIS SECTION, BE DEEMED NOT TO 48 BE A DOMESTIC PARTNER. 49 (D) FOR THE PURPOSES OF THIS SECTION, THE TERM "DOMESTIC PARTNER" 50 SHALL NOT INCLUDE ANY PERSON WHO IS RELATED BY BLOOD TO THE EMPLOYEE IN 51 A MANNER THAT WOULD BAR MARRIAGE TO THE EMPLOYEE IN NEW YORK STATE. 52 3. LOBBY-RELATED POWERS OF THE COMMISSION. IN ADDITION TO ANY OTHER 53 POWERS AND DUTIES PROVIDED BY SECTION SEVENTY-THREE-C OF THIS ARTICLE, 54 THE COMMISSION SHALL, WITH RESPECT TO ITS LOBBYING-RELATED FUNCTIONS 55 ONLY, HAVE THE POWER AND DUTY TO: 56 (A) ADMINISTER AND ENFORCE ALL THE PROVISIONS OF THIS SECTION; S. 6615--A 20 A. 9715--A 1 (B) CONDUCT ANY INVESTIGATION NECESSARY TO CARRY OUT THE PROVISIONS OF 2 THIS ARTICLE AT ANY PLACE WITHIN THE STATE. PURSUANT TO THIS POWER AND 3 DUTY, THE COMMISSION MAY ADMINISTER OATHS OR AFFIRMATIONS, SUBPOENA 4 WITNESSES, COMPEL THEIR ATTENDANCE AND REQUIRE THE PRODUCTION OF ANY 5 BOOKS OR RECORDS WHICH IT MAY DEEM RELEVANT OR MATERIAL; 6 (C) CONDUCT A PROGRAM OF REGULAR AS WELL AS RANDOM AUDITS SUBJECT TO 7 THE TERMS AND CONDITIONS OF THIS SUBDIVISION. ANY SUCH PROGRAM SHALL BE 8 CARRIED OUT IN THE FOLLOWING MANNER: 9 (I) THE COMMISSION MAY REGULARLY AND RANDOMLY SELECT REPORTS OR REGIS- 10 TRATION STATEMENTS REQUIRED TO BE FILED BY LOBBYISTS OR CLIENTS PURSUANT 11 TO THIS SECTION FOR AUDIT. ANY SUCH SELECTION SHALL BE DONE IN A MANNER 12 PURSUANT TO WHICH THE IDENTITY OF ANY PARTICULAR LOBBYIST OR CLIENT 13 WHOSE STATEMENT OR REPORT IS SELECTED FOR AUDIT IS UNKNOWN TO THE 14 COMMISSION, ITS STAFF OR ANY OF THEIR AGENTS PRIOR TO SELECTION. 15 (II) THE COMMISSION SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH 16 REGULAR AND RANDOM AUDITS. SUCH REGULAR AND RANDOM AUDITS MAY REQUIRE 17 THE PRODUCTION OF BOOKS, PAPERS, RECORDS OR MEMORANDA RELEVANT AND MATE- 18 RIAL TO THE PREPARATION OF THE SELECTED STATEMENTS OR REPORTS, FOR EXAM- 19 INATION BY THE COMMISSION. ANY SUCH PROTOCOLS SHALL ENSURE THAT SIMILAR- 20 LY SITUATED STATEMENTS OR REPORTS ARE AUDITED IN A UNIFORM MANNER. 21 (III) THE COMMISSION MAY CONTRACT WITH AN OUTSIDE ACCOUNTING ENTITY, 22 WHICH SHALL MONITOR THE PROCESS PURSUANT TO WHICH THE COMMISSION SELECTS 23 STATEMENTS OR REPORTS FOR AUDIT AND CARRIES OUT THE PROVISIONS OF 24 SUBPARAGRAPHS (I) AND (II) OF THIS PARAGRAPH AND CERTIFIES THAT SUCH 25 PROCESS COMPLIES WITH THE PROVISIONS OF SUCH SUBPARAGRAPHS. 26 (IV) UPON COMPLETION OF A REGULAR OR RANDOM AUDIT CONDUCTED IN ACCORD- 27 ANCE WITH THE PROVISIONS OF SUBPARAGRAPHS (I), (II) AND (III) OF THIS 28 PARAGRAPH, THE COMMISSION SHALL DETERMINE WHETHER THERE IS REASONABLE 29 CAUSE TO BELIEVE THAT ANY SUCH STATEMENT OR REPORT IS INACCURATE OR 30 INCOMPLETE. UPON A DETERMINATION THAT SUCH REASONABLE CAUSE EXISTS, THE 31 COMMISSION MAY REQUIRE THE PRODUCTION OF FURTHER BOOKS, RECORDS OR MEMO- 32 RANDA, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE AND TESTIMONY AND 33 ADMINISTER OATHS OR AFFIRMATIONS, TO THE EXTENT THE COMMISSION DETER- 34 MINES SUCH ACTIONS ARE NECESSARY TO OBTAIN INFORMATION RELEVANT AND 35 MATERIAL TO INVESTIGATING SUCH INACCURACIES OR OMISSIONS; 36 (D) CONDUCT HEARINGS PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS 37 LAW. ANY HEARING MAY BE CONDUCTED AS A VIDEO CONFERENCE IN ACCORDANCE 38 WITH THE PROVISIONS OF SUBDIVISION FOUR OF SECTION ONE HUNDRED FOUR OF 39 THE PUBLIC OFFICERS LAW; 40 (E) PREPARE UNIFORM FORMS FOR THE LOBBYING-RELATED STATEMENTS AND 41 REPORTS REQUIRED BY THIS SUBDIVISION; 42 (F) MEET AT LEAST ONCE DURING EACH BI-MONTHLY REPORTING PERIOD OF THE 43 YEAR AS ESTABLISHED BY PARAGRAPH (A) OF SUBDIVISION SEVEN OF THIS 44 SECTION AND MAY MEET AT SUCH OTHER TIMES AS THE COMMISSION, OR THE CHAIR 45 AND VICE-CHAIR JOINTLY, SHALL DETERMINE; AND 46 (G) SUBMIT BY THE FIRST DAY OF MARCH NEXT FOLLOWING THE YEAR FOR WHICH 47 SUCH REPORT IS MADE TO THE GOVERNOR AND THE MEMBERS OF THE LEGISLATURE 48 AN ANNUAL REPORT SUMMARIZING THE COMMISSION'S WORK, LISTING THE LOBBY- 49 ISTS AND CLIENTS REQUIRED TO REGISTER PURSUANT TO THIS SECTION AND THE 50 EXPENSES AND COMPENSATION REPORTED PURSUANT TO THIS SECTION AND MAKING 51 RECOMMENDATIONS WITH RESPECT TO THIS SECTION. THE COMMISSION SHALL MAKE 52 THIS REPORT AVAILABLE FREE OF CHARGE TO THE PUBLIC. 53 4. STATEMENT OF REGISTRATION. (A) (I) EVERY LOBBYIST SHALL ANNUALLY 54 FILE WITH THE COMMISSION, ON FORMS PROVIDED BY THE COMMISSION, A STATE- 55 MENT OF REGISTRATION FOR EACH CALENDAR YEAR; PROVIDED, HOWEVER, THAT THE 56 FILING OF SUCH STATEMENT OF REGISTRATION SHALL NOT BE REQUIRED OF ANY S. 6615--A 21 A. 9715--A 1 LOBBYIST WHO (1) IN ANY YEAR DOES NOT EXPEND, INCUR OR RECEIVE AN AMOUNT 2 IN EXCESS OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND 3 EXPENSES, AS PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVI- 4 SION SEVEN OF THIS SECTION, FOR THE PURPOSES OF LOBBYING OR (2) IS AN 5 OFFICER, DIRECTOR, TRUSTEE OR EMPLOYEE OF ANY PUBLIC CORPORATION, WHEN 6 ACTING IN SUCH OFFICIAL CAPACITY; PROVIDED HOWEVER, THAT NOTHING IN THIS 7 SUBDIVISION SHALL BE CONSTRUED TO RELIEVE ANY PUBLIC CORPORATION OF THE 8 OBLIGATION TO FILE SUCH STATEMENTS AND REPORTS AS REQUIRED BY THIS 9 SECTION. THE AMOUNTS EXPENDED, INCURRED, OR RECEIVED OF REPORTABLE 10 COMPENSATION AND EXPENSES FOR LOBBYING ACTIVITIES SHALL BE COMPUTED 11 CUMULATIVELY FOR ALL LOBBYING ACTIVITIES WHEN DETERMINING WHETHER THE 12 THRESHOLDS SET FORTH IN THIS SUBDIVISION HAVE BEEN MET. 13 (II) EVERY LOBBYIST SHALL BIENNIALLY FILE WITH THE COMMISSION, ON 14 FORMS PROVIDED BY THE COMMISSION, A STATEMENT OF REGISTRATION FOR EACH 15 BIENNIAL PERIOD BEGINNING WITH THE FIRST YEAR OF THE BIENNIAL CYCLE 16 COMMENCING CALENDAR YEAR TWO THOUSAND FIVE AND THEREAFTER; PROVIDED, 17 HOWEVER, THAT THE BIENNIAL FILING OF SUCH STATEMENT OF REGISTRATION 18 SHALL NOT BE REQUIRED OF ANY LOBBYIST WHO (1) IN ANY YEAR DOES NOT 19 EXPEND, INCUR OR RECEIVE AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS OF 20 REPORTABLE COMPENSATION, AS PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH 21 (B) OF SUBDIVISION SEVEN OF THIS SECTION FOR THE PURPOSES OF LOBBYING OR 22 (2) IS AN OFFICER, DIRECTOR, TRUSTEE OR EMPLOYEE OF ANY PUBLIC CORPO- 23 RATION, WHEN ACTING IN SUCH OFFICIAL CAPACITY; PROVIDED HOWEVER, THAT 24 NOTHING IN THIS SUBDIVISION SHALL BE CONSTRUED TO RELIEVE ANY PUBLIC 25 CORPORATION OF THE OBLIGATION TO FILE SUCH STATEMENTS AND REPORTS AS 26 REQUIRED BY THIS SECTION. 27 (III) SUCH BIENNIAL FILINGS SHALL BE COMPLETED ON OR BEFORE JANUARY 28 FIRST OF THE FIRST YEAR OF A BIENNIAL CYCLE COMMENCING IN CALENDAR YEAR 29 TWO THOUSAND FIVE AND THEREAFTER, BY THOSE PERSONS WHO HAVE BEEN 30 RETAINED, EMPLOYED OR DESIGNATED AS LOBBYIST ON OR BEFORE DECEMBER 31 FIFTEENTH OF THE PREVIOUS CALENDAR YEAR AND WHO REASONABLY ANTICIPATE 32 THAT IN THE COMING YEAR THEY WILL EXPEND, INCUR OR RECEIVE COMBINED 33 REPORTABLE COMPENSATION AND EXPENSES IN AN AMOUNT IN EXCESS OF FIVE 34 THOUSAND DOLLARS COMMENCING IN TWO THOUSAND TEN; FOR THOSE LOBBYISTS 35 RETAINED, EMPLOYED OR DESIGNATED AFTER THE PREVIOUS DECEMBER FIFTEENTH, 36 AND FOR THOSE LOBBYISTS WHO SUBSEQUENT TO THEIR RETAINER, EMPLOYMENT OR 37 DESIGNATION REASONABLY ANTICIPATE COMBINED REPORTABLE COMPENSATION AND 38 EXPENSES IN EXCESS OF SUCH AMOUNT, SUCH FILING MUST BE COMPLETED WITHIN 39 FIFTEEN DAYS THEREAFTER, BUT IN NO EVENT LATER THAN TEN DAYS AFTER THE 40 ACTUAL INCURRING OR RECEIVING OF SUCH REPORTABLE COMPENSATION AND 41 EXPENSES. 42 (B) (I) SUCH STATEMENTS OF REGISTRATION SHALL BE KEPT ON FILE FOR A 43 PERIOD OF THREE YEARS FOR THOSE FILING PERIODS WHERE ANNUAL STATEMENTS 44 ARE REQUIRED, AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD; 45 (II) BIENNIAL STATEMENTS OF REGISTRATION SHALL BE KEPT ON FILE FOR A 46 PERIOD OF THREE BIENNIAL FILING PERIODS WHERE BIENNIAL STATEMENTS ARE 47 REQUIRED, AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD. 48 (C) SUCH STATEMENT OF REGISTRATION SHALL CONTAIN: (I) THE NAME, 49 ADDRESS AND TELEPHONE NUMBER OF THE LOBBYIST AND THE SPOUSE, DOMESTIC 50 PARTNER AND UNEMANCIPATED CHILDREN OF THE LOBBYIST, AND IF THE LOBBYIST 51 IS AN ORGANIZATION THE NAMES, ADDRESSES AND TELEPHONE NUMBERS OF ANY 52 OFFICER OR EMPLOYEE OF SUCH LOBBYIST WHO ENGAGES IN ANY LOBBYING ACTIV- 53 ITIES OR WHO IS EMPLOYED IN AN ORGANIZATION'S DIVISION THAT ENGAGES IN 54 LOBBYING ACTIVITIES OF THE ORGANIZATION AND THE SPOUSE AND UNEMANCIPATED 55 CHILDREN OF SUCH OFFICERS OR EMPLOYEES, PROVIDED THAT THE ADDRESSES AND 56 TELEPHONE NUMBERS OF SPOUSES AND UNEMANCIPATED CHILDREN SHALL BE NOT BE S. 6615--A 22 A. 9715--A 1 MADE AVAILABLE TO THE PUBLIC; (II) THE NAME, ADDRESS AND TELEPHONE 2 NUMBER OF THE CLIENT BY WHOM OR ON WHOSE BEHALF THE LOBBYIST IS 3 RETAINED, EMPLOYED OR DESIGNATED; (III) IF SUCH LOBBYIST IS RETAINED OR 4 EMPLOYED PURSUANT TO A WRITTEN AGREEMENT OF RETAINER OR EMPLOYMENT, A 5 COPY OF SUCH SHALL ALSO BE ATTACHED AND IF SUCH RETAINER OR EMPLOYMENT 6 IS ORAL, A STATEMENT OF THE SUBSTANCE THEREOF; SUCH WRITTEN RETAINER, OR 7 IF IT IS ORAL, A STATEMENT OF THE SUBSTANCE THEREOF, AND ANY AMENDMENT 8 THERETO, SHALL BE RETAINED FOR A PERIOD OF THREE YEARS; (IV) A WRITTEN 9 AUTHORIZATION FROM THE CLIENT BY WHOM THE LOBBYIST IS AUTHORIZED TO 10 LOBBY, UNLESS SUCH LOBBYIST HAS FILED A WRITTEN AGREEMENT OF RETAINER OR 11 EMPLOYMENT PURSUANT TO SUBPARAGRAPH (III) OF THIS PARAGRAPH; (V) THE 12 FOLLOWING INFORMATION ON WHICH THE LOBBYIST EXPECTS TO LOBBY: (1) A 13 DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS, (2) THE LEGISLATIVE BILL 14 NUMBERS OF ANY BILLS, (3) THE NUMBERS OR SUBJECT MATTER (IF THERE ARE NO 15 NUMBERS) OF GUBERNATORIAL EXECUTIVE ORDERS OR EXECUTIVE ORDERS ISSUED BY 16 THE CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY, (4) THE SUBJECT MATTER OF 17 AND TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTAND- 18 ING, OR ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY STATE ACTIONS RELATED 19 TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. S 2701, (5) THE RULE, REGU- 20 LATION, AND RATEMAKING NUMBERS OF ANY RULES, REGULATIONS, RATES, OR 21 MUNICIPAL ORDINANCES AND RESOLUTIONS, OR PROPOSED RULES, REGULATIONS, OR 22 RATES, OR MUNICIPAL ORDINANCES AND RESOLUTIONS, (6) THE TITLES AND ANY 23 IDENTIFYING NUMBERS OF ANY STATE LOANS, STATE GRANTS, PROCUREMENT 24 CONTRACTS AND OTHER DISBURSEMENTS OR DOCUMENTS DISSEMINATED BY A STATE 25 AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, 26 MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY IN CONNECTION WITH A GOVERN- 27 MENTAL PROCUREMENT, AND THE IDENTITY OF ANY INVESTMENT FOR PUBLIC 28 PENSION FUNDS; (VI) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE 29 BODY BEFORE WHICH THE LOBBYIST IS LOBBYING OR EXPECTS TO LOBBY; AND 30 (VII) IF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED BY MORE THAN 31 ONE CLIENT, A SEPARATE STATEMENT OF REGISTRATION SHALL BE REQUIRED FOR 32 EACH SUCH CLIENT. 33 (D) ANY AMENDMENT TO THE INFORMATION FILED BY THE LOBBYIST IN THE 34 ORIGINAL STATEMENT OF REGISTRATION SHALL BE SUBMITTED TO THE COMMISSION 35 ON FORMS SUPPLIED BY THE COMMISSION WITHIN TEN DAYS AFTER SUCH AMEND- 36 MENT, HOWEVER, THIS SHALL NOT REQUIRE THE LOBBYIST TO AMEND THE ENTIRE 37 REGISTRATION FORM. 38 (E) (I) THE FIRST STATEMENT OF REGISTRATION FILED ANNUALLY BY EACH 39 LOBBYIST SHALL BE ACCOMPANIED BY A REGISTRATION FEE OF TWO HUNDRED 40 DOLLARS EXCEPT THAT NO REGISTRATION FEE SHALL BE REQUIRED FROM ANY 41 LOBBYIST WHO IN ANY YEAR DOES NOT EXPEND, INCUR OR RECEIVE AN AMOUNT IN 42 EXCESS OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND EXPENSES, 43 AS PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVISION SEVEN OF 44 THIS SECTION, FOR THE PURPOSES OF LOBBYING OR OF A PUBLIC CORPORATION. A 45 FEE OF TWO HUNDRED DOLLARS SHALL BE REQUIRED FOR ANY SUBSEQUENT STATE- 46 MENT OF REGISTRATION FILED BY A LOBBYIST DURING THE SAME BIENNIAL PERI- 47 OD; (II) THE STATEMENT OF REGISTRATION FILED AFTER THE DUE DATE OF A 48 BIENNIAL REGISTRATION SHALL BE ACCOMPANIED BY A REGISTRATION FEE THAT IS 49 PRORATED TO ONE HUNDRED DOLLARS FOR ANY REGISTRATION FILED AFTER JANUARY 50 FIRST OF THE SECOND CALENDAR YEAR COVERED BY THE BIENNIAL REPORTING 51 REQUIREMENT. IN ADDITION TO THE FEES AUTHORIZED BY THIS SUBDIVISION, THE 52 COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A REGISTRATION STATEMENT 53 REQUIRED BY THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH 54 DAY THAT THE STATEMENT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE 55 LOBBYIST MAKING A LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STAT- 56 UTE TO FILE SUCH A STATEMENT, THE FEE FOR LATE FILING SHALL NOT EXCEED S. 6615--A 23 A. 9715--A 1 TEN DOLLARS FOR EACH DAY THAT THE STATEMENT REQUIRED TO BE FILED IS 2 LATE. 3 4-A. EVERY LOBBYIST SHALL PROVIDE ON THE REGISTRATION STATEMENT FORMS 4 PROVIDED BY THE COMMISSION A STATEMENT LISTING ANY BUSINESS RELATION- 5 SHIPS WITH STATE OFFICERS, MEMBERS OF THE LEGISLATURE, AND LEGISLATIVE 6 EMPLOYEES REGARDLESS OF WHETHER OR NOT FOR COMPENSATION. FOR THE 7 PURPOSES OF THIS SUBDIVISION, BUSINESS RELATIONSHIPS SHALL INCLUDE, BUT 8 NOT BE LIMITED TO, REFERRALS, ORAL AGREEMENTS, OR FORMAL WRITTEN 9 CONTRACTUAL AGREEMENTS. 10 4-B. BEYOND THE ITEMS REQUIRED TO BE LISTED PURSUANT TO THIS SECTION, 11 EVERY LOBBYIST SHALL PROVIDE ON THE REGISTRATION STATEMENT FORMS 12 PROVIDED BY THE COMMISSION A STATEMENT LISTING ALL LOBBYIST OR CLIENT 13 SOLICITATIONS OF PUBLIC OFFICERS WITHIN ANY DEPARTMENT, AGENCY, OR 14 EITHER HOUSE OF THE LEGISLATURE. 15 5. MONTHLY REGISTRATION DOCKET. IT SHALL BE THE DUTY OF THE COMMISSION 16 TO COMPILE A MONTHLY DOCKET OF STATEMENTS OF REGISTRATION CONTAINING ALL 17 INFORMATION REQUIRED BY SUBDIVISION FOUR OF THIS SECTION. EACH SUCH 18 MONTHLY DOCKET SHALL CONTAIN ALL STATEMENTS OF REGISTRATION FILED DURING 19 SUCH MONTH AND ALL AMENDMENTS TO PREVIOUSLY FILED STATEMENTS OF REGIS- 20 TRATION. COPIES SHALL BE MADE AVAILABLE FOR PUBLIC INSPECTION. 21 6. TERMINATION OF RETAINER, EMPLOYMENT OR DESIGNATION. UPON THE TERMI- 22 NATION OF A LOBBYIST'S RETAINER, EMPLOYMENT OR DESIGNATION, SUCH LOBBY- 23 IST AND THE CLIENT ON WHOSE BEHALF SUCH SERVICE HAS BEEN RENDERED SHALL 24 BOTH GIVE WRITTEN NOTICE TO THE COMMISSION WITHIN THIRTY DAYS AFTER THE 25 LOBBYIST CEASES THE ACTIVITY THAT REQUIRED SUCH LOBBYIST TO FILE A 26 STATEMENT OF REGISTRATION; HOWEVER, SUCH LOBBYIST SHALL NEVERTHELESS 27 COMPLY WITH THE BI-MONTHLY REPORTING REQUIREMENTS UP TO THE DATE SUCH 28 ACTIVITY HAS CEASED AS REQUIRED BY THIS SECTION AND BOTH SUCH PARTIES 29 SHALL EACH FILE THE SEMI-ANNUAL REPORT REQUIRED BY SUBDIVISION NINE OF 30 THIS SECTION. THE COMMISSION SHALL ENTER NOTICE OF SUCH TERMINATION IN 31 THE APPROPRIATE MONTHLY REGISTRATION DOCKET REQUIRED BY SUBDIVISION FIVE 32 OF THIS SECTION. 33 7. BI-MONTHLY REPORTS OF CERTAIN LOBBYISTS. (A) ANY LOBBYIST REQUIRED 34 TO FILE A STATEMENT OF REGISTRATION PURSUANT TO SUBDIVISION FOUR OF THIS 35 SECTION WHO IN ANY LOBBYING YEAR REASONABLY ANTICIPATES THAT DURING THE 36 YEAR THEY WILL EXPEND, INCUR OR RECEIVE COMBINED REPORTABLE COMPENSATION 37 AND EXPENSES IN AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS, AS 38 PROVIDED IN SUBPARAGRAPH (V) OF PARAGRAPH (B) OF THIS SUBDIVISION, FOR 39 THE PURPOSE OF LOBBYING, SHALL FILE WITH THE COMMISSION A BI-MONTHLY 40 WRITTEN REPORT, ON FORMS SUPPLIED BY THE COMMISSION, BY THE FIFTEENTH 41 DAY NEXT SUCCEEDING THE END OF THE REPORTING PERIOD IN WHICH THE LOBBY- 42 IST WAS FIRST REQUIRED TO FILE A STATEMENT OF REGISTRATION. SUCH REPORT- 43 ING PERIODS SHALL BE THE PERIOD OF JANUARY FIRST TO THE LAST DAY OF 44 FEBRUARY, MARCH FIRST TO APRIL THIRTIETH, MAY FIRST TO JUNE THIRTIETH, 45 JULY FIRST TO AUGUST THIRTY-FIRST, SEPTEMBER FIRST TO OCTOBER 46 THIRTY-FIRST AND NOVEMBER FIRST TO DECEMBER THIRTY-FIRST. 47 (B) SUCH BI-MONTHLY REPORT SHALL CONTAIN: 48 (I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE LOBBYIST; 49 (II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR 50 ON WHOSE BEHALF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED; 51 (III) THE FOLLOWING INFORMATION ON WHICH THE LOBBYIST HAS LOBBIED, 52 SOLICITED, OR ENTERED A BUSINESS RELATIONSHIP WITH: (1) A DESCRIPTION 53 OF THE GENERAL SUBJECT OR SUBJECTS, (2) THE LEGISLATIVE BILL NUMBERS OF 54 ANY BILLS, (3) THE NUMBERS OR SUBJECT MATTER (IF THERE ARE NO NUMBERS) 55 OF GUBERNATORIAL EXECUTIVE ORDERS OR EXECUTIVE ORDERS ISSUED BY THE 56 CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY, (4) THE SUBJECT MATTER OF AND S. 6615--A 24 A. 9715--A 1 TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR 2 ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY STATE ACTIONS RELATED TO CLASS 3 III GAMING AS PROVIDED IN 25 U.S.C. S 2701, (5) THE RULE, REGULATION, 4 AND RATEMAKING OR MUNICIPAL ORDINANCE OR RESOLUTION NUMBERS OF ANY 5 RULES, REGULATIONS, OR RATES OR ORDINANCE OR PROPOSED RULES, REGU- 6 LATIONS, OR RATES OR MUNICIPAL ORDINANCES OR RESOLUTIONS, (6) TITLES AND 7 ANY IDENTIFYING NUMBERS OF ANY PROCUREMENT CONTRACTS AND OTHER DOCUMENTS 8 DISSEMINATED BY A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, 9 THE UNIFIED COURT SYSTEM, MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY IN 10 CONNECTION WITH A GOVERNMENTAL PROCUREMENT, AND (7) THE IDENTITY OF ANY 11 INVESTMENT FOR PUBLIC PENSION FUNDS; 12 (IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE 13 WHICH THE LOBBYIST HAS LOBBIED; 14 (V) (1) THE COMPENSATION PAID OR OWED TO THE LOBBYIST, AND ANY 15 EXPENSES EXPENDED, RECEIVED OR INCURRED BY THE LOBBYIST FOR THE PURPOSE 16 OF LOBBYING. 17 (2) EXPENSES REQUIRED TO BE REPORTED PURSUANT TO SUBPARAGRAPH (I) OF 18 THIS PARAGRAPH SHALL BE LISTED IN THE AGGREGATE IF SEVENTY-FIVE DOLLARS 19 OR LESS AND IF MORE THAN SEVENTY-FIVE DOLLARS SUCH EXPENSES SHALL BE 20 DETAILED AS TO AMOUNT, TO WHOM PAID, AND FOR WHAT PURPOSE; AND WHERE 21 SUCH EXPENSE IS MORE THAN SEVENTY-FIVE DOLLARS ON BEHALF OF ANY ONE 22 PERSON, THE NAME OF SUCH PERSON SHALL BE LISTED. 23 (3) FOR THE PURPOSES OF THIS PARAGRAPH, EXPENSES SHALL NOT INCLUDE: 24 (A) PERSONAL SUSTENANCE, LODGING AND TRAVEL DISBURSEMENTS OF SUCH 25 LOBBYIST; 26 (B) EXPENSES, NOT IN EXCESS OF FIVE HUNDRED DOLLARS IN ANY ONE CALEN- 27 DAR YEAR, DIRECTLY INCURRED FOR THE PRINTING OR OTHER MEANS OF REPROD- 28 UCTION OR MAILING OF LETTERS, MEMORANDA OR OTHER WRITTEN COMMUNICATIONS. 29 (4) EXPENSES PAID OR INCURRED FOR SALARIES OTHER THAN THAT OF THE 30 LOBBYIST SHALL BE LISTED IN THE AGGREGATE. 31 (5) EXPENSES OF MORE THAN FIFTY DOLLARS SHALL BE PAID BY CHECK OR 32 SUBSTANTIATED BY RECEIPTS AND SUCH CHECKS AND RECEIPTS SHALL BE KEPT ON 33 FILE BY THE LOBBYIST FOR A PERIOD OF THREE YEARS. 34 (C) (I) ALL SUCH BI-MONTHLY REPORTS SHALL BE SUBJECT TO REVIEW BY THE 35 COMMISSION. 36 (II) SUCH BI-MONTHLY REPORTS SHALL BE KEPT ON FILE FOR THREE YEARS AND 37 SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH TIME. 38 (III) IN ADDITION TO THE FILING FEES AUTHORIZED BY THIS SECTION, THE 39 COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A BI-MONTHLY REPORT 40 REQUIRED BY THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH 41 DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE 42 LOBBYIST MAKING A LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STAT- 43 UTE TO FILE SUCH A REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TEN 44 DOLLARS FOR EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE. 45 8. BI-MONTHLY REPORTS OF PUBLIC CORPORATIONS. (A) EVERY PUBLIC CORPO- 46 RATION REQUIRED TO FILE A STATEMENT OF REGISTRATION PURSUANT TO SUBDIVI- 47 SION FOUR OF THIS SECTION WHICH IN ANY LOBBYING YEAR REASONABLY ANTIC- 48 IPATES THAT DURING THE YEAR THEY WILL EXPEND OR INCUR EXPENSES IN AN 49 AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS, AS PROVIDED IN SUBPARAGRAPH 50 (VI) OF PARAGRAPH (B) OF THIS SUBDIVISION, FOR THE PURPOSE OF LOBBYING 51 SHALL FILE WITH THE COMMISSION A BI-MONTHLY WRITTEN REPORT, ON FORMS 52 SUPPLIED BY THE COMMISSION, BY THE FIFTEENTH DAY NEXT SUCCEEDING THE END 53 OF THE REPORTING PERIOD IN WHICH THE PUBLIC CORPORATION WAS FIRST 54 REQUIRED TO FILE A STATEMENT OF REGISTRATION. SUCH REPORTING PERIODS 55 SHALL BE THE PERIOD OF JANUARY FIRST TO THE LAST DAY OF FEBRUARY, MARCH 56 FIRST TO APRIL THIRTIETH, MAY FIRST TO JUNE THIRTIETH, JULY FIRST TO S. 6615--A 25 A. 9715--A 1 AUGUST THIRTY-FIRST, SEPTEMBER FIRST TO OCTOBER THIRTY-FIRST AND NOVEM- 2 BER FIRST TO DECEMBER THIRTY-FIRST. 3 (B) SUCH BI-MONTHLY REPORT SHALL CONTAIN: 4 (I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF SUCH PUBLIC CORPORATION; 5 (II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED, 6 EMPLOYED OR DESIGNATED BY SUCH PUBLIC CORPORATION; 7 (III) COPIES OF ANY AMENDMENTS RELATING TO A RETAINER, EMPLOYMENT OR 8 DESIGNATION, AS FILED IN THE ORIGINAL STATEMENT OF REGISTRATION PURSUANT 9 TO SUBDIVISION FOUR OF THIS SECTION; 10 (IV) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS, THE LEGISLATIVE 11 BILL NUMBERS OF ANY BILLS AND THE RULE, REGULATION, AND RATEMAKING 12 NUMBERS OF ANY RULES, REGULATIONS, OR RATES OR PROPOSED RULES, REGU- 13 LATIONS, RATES, ARTICLE OF PROCUREMENT OR PROCUREMENT CONTRACTS OR 14 PENSION FUND INVESTMENTS ON WHICH THE LOBBYIST HAS LOBBIED, AND ON WHICH 15 SUCH PUBLIC CORPORATION HAS LOBBIED; 16 (V) THE NAME OF THE PERSON, ORGANIZATION OR LEGISLATIVE BODY BEFORE 17 WHICH THE PUBLIC CORPORATION, OR ITS LOBBYISTS, HAS LOBBIED; 18 (VI) (1) THE COMPENSATION PAID OR OWED TO THE LOBBYIST AND ANY 19 EXPENSES EXPENDED, RECEIVED OR INCURRED BY THE LOBBYIST FOR THE PURPOSE 20 OF LOBBYING; PROVIDED, HOWEVER, ANY SUCH EXPENSES PAID BY SUCH PUBLIC 21 CORPORATION TO A LOBBYIST FOR THE PURPOSE OF LOBBYING ON BEHALF OF SUCH 22 PUBLIC CORPORATION SHALL BE ITEMIZED IN THE SAME MANNER AS IF SUCH 23 PUBLIC CORPORATION HAD DIRECTLY PAID OR INCURRED SUCH EXPENSES. 24 (2) ANY EXPENSES REQUIRED TO BE REPORTED PURSUANT TO CLAUSE ONE OF 25 THIS SUBPARAGRAPH SHALL BE LISTED IN THE AGGREGATE IF SEVENTY-FIVE 26 DOLLARS OR LESS AND IF MORE THAN SEVENTY-FIVE DOLLARS SUCH EXPENSES 27 SHALL BE DETAILED AS TO AMOUNT, TO WHOM PAID, AND FOR WHAT PURPOSE; AND 28 WHERE SUCH EXPENSES ARE MORE THAN SEVENTY-FIVE DOLLARS ON BEHALF OF ANY 29 ONE PERSON, THE NAME OF SUCH PERSON SHALL BE LISTED. 30 (3) FOR THE PURPOSES OF THIS SUBPARAGRAPH, EXPENSES SHALL NOT INCLUDE: 31 (A) PERSONAL SUSTENANCE, LODGING AND TRAVEL DISBURSEMENTS OF EACH SUCH 32 LOBBYIST; 33 (B) EXPENSES, NOT IN EXCESS OF FIVE HUNDRED DOLLARS IN ANY ONE CALEN- 34 DAR YEAR, DIRECTLY INCURRED FOR THE PRINTING OR OTHER MEANS OF REPROD- 35 UCTION OR MAILING OF LETTERS, MEMORANDA OR OTHER WRITTEN COMMUNICATIONS. 36 (4) EXPENSES PAID OR INCURRED FOR COMPENSATION OTHER THAN THAT OF EACH 37 LOBBYIST SHALL BE LISTED IN THE AGGREGATE. 38 (5) EXPENSES OF MORE THAN FIFTY DOLLARS MUST BE PAID BY CHECK OR 39 SUBSTANTIATED BY RECEIPTS AND SUCH CHECKS AND RECEIPTS SHALL BE KEPT ON 40 FILE BY SUCH PUBLIC CORPORATION FOR A PERIOD OF THREE YEARS. 41 (C) (I) ALL SUCH BI-MONTHLY REPORTS SHALL BE SUBJECT TO REVIEW BY THE 42 COMMISSION. 43 (II) SUCH BI-MONTHLY REPORTS SHALL BE KEPT ON FILE FOR A PERIOD OF 44 THREE YEARS AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD. 45 (III) IN ADDITION TO THE FILING FEES AUTHORIZED BY THIS SECTION, THE 46 COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A BI-MONTHLY REPORT 47 REQUIRED BY THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH 48 DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE 49 PUBLIC CORPORATION MAKING A LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED 50 BY STATUTE TO FILE SUCH A REPORT, THE FEE FOR LATE FILING SHALL NOT 51 EXCEED TEN DOLLARS FOR EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS 52 LATE. 53 9. SEMI-ANNUAL REPORTS. (A) SEMI-ANNUAL REPORTS SHALL BE FILED BY ANY 54 CLIENT RETAINING, EMPLOYING OR DESIGNATING A LOBBYIST OR LOBBYISTS, 55 WHETHER OR NOT ANY SUCH LOBBYIST WAS REQUIRED TO FILE A BI-MONTHLY 56 REPORT, IF SUCH CLIENT REASONABLY ANTICIPATES THAT DURING THE YEAR THEY S. 6615--A 26 A. 9715--A 1 WILL EXPEND OR INCUR AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS OF 2 COMBINED REPORTABLE COMPENSATION AND EXPENSES, AS PROVIDED IN SUBPARA- 3 GRAPH (V) OF PARAGRAPH (B) OF THIS SUBDIVISION, FOR THE PURPOSES OF 4 LOBBYING. 5 (B) SUCH REPORT SHALL BE FILED WITH THE COMMISSION, ON FORMS SUPPLIED 6 BY THE COMMISSION, BY THE FIFTEENTH DAY OF JULY OF THE YEAR AND BY THE 7 FIFTEENTH DAY OF JANUARY NEXT FOLLOWING THE YEAR FOR WHICH SUCH REPORT 8 IS MADE AND SHALL CONTAIN: 9 (I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT; 10 (II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED, 11 EMPLOYED OR DESIGNATED BY SUCH CLIENT; 12 (III) THE FOLLOWING INFORMATION ON WHICH EACH LOBBYIST RETAINED, 13 EMPLOYED OR DESIGNATED BY SUCH CLIENT HAS LOBBIED, AND ON WHICH SUCH 14 CLIENT HAS LOBBIED: (1) A DESCRIPTION OF THE GENERAL SUBJECT OR 15 SUBJECTS, (2) THE LEGISLATIVE BILL NUMBERS OF ANY BILLS, (3) THE NUMBERS 16 OR SUBJECT MATTER (IF THERE ARE NO NUMBERS) OF GUBERNATORIAL EXECUTIVE 17 ORDERS OR EXECUTIVE ORDERS ISSUED BY THE CHIEF EXECUTIVE OFFICER OF A 18 MUNICIPALITY, (4) THE SUBJECT MATTER OF AND TRIBES INVOLVED IN 19 TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER 20 STATE-TRIBAL AGREEMENTS AND ANY STATE ACTIONS RELATED TO CLASS III 21 GAMING AS PROVIDED IN 25 U.S.C. 2701, (5) THE RULE, REGULATION, AND 22 RATEMAKING OR MUNICIPAL RESOLUTION OR ORDINANCE NUMBERS OF ANY RULES, 23 REGULATIONS, OR RATES, OR MUNICIPAL RESOLUTIONS OR ORDINANCES OR 24 PROPOSED RULES, REGULATIONS, OR RATES, OR MUNICIPAL ORDINANCES OR RESOL- 25 UTIONS AND (6) THE TITLES AND ANY IDENTIFYING NUMBERS OF ANY PROCUREMENT 26 CONTRACTS AND OTHER DOCUMENTS DISSEMINATED BY A STATE AGENCY, EITHER 27 HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, MUNICIPAL 28 AGENCY OR LOCAL LEGISLATIVE BODY IN CONNECTION WITH A GOVERNMENTAL 29 PROCUREMENT; 30 (IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE 31 WHICH SUCH CLIENT HAS LOBBIED; 32 (V) (1) THE COMPENSATION PAID OR OWED TO EACH SUCH LOBBYIST, AND ANY 33 OTHER EXPENSES PAID OR INCURRED BY SUCH CLIENT FOR THE PURPOSE OF LOBBY- 34 ING. 35 (2) ANY EXPENSES REQUIRED TO BE REPORTED PURSUANT TO CLAUSE ONE OF 36 THIS SUBPARAGRAPH SHALL BE LISTED IN THE AGGREGATE IF SEVENTY-FIVE 37 DOLLARS OR LESS AND IF MORE THAN SEVENTY-FIVE DOLLARS SUCH EXPENSES 38 SHALL BE DETAILED AS TO AMOUNT, TO WHOM PAID, AND FOR WHAT PURPOSE; AND 39 WHERE SUCH EXPENSES ARE MORE THAN SEVENTY-FIVE DOLLARS ON BEHALF OF ANY 40 ONE PERSON, THE NAME OF SUCH PERSON SHALL BE LISTED. 41 (3) FOR THE PURPOSES OF THIS SUBPARAGRAPH, EXPENSES SHALL NOT INCLUDE: 42 (A) PERSONAL SUSTENANCE, LODGING AND TRAVEL DISBURSEMENTS OF SUCH 43 LOBBYIST AND CLIENT; 44 (B) EXPENSES, NOT IN EXCESS OF FIVE HUNDRED DOLLARS, DIRECTLY INCURRED 45 FOR THE PRINTING OR OTHER MEANS OF REPRODUCTION OR MAILING OF LETTERS, 46 MEMORANDA OR OTHER WRITTEN COMMUNICATIONS. 47 (4) EXPENSES PAID OR INCURRED FOR SALARIES OTHER THAN THAT OF THE 48 LOBBYIST SHALL BE LISTED IN THE AGGREGATE. 49 (5) EXPENSES OF MORE THAN FIFTY DOLLARS MUST BE PAID BY CHECK OR 50 SUBSTANTIATED BY RECEIPTS AND SUCH CHECKS AND RECEIPTS SHALL BE KEPT ON 51 FILE BY SUCH CLIENT FOR A PERIOD OF THREE YEARS. 52 (C) (I) ALL SUCH SEMI-ANNUAL REPORTS SHALL BE SUBJECT TO REVIEW BY THE 53 COMMISSION. 54 (II) SUCH SEMI-ANNUAL REPORTS SHALL BE KEPT ON FILE FOR A PERIOD OF 55 THREE YEARS AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD. S. 6615--A 27 A. 9715--A 1 (III) EACH SEMI-ANNUAL REPORT FILED BY A CLIENT PURSUANT TO THIS 2 SUBDIVISION SHALL BE ACCOMPANIED BY A FILING FEE OF FIFTY DOLLARS. IN 3 ADDITION TO THE FILING FEES AUTHORIZED BY THIS SECTION, THE COMMISSION 4 MAY IMPOSE A FEE FOR LATE FILING OF A SEMI-ANNUAL REPORT REQUIRED BY 5 THIS SUBDIVISION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH DAY THAT THE 6 REPORT REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE CLIENT MAKING A 7 LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STATUTE TO FILE AN ANNU- 8 AL OR SEMI-ANNUAL REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TEN 9 DOLLARS FOR EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE. 10 10. CONTINGENT RETAINER. (A) NO CLIENT SHALL RETAIN OR EMPLOY ANY 11 LOBBYIST FOR COMPENSATION, INCLUDING, BUT NOT LIMITED TO, ANY BONUS, 12 SUCCESS FEE, OR OTHER INDUCEMENT TO AN INDIVIDUAL THAT INCREASES HIS OR 13 HER PERSONAL INCOME OR WEALTH, THE RATE OR AMOUNT OF WHICH COMPENSATION 14 IN WHOLE OR PART IS CONTINGENT OR DEPENDENT UPON: 15 (I) (1) THE PASSAGE OR DEFEAT OF ANY LEGISLATIVE BILL OR THE APPROVAL 16 OR VETO OF ANY LEGISLATION BY THE GOVERNOR, (2) THE TERMS, ISSUANCE, 17 MODIFICATION OR RESCISSION OF A GUBERNATORIAL EXECUTIVE ORDER, (3) THE 18 TERMS, APPROVAL OR DISAPPROVAL, OR THE IMPLEMENTATION AND ADMINISTRATION 19 OF TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING, OR ANY OTHER 20 TRIBAL-STATE AGREEMENTS AND ANY STATE ACTIONS RELATED TO CLASS III 21 GAMING AS PROVIDED IN 25 U.S.C. 2701, OR (4) THE ADOPTION OR REJECTION 22 OF ANY CODE, RULE OR REGULATION HAVING THE FORCE AND EFFECT OF LAW OR 23 THE OUTCOME OF ANY RATE MAKING PROCEEDING BY A STATE AGENCY; (II)(1) THE 24 PASSAGE OR DEFEAT OF ANY LOCAL LAW, ORDINANCE, REGULATION OR RESOLUTION 25 BY ANY MUNICIPALITY OR SUBDIVISION THEREOF, (2) THE TERMS, ISSUANCE, 26 MODIFICATION OR RESCISSION OF AN EXECUTIVE ORDER ISSUED BY THE CHIEF 27 EXECUTIVE OFFICER OF A MUNICIPALITY, OR (3) THE ADOPTION, REJECTION OR 28 IMPLEMENTATION OF ANY RULE, RESOLUTION OR REGULATION HAVING THE FORCE 29 AND EFFECT OF A LOCAL LAW, ORDINANCE OR REGULATION OR ANY RATE MAKING 30 PROCEEDING BY ANY MUNICIPALITY OR SUBDIVISION THEREOF; (4) ANY DETERMI- 31 NATION BY THE OFFICE OF THE STATE OR CITY OF NEW YORK COMPTROLLER, A 32 STATE AGENCY, INCLUDING, BUT NOT LIMITED TO, PUBLIC AUTHORITIES AND 33 PUBLIC BENEFIT CORPORATIONS, EITHER HOUSE OF THE STATE LEGISLATURE, THE 34 UNIFIED COURT SYSTEM, MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY WITH 35 RESPECT TO A GOVERNMENTAL PROCUREMENT, ARTICLE OF PROCUREMENT OR A 36 GRANT, LOAN, PURCHASE OR LEASE OF REAL OR PERSONAL PROPERTY, AGREEMENT 37 OR INVESTMENT INVOLVING THE DISBURSEMENT OF PUBLIC MONIES. 38 (B) NO PERSON SHALL ACCEPT SUCH A RETAINER OR EMPLOYMENT. A VIOLATION 39 OF THIS SUBDIVISION SHALL BE A CLASS A MISDEMEANOR. 40 11. REPORTS OF LOBBYING INVOLVING DISBURSEMENT OF PUBLIC MONIES. (A) 41 ANY LOBBYIST REQUIRED TO FILE A STATEMENT OF REGISTRATION PURSUANT TO 42 SUBDIVISION FOUR OF THIS SECTION WHO IN ANY LOBBYING YEAR REASONABLY 43 ANTICIPATES THAT DURING THE YEAR THEY WILL EXPEND, INCUR OR RECEIVE 44 COMBINED REPORTABLE COMPENSATION AND EXPENSES IN AN AMOUNT IN EXCESS OF 45 FIVE THOUSAND DOLLARS SHALL FILE WITH THE COMMISSION, ON FORMS SUPPLIED 46 BY THE COMMISSION, A REPORT OF ANY ATTEMPTS TO INFLUENCE A DETERMINATION 47 BY A PUBLIC OFFICIAL, OR BY A PERSON OR ENTITY WORKING IN COOPERATION 48 WITH A PUBLIC OFFICIAL, WITH RESPECT TO THE SOLICITATION, AWARD OR 49 ADMINISTRATION OF A GRANT, LOAN, OR AGREEMENT INVOLVING THE DISBURSEMENT 50 OF PUBLIC MONIES IN EXCESS OF FIFTEEN THOUSAND DOLLARS OTHER THAN A 51 GOVERNMENTAL PROCUREMENT AS DEFINED IN SUBDIVISION TWO OF THIS SECTION. 52 (B) SUCH PUBLIC MONIES LOBBYING REPORTS SHALL CONTAIN: 53 (I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE LOBBYIST AND THE 54 INDIVIDUALS EMPLOYED BY THE LOBBYIST ENGAGED IN SUCH PUBLIC MONIES 55 LOBBYING ACTIVITIES; S. 6615--A 28 A. 9715--A 1 (II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR 2 ON WHOSE BEHALF THE LOBBYIST IS RETAINED, EMPLOYED OR DESIGNATED ON 3 WHOSE BEHALF THE LOBBYIST ENGAGED IN LOBBYING REPORTABLE UNDER THIS 4 PARAGRAPH; 5 (III) A DESCRIPTION OF THE GRANT, LOAN, OR AGREEMENT INVOLVING THE 6 DISBURSEMENT OF PUBLIC MONIES ON WHICH THE LOBBYIST HAS LOBBIED; 7 (IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE 8 WHICH THE LOBBYIST HAS ENGAGED IN LOBBYING REPORTABLE UNDER THIS PARA- 9 GRAPH; AND 10 (V) THE COMPENSATION PAID OR OWED TO THE LOBBYIST, AND ANY EXPENSES 11 EXPENDED, RECEIVED OR INCURRED BY THE LOBBYIST FOR THE PURPOSE OF LOBBY- 12 ING REPORTABLE UNDER THIS PARAGRAPH. 13 (C) PUBLIC MONIES LOBBYING REPORTS REQUIRED PURSUANT TO THIS PARAGRAPH 14 SHALL BE FILED IN ACCORDANCE WITH THE SCHEDULE APPLICABLE TO THE FILING 15 OF BI-MONTHLY REPORTS PURSUANT TO SUBDIVISION SEVEN OF THIS SECTION AND 16 SHALL BE FILED NOT LATER THAN THE FIFTEENTH DAY NEXT SUCCEEDING THE END 17 OF SUCH REPORTING PERIOD. 18 (D) IN ADDITION TO ANY OTHER FEES AUTHORIZED BY THIS SECTION, THE 19 COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A REPORT REQUIRED BY THIS 20 SUBDIVISION NOT TO EXCEED FIFTY DOLLARS FOR EACH DAY THAT THE REPORT 21 REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE LOBBYIST MAKING A LATE 22 FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STATUTE TO FILE SUCH A 23 REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TWENTY-FIVE DOLLARS FOR 24 EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE. 25 (E) ALL REPORTS FILED PURSUANT TO THIS SUBDIVISION SHALL BE SUBJECT TO 26 REVIEW BY THE COMMISSION. SUCH REPORTS SHALL BE KEPT IN ELECTRONIC FORM 27 BY THE COMMISSION AND SHALL BE AVAILABLE FOR PUBLIC INSPECTION. 28 12. PROHIBITION OF GIFTS. NO INDIVIDUAL OR ENTITY REQUIRED TO BE 29 LISTED ON A STATEMENT OF REGISTRATION PURSUANT TO THIS SECTION SHALL 30 OFFER OR GIVE A GIFT TO ANY PUBLIC OFFICIAL AS DEFINED WITHIN THIS 31 SECTION, UNLESS UNDER THE CIRCUMSTANCES IT IS NOT REASONABLE TO INFER 32 THAT THE GIFT WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. NO INDI- 33 VIDUAL OR ENTITY REQUIRED TO BE LISTED ON A STATEMENT OF REGISTRATION 34 PURSUANT TO THIS SECTION SHALL OFFER OR GIVE A GIFT TO THE SPOUSE OR 35 UNEMANCIPATED CHILD OF ANY PUBLIC OFFICIAL AS DEFINED WITHIN THIS 36 SECTION UNDER CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER THAT THE 37 GIFT WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. NO SPOUSE OR 38 UNEMANCIPATED CHILD OF AN INDIVIDUAL REQUIRED TO BE LISTED ON A STATE- 39 MENT OF REGISTRATION PURSUANT TO THIS SECTION SHALL OFFER OR GIVE A GIFT 40 TO A PUBLIC OFFICIAL UNDER CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER 41 THAT THE GIFT WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. THIS 42 SECTION SHALL NOT APPLY TO GIFTS TO OFFICERS, MEMBERS OR DIRECTORS OF 43 BOARDS, COMMISSIONS, COUNCILS, PUBLIC AUTHORITIES OR PUBLIC BENEFIT 44 CORPORATIONS WHO RECEIVE NO COMPENSATION OR ARE COMPENSATED ON A PER 45 DIEM BASIS, UNLESS THE PERSON LISTED ON THE STATEMENT OF REGISTRATION 46 APPEARS OR HAS MATTERS PENDING BEFORE THE BOARD, COMMISSION OR COUNCIL 47 ON WHICH THE RECIPIENT SITS. 48 13. RESTRICTED CONTACTS. (A) DURING THE RESTRICTED PERIOD, NO PERSON 49 OR ORGANIZATION REQUIRED TO FILE A STATEMENT OR REPORT PURSUANT TO THIS 50 SECTION SHALL ENGAGE IN LOBBYING ACTIVITIES CONCERNING A GOVERNMENTAL 51 PROCUREMENT BY A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, 52 THE UNIFIED COURT SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED 53 BY SUBPARAGRAPH (II) OF PARAGRAPH (S) OF SUBDIVISION TWO OF THIS 54 SECTION, BY CONTACTING A PERSON WITHIN THE PROCURING ENTITY WHO HAS NOT 55 BEEN DESIGNATED PURSUANT TO SECTION ONE HUNDRED THIRTY-NINE-J OF THE 56 STATE FINANCE LAW TO RECEIVE COMMUNICATIONS RELATIVE TO THE GOVERNMENTAL S. 6615--A 29 A. 9715--A 1 PROCUREMENT. FURTHER, DURING THE RESTRICTED PERIOD, NO PERSON OR ORGAN- 2 IZATION REQUIRED TO FILE A LOBBYING REGISTRATION STATEMENT OR REPORT 3 PURSUANT TO THIS SECTION SHALL ENGAGE IN LOBBYING ACTIVITIES CONCERNING 4 A GOVERNMENTAL PROCUREMENT BY CONTACTING ANY PERSON IN A STATE AGENCY 5 OTHER THAN THE STATE AGENCY CONDUCTING THE GOVERNMENTAL PROCUREMENT 6 ABOUT THAT GOVERNMENTAL PROCUREMENT. THE PROHIBITIONS SET FORTH IN THIS 7 PARAGRAPH SHALL NOT APPLY TO ANY CONTACTS DESCRIBED IN PARAGRAPH (B) OR 8 (C) OF THIS SUBDIVISION. 9 (B) A COMPLAINT BY AN OFFERER REGARDING THE FAILURE OF THE PERSON OR 10 PERSONS DESIGNATED BY THE PROCURING ENTITY PURSUANT TO SECTION ONE 11 HUNDRED THIRTY-NINE-J OF THE STATE FINANCE LAW TO RESPOND IN A TIMELY 12 MANNER TO AUTHORIZED OFFERER CONTACTS SHALL NOT BE DEEMED TO BE "LOBBY- 13 ING" OR "LOBBYING ACTIVITIES" AND SHALL BE EXEMPT FROM THE PROVISIONS OF 14 PARAGRAPH ONE OF THIS SUBDIVISION AND SHALL BE MADE IN WRITING TO THE 15 OFFICE OF GENERAL COUNSEL OF THE STATE AGENCY, EITHER HOUSE OF THE STATE 16 LEGISLATURE OR THE UNIFIED COURT SYSTEM THAT IS CONDUCTING THE PROCURE- 17 MENT. FURTHER, THE FOLLOWING CONTACTS SHALL NOT BE DEEMED TO BE "LOBBY- 18 ING" OR "LOBBYING ACTIVITIES" AND SHALL BE EXEMPT FROM THE PROVISIONS OF 19 PARAGRAPH (A) OF THIS SUBDIVISION: 20 (I) CONTACTS BY OFFERERS IN PROTESTS, APPEALS OR OTHER REVIEW 21 PROCEEDINGS (INCLUDING THE APPARENT SUCCESSFUL BIDDER OR PROPOSER AND 22 HIS OR HER REPRESENTATIVES) BEFORE THE GOVERNMENTAL ENTITY CONDUCTING 23 THE PROCUREMENT SEEKING A FINAL ADMINISTRATIVE DETERMINATION, OR IN A 24 SUBSEQUENT JUDICIAL PROCEEDING; OR 25 (II) COMPLAINTS OF ALLEGED IMPROPER CONDUCT IN A GOVERNMENTAL PROCURE- 26 MENT TO THE ATTORNEY GENERAL, INSPECTOR GENERAL, DISTRICT ATTORNEY, OR 27 COURT OF COMPETENT JURISDICTION; OR 28 (III) WRITTEN PROTESTS, APPEALS OR COMPLAINTS TO THE STATE COMP- 29 TROLLER'S OFFICE DURING THE PROCESS OF CONTRACT APPROVAL, WHERE THE 30 STATE COMPTROLLER'S APPROVAL IS REQUIRED BY LAW, AND WHERE SUCH COMMUNI- 31 CATIONS AND ANY RESPONSES THERETO ARE MADE IN WRITING AND SHALL BE 32 ENTERED IN THE PROCUREMENT RECORD PURSUANT TO SECTION ONE HUNDRED 33 SIXTY-THREE OF THE STATE FINANCE LAW; OR 34 (IV) COMPLAINTS OF ALLEGED IMPROPER CONDUCT IN A GOVERNMENTAL PROCURE- 35 MENT CONDUCTED BY A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY TO THE 36 STATE COMPTROLLER'S OFFICE; PROVIDED, HOWEVER, THAT NOTHING IN THIS 37 PARAGRAPH SHALL BE CONSTRUED AS RECOGNIZING OR CREATING ANY NEW RIGHTS, 38 DUTIES OR RESPONSIBILITIES OR ABROGATING ANY EXISTING RIGHTS, DUTIES OR 39 RESPONSIBILITIES OF ANY GOVERNMENTAL ENTITY AS IT PERTAINS TO IMPLEMEN- 40 TATION AND ENFORCEMENT OF ARTICLE ELEVEN OF THE STATE FINANCE LAW OR ANY 41 OTHER PROVISION OF LAW DEALING WITH THE GOVERNMENTAL PROCUREMENT PROC- 42 ESS. 43 (C) NOTHING IN THIS SUBDIVISION SHALL BE DEEMED TO PROHIBIT A PERSON 44 OR ORGANIZATION REQUIRED TO FILE A STATEMENT OR REPORT PURSUANT TO THIS 45 SECTION FROM CONTACTING A MEMBER OF THE STATE LEGISLATURE CONCERNING A 46 GOVERNMENTAL PROCUREMENT IN A STATE AGENCY, THE UNIFIED COURT SYSTEM, OR 47 A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED BY SUBPARAGRAPH (II) OF 48 PARAGRAPH (S) OF SUBDIVISION TWO OF THIS SECTION. 49 14. PENALTIES. (A) (I) ANY LOBBYIST, PUBLIC CORPORATION, OR CLIENT 50 WHO KNOWINGLY AND WILFULLY FAILS TO FILE TIMELY A REPORT OR STATEMENT 51 REQUIRED BY THIS SECTION OR KNOWINGLY AND WILFULLY FILES FALSE INFORMA- 52 TION OR KNOWINGLY AND WILFULLY VIOLATES SUBDIVISION TWELVE OF THIS 53 SECTION SHALL BE GUILTY OF A CLASS A MISDEMEANOR; AND (II) ANY LOBBYIST, 54 PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND WILFULLY FAILS TO FILE 55 TIMELY A REPORT OR STATEMENT REQUIRED BY THIS SECTION OR KNOWINGLY AND 56 WILFULLY FILES FALSE INFORMATION OR KNOWINGLY AND WILFULLY VIOLATES S. 6615--A 30 A. 9715--A 1 SUBDIVISION TWELVE OF THIS SECTION, AFTER HAVING PREVIOUSLY BEEN 2 CONVICTED IN THE PRECEDING FIVE YEARS OF THE CRIME DESCRIBED IN SUBPARA- 3 GRAPH (I) OF THIS PARAGRAPH, SHALL BE GUILTY OF A CLASS E FELONY. ANY 4 LOBBYIST CONVICTED OF OR PLEADING GUILTY TO A MISDEMEANOR UNDER THE 5 PROVISIONS OF THIS SECTION SHALL BE BARRED FROM ACTING AS A LOBBYIST FOR 6 A PERIOD OF ONE YEAR FROM THE DATE OF THE CONVICTION. ANY LOBBYIST 7 CONVICTED OF OR PLEADING GUILTY TO A FELONY UNDER THE PROVISIONS OF THIS 8 SECTION SHALL BE BARRED FROM ACTING AS A LOBBYIST FOR A PERIOD OF FOUR 9 YEARS FROM THE DATE OF THE CONVICTION. FOR THE PURPOSES OF THIS PARA- 10 GRAPH, THE CHIEF ADMINISTRATIVE OFFICER OF ANY ORGANIZATION REQUIRED TO 11 FILE A STATEMENT OR REPORT SHALL BE THE PERSON RESPONSIBLE FOR MAKING 12 AND FILING SUCH STATEMENT OR REPORT UNLESS SOME OTHER PERSON PRIOR TO 13 THE DUE DATE THEREOF HAS BEEN DULY DESIGNATED TO MAKE AND FILE SUCH 14 STATEMENT OR REPORT. 15 (B) (I) A LOBBYIST, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND 16 WILFULLY FAILS TO FILE A STATEMENT OR REPORT WITHIN THE TIME REQUIRED 17 FOR THE FILING OF SUCH REPORT OR KNOWINGLY AND WILFULLY VIOLATES SUBDI- 18 VISION TWELVE OF THIS SECTION SHALL BE SUBJECT TO A CIVIL PENALTY FOR 19 EACH SUCH FAILURE OR VIOLATION, IN AN AMOUNT NOT TO EXCEED THE GREATER 20 OF TWENTY-FIVE THOUSAND DOLLARS OR THREE TIMES THE AMOUNT THE PERSON 21 FAILED TO REPORT PROPERLY OR UNLAWFULLY CONTRIBUTED, EXPENDED, GAVE OR 22 RECEIVED, TO BE ASSESSED BY THE COMMISSION. 23 (II) A LOBBYIST, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND 24 WILFULLY FILES A FALSE STATEMENT OR REPORT SHALL BE SUBJECT TO A CIVIL 25 PENALTY, IN AN AMOUNT NOT TO EXCEED THE GREATER OF FIFTY THOUSAND 26 DOLLARS OR FIVE TIMES THE AMOUNT THE PERSON FAILED TO REPORT PROPERLY, 27 TO BE ASSESSED BY THE COMMISSION. 28 (III) (1) A LOBBYIST OR CLIENT WHO KNOWINGLY AND WILFULLY VIOLATES THE 29 PROVISIONS OF PARAGRAPH (A) OF SUBDIVISION THIRTEEN OF THIS SECTION 30 SHALL BE SUBJECT TO A CIVIL PENALTY NOT TO EXCEED TEN THOUSAND DOLLARS 31 FOR AN INITIAL VIOLATION. 32 (2) IF, AFTER A LOBBYIST OR CLIENT HAS BEEN FOUND TO HAVE VIOLATED 33 PARAGRAPH (A) OF SUBDIVISION THIRTEEN OF THIS SECTION, A LOBBYIST OR 34 CLIENT KNOWINGLY AND WILFULLY VIOLATES THE PROVISIONS OF PARAGRAPH (A) 35 OF SUBDIVISION THIRTEEN OF THIS SECTION WITHIN FOUR YEARS OF SUCH FIND- 36 ING, THE LOBBYIST OR CLIENT SHALL BE SUBJECT TO A CIVIL PENALTY NOT TO 37 EXCEED TWENTY-FIVE THOUSAND DOLLARS. 38 (IV) ANY LOBBYIST OR CLIENT THAT KNOWINGLY AND WILFULLY FAILS TO FILE 39 A STATEMENT OR REPORT WITHIN THE TIME REQUIRED FOR THE FILING OF SUCH 40 REPORT, KNOWINGLY AND WILFULLY FILES A FALSE STATEMENT OR REPORT, OR 41 KNOWINGLY AND WILFULLY VIOLATES SUBDIVISION TWELVE OR SUBDIVISION THIR- 42 TEEN OF THIS SECTION SHALL BE SUBJECT TO A DETERMINATION THAT THE LOBBY- 43 IST OR CLIENT IS PROHIBITED FROM ENGAGING IN LOBBYING ACTIVITIES, AS 44 THAT TERM IS DEFINED IN SUBPARAGRAPH (V) OF PARAGRAPH (C) OF SUBDIVISION 45 TWO OF THIS SECTION, FOR A PERIOD OF UP TO ONE YEAR. 46 (V) ANY LOBBYIST OR CLIENT THAT KNOWINGLY AND WILFULLY ENGAGES IN 47 LOBBYING ACTIVITIES, AS THAT TERM IS DEFINED IN SUBPARAGRAPH (V) OF 48 PARAGRAPH (C) OF SUBDIVISION TWO OF THIS SECTION, DURING THE PERIOD IN 49 WHICH THEY ARE PROHIBITED FROM ENGAGING IN LOBBYING ACTIVITIES, AS THAT 50 TERM IS DEFINED IN SUBPARAGRAPH (V) OF PARAGRAPH (C) OF SUBDIVISION TWO 51 OF THIS SECTION PURSUANT TO THIS PARAGRAPH, MAY BE SUBJECT TO A DETERMI- 52 NATION THAT THE LOBBYIST OR CLIENT IS PROHIBITED FROM ENGAGING IN LOBBY- 53 ING ACTIVITIES, AS THAT TERM IS DEFINED IN SUBPARAGRAPH (V) OF PARAGRAPH 54 (C) OF SUBDIVISION TWO OF THIS SECTION, FOR A PERIOD OF UP TO FOUR 55 YEARS, AND SHALL BE SUBJECT TO A CIVIL PENALTY NOT TO EXCEED FIFTY THOU- S. 6615--A 31 A. 9715--A 1 SAND DOLLARS, PLUS A CIVIL PENALTY IN AN AMOUNT EQUAL TO THE VALUE OF 2 ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A RESULT OF THE VIOLATION. 3 (VI) A LOBBYIST, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND 4 WILFULLY FAILS TO RETAIN THEIR RECORDS PURSUANT TO SUBPARAGRAPH (III) OF 5 PARAGRAPH (C) OF SUBDIVISION FOUR OF THIS SECTION, CLAUSE FIVE OF 6 SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVISION SEVEN OF THIS SECTION, 7 OR SUBPARAGRAPH (V) OF PARAGRAPH (B) OF SUBDIVISION NINE OF THIS SECTION 8 SHALL BE SUBJECT TO A CIVIL PENALTY IN AN AMOUNT OF TWO THOUSAND DOLLARS 9 PER VIOLATION TO BE ASSESSED BY THE COMMISSION. 10 (C)(I) ANY ASSESSMENT OR ORDER TO DEBAR SHALL BE DETERMINED ONLY AFTER 11 A HEARING AT WHICH THE PARTY SHALL BE ENTITLED TO APPEAR, PRESENT 12 EVIDENCE AND BE HEARD. ANY ASSESSMENT OR ORDER TO DEBAR PURSUANT TO THIS 13 PARAGRAPH MAY ONLY BE IMPOSED AFTER THE COMMISSION SENDS BY CERTIFIED 14 AND FIRST-CLASS MAIL WRITTEN NOTICE OF INTENT TO ASSESS A PENALTY OR 15 ORDER TO DEBAR AND THE BASIS FOR THE PENALTY OR ORDER TO DEBAR. ANY 16 ASSESSMENT MAY BE RECOVERED IN AN ACTION BROUGHT BY THE ATTORNEY GENER- 17 AL. 18 (II) IN ASSESSING ANY FINE OR PENALTY PURSUANT TO THIS SUBDIVISION, 19 THE COMMISSION SHALL CONSIDER: (1) AS A MITIGATING FACTOR THAT THE 20 LOBBYIST, PUBLIC CORPORATION OR CLIENT HAS NOT PREVIOUSLY BEEN REQUIRED 21 TO REGISTER, AND (2) AS AN AGGRAVATING FACTOR THAT THE LOBBYIST, PUBLIC 22 CORPORATION OR CLIENT HAS HAD FINES OR PENALTIES ASSESSED AGAINST IT IN 23 THE PAST. THE AMOUNT OF COMPENSATION EXPENDED, INCURRED OR RECEIVED 24 SHALL BE A FACTOR TO CONSIDER IN DETERMINING A PROPORTIONATE PENALTY. 25 (III) ANY LOBBYIST, PUBLIC CORPORATION OR CLIENT WHO RECEIVES A NOTICE 26 OF INTENT TO ASSESS A PENALTY FOR KNOWINGLY AND WILLFULLY FAILING TO 27 FILE A REPORT OR STATEMENT PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION 28 AND WHO HAS NEVER PREVIOUSLY REGISTERED WITH OR REPORTED TO THE COMMIS- 29 SION SHALL BE GRANTED FIFTEEN DAYS WITHIN WHICH TO FILE THE STATEMENT OF 30 REGISTRATION OR REPORT WITHOUT BEING SUBJECT TO THE FINE OR PENALTY SET 31 FORTH IN PARAGRAPH (B) OF THIS SUBDIVISION. UPON THE FAILURE OF SUCH 32 LOBBYIST, PUBLIC CORPORATION OR CLIENT, TO FILE WITHIN SUCH FIFTEEN DAY 33 PERIOD, SUCH LOBBYIST, PUBLIC CORPORATION OR CLIENT, SHALL BE SUBJECT TO 34 THE FINE OR PENALTY PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION. 35 (D) ALL MONEYS RECOVERED BY THE ATTORNEY GENERAL OR RECEIVED BY THE 36 COMMISSION FROM THE ASSESSMENT OF CIVIL PENALTIES AUTHORIZED BY THIS 37 SECTION SHALL BE DEPOSITED TO THE GENERAL FUND. 38 15. ENFORCEMENT. (A) ALL STATEMENTS AND REPORTS REQUIRED UNDER THIS 39 SECTION SHALL BE SUBJECT TO A DECLARATION BY THE PERSON MAKING AND 40 FILING SUCH STATEMENT AND REPORT THAT THE INFORMATION IS TRUE, CORRECT 41 AND COMPLETE TO THE BEST KNOWLEDGE AND BELIEF OF THE SIGNER UNDER THE 42 PENALTIES OF PERJURY. 43 (B) THE COMMISSION SHALL BE CHARGED WITH THE DUTY OF REVIEWING ALL 44 STATEMENTS AND REPORTS REQUIRED UNDER THIS SECTION FOR VIOLATIONS, AND 45 IT SHALL BE ITS DUTY, IF IT DEEMS SUCH TO BE WILFUL, TO REPORT SUCH 46 DETERMINATION TO THE ATTORNEY GENERAL OR OTHER APPROPRIATE AUTHORITY. 47 (C) UPON RECEIPT OF NOTICE OF SUCH FAILURE FROM THE COMMISSION, THE 48 ATTORNEY GENERAL OR OTHER APPROPRIATE AUTHORITY SHALL TAKE SUCH ACTION 49 AS HE OR SHE DEEMS APPROPRIATE TO SECURE COMPLIANCE WITH THE PROVISIONS 50 OF THIS SECTION. 51 16. RECORD OF APPEARANCES. THE COMMISSION SHALL PROMULGATE ALL RULES 52 OR REGULATIONS AND ANY PROCEDURES, FORMS, OR INSTRUCTIONS NECESSARY TO 53 IMPLEMENT THE PROVISIONS OF SECTION ONE HUNDRED SIXTY-SIX OF THE EXECU- 54 TIVE LAW RELATING TO THE QUARTERLY FILING OF THE RECORD OF APPEARANCES 55 BEFORE REGULATORY AGENCIES. S. 6615--A 32 A. 9715--A 1 17. PUBLICATION OF STATEMENT ON LOBBYING REGULATIONS. THE COMMISSION 2 SHALL PUBLISH A STATEMENT ON LOBBYING REGULATIONS SETTING FORTH THE 3 REQUIREMENTS OF THIS SECTION IN A CLEAR AND BRIEF MANNER. SUCH STATE- 4 MENT SHALL CONTAIN AN EXPLANATION OF THE REGISTRATION AND FILING 5 REQUIREMENTS AND THE PENALTIES FOR VIOLATION THEREOF, TOGETHER WITH SUCH 6 OTHER INFORMATION AS THE COMMISSION SHALL DETERMINE, AND COPIES THEREOF 7 SHALL BE MADE AVAILABLE TO THE PUBLIC AT CONVENIENT LOCATIONS THROUGHOUT 8 THE STATE. 9 18. PUBLIC ACCESS TO RECORDS; FORMAT OF RECORDS AND REPORTS. THE 10 COMMISSION SHALL MAKE INFORMATION FURNISHED BY LOBBYISTS AND CLIENTS 11 AVAILABLE TO THE PUBLIC FOR INSPECTION AND COPYING IN ELECTRONIC AND 12 PAPER FORMATS. ACCESS TO SUCH INFORMATION SHALL ALSO BE MADE AVAILABLE 13 FOR REMOTE COMPUTER USERS THROUGH THE INTERNET NETWORK. 14 19. ANNUAL REPORT. THE COMMISSION SHALL ANNUALLY REPORT TO THE GOVER- 15 NOR, THE OFFICE OF COURT ADMINISTRATION, THE COMPTROLLER AND THE LEGIS- 16 LATURE ANY PROBLEMS IN THE IMPLEMENTATION OF SUCH PROVISIONS THAT 17 PERTAIN TO PROCUREMENT LOBBYING. THE COMMISSION SHALL INCLUDE IN THE 18 REPORT ANY RECOMMENDED CHANGES TO INCREASE THE EFFECTIVENESS OF THAT 19 IMPLEMENTATION. 20 19-A. REVIEW OF COMPLAINTS. THE COMMISSION SHALL REVIEW ANY 21 COMPLAINTS MADE PURSUANT TO SECTION ONE HUNDRED THIRTY-NINE-J OF THE 22 STATE FINANCE LAW, INCLUDING: 23 (A) CONTACTS DURING THE RESTRICTED PERIOD BETWEEN DESIGNATED STAFF OF 24 A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT 25 SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED IN SUBPARAGRAPH 26 (II) OF PARAGRAPH (S) OF SUBDIVISION TWO OF THIS SECTION, INVOLVED IN 27 GOVERNMENTAL PROCUREMENTS AND OFFICERS OR EMPLOYEES OF OFFERERS, OR 28 OFFICERS OR EMPLOYEES OF SUBCONTRACTORS OF OFFERERS, WHO ARE CHARGED 29 WITH THE PERFORMANCE OF FUNCTIONS RELATING TO CONTRACTS AND WHO ARE 30 QUALIFIED BY EDUCATION, TRAINING OR EXPERIENCE TO PROVIDE TECHNICAL 31 SERVICES TO EXPLAIN, CLARIFY OR DEMONSTRATE THE QUALITIES, CHARACTER- 32 ISTICS OR ADVANTAGES OF AN ARTICLE OF PROCUREMENT. SUCH AUTHORIZED 33 CONTACTS SHALL: (I) BE LIMITED TO PROVIDING INFORMATION TO STAFF OF A 34 STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT 35 SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED IN SUBPARAGRAPH 36 (II) OF PARAGRAPH (S) OF SUBDIVISION TWO OF THIS SECTION, TO ASSIST THEM 37 IN UNDERSTANDING AND ASSESSING THE QUALITIES, CHARACTERISTICS OR ANTIC- 38 IPATED PERFORMANCE OF AN ARTICLE OF PROCUREMENT, (II) NOT INCLUDE ANY 39 RECOMMENDATIONS OR ADVOCATE ANY CONTRACT PROVISIONS, AND (III) OCCUR 40 ONLY AT SUCH TIMES AND IN SUCH MANNER AS AUTHORIZED UNDER THE PROCURING 41 ENTITY'S SOLICITATION OR GUIDELINES AND PROCEDURES. FOR THE PURPOSES OF 42 THIS SUBPARAGRAPH, THE TERM "TECHNICAL SERVICES" SHALL BE LIMITED TO 43 ANALYSIS DIRECTLY APPLYING ANY ACCOUNTING, ENGINEERING, SCIENTIFIC, OR 44 OTHER SIMILAR TECHNICAL DISCIPLINES; 45 (B) CONTACTS BETWEEN OFFERERS AND PUBLIC OFFICIALS AND OFFICERS OR 46 EMPLOYEES OF THE UNIFIED COURT SYSTEM DURING THE PREPARATION OF SPECIFI- 47 CATIONS, BID DOCUMENTS OR REQUEST FOR PROPOSALS, INVITATION FOR BIDS, OR 48 ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS FOR A PROCURE- 49 MENT CONTRACT PRIOR TO THE RESTRICTED PERIOD. 50 20. RESTRICTIONS ON POLITICAL CONTRIBUTIONS BY LOBBYISTS. A LOBBYIST 51 SHALL NOT SOLICIT, MAKE OR TRANSMIT A CONTRIBUTION OR A REQUEST FOR A 52 CONTRIBUTION FROM OR TO ANY PERSON, INCLUDING A POLITICAL COMMITTEE FOR 53 THE BENEFIT OF A PUBLIC OFFICIAL OR PARTY COMMITTEE, FOR ELECTION OR 54 NOMINATION TO ANY STATE OR MUNICIPAL CORPORATION OFFICE; EXCEPT THAT A 55 LOBBYIST MAY MAKE A POLITICAL CONTRIBUTION UP TO TWO HUNDRED FIFTY 56 DOLLARS PER CANDIDATE PER ELECTION OR NOMINATION. SUCH CONTRIBUTIONS S. 6615--A 33 A. 9715--A 1 SHALL NOT BE SUBJECT TO MATCHABLE CONTRIBUTIONS UNDER TITLE TWO OF ARTI- 2 CLE FOURTEEN OF THE ELECTION LAW. 3 21. RESTRICTIONS ON ACCEPTANCE OF POLITICAL CONTRIBUTIONS BY PUBLIC 4 OFFICIALS. A PUBLIC OFFICIAL SHALL NOT KNOWINGLY ACCEPT, SOLICIT, OR 5 TRANSMIT A CONTRIBUTION OR A REQUEST FOR A CONTRIBUTION FOR HIMSELF OR 6 HERSELF OR ANY PUBLIC OFFICIAL, POLITICAL COMMITTEE, OR CANDIDATE FROM 7 OR ON BEHALF OF ANY LOBBYIST REGULATED BY THIS ARTICLE, EXCEPT THAT A 8 PUBLIC OFFICIAL MAY ACCEPT POLITICAL CONTRIBUTIONS FROM A LOBBYIST, UP 9 TO TWO HUNDRED FIFTY DOLLARS PER ELECTION. 10 22. APPLICABILITY OF CERTAIN LAWS. THE PROVISIONS OF THIS SECTION 11 INCLUDING, BUT NOT LIMITED TO, ANY PROCEEDING OR HEARING CONDUCTED 12 PURSUANT HERETO, SHALL BE SUBJECT TO THE APPLICABLE PROVISIONS OF THE 13 STATE ADMINISTRATIVE PROCEDURE ACT AND SECTION SEVENTY-THREE OF THE 14 CIVIL RIGHTS LAW. 15 S 6-a. Subdivision 3 of section 74 of the public officers law is 16 amended by adding a new paragraph j to read as follows: 17 J. AN OFFICER OR EMPLOYEE OF A STATE AGENCY OR MEMBER OF THE LEGISLA- 18 TURE SHALL ABIDE BY THE TERMS OF ARTICLE SEVEN OF THIS CHAPTER. 19 S 7. Section 94 of the executive law is REPEALED. 20 S 7-a. Paragraphs (c) and (d) of subdivision 1 of section 73-a of the 21 public officers law, paragraph (c) as added by chapter 813 of the laws 22 of 1987, and subparagraphs (ii) and (iii) of paragraph (c) and paragraph 23 (d) as amended by chapter 242 of the laws of 1989, are amended to read 24 as follows: 25 (c) The term "state officer or employee" shall mean: 26 (i) heads of state departments and their deputies and assistants; 27 (ii) officers and employees of statewide elected officials, officers 28 and employees of state departments, boards, bureaus, divisions, commis- 29 sions, councils or other state agencies, who receive annual compensation 30 in excess of the filing rate established by paragraph (l) of this subdi- 31 vision or who hold policy-making positions, as annually determined by 32 the appointing authority and set forth in a written instrument which 33 shall be filed with the state GOVERNMENT ethics commission established 34 by section [ninety-four of the executive law] SEVENTY-THREE-C OF THIS 35 ARTICLE during the month of February, provided, however, that the 36 appointing authority shall amend such written instrument after such date 37 within thirty days after the undertaking of policy-making responsibil- 38 ities by a new employee or any other employee whose name did not appear 39 on the most recent written instrument; and 40 (iii) members or directors of public authorities, other than multi- 41 state authorities, public benefit corporations and commissions at least 42 one of whose members is appointed by the governor, and employees of such 43 authorities, corporations and commissions who receive annual compen- 44 sation in excess of the filing rate established by paragraph (l) of this 45 subdivision or who hold policy-making positions, as determined annually 46 by the appointing authority and set forth in a written instrument which 47 shall be filed with the state GOVERNMENT ethics commission established 48 by section [ninety-four of the executive law] SEVENTY-THREE-C OF THIS 49 ARTICLE during the month of February, provided, however, that the 50 appointing authority shall amend such written instrument after such date 51 within thirty days after the undertaking of policy-making responsibil- 52 ities by a new employee or any other employee whose name did not appear 53 on the most recent written instrument. 54 (d) The term "legislative employee" shall mean any officer or employee 55 of the legislature who receives annual compensation in excess of the 56 filing rate established by paragraph (l) [below] OF THIS SUBDIVISION or S. 6615--A 34 A. 9715--A 1 who is determined to hold a policy-making position by the appointing 2 authority as set forth in a written instrument which shall be filed with 3 the [legislative] STATE GOVERNMENT ethics [committee established by 4 section eighty of the legislative law] COMMISSION. 5 S 7-b. Subdivision 2 of section 73-a of the public officers law, as 6 added by chapter 813 of the laws of 1987, subparagraphs (v), (vi) and 7 (vii) of paragraph (a) and paragraphs (e) and (g) as amended, and 8 subparagraph (viii) of paragraph (a) and paragraph (j) as added by chap- 9 ter 242 of the laws of 1989, is amended to read as follows: 10 2. (a) Every statewide elected official, state officer or employee, 11 member of the legislature, legislative employee and political party 12 chairman and every candidate for statewide elected office or for member 13 of the legislature shall file an annual statement of financial disclo- 14 sure containing the information and in the form set forth in subdivision 15 three hereof. Such statement shall be filed on or before the fifteenth 16 day of May with respect to the preceding calendar year, except that: 17 (i) a person who is subject to the reporting requirements of this 18 subdivision and who timely filed with the internal revenue service an 19 application for automatic extension of time in which to file his or her 20 individual income tax return for the immediately preceding calendar or 21 fiscal year shall be required to file such financial disclosure state- 22 ment on or before May fifteenth but may, without being subjected to any 23 civil penalty on account of a deficient statement, indicate with respect 24 to any item of the disclosure statement that information with respect 25 thereto is lacking but will be supplied in a supplementary statement of 26 financial disclosure, which shall be filed on or before the seventh day 27 after the expiration of the period of such automatic extension of time 28 within which to file such individual income tax return, provided that 29 failure to file or to timely file such supplementary statement of finan- 30 cial disclosure or the filing of an incomplete or deficient supplementa- 31 ry statement of financial disclosure shall be subject to the notice and 32 penalty provisions of this section respecting annual statements of 33 financial disclosure as if such supplementary statement were an annual 34 statement; 35 (ii) a person who is required to file an annual financial disclosure 36 statement with the state GOVERNMENT ethics commission [or with the 37 legislative ethics committee], and who is granted an additional period 38 of time within which to file such statement due to justifiable cause or 39 undue hardship, in accordance with required rules and regulations on the 40 subject adopted pursuant to paragraph c of subdivision nine of section 41 ninety-four of the executive law or pursuant to [paragraph c of subdivi- 42 sion eight of section eighty of the legislative law] SECTION 43 SEVENTY-THREE-C OF THIS ARTICLE, shall file such statement within the 44 additional period of time granted; 45 (iii) candidates for statewide office who receive a party designation 46 for nomination by a state committee pursuant to section 6-104 of the 47 election law shall file such statement within seven days after the date 48 of the meeting at which they are so designated; 49 (iv) candidates for statewide office who receive twenty-five percent 50 or more of the vote cast at the meeting of the state committee held 51 pursuant to section 6-104 of the election law and who demand to have 52 their names placed on the primary ballot and who do not withdraw within 53 fourteen days after such meeting shall file such statement within seven 54 days after the last day to withdraw their names in accordance with the 55 provisions of such section of the election law; S. 6615--A 35 A. 9715--A 1 (v) candidates for statewide office and candidates for member of the 2 legislature who file party designating petitions for nomination at a 3 primary election shall file such statement within seven days after the 4 last day allowed by law for the filing of party designating petitions 5 naming them as candidates for the next succeeding primary election; 6 (vi) candidates for independent nomination who have not been desig- 7 nated by a party to receive a nomination shall file such statement with- 8 in seven days after the last day allowed by law for the filing of inde- 9 pendent nominating petitions naming them as candidates in the next 10 succeeding general or special election; 11 (vii) candidates who receive the nomination of a party for a special 12 election shall file such statement within seven days after the date of 13 the meeting of the party committee at which they are nominated; and 14 (viii) a candidate substituted for another candidate, who fills a 15 vacancy in a party designation or in an independent nomination, caused 16 by declination, shall file such statement within seven days after the 17 last day allowed by law to file a certificate to fill a vacancy in such 18 party designation or independent nomination. 19 (b) As used in this subdivision, the terms "party", "committee" (when 20 used in conjunction with the term "party"), "designation", "primary", 21 "primary election", "nomination", "independent nomination" and "ballot" 22 shall have the same meanings as those contained in section 1-104 of the 23 election law. 24 (c) [If the reporting individual is a senator or member of assembly, 25 candidate for the senate or member of assembly or a legislative employ- 26 ee, such statement shall be filed with the legislative ethics committee 27 established by section eighty of the legislative law.] If the reporting 28 individual is a statewide elected official, SENATOR OR MEMBER OF THE 29 ASSEMBLY, candidate for statewide elected office, a state officer or 30 employee or a political party chairman, such statement shall be filed 31 with the state GOVERNMENT ethics commission [established by section 32 ninety-four of the executive law]. 33 (d) The [legislative ethics committee and the] state GOVERNMENT ethics 34 commission shall obtain from the state board of elections a list of all 35 candidates for statewide office and for member of the legislature, and 36 from such list, shall determine and publish a list of those candidates 37 who have not, within ten days after the required date for filing such 38 statement, filed the statement required by this subdivision. 39 (e) Any person required to file such statement who commences employ- 40 ment after May fifteenth of any year and political party chairman shall 41 file such statement within thirty days after commencing employment or of 42 taking the position of political party chairman, as the case may be. 43 [(f) A person who may otherwise be required to file more than one 44 annual financial disclosure statement with both the state ethics commis- 45 sion and the legislative ethics committee in any one calendar year may 46 satisfy such requirement by filing one such statement with either body 47 and by notifying the other body of such compliance.] 48 (g) A person who is employed in more than one employment capacity for 49 one or more employers certain of whose officers and employees are 50 subject to filing a financial disclosure statement with the [same] STATE 51 GOVERNMENT ethics commission [or ethics committee, as the case may be], 52 and who receives distinctly separate payments of compensation for such 53 employment shall be subject to the filing requirements of this section 54 if the aggregate annual compensation for all such employment capacities 55 is in excess of the filing rate notwithstanding that such person would 56 not otherwise be required to file with respect to any one particular S. 6615--A 36 A. 9715--A 1 employment capacity. [A person not otherwise required to file a finan- 2 cial disclosure statement hereunder who is employed by an employer 3 certain of whose officers or employees are subject to filing a financial 4 disclosure statement with the state ethics commission and who is also 5 employed by an employer certain of whose officers or employees are 6 subject to filing a financial disclosure statement with the legislative 7 ethics committee shall not be subject to filing such statement with 8 either such commission or such committee on the basis that his aggregate 9 annual compensation from all such employers is in excess of the filing 10 rate.] 11 (h) A statewide elected official or member of the legislature, who is 12 simultaneously a candidate for statewide elected office or member of the 13 legislature, shall satisfy the filing deadline requirements of this 14 subdivision by complying only with the deadline applicable to one who 15 holds a statewide elected office or who holds the office of member of 16 the legislature. 17 (i) A candidate whose name will appear on both a party designating 18 petition and on an independent nominating petition for the same office 19 or who will be listed on the election ballot for the same office more 20 than once shall satisfy the filing deadline requirements of this subdi- 21 vision by complying with the earliest applicable deadline only. 22 (j) A member of the legislature who is elected to such office at a 23 special election prior to May fifteenth in any year shall satisfy the 24 filing requirements of this subdivision in such year by complying with 25 the earliest applicable deadline only. 26 S 7-c. Subdivision 4 of section 73-a of the public officers law, as 27 amended by chapter 242 of the laws of 1989, is amended to read as 28 follows: 29 4. A reporting individual who knowingly and wilfully fails to file an 30 annual statement of financial disclosure or who knowingly and wilfully 31 with intent to deceive makes a false statement or gives information 32 which such individual knows to be false on such statement of financial 33 disclosure filed pursuant to this section shall be subject to a civil 34 penalty in an amount not to exceed [ten] TWENTY-FIVE thousand dollars OR 35 THREE TIMES THE AMOUNT THAT WAS IMPROPERLY REPORTED, CONTRIBUTED OR 36 EXPENDED. Assessment of a civil penalty hereunder shall be made by the 37 state GOVERNMENT ethics commission [or by the legislative ethics commit- 38 tee, as the case may be, with respect to persons subject to their 39 respective jurisdictions]. The state GOVERNMENT ethics commission 40 [acting pursuant to subdivision thirteen of section ninety-four of the 41 executive law or the legislative ethics committee acting pursuant to 42 subdivision twelve of section eighty of the legislative law, as the case 43 may be,] may, in lieu of a civil penalty, refer a violation to the 44 appropriate prosecutor OR TO THE STATE ATTORNEY GENERAL and upon such 45 conviction, but only after such referral, such violation shall be 46 punishable as a class A misdemeanor AND EACH SUBSEQUENT OFFENSE WITHIN 47 FIVE YEARS SHALL BE PUNISHABLE AS A CLASS E FELONY. A civil penalty for 48 false filing may not be imposed hereunder in the event a category of 49 "value" or "amount" reported hereunder is incorrect unless such reported 50 information is falsely understated. Notwithstanding any other provision 51 of law to the contrary, no other penalty, civil or criminal may be 52 imposed for a failure to file, or for a false filing, of such statement, 53 except that the appointing authority may impose disciplinary action as 54 otherwise provided by law. The state ethics commission and the legisla- 55 tive ethics committee shall each be deemed to be an agency within the 56 meaning of article three of the state administrative procedure act and S. 6615--A 37 A. 9715--A 1 shall adopt rules governing the conduct of adjudicatory proceedings and 2 appeals relating to the assessment of the civil penalties herein author- 3 ized. Such rules, which shall not be subject to the approval require- 4 ments of the state administrative procedure act, shall provide for due 5 process procedural mechanisms substantially similar to those set forth 6 in such article three but such mechanisms need not be identical in terms 7 or scope. Assessment of a civil penalty shall be final unless modified, 8 suspended or vacated within thirty days of imposition and upon becoming 9 final shall be subject to review at the instance of the affected report- 10 ing individual in a proceeding commenced against the state GOVERNMENT 11 ethics commission [or legislative ethics committee,] pursuant to article 12 seventy-eight of the civil practice law and rules. 13 S 8. The public officers law is amended by adding a new section 73-e 14 to read as follows: 15 S 73-E. DESIGNATING COMMISSION FOR THE STATE GOVERNMENT ETHICS COMMIS- 16 SION. 1. DEFINITIONS. FOR THE PURPOSE OF THIS ARTICLE, THE FOLLOWING 17 TERMS SHALL HAVE THE FOLLOWING MEANINGS: 18 A. "DESIGNATING COMMISSION" MEANS THE DESIGNATING COMMISSION FOR THE 19 STATE GOVERNMENT ETHICS COMMISSION. 20 B. "DESIGNATING MEMBERS" MEANS THE MEMBERS OF THE DESIGNATING COMMIS- 21 SION FOR THE STATE GOVERNMENT ETHICS COMMISSION. 22 C. "COMMISSIONER" MEANS A MEMBER OF THE STATE GOVERNMENT ETHICS 23 COMMISSION. 24 D. "CANDIDATE" MEANS ANY INDIVIDUAL UNDER CONSIDERATION FOR COMMIS- 25 SIONER BY THE DESIGNATING COMMISSION. 26 E. "APPOINTING OFFICER" MEANS THE STATE ELECTED OFFICIAL RESPONSIBLE 27 FOR APPOINTING THE DESIGNATING MEMBERS. 28 2. ORGANIZATION OF THE DESIGNATING COMMISSION. A. A DESIGNATING 29 COMMISSION FOR THE STATE GOVERNMENT ETHICS COMMISSION IS HEREBY ESTAB- 30 LISHED. THE DESIGNATING COMMISSION SHALL CONSIST OF TEN MEMBERS OF WHOM 31 FOUR SHALL BE APPOINTED BY THE GOVERNOR, AND ONE EACH BY THE ATTORNEY 32 GENERAL, THE STATE COMPTROLLER, THE SPEAKER OF THE ASSEMBLY, THE TEMPO- 33 RARY PRESIDENT OF THE SENATE, THE MINORITY LEADER OF THE SENATE, AND THE 34 MINORITY LEADER OF THE ASSEMBLY. OF THE FOUR MEMBERS APPOINTED BY THE 35 GOVERNOR, NO MORE THAN TWO SHALL BE ENROLLED IN THE SAME POLITICAL 36 PARTY. THE GOVERNOR SHALL APPOINT AT LEAST ONE FORMER JUDGE OR JUSTICE 37 OF THE UNIFIED COURT SYSTEM TO SUCH DESIGNATING COMMISSION. NO MEMBER OF 38 THE DESIGNATING COMMISSION SHALL BE A MEMBER OF THE LEGISLATURE, AN 39 EMPLOYEE OF STATE GOVERNMENT, HOLD ANY OFFICE IN ANY POLITICAL PARTY OR 40 BE A REGISTERED LOBBYIST IN THIS STATE OR IN ANY OTHER STATE. NO MEMBER 41 OF THE DESIGNATING COMMISSION SHALL BE A PARTNER, OF COUNSEL OR OTHER- 42 WISE EMPLOYED BY A LOBBYING FIRM OR ANY ENTITY RECEIVING A STATE 43 CONTRACT THAT SHARES IN ANY PART OF THE PROFIT DERIVED FROM LOBBYING. TO 44 THE EXTENT POSSIBLE, THE MEMBERS OF THE DESIGNATING COMMISSION SHALL BE 45 INDIVIDUALS WITH KNOWLEDGE OR EXPERIENCE IN THE FIELD OF GOVERNMENT 46 ETHICS. 47 B. THE MEMBERS FIRST APPOINTED BY THE GOVERNOR SHALL HAVE RESPECTIVELY 48 ONE, TWO, THREE AND FOUR-YEAR TERMS AS HE SHALL DESIGNATE. THE MEMBER 49 FIRST APPOINTED BY THE ATTORNEY GENERAL SHALL HAVE A TWO-YEAR TERM. THE 50 MEMBER FIRST APPOINTED BY THE STATE COMPTROLLER SHALL HAVE A TWO-YEAR 51 TERM. THE MEMBER FIRST APPOINTED BY THE TEMPORARY PRESIDENT OF THE 52 SENATE SHALL HAVE A ONE-YEAR TERM. THE MEMBER FIRST APPOINTED BY THE 53 MINORITY LEADER OF THE SENATE SHALL HAVE A TWO-YEAR TERM. THE MEMBER 54 FIRST APPOINTED BY THE SPEAKER OF THE ASSEMBLY SHALL HAVE A FOUR-YEAR 55 TERM. THE MEMBER FIRST APPOINTED BY THE MINORITY LEADER OF THE ASSEMBLY S. 6615--A 38 A. 9715--A 1 SHALL HAVE A THREE-YEAR TERM. EACH SUBSEQUENT APPOINTMENT SHALL BE FOR 2 A TERM OF FOUR YEARS. 3 C. A VACANCY SHALL BE DEEMED TO OCCUR IMMEDIATELY UPON THE APPOINTMENT 4 OR ELECTION OF ANY MEMBER TO AN OFFICE THAT WOULD DISQUALIFY HIM FOR 5 APPOINTMENT TO, OR MEMBERSHIP ON, THE DESIGNATING COMMISSION. A VACANCY 6 OCCURRING FOR ANY REASON OTHER THAN BY EXPIRATION OF TERM SHALL BE 7 FILLED BY THE APPOINTING OFFICER FOR THE REMAINDER OF THE UNEXPIRED 8 TERM. NO MEMBER OF THE DESIGNATING COMMISSION SHALL HOLD OFFICE FOR 9 MORE THAN NINETY DAYS AFTER THE EXPIRATION OF HIS OR HER TERM. IF THE 10 APPOINTING OFFICER FAILS TO APPOINT A PERSON TO A VACANT OFFICE, BY A 11 MAJORITY VOTE WITHOUT VACANCY, THE DESIGNATING COMMISSION SHALL SELECT A 12 PERSON TO FILL THE VACANT OFFICE. 13 D. THE MEMBERS SHALL DESIGNATE ONE OF THEIR NUMBER TO SERVE AS CHAIR- 14 MAN FOR A PERIOD OF TWO YEARS OR UNTIL HIS OR HER TERM OF OFFICE 15 EXPIRES, WHICHEVER PERIOD IS SHORTER. 16 E. EACH MEMBER OF THE DESIGNATING COMMISSION SHALL NOT RECEIVE COMPEN- 17 SATION BUT BE ENTITLED TO RECEIVE HIS OR HER ACTUAL AND NECESSARY 18 EXPENSES INCURRED IN THE DISCHARGE OF HIS OR HER DUTIES. 19 F. EIGHT MEMBERS OF THE DESIGNATING COMMISSION SHALL CONSTITUTE A 20 QUORUM. 21 3. FUNCTIONS OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMIS- 22 SION SHALL CONSIDER AND EVALUATE THE QUALIFICATIONS OF CANDIDATES FOR 23 APPOINTMENT TO THE OFFICE OF COMMISSIONER OF STATE GOVERNMENT ETHICS 24 AND, AS A VACANCY OCCURS IN ANY SUCH OFFICE, SHALL APPOINT PERSONS WHO 25 BY THEIR CHARACTER, TEMPERAMENT, PROFESSIONAL APTITUDE AND EXPERIENCE 26 ARE WELL QUALIFIED TO HOLD SUCH OFFICE. THE DESIGNATING COMMISSION 27 SHALL SELECT ONE SUCH PERSON TO SERVE AS CHAIR OF THE STATE GOVERNMENT 28 ETHICS COMMISSION. 29 B. AN APPOINTMENT TO COMMISSIONER OF THE STATE GOVERNMENT ETHICS 30 COMMISSION BY THE DESIGNATING COMMISSION SHALL REQUIRE THE CONCURRENCE 31 OF SEVEN MEMBERS OF THE DESIGNATING COMMISSION. THE APPOINTMENT SHALL BE 32 TRANSMITTED TO THE GOVERNOR, THE ATTORNEY GENERAL, THE STATE COMP- 33 TROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF THE 34 ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE MINORITY LEADER OF 35 THE ASSEMBLY IN A SINGLE WRITTEN REPORT, WHICH SHALL BE RELEASED TO THE 36 PUBLIC BY THE DESIGNATING COMMISSION AT THE TIME IT IS SUBMITTED. THE 37 REPORT SHALL BE IN WRITING, SIGNED ONLY BY THE CHAIRMAN, AND SHALL 38 INCLUDE THE DESIGNATING COMMISSION'S FINDINGS RELATING TO THE CHARACTER, 39 TEMPERAMENT, PROFESSIONAL APTITUDE, EXPERIENCE, QUALIFICATIONS AND 40 FITNESS FOR OFFICE OF EACH CANDIDATE WHO IS APPOINTED COMMISSIONER. 41 C. NO PERSON SHALL BE APPOINTED COMMISSIONER BY THE DESIGNATING 42 COMMISSION WHO HAS NOT CONSENTED TO BE A CANDIDATE, WHO HAS NOT BEEN 43 PERSONALLY INTERVIEWED BY A QUORUM OF THE MEMBERSHIP OF THE DESIGNATING 44 COMMISSION, AND WHO HAS NOT FILED A FINANCIAL STATEMENT WITH THE DESIG- 45 NATING COMMISSION, ON A FORM TO BE PRESCRIBED BY THE DESIGNATING COMMIS- 46 SION. THE FINANCIAL STATEMENT SHALL CONSIST OF A SWORN STATEMENT OF THE 47 PERSON'S ASSETS, LIABILITIES AND SOURCES OF INCOME, AND ANY OTHER RELE- 48 VANT FINANCIAL INFORMATION WHICH THE DESIGNATING COMMISSION MAY REQUIRE. 49 THE DESIGNATING COMMISSION SHALL TRANSMIT THE FINANCIAL STATEMENT FILED 50 BY EACH PERSON WHO IS APPOINTED TO THE GOVERNOR, THE ATTORNEY GENERAL, 51 THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAK- 52 ER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE MINORITY 53 LEADER OF THE ASSEMBLY. THE DESIGNATING COMMISSION SHALL MAKE AVAILABLE 54 TO THE PUBLIC THE FINANCIAL STATEMENT FILED BY THE PERSON WHO IS 55 APPOINTED TO FILL A VACANCY. THE FINANCIAL STATEMENTS FILED BY ALL OTHER S. 6615--A 39 A. 9715--A 1 PERSONS NOT APPOINTED BY THE DESIGNATING COMMISSION SHALL BE CONFIDEN- 2 TIAL. 3 4. ADDITIONAL FUNCTIONS OF THE DESIGNATING COMMISSION. THE DESIGNATING 4 COMMISSION SHALL HAVE THE FOLLOWING FUNCTIONS, POWERS AND DUTIES: 5 A. ESTABLISH DETAILED COMMUNICATION PROCEDURES TO ASSURE THAT PERSONS 6 WHO MAY BE QUALIFIED FOR APPOINTMENT TO COMMISSIONER, OTHER THAN THOSE 7 WHO HAVE REQUESTED CONSIDERATION OR WHO HAVE BEEN RECOMMENDED FOR 8 CONSIDERATION BY OTHERS, ARE ENCOURAGED TO AGREE TO BE CONSIDERED BY THE 9 DESIGNATING COMMISSION. THE TOTAL NUMBER OF REQUESTS FOR CONSIDERATION 10 SHALL BE DOCUMENTED FOR THE PUBLIC RECORD. 11 B. CONDUCT INVESTIGATIONS, ADMINISTER OATHS OR AFFIRMATIONS, INTERVIEW 12 WITNESSES AND COMPEL THEIR ATTENDANCE, EXAMINE THEM UNDER OATH OR AFFIR- 13 MATION AND REQUIRE THE PRODUCTION OF ANY BOOKS, RECORDS, DOCUMENTS OR 14 OTHER EVIDENCE THAT IT MAY DEEM RELEVANT OR MATERIAL TO ITS EVALUATION 15 OF CANDIDATES FOR COMMISSIONER. 16 C. REQUIRE FROM ANY COURT, DEPARTMENT, DIVISION, BOARD, BUREAU, 17 COMMISSION, OR OTHER AGENCY OF THE STATE OR POLITICAL SUBDIVISION THERE- 18 OF OR ANY PUBLIC AUTHORITY SUCH ASSISTANCE, INFORMATION AND DATA, AS 19 WILL ENABLE IT PROPERLY TO EVALUATE THE QUALIFICATIONS OF CANDIDATES, 20 SUBJECT TO ANY ABSOLUTE JUDICIAL OR EXECUTIVE PRIVILEGE, WHERE ONE 21 EXISTS. 22 NOTWITHSTANDING ANY OTHER PROVISION OF LAW, THE DESIGNATING COMMIS- 23 SION, WITH THE CONSENT OF THE APPLICANT, SHALL BE ENTITLED TO REQUIRE 24 FROM ANY FORMAL DELIBERATIVE BODY ANY FORMAL WRITTEN COMPLAINT AGAINST A 25 CANDIDATE, IN WHICH THE APPLICANT'S MISCONDUCT WAS ESTABLISHED, ANY 26 PENDING COMPLAINT AGAINST A CANDIDATE, AND THE RECORD TO DATE OF ANY 27 PENDING PROCEEDING PURSUANT TO A FORMAL WRITTEN COMPLAINT AGAINST SUCH 28 CANDIDATE. THE DELIBERATIVE BODY THAT HAS JURISDICTION OVER SUCH 29 COMPLAINT SHALL HAVE FIFTEEN DAYS WITHIN WHICH TO RESPOND TO A REQUEST 30 MADE PURSUANT TO THIS SUBDIVISION. 31 D. REQUIRE THE APPEARANCE OF ANY CANDIDATE BEFORE IT AND INTERVIEW ANY 32 PERSON CONCERNING THE QUALIFICATIONS OF ANY CANDIDATE. 33 E. ESTABLISH PROCEDURES TO COMMUNICATE WITH THE GOVERNOR, THE ATTORNEY 34 GENERAL, THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, 35 THE SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE 36 MINORITY LEADER OF THE ASSEMBLY CONCERNING THE QUALIFICATIONS OF ANY 37 PERSON WHO IT HAS APPOINTED AS COMMISSIONER. 38 F. APPOINT, AND AT PLEASURE REMOVE, A COUNSEL AND SUCH OTHER STAFF AS 39 IT MAY REQUIRE FROM TIME TO TIME, AND PRESCRIBE THEIR POWERS AND DUTIES. 40 THE DESIGNATING COMMISSION SHALL FIX THE COMPENSATION OF ITS STAFF AND 41 PROVIDE FOR REIMBURSEMENT OF THEIR EXPENSES WITHIN THE AMOUNTS APPROPRI- 42 ATED BY LAW. 43 G. DO ALL OTHER THINGS NECESSARY AND CONVENIENT TO CARRY OUT ITS FUNC- 44 TIONS PURSUANT TO THIS ARTICLE. 45 5. RULES OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMISSION 46 SHALL ADOPT, AND MAY AMEND, WRITTEN RULES OF PROCEDURE NOT INCONSISTENT 47 WITH LAW. 48 B. RULES OF THE DESIGNATING COMMISSION SHALL BE FILED WITH THE SECRE- 49 TARY OF STATE AND SHALL BE PUBLISHED IN THE OFFICIAL COMPILATION OF 50 CODES, RULES AND REGULATIONS OF THE STATE. UPON REQUEST OF ANY PERSON, 51 THE SECRETARY OF STATE SHALL FURNISH A COPY OF THE DESIGNATING COMMIS- 52 SION'S RULES WITHOUT CHARGE. 53 C. RULES OF THE DESIGNATING COMMISSION MAY PRESCRIBE FORMS AND QUES- 54 TIONNAIRES TO BE COMPLETED AND, IF REQUIRED BY THE DESIGNATING COMMIS- 55 SION, VERIFIED BY CANDIDATES. S. 6615--A 40 A. 9715--A 1 D. RULES OF THE DESIGNATING COMMISSION SHALL PROVIDE THAT UPON THE 2 COMPLETION BY THE DESIGNATING COMMISSION OF ITS CONSIDERATION AND EVALU- 3 ATION OF THE QUALIFICATIONS OF A CANDIDATE, THERE SHALL BE NO RECONSID- 4 ERATION OF SUCH CANDIDATE FOR THE VACANCY FOR WHICH HE WAS CONSIDERED, 5 EXCEPT WITH THE CONCURRENCE OF EIGHT MEMBERS OF THE DESIGNATING COMMIS- 6 SION. 7 6. CONFIDENTIALITY OF PROCEEDINGS AND RECORDS. A. ALL COMMUNICATIONS 8 TO THE DESIGNATING COMMISSION, AND ITS PROCEEDINGS, AND ALL APPLICA- 9 TIONS, CORRESPONDENCE, INTERVIEWS, TRANSCRIPTS, REPORTS AND ALL OTHER 10 PAPERS, FILES AND RECORDS OF THE DESIGNATING COMMISSION SHALL BE CONFI- 11 DENTIAL AND PRIVILEGED AND, EXCEPT FOR THE PURPOSES OF ARTICLE TWO 12 HUNDRED TEN OF THE PENAL LAW, SHALL NOT BE MADE AVAILABLE TO ANY PERSON 13 EXCEPT AS OTHERWISE PROVIDED IN THIS ARTICLE. 14 B. NEITHER THE COMMISSIONERS OF THE STATE GOVERNMENT ETHICS COMMIS- 15 SION, MEMBERS OF THE DESIGNATING COMMISSION NOR ITS STAFF SHALL PUBLICLY 16 DIVULGE THE NAMES OF, OR ANY INFORMATION CONCERNING, ANY CANDIDATE 17 EXCEPT AS OTHERWISE PROVIDED IN THIS ARTICLE. ANY VIOLATION OF THIS 18 SUBDIVISION SHALL BE A CLASS A MISDEMEANOR. 19 7. PROCEDURES WHEN VACANCIES OCCUR. A. WHENEVER A VACANCY WILL OCCUR 20 IN THE OFFICE OF COMMISSIONER OF STATE GOVERNMENT ETHICS BY EXPIRATION 21 OF A TERM, THE COMMISSIONERS OF STATE GOVERNMENT ETHICS SHALL NOTIFY THE 22 DESIGNATING COMMISSION OF THE ANTICIPATED VACANCY NO LATER THAN SEVEN 23 MONTHS PRECEDING THE VACANCY. THE DESIGNATING COMMISSION SHALL MAKE ITS 24 APPOINTMENT TO THE STATE GOVERNMENT ETHICS COMMISSION ON OR BEFORE THE 25 DATE OF EXPIRATION, TO TAKE EFFECT ON THE DAY FOLLOWING SUCH EXPIRATION. 26 B. WHENEVER A VACANCY OCCURS OTHER THAN BY EXPIRATION OF TERM, THE 27 COMMISSIONERS OF STATE GOVERNMENT ETHICS SHALL IMMEDIATELY NOTIFY THE 28 DESIGNATING COMMISSION OF SUCH VACANCY. THE DESIGNATING COMMISSION SHALL 29 MAKE ITS APPOINTMENT NO LATER THAN ONE HUNDRED TWENTY DAYS AFTER RECEIPT 30 OF SUCH NOTICE. 31 S 9. Paragraph (a) of subdivision 1 of section 73 of the public offi- 32 cers law, as amended by chapter 813 of the laws of 1987, is amended to 33 read as follows: 34 (a) The term "compensation" shall mean any money, thing of value or 35 financial benefit conferred in return for services rendered or to be 36 rendered. With regard to matters undertaken by a firm, corporation or 37 association, compensation shall mean net revenues, as defined in accord- 38 ance with generally accepted accounting principles as defined by the 39 state GOVERNMENT ethics commission [or legislative ethics committee in 40 relation to persons subject to their respective jurisdictions]. 41 S 10. Paragraphs (b) and (c) of subdivision 5 of section 73 of the 42 public officers law, as added by chapter 14 of the laws of 2007, are 43 amended to read as follows: 44 (b) solicit, accept or receive any gift[, as defined in section one-c 45 of the legislative law,] from any person who is prohibited from deliver- 46 ing such gift pursuant to SUBDIVISION FIVE-A OF THIS section [one-m of 47 the legislative law] unless under the circumstances it is not reasonable 48 to infer that the gift was intended to influence him OR HER; or 49 (c) permit the solicitation, acceptance, or receipt of any gift[, as 50 defined in section one-c of the legislative law,] from any person who is 51 prohibited from delivering such gift pursuant to SUBDIVISION FIVE-A OF 52 THIS section [one-m of the legislative law] to a third party including a 53 charitable organization, on such official's designation or recommenda- 54 tion or on his or her behalf, under circumstances where it is reasonable 55 to infer that the gift was intended to influence him OR HER. S. 6615--A 41 A. 9715--A 1 S 11. Subdivision 5-a of section 73 of the public officers law is 2 renumbered subdivision 5-b and a new subdivision 5-a is added to read as 3 follows: 4 5-A. PROHIBITION OF GIFTS. NO INDIVIDUAL OR ENTITY REQUIRED TO BE 5 LISTED ON A STATEMENT OF REGISTRATION PURSUANT TO SECTION 6 SEVENTY-THREE-C OF THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO ANY STATE- 7 WIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE, INDIVIDUAL WHOSE NAME 8 HAS BEEN SUBMITTED TO THE SENATE FOR CONFIRMATION TO BECOME A STATE 9 OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, 10 UNLESS UNDER THE CIRCUMSTANCES IT IS NOT REASONABLE TO INFER THAT THE 11 GIFT WAS INTENDED TO INFLUENCE HIM OR HER. NO INDIVIDUAL OR ENTITY 12 REQUIRED TO BE LISTED ON A STATEMENT OF REGISTRATION PURSUANT TO SECTION 13 SEVENTY-THREE-C OF THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO THE SPOUSE 14 OR UNEMANCIPATED CHILD OF ANY STATEWIDE ELECTED OFFICIAL, STATE OFFICER 15 OR EMPLOYEE, INDIVIDUAL WHOSE NAME HAS BEEN SUBMITTED TO THE SENATE FOR 16 CONFIRMATION TO BECOME A STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGIS- 17 LATURE OR LEGISLATIVE EMPLOYEE UNDER CIRCUMSTANCES WHERE IT IS REASON- 18 ABLE TO INFER THAT THE GIFT WAS INTENDED TO INFLUENCE HIM OR HER. NO 19 SPOUSE OR UNEMANCIPATED CHILD OF AN INDIVIDUAL REQUIRED TO BE LISTED ON 20 A STATEMENT OF REGISTRATION PURSUANT TO SECTION SEVENTY-THREE-C OF THIS 21 ARTICLE SHALL OFFER OR GIVE A GIFT TO A STATEWIDE ELECTED OFFICIAL, 22 STATE OFFICER OR EMPLOYEE, INDIVIDUAL WHOSE NAME HAS BEEN SUBMITTED TO 23 THE SENATE FOR CONFIRMATION TO BECOME A STATE OFFICER OR EMPLOYEE, 24 MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE UNDER CIRCUMSTANCES 25 WHERE IT IS REASONABLE TO INFER THAT THE GIFT WAS INTENDED TO INFLUENCE 26 HIM OR HER. THIS SUBDIVISION SHALL NOT APPLY TO GIFTS TO OFFICERS, 27 MEMBERS OR DIRECTORS OF BOARDS, COMMISSIONS, COUNCILS, PUBLIC AUTHORI- 28 TIES OR PUBLIC BENEFIT CORPORATIONS WHO RECEIVE NO COMPENSATION OR ARE 29 COMPENSATED ON A PER DIEM BASIS, UNLESS THE PERSON LISTED ON THE STATE- 30 MENT OF REGISTRATION APPEARS OR HAS MATTERS PENDING BEFORE THE BOARD, 31 COMMISSION OR COUNCIL ON WHICH THE RECIPIENT SITS. 32 S 12. Paragraph (a) of subdivision 6 of section 73 of the public offi- 33 cers law, as amended by chapter 813 of the laws of 1987, is amended to 34 read as follows: 35 (a) Every legislative employee not subject to the provisions of 36 section seventy-three-a of this chapter shall, on and after December 37 fifteenth and before the following January fifteenth, in each year, file 38 [with the legislative ethics committee established by section eighty of 39 the legislative law] a financial disclosure statement of 40 (1) each financial interest, direct or indirect of himself, his 41 spouse, DOMESTIC PARTNER, and his unemancipated children under the age 42 of eighteen years in any activity which is subject to the jurisdiction 43 of a regulatory agency or name of the entity in which the interest is 44 had and whether such interest is over or under five thousand dollars in 45 value. 46 (2) every office and directorship held by him in any corporation, firm 47 or enterprise which is subject to the jurisdiction of a regulatory agen- 48 cy, including the name of such corporation, firm or enterprise. 49 (3) any other interest or relationship which he determines in his 50 discretion might reasonably be expected to be particularly affected by 51 legislative action or in the public interest should be disclosed. 52 S 13. Paragraph (c) of subdivision 6 of section 73 of the public offi- 53 cers law, as amended by chapter 813 of the laws of 1987, is amended to 54 read as follows: 55 (c) Any such legislative employee who knowingly and wilfully with 56 intent to deceive makes a false statement or gives information which he S. 6615--A 42 A. 9715--A 1 knows to be false in any written statement required to be filed pursuant 2 to this subdivision, shall be assessed a civil penalty in an amount not 3 to exceed [ten] TWENTY-FIVE thousand dollars. Assessment of a civil 4 penalty shall be made by the [legislative ethics committee in accordance 5 with the provisions of subdivision twelve of section eighty of the 6 legislative law] STATE GOVERNMENT ETHICS COMMISSION. For a violation of 7 this subdivision, the [committee] COMMISSION may, in lieu of a civil 8 penalty, refer a violation to the ATTORNEY GENERAL OR appropriate prose- 9 cutor and upon conviction, but only after such referral, such violation 10 shall be punishable as a class A misdemeanor. 11 S 14. Paragraph (h) of subdivision 8 of section 73 of the public offi- 12 cers law, as added by chapter 514 of the laws of 2002, is amended to 13 read as follows: 14 (h) Notwithstanding the provisions of subparagraphs (i) and (ii) of 15 paragraph (a) of this subdivision, a former state officer or employee 16 may contract individually, or as a member or employee of a firm, corpo- 17 ration or association, to render services to any state agency when the 18 agency head certifies in writing to the state GOVERNMENT ethics commis- 19 sion that the services of such former officer or employee are required 20 in connection with the agency's response to a disaster emergency 21 declared by the governor pursuant to section twenty-eight of the execu- 22 tive law. 23 S 15. The opening paragraph of subdivision 8-a of section 73 of the 24 public officers law, as amended by chapter 357 of the laws of 2001, is 25 amended to read as follows: 26 The provisions of subparagraphs (i) and (ii) of paragraph (a) of 27 subdivision eight of this section shall not apply to any such former 28 state officer or employee engaged in any of the specific permitted 29 activities defined in this subdivision that are related to any civil 30 action or proceeding in any state or federal court, provided that the 31 attorney general has certified in writing to the state GOVERNMENT ethics 32 commission, with a copy to such former state officer or employee, that 33 the services are rendered on behalf of the state, a state agency, state 34 officer or employee, or other person or entity represented by the attor- 35 ney general, and that such former state officer or employee has exper- 36 tise, knowledge or experience which is unique or outstanding in a field 37 or in a particular matter or which would otherwise be generally unavail- 38 able at a comparable cost to the state, a state agency, state officer or 39 employee, or other person or entity represented by the attorney general 40 in such civil action or proceeding. In those instances where a state 41 agency is not represented by the attorney general in a civil action or 42 proceeding in state or federal court, a former state officer or employee 43 may engage in permitted activities provided that the general counsel of 44 the state agency, after consultation with the state GOVERNMENT ethics 45 commission, provides to the state GOVERNMENT ethics commission a written 46 certification which meets the requirements of this subdivision. For 47 purposes of this subdivision the term "permitted activities" shall mean 48 generally any activity performed at the request of the attorney general 49 or the attorney general's designee, or in cases where the state agency 50 is not represented by the attorney general, the general counsel of such 51 state agency, including without limitation: 52 S 16. Subdivision 8-b of section 73 of the public officers law, as 53 added by chapter 523 of the laws of 2004, is amended to read as follows: 54 8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of 55 paragraph (a) of subdivision eight of this section, a former state offi- 56 cer or employee may contract individually, or as a member or employee of S. 6615--A 43 A. 9715--A 1 a firm, corporation or association, to render services to any state 2 agency if, prior to engaging in such service, the agency head certifies 3 in writing to the state GOVERNMENT ethics commission that such former 4 officer or employee has expertise, knowledge or experience with respect 5 to a particular matter which meets the needs of the agency and is other- 6 wise unavailable at a comparable cost. Where approval of the contract is 7 required under section one hundred twelve of the state finance law, the 8 comptroller shall review and consider the reasons for such certif- 9 ication. The state GOVERNMENT ethics commission must review and approve 10 all certifications made pursuant to this subdivision. 11 S 17. Subdivision 10 of section 73 of the public officers law, as 12 amended by chapter 813 of the laws of 1987, is amended to read as 13 follows: 14 10. Nothing contained in this section, the judiciary law, the educa- 15 tion law or any other law or disciplinary rule shall be construed or 16 applied to prohibit any firm, association or corporation, in which any 17 present or former statewide elected official, state officer or employee, 18 or political party chairman, member of the legislature or legislative 19 employee is a member, associate, retired member, of counsel or share- 20 holder, from appearing, practicing, communicating or otherwise rendering 21 services in relation to any matter before, or transacting business with 22 a state agency, or a city agency with respect to a political party 23 chairman in a county wholly included in a city with a population of more 24 than one million, otherwise proscribed by this section, the judiciary 25 law, the education law or any other law or disciplinary rule with 26 respect to such official, member of the legislature or officer or 27 employee, or political party chairman, where such statewide elected 28 official, state officer or employee, member of the legislature or legis- 29 lative employee, or political party chairman does not share in the net 30 revenues, as defined in accordance with generally accepted accounting 31 principles by the state GOVERNMENT ethics commission [or by the legisla- 32 tive ethics committee in relation to persons subject to their respective 33 jurisdictions], resulting therefrom, or, acting in good faith, reason- 34 ably believed that he or she would not share in the net revenues as so 35 defined; nor shall anything contained in this section, the judiciary 36 law, the education law or any other law or disciplinary rule be 37 construed to prohibit any firm, association or corporation in which any 38 present or former statewide elected official, member of the legislature, 39 legislative employee, full-time salaried state officer or employee or 40 state officer or employee who is subject to the provisions of section 41 seventy-three-a of this [chapter] ARTICLE is a member, associate, 42 retired member, of counsel or shareholder, from appearing, practicing, 43 communicating or otherwise rendering services in relation to any matter 44 before, or transacting business with, the court of claims, where such 45 statewide elected official, member of the legislature, legislative 46 employee, full-time salaried state officer or employee or state officer 47 or employee who is subject to the provisions of section seventy-three-a 48 of this [chapter] ARTICLE does not share in the net revenues, as defined 49 in accordance with generally accepted accounting principles by the state 50 GOVERNMENT ethics commission [or by the legislative ethics committee in 51 relation to persons subject to their respective jurisdictions], result- 52 ing therefrom, or, acting in good faith, reasonably believed that he or 53 she would not share in the net revenues as so defined. 54 S 18. The opening paragraph and the closing paragraph of subdivision 1 55 of section 107 of the public officers law, are designated paragraphs a 56 and b and a new paragraph c is added to read as follows: S. 6615--A 44 A. 9715--A 1 C. THE STATE GOVERNMENT ETHICS COMMISSION SHALL ALSO HAVE JURISDICTION 2 TO RECEIVE COMPLAINTS BY ANY AGGRIEVED PERSON AGAINST A STATE PUBLIC 3 BODY AS DEFINED IN SECTION ONE HUNDRED TWO OF THIS ARTICLE. 4 S 19. Subparagraphs (iii) and (iv) of paragraph (i) of subdivision 1 5 of section 73 of the public officers law, as amended by chapter 242 of 6 the laws of 1989, are amended and a new subparagraph (v) is added to 7 read as follows: 8 (iii) officers and employees of state departments, boards, bureaus, 9 divisions, commissions, councils or other state agencies other than 10 officers of such boards, commissions or councils who receive no compen- 11 sation or are compensated on a per diem basis; [and] 12 (iv) members or directors of public authorities, other than multi- 13 state authorities, public benefit corporations and commissions at least 14 one of whose members is appointed by the governor, who receive compen- 15 sation other than on a per diem basis, and employees of such authori- 16 ties, corporations and commissions[.]; AND 17 (V) MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF THE LEGISLATURE. 18 S 20. Subdivision 2 of section 73 of the public officers law, as 19 amended by chapter 813 of the laws of 1987, is amended to read as 20 follows: 21 2. (A) NO STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE, 22 MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR STATE 23 PUBLIC OFFICE SHALL RECEIVE, OR ENTER INTO ANY AGREEMENT EXPRESS OR 24 IMPLIED FOR, COMPENSATION FOR SERVICES TO BE RENDERED IN RELATION TO ANY 25 CASE, PROCEEDING, APPLICATION, STATE GOVERNMENTAL PROCUREMENT ARTICLE OR 26 PROCUREMENT OR OTHER MATTER BEFORE ANY STATE AGENCY. 27 (B) In addition to the prohibitions contained in subdivision seven 28 hereof, no statewide elected official, state officer or employee, member 29 of the legislature or legislative employee shall receive, or enter into 30 any agreement express or implied for, compensation for services to be 31 rendered in relation to any case, proceeding, application, ARTICLE OF 32 PROCUREMENT or other matter before any state agency, whereby his compen- 33 sation is to be dependent or contingent upon any action by such agency 34 with respect to any license, contract, certificate, ruling, decision, 35 opinion, rate schedule, franchise, or other benefit; provided, however, 36 that nothing in this subdivision shall be deemed to prohibit the fixing 37 at any time of fees based upon the reasonable value of the services 38 rendered. 39 S 21. Paragraph (a) of subdivision 5 of section 73 of the public offi- 40 cers law, as amended by chapter 14 of the laws of 2007, is amended to 41 read as follows: 42 (a) solicit, accept or receive any gift having [more than a nominal 43 value] A VALUE OF GREATER THAN TEN DOLLARS, whether in the form of 44 money, service, loan, travel, lodging, meals, refreshments, enter- 45 tainment, discount, forbearance or promise, or in any other form, under 46 circumstances in which it could reasonably be inferred that the gift was 47 intended to influence him, or could reasonably be expected to influence 48 him, in the performance of his official duties or was intended as a 49 reward for any official action on his part. No person shall, directly or 50 indirectly, offer or make any such gift to a statewide elected official, 51 or any state officer or employee, member of the legislature or legisla- 52 tive employee under such circumstances. 53 S 22. Subparagraphs (v) and (vi) of paragraph (a) of subdivision 7 of 54 section 73 of the public officers law, as amended by chapter 530 of the 55 laws of 2004, are amended and a new subparagraph (vii) is added to read 56 as follows: S. 6615--A 45 A. 9715--A 1 (v) licensing; [or] 2 (vi) any proceeding relating to a franchise provided for in the public 3 service law[.]; OR 4 (VII) A REFERRAL BY A REGISTERED LOBBYIST TO SUCH STATE OFFICER FOR 5 THE REPRESENTATION OF AN INDIVIDUAL, BUSINESS, OR ENTITY FOR ANY COMPEN- 6 SATION. 7 S 23. Section 73 of the public officers law is amended by adding two 8 new subdivisions 8-c and 9-a to read as follows: 9 8-C. NO STATEWIDE ELECTED OFFICIAL, OR STATE OFFICER OR EMPLOYEE, OR 10 MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR POLITICAL PARTY 11 CHAIRMAN THAT IS LICENSED TO PRACTICE LAW SHALL RECEIVE, DIRECTLY OR 12 INDIRECTLY, OR ENTER INTO ANY AGREEMENT EXPRESS OR IMPLIED FOR, ANY 13 COMPENSATION WITH A CLIENT, IN WHATEVER FORM, THAT IS ORIGINALLY A 14 REFERRAL BY A LOBBYIST REGISTERED IN THE STATE, UNLESS SUCH REFERRAL IS 15 PUBLICLY DISCLOSED ON A FINANCIAL DISCLOSURE FORM. 16 9-A. NO STATEWIDE ELECTED OFFICIAL, STATE OFFICER, MEMBER OF THE 17 LEGISLATURE OR LEGISLATIVE EMPLOYEE, SHALL BE ELIGIBLE TO SERVE AS A 18 TREASURER OF ANY CAMPAIGN COMMITTEE SUPPORTING A CANDIDATE FOR ANY STATE 19 OFFICE. 20 S 24. Section 73 of the public officers law is amended by adding two 21 new subdivisions 14-a and 14-b to read as follows: 22 14-A. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION FOURTEEN OF THIS 23 SECTION, NO MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, AS 24 DEFINED BY PARAGRAPH (D) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE-A 25 OF THIS ARTICLE, SHALL PARTICIPATE IN ANY DECISION TO HIRE, PROMOTE, 26 PROCESS EMPLOYMENT PAPERWORK FOR OR HAVE KNOWLEDGE OF THE PROSPECTIVE 27 EMPLOYMENT OR CHANGE OF EMPLOYMENT STATUS OF ANY RELATIVE FOR ANY 28 COMPENSATED POSITION AT, FOR OR WITHIN THE SAME LEGISLATIVE CHAMBER 29 WHICH EMPLOYS SUCH MEMBER OR LEGISLATIVE EMPLOYEE. THE PROVISIONS OF 30 THIS SUBDIVISION SHALL NOT APPLY TO PERSONS TO WHICH PARAGRAPH (B) OF 31 SUBDIVISION FOURTEEN OF THIS SECTION APPLIES. 32 14-B. IN ADDITION TO THE INFORMATION INCLUDED IN THE ANNUAL FINANCIAL 33 STATEMENT OF FINANCIAL DISCLOSURE PROVIDED FOR IN SECTION 34 SEVENTY-THREE-A OF THIS ARTICLE, EVERY MEMBER OF THE LEGISLATURE AND 35 LEGISLATIVE EMPLOYEE SHALL DISCLOSE THE NAMES OF ALL RELATIVES WHO ARE 36 EMPLOYED BY THE LEGISLATURE AND THE DEGREE OF THEIR RELATIONSHIP. 37 S 25. Subdivision 18 of section 73 of the public officers law, as 38 amended by chapter 14 of the laws of 2007, is amended to read as 39 follows: 40 18. In addition to any penalty contained in any other provision of 41 law, any person who knowingly and intentionally violates the provisions 42 of subdivisions two through five, seven, eight, twelve or fourteen 43 through seventeen of this section shall be subject to a civil penalty in 44 an amount not to exceed forty thousand dollars and the value of any 45 gift, compensation or benefit received in connection with such 46 violation. Assessment of a civil penalty hereunder shall be made by the 47 state oversight body with jurisdiction over such person. A state over- 48 sight body acting pursuant to its jurisdiction, may, in lieu of a civil 49 penalty, with respect to a violation of subdivisions two through five, 50 seven or eight of this section, refer a violation of any such subdivi- 51 sion to the appropriate prosecutor OR TO THE STATE ATTORNEY GENERAL and 52 upon such conviction such violation shall be punishable as a class A 53 misdemeanor. 54 S 26. Subdivision 1 of section 73-a of the public officers law is 55 amended by adding a new paragraph (e-1) to read as follows: S. 6615--A 46 A. 9715--A 1 (E-1) THE TERM "DOMESTIC PARTNER" SHALL MEAN AN INDIVIDUAL LIVING IN 2 THE SAME HOUSEHOLD AND SHARING FINANCIAL INTERDEPENDENCE WITH THE 3 REPORTING INDIVIDUAL. 4 S 27. Paragraph (f) of subdivision 1 of section 73-a of the public 5 officers law, as added by chapter 813 of the laws of 1987, is amended to 6 read as follows: 7 (f) The term "relative" shall mean such individual's spouse, DOMESTIC 8 PARTNER, child, stepchild, stepparent, or any person who is a direct 9 descendant of the grandparents of the reporting individual or of the 10 reporting individual's spouse. 11 S 28. Subdivision 3 of section 73-a of the public officers law, as 12 added by chapter 813 of the laws of 1987, paragraphs 4, 6, 9, 11, 13, 13 14, 15, 16, 17, 18, and 19, subparagraph (a) of paragraph 5, and subpar- 14 agraph (b) of paragraph 12 as amended and the fourth and fifth undesig- 15 nated paragraphs of paragraph 3 as added by chapter 242 of the laws of 16 1989, is amended to read as follows: 17 3. The annual statement of financial disclosure shall contain the 18 information and shall be in the form set forth hereinbelow: 19 ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________) 20 1. Name ______________________________________________________________ 21 2. (a) Title of Position _____________________________________________ 22 (b) Department, Agency or other Governmental Entity _______________ 23 (c) Address of Present Office _____________________________________ 24 (d) Office Telephone Number _______________________________________ 25 3. (a) Marital Status ______________. If married OR IN A DOMESTIC 26 PARTNERSHIP, please give spouse's OR DOMESTIC PARTNER'S full 27 name including maiden name where applicable. 28 _____________________________________________________________ . 29 (b) List the names of all unemancipated children. 30 ____________________________________________________________________ 31 ____________________________________________________________________ 32 ____________________________________________________________________ 33 ____________________________________________________________________ 34 ____________________________________________________________________ 35 Answer each of the following questions completely, with respect to 36 calendar year _________, unless another period or date is otherwise 37 specified. If additional space is needed, attach additional pages. 38 Whenever a "value" or "amount" is required to be reported herein, such 39 value or amount shall be reported as being within one of the following 40 Categories: Category A - under $5,000; Category B - $5,000 to under 41 $20,000; Category C - $20,000 to under $60,000; Category D - $60,000 to 42 under $100,000; Category E - $100,000 to under $250,000; [and] Category 43 F - $250,000 TO UNDER $1,000,000; AND CATEGORY G - $1,000,000 or over. A 44 reporting individual shall indicate the Category by letter only. 45 Whenever "income" is required to be reported herein, the term "income" 46 shall mean the aggregate net income before taxes from the source identi- 47 fied. 48 The term "calendar year" shall mean the year ending the December 31st 49 preceding the date of filing of the annual statement. S. 6615--A 47 A. 9715--A 1 4. (a) List any office, trusteeship, directorship, partnership, or 2 position of any nature, whether compensated or not, held by the 3 reporting individual with any firm, corporation, association, part- 4 nership, or other organization other than the State of New York. 5 Include compensated honorary positions; do NOT list membership or 6 uncompensated honorary positions. If the listed entity was licensed 7 by any state or local agency, was regulated by any state regulatory 8 agency or local agency, or, as a regular and significant part of the 9 business or activity of said entity, did business with, or had 10 matters other than ministerial matters before, any state or local 11 agency, list the name of any such agency. 12 State or 13 Position Organization Local Agency 14 ____________________________________________________________________ 15 ____________________________________________________________________ 16 ____________________________________________________________________ 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 (b) List any office, trusteeship, directorship, partnership, or position 20 of any nature, whether compensated or not, held by the spouse, 21 DOMESTIC PARTNER, or unemancipated child of the reporting individ- 22 ual, with any firm, corporation, association, partnership, or other 23 organization other than the State of New York. Include compensated 24 honorary positions; do NOT list membership or uncompensated honorary 25 positions. If the listed entity was licensed by any state or local 26 agency, was regulated by any state regulatory agency or local agen- 27 cy, or, as a regular and significant part of the business or activ- 28 ity of said entity, did business with, or had matters other than 29 ministerial matters before, any state or local agency, list the name 30 of any such agency. 31 State or 32 Position Organization Local Agency 33 ____________________________________________________________________ 34 ____________________________________________________________________ 35 ____________________________________________________________________ 36 ____________________________________________________________________ 37 ____________________________________________________________________ 38 5. (a) List the name, address and description of any [occupation,] 39 employment (other than the employment listed under Item 2 above), 40 trade, business [or], profession OR OCCUPATION engaged in by the 41 reporting individual. If such activity was licensed by any state or 42 local agency[,] OR was regulated by any state regulatory agency or 43 local agency, [or, as a regular and significant part of the business 44 or activity of said entity, did business with, or had matters other 45 than ministerial matters before, any state or local agency,] list 46 the name of any such agency. 47 State or 48 Name & Address Local 49 Position of Organization Description Agency S. 6615--A 48 A. 9715--A 1 ____________________________________________________________________ 2 ____________________________________________________________________ 3 ____________________________________________________________________ 4 ____________________________________________________________________ 5 ____________________________________________________________________ 6 (b) IF THE REPORTING INDIVIDUAL DID BUSINESS WITH OR HAD MATTERS OTHER 7 THAN MINISTERIAL MATTERS BEFORE ANY STATE OR LOCAL AGENCY IN THE 8 COURSE OF ANY EMPLOYMENT, TRADE, BUSINESS, PROFESSION OR OCCUPATION 9 ENGAGED IN BY THE REPORTING INDIVIDUAL, LIST THE NAME AND ADDRESS OF 10 THE ENTITY, A BRIEF DESCRIPTION OF THE ACTIVITY AND THE NAME OF ANY 11 SUCH AGENCY. 12 STATE OR 13 NAME & ADDRESS LOCAL 14 OF ORGANIZATION DESCRIPTION AGENCY 15 ____________________________________________________________________ 16 ____________________________________________________________________ 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 ____________________________________________________________________ 20 (C) If the spouse, DOMESTIC PARTNER or unemancipated child of the 21 reporting individual was engaged in any occupation, employment, 22 trade, business or profession which activity was licensed by any 23 state or local agency, was regulated by any state regulatory agency 24 or local agency, or, as a regular and significant part of the busi- 25 ness or activity of said entity, did business with, or had matters 26 other than ministerial matters before, any state or local agency, 27 list the name, address and description of such occupation, employ- 28 ment, trade, business or profession and the name of any such agency. 29 State or 30 Name & Address Local 31 Position of Organization Description Agency 32 ____________________________________________________________________ 33 ____________________________________________________________________ 34 ____________________________________________________________________ 35 ____________________________________________________________________ 36 ____________________________________________________________________ 37 6. List any interest, in EXCESS of $1,000, held by the reporting indi- 38 vidual, such individual's spouse, DOMESTIC PARTNER or unemancipated 39 child, or partnership of which any such person is a member, or 40 corporation, 10% or more of the stock of which is owned or 41 controlled by any such person, whether vested or contingent, in any 42 contract made or executed by a state or local agency and include the 43 name of the entity which holds such interest and the relationship of 44 the reporting individual or such individual's spouse or such child 45 to such entity and the interest in such contract. Do NOT include 46 bonds and notes. Do NOT list any interest in any such contract on 47 which final payment has been made and all obligations under the 48 contract except for guarantees and warranties have been performed, 49 provided, however, that such an interest must be listed if there has S. 6615--A 49 A. 9715--A 1 been an ongoing dispute during the calendar year for which this 2 statement is filed with respect to any such guarantees or warran- 3 ties. Do NOT list any interest in a contract made or executed by a 4 local agency after public notice and pursuant to a process for 5 competitive bidding or a process for competitive requests for 6 proposals. 7 Entity Relationship Contracting Category 8 Self, Which Held to Entity State or of 9 Spouse or Interest in and Interest Local Value of 10 Child Contract in Contract Agency Contract 11 ____________________________________________________________________ 12 ____________________________________________________________________ 13 ____________________________________________________________________ 14 ____________________________________________________________________ 15 ____________________________________________________________________ 16 7. List any position the reporting individual held as an officer of any 17 political party or political organization, as a member of any poli- 18 tical party committee, or as a political party district leader. The 19 term "party" shall have the same meaning as "party" in the election 20 law. The term "political organization" means any party or independ- 21 ent body as defined in the election law or any organization that is 22 affiliated with or a subsidiary of a party or independent body. 23 ____________________________________________________________________ 24 ____________________________________________________________________ 25 ____________________________________________________________________ 26 ____________________________________________________________________ 27 ____________________________________________________________________ 28 8. (a) If the reporting individual practices law, is licensed by the 29 department of state as a real estate broker or agent or practices a 30 profession licensed by the department of education, give a LIST OF 31 ALL CLIENTS AND A general description of the principal subject areas 32 of matters undertaken by such individual. IF THE NATURE OF THE 33 REPORTING INDIVIDUAL'S PRACTICE OR ACTIVITIES WERE SUCH THAT NO 34 PRINCIPAL SUBJECT AREAS OR MATTERS WERE UNDERTAKEN, GIVE A GENERAL 35 DESCRIPTION OF THE PRACTICE OR ACTIVITIES UNDERTAKEN. Additionally, 36 if such an individual practices with a firm or corporation and is a 37 partner or shareholder of the firm or corporation, give a LIST OF 38 ALL CLIENTS AND A general description of THE principal subject areas 39 of matters undertaken by such firm or corporation. [Do not list the 40 name of the individual clients, customers or patients.] IF THE 41 MATTERS UNDERTAKEN BY SUCH FIRM OR CORPORATION WERE SUCH THAT NO 42 PRINCIPAL SUBJECT AREAS OR MATTERS WERE UNDERTAKEN, GIVE A GENERAL 43 DESCRIPTION OF THE PRACTICE OR ACTIVITIES UNDERTAKEN. 44 NATURE CLIENT STATE AGENCY OR COURT CATEGORY OF VALUE 45 ____________________________________________________________________ 46 ____________________________________________________________________ 47 ____________________________________________________________________ 48 ____________________________________________________________________ 49 ____________________________________________________________________ S. 6615--A 50 A. 9715--A 1 (b) IF THE REPORTING INDIVIDUAL RECEIVED COMPENSATION IN EXCESS OF 2 $1,000 FOR APPEARANCES BEFORE A STATE AGENCY OR WITH THE UNIFIED 3 COURT SYSTEM WITH RESPECT TO MATTERS OTHER THAN MINISTERIAL MATTERS, 4 INDICATE THE NATURE OF THE APPEARANCES, CLIENT NAME AND THE NAME OF 5 ANY SUCH AGENCY. 6 NATURE CLIENT STATE AGENCY OR COURT CATEGORY OF VALUE 7 ____________________________________________________________________ 8 ____________________________________________________________________ 9 ____________________________________________________________________ 10 ____________________________________________________________________ 11 ____________________________________________________________________ 12 (C) List the name, principal address and general description or the 13 nature of the business activity of any entity in which the reporting 14 individual or such individual's spouse OR DOMESTIC PARTNER had an 15 investment in excess of $1,000 excluding investments in securities and 16 interests in real property. 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 ____________________________________________________________________ 20 ____________________________________________________________________ 21 ____________________________________________________________________ 22 (D) IF THE REPORTING INDIVIDUAL RECEIVED INCOME IN EXCESS OF $1,000 FROM 23 CONSULTING SERVICES, NOT INCLUDING ANY SERVICES PERFORMED BY A 24 LICENSED PROFESSIONAL LISTED IN SUBPARAGRAPH (A) OF THIS PARAGRAPH, 25 PROVIDE THE NAME AND ADDRESS OF THE INDIVIDUAL, BUSINESS OR ENTITY, 26 THE COMPENSATION RECEIVED FROM SUCH ENTITY, AND PROVIDE A GENERAL 27 DESCRIPTION OF THE SERVICES RENDERED OR CONSIDERATION GIVEN. 28 ENTITY ADDRESS SERVICES/CONSIDERATION CATEGORY OF VALUE 29 ____________________________________________________________________ 30 ____________________________________________________________________ 31 ____________________________________________________________________ 32 ____________________________________________________________________ 33 ____________________________________________________________________ 34 (E) LIST EACH SOURCE OF REFERRAL FOR BUSINESS OR FOR CLIENTS BY THOSE 35 WHO ARE REGISTERED TO LOBBY OR THEIR CLIENTS AND PROVIDE THE NAME, 36 ADDRESS OF THE BUSINESS OR ENTITY, THE COMPENSATION RECEIVED FROM 37 SUCH REFERRED ENTITY, AND PROVIDE A GENERAL DESCRIPTION OF THE 38 SERVICES RENDERED OR CONSIDERATION GIVEN. 39 SOURCE NAME ADDRESS SERVICES/ CATEGORY OF VALUE 40 CONSIDERATION 41 ____________________________________________________________________ 42 ____________________________________________________________________ 43 ____________________________________________________________________ 44 ____________________________________________________________________ 45 ____________________________________________________________________ 46 9. List each source of gifts, EXCLUDING campaign contributions, in 47 EXCESS of $1,000, received during the reporting period for which S. 6615--A 51 A. 9715--A 1 this statement is filed by the reporting individual or such individ- 2 ual's spouse, DOMESTIC PARTNER or unemancipated child from the same 3 donor, EXCLUDING gifts from a relative. INCLUDE the name and address 4 of the donor. The term "gifts" does not include reimbursements, 5 which term is defined in item 10. Indicate the value and nature of 6 each such gift. 7 Category 8 Self, of 9 Spouse or Name of Nature Value of 10 Child Donor Address of Gift Gift 11 ____________________________________________________________________ 12 ____________________________________________________________________ 13 ____________________________________________________________________ 14 ____________________________________________________________________ 15 ____________________________________________________________________ 16 10. Identify and briefly describe the source of any reimbursements for 17 expenditures, EXCLUDING campaign expenditures and expenditures in 18 connection with official duties reimbursed by the state, in EXCESS 19 of $1,000 from each such source. For purposes of this item, the term 20 "reimbursements" shall mean any travel-related expenses provided by 21 nongovernmental sources and for activities related to the reporting 22 individual's official duties such as, speaking engagements, confer- 23 ences, or factfinding events. The term "reimbursements" does NOT 24 include gifts reported under item 9. 25 Source Description 26 ____________________________________________________________________ 27 ____________________________________________________________________ 28 ____________________________________________________________________ 29 ____________________________________________________________________ 30 ____________________________________________________________________ 31 11. List the identity and value, if reasonably ascertainable, of each 32 interest in a trust, estate or other beneficial interest, including 33 retirement plans (other than retirement plans of the state of New 34 York or the city of New York[,]) and deferred compensation plans 35 (e.g., 401, 403(b), 457, etc.) established in accordance with the 36 internal revenue code, in which the REPORTING INDIVIDUAL held a 37 beneficial interest in EXCESS of $1,000 at any time during the 38 preceding year. Do NOT report interests in a trust, estate or other 39 beneficial interest established by or for, or the estate of, a rela- 40 tive. 41 Category 42 Identity of Value* 43 ____________________________________________________________________ 44 ____________________________________________________________________ 45 ____________________________________________________________________ 46 ____________________________________________________________________ 47 ____________________________________________________________________ S. 6615--A 52 A. 9715--A 1 * The value of such interest shall be reported only if reasonably 2 ascertainable. 3 12. (a) Describe the terms of, and the parties to, any contract, prom- 4 ise, or other agreement between the reporting individual and any 5 person, firm, or corporation with respect to the employment of such 6 individual after leaving office or position (other than a leave of 7 absence). 8 ____________________________________________________________________ 9 ____________________________________________________________________ 10 ____________________________________________________________________ 11 ____________________________________________________________________ 12 ____________________________________________________________________ 13 (b) Describe the parties to and the terms of any agreement providing 14 for continuation of payments or benefits to the REPORTING INDIVIDUAL 15 in EXCESS of $1,000 from a prior employer OTHER THAN the State. 16 (This includes interests in or contributions to a pension fund, 17 profit-sharing plan, or life or health insurance; buy-out agree- 18 ments; severance payments; etc.) 19 ____________________________________________________________________ 20 ____________________________________________________________________ 21 ____________________________________________________________________ 22 ____________________________________________________________________ 23 ____________________________________________________________________ 24 13. List below the nature and amount of any income in EXCESS of $1,000 25 from EACH SOURCE for the reporting individual and such individual's 26 spouse OR DOMESTIC PARTNER for the taxable year last occurring prior 27 to the date of filing. Nature of income includes, but is not limit- 28 ed to, all income (other than that received from the employment 29 listed under Item 2 above) from compensated employment whether 30 public or private, directorships and other fiduciary positions, 31 contractual arrangements, teaching income, partnerships, honorari- 32 ums, lecture fees, consultant fees, bank and bond interest, divi- 33 dends, income derived from a trust, real estate rents, and recog- 34 nized gains from the sale or exchange of real or other property. 35 Income from a business or profession and real estate rents shall be 36 reported with the source identified by the building address in the 37 case of real estate rents and otherwise by the name of the entity 38 and not by the name of the individual customers, clients or tenants, 39 with the aggregate net income before taxes for each building address 40 or entity. The receipt of maintenance received in connection with a 41 matrimonial action, alimony and child support payments shall not be 42 listed. 43 Self/ Category 44 Spouse Source Nature of Amount 45 ____________________________________________________________________ 46 ____________________________________________________________________ 47 ____________________________________________________________________ 48 ____________________________________________________________________ 49 ____________________________________________________________________ S. 6615--A 53 A. 9715--A 1 14. List the sources of any deferred income (not retirement income) in 2 EXCESS of $1,000 from each source to be paid to the reporting indi- 3 vidual following the close of the calendar year for which this 4 disclosure statement is filed, other than deferred compensation 5 reported in item 11 hereinabove. Deferred income derived from the 6 practice of a profession shall be listed in the aggregate and shall 7 identify as the source, the name of the firm, corporation, partner- 8 ship or association through which the income was derived, but shall 9 not identify individual clients. 10 Category 11 Source of Amount 12 ____________________________________________________________________ 13 ____________________________________________________________________ 14 ____________________________________________________________________ 15 ____________________________________________________________________ 16 ____________________________________________________________________ 17 15. List each assignment of income in EXCESS of $1,000, and each trans- 18 fer other than to a relative during the reporting period for which 19 this statement is filed for less than fair consideration of an 20 interest in a trust, estate or other beneficial interest, securities 21 or real property, by the reporting individual, in excess of $1,000, 22 which would otherwise be required to be reported herein and is not 23 or has not been so reported. 24 Item Assigned Assigned or Category 25 or Transferred Transferred to of Value 26 ____________________________________________________________________ 27 ____________________________________________________________________ 28 ____________________________________________________________________ 29 ____________________________________________________________________ 30 ____________________________________________________________________ 31 16. List below the type and market value of securities held by the 32 reporting individual or such individual's spouse from each issuing 33 entity in EXCESS of $1,000 at the close of the taxable year last 34 occurring prior to the date of filing, including the name of the 35 issuing entity exclusive of securities held by the reporting indi- 36 vidual issued by a professional corporation. Whenever an interest in 37 securities exists through a beneficial interest in a trust, the 38 securities held in such trust shall be listed ONLY IF the reporting 39 individual has knowledge thereof except where the reporting individ- 40 ual or the reporting individual's spouse has transferred assets to 41 such trust for his or her benefit in which event such securities 42 shall be listed unless they are not ascertainable by the reporting 43 individual because the trustee is under an obligation or has been 44 instructed in writing not to disclose the contents of the trust to 45 the reporting individual. Securities of which the reporting individ- 46 ual or the reporting individual's spouse is the owner of record but 47 in which such individual or the reporting individual's spouse has no 48 beneficial interest shall not be listed. Indicate percentage of 49 ownership ONLY if the reporting person or the reporting person's 50 spouse holds more than five percent (5%) of the stock of a corpo- S. 6615--A 54 A. 9715--A 1 ration in which the stock is publicly traded or more than ten 2 percent (10%) of the stock of a corporation in which the stock is 3 NOT publicly traded. Also list securities owned for investment 4 purposes by a corporation more than fifty percent (50%) of the stock 5 of which is owned or controlled by the reporting individual or such 6 individual's spouse. For the purpose of this item the term "securi- 7 ties" shall mean mutual funds, bonds, mortgages, notes, obligations, 8 warrants and stocks of any class, investment interests in limited or 9 general partnerships and certificates of deposits (CDs) and such 10 other evidences of indebtedness and certificates of interest as are 11 usually referred to as securities. The market value for such secu- 12 rities shall be reported only if reasonably ascertainable and shall 13 not be reported if the security is an interest in a general partner- 14 ship that was listed in item 8 (a) or if the security is corporate 15 stock, NOT publicly traded, in a trade or business of a reporting 16 individual or a reporting individual's spouse. 17 Percentage 18 of corporate 19 stock owned 20 or controlled Category of 21 (if more than Market Value 22 5% of pub- as of the close 23 licly traded of the 24 stock, or taxable year 25 more than last occurring 26 10% if stock prior to 27 Self/ Issuing Type of not publicly the filing of 28 Spouse Entity Security traded, is held) this statement 29 ____________________________________________________________________ 30 ____________________________________________________________________ 31 ____________________________________________________________________ 32 ____________________________________________________________________ 33 ____________________________________________________________________ 34 17. List below the location, size, general nature, acquisition date, 35 market value and percentage of ownership of any real property in 36 which any vested or contingent interest in EXCESS of $1,000 is held 37 by the reporting individual or the reporting individual's spouse. 38 Also list real property owned for investment purposes by a corpo- 39 ration more than fifty percent (50%) of the stock of which is owned 40 or controlled by the reporting individual or such individual's 41 spouse. Do NOT list any real property which is the primary or 42 secondary personal residence of the reporting individual or the 43 reporting individual's spouse, except where there is a co-owner who 44 is other than a relative. 45 Category 46 Self/ Percentage of 47 Spouse/ General Acquisition of Market 48 Corporation Location Size Nature Date Ownership Value 49 ____________________________________________________________________ 50 ____________________________________________________________________ 51 ____________________________________________________________________ S. 6615--A 55 A. 9715--A 1 ____________________________________________________________________ 2 ____________________________________________________________________ 3 18. List below all notes and accounts receivable, other than from goods 4 or services sold, held by the reporting individual at the close of 5 the taxable year last occurring prior to the date of filing and 6 other debts owed to such individual at the close of the taxable year 7 last occurring prior to the date of filing, in EXCESS of $1,000, 8 including the name of the debtor, type of obligation, date due and 9 the nature of the collateral securing payment of each, if any, 10 excluding securities reported in item 16 hereinabove. Debts, notes 11 and accounts receivable owed to the individual by a relative shall 12 not be reported. 13 Type of Obligation, Category 14 Date Due, and Nature of 15 Name of Debtor of Collateral, if any Amount 16 ____________________________________________________________________ 17 ____________________________________________________________________ 18 ____________________________________________________________________ 19 ____________________________________________________________________ 20 ____________________________________________________________________ 21 19. List below all liabilities of the reporting individual and such 22 individual's spouse[,] OR DOMESTIC PARTNER in EXCESS of $5,000 as of 23 the date of filing of this statement, other than liabilities to a 24 relative. Do NOT list liabilities incurred by, or guarantees made 25 by, the reporting individual or such individual's spouse OR DOMESTIC 26 PARTNER or by any proprietorship, partnership or corporation in 27 which the reporting individual or such individual's spouse OR DOMES- 28 TIC PARTNER has an interest, when incurred or made in the ordinary 29 course of the trade, business or professional practice of the 30 reporting individual or such individual's spouse OR DOMESTIC 31 PARTNER. Include the name of the creditor and any collateral 32 pledged by such individual to secure payment of any such liability. 33 A reporting individual shall not list any obligation to pay mainte- 34 nance in connection with a matrimonial action, alimony or child 35 support payments. Any loan issued in the ordinary course of business 36 by a financial institution to finance educational costs, the cost of 37 home purchase or improvements for a primary or secondary residence, 38 or purchase of a personally owned motor vehicle, household furniture 39 or appliances shall be excluded. If any such reportable liability 40 has been guaranteed by any third person, list the liability and name 41 the guarantor. 42 Category 43 Name of Creditor Type of Liability of 44 or Guarantor and Collateral, if any Amount 45 ____________________________________________________________________ 46 ____________________________________________________________________ 47 ____________________________________________________________________ 48 ____________________________________________________________________ 49 ____________________________________________________________________ S. 6615--A 56 A. 9715--A 1 The requirements of law relating to the reporting of financial 2 interests are in the public interest and no adverse inference of 3 unethical or illegal conduct or behavior will be drawn merely from 4 compliance with these requirements. 5 ___________________________________ _________________________ 6 (Signature of Reporting Individual) Date (month/day/year) 7 S 29. Paragraph d of subdivision 3 of section 74 of the public offi- 8 cers law, as amended by chapter 1012 of the laws of 1965, is amended to 9 read as follows: 10 d. No officer or employee of a state agency, member of the legislature 11 or legislative employee should use or attempt to use his OR HER official 12 position to secure unwarranted privileges or exemptions for himself, 13 HERSELF, HIS OR HER RELATIVE, AS DEFINED IN PARAGRAPH (M) OF SUBDIVISION 14 ONE OF SECTION SEVENTY-THREE OF THIS ARTICLE, or others. 15 S 30. Subdivision 4 of section 74 of the public officers law, as 16 amended by chapter 14 of the laws of 2007, is amended to read as 17 follows: 18 4. Violations. In addition to any penalty contained in any other 19 provision of law any such officer, member or employee who shall knowing- 20 ly and intentionally violate any of the provisions of this section may 21 be fined, suspended or removed from office or employment in the manner 22 provided by law. Any such individual who knowingly and intentionally 23 violates the provisions of paragraph b, c, d or i of subdivision three 24 of this section shall be subject to a civil penalty in an amount not to 25 exceed [ten] TWENTY-FIVE thousand dollars and TRIPLE the value of any 26 gift, compensation or benefit received as a result of such violation. 27 Any such individual who knowingly and intentionally violates the 28 provisions of paragraph a, e or g of subdivision three of this section 29 shall be subject to a civil penalty in an amount not to exceed TRIPLE 30 the value of any gift, compensation or benefit received as a result of 31 such violation. 32 S 31. Subdivision 2 of section 63 of the executive law is amended to 33 read as follows: 34 2. [Whenever] NOTWITHSTANDING ANY OTHER PROVISION OF LAW, WHENEVER 35 required by the governor, attend in person, or by one of his deputies, 36 any term of the supreme court or appear before the grand jury thereof 37 for the purpose of managing and conducting in such court or before such 38 jury criminal actions or proceedings as shall be specified in such 39 requirement; in which case the attorney-general or his deputy so attend- 40 ing shall exercise all the powers and perform all the duties in respect 41 of such actions or proceedings, which the district attorney would other- 42 wise be authorized or required to exercise or perform; and in any of 43 such actions or proceedings the district attorney shall only exercise 44 such powers and perform such duties as are required of him by the attor- 45 ney-general or the deputy attorney-general so attending. In all such 46 cases, EXCEPT THOSE CASES ARISING OUT OF REFERRALS FROM THE STATE 47 GOVERNMENT ETHICS COMMISSION, all expenses incurred by the attorney-gen- 48 eral, including the salary or other compensation of all deputies 49 employed, shall be a county charge. 50 S 32. All powers, duties and functions conferred upon the state 51 commission on public integrity, the legislative ethics commission, the 52 state board of elections as such powers, duties and functions pertain to 53 article 14 of the election law, and their commissioners and executive 54 directors, shall be transferred to and assumed by the state government S. 6615--A 57 A. 9715--A 1 ethics commission and the commissioners and executive director to be 2 appointed thereof. 3 S 33. Transfer of employees. Upon the transfer of the functions, as 4 provided for in this act, any affected employees shall be transferred to 5 the state government ethics commission in accordance with section 70 of 6 the civil service law. 7 S 34. Transfer of records. The state commission on public integrity, 8 the legislative ethics commission and the state board of elections as it 9 pertains to article 14 of the election law shall deliver to the state 10 government ethics commission all books, papers, records, and property as 11 requested by the state government ethics commission. 12 S 35. Continuity of authority. For the purpose of succession to all 13 functions, powers, duties and obligations transferred and assigned to, 14 devolved upon and assumed by it pursuant to this act, the state govern- 15 ment ethics commission shall be deemed and held to constitute the 16 continuation of the state commission on public integrity, the legisla- 17 tive ethics commission and the state board of elections as it pertains 18 to article 14 of the election law. 19 S 36. Completion of unfinished business. Any business or other matter 20 undertaken or commenced by the state commission on public integrity, the 21 legislative ethics commission and the state board of elections as it 22 pertains to article 14 of the election law pertaining to or connected 23 with the functions, powers, obligations and duties hereby transferred 24 and assigned to the state government ethics commission, and pending on 25 the effective date of this act may be conducted and completed by the 26 state government ethics commission in the same manner and under the same 27 terms and conditions and with the same effect as if conducted and 28 completed by the former state commission on public integrity, the legis- 29 lative ethics commission and the state board of elections as it pertains 30 to article 14 of the election law. 31 S 37. Terms occurring in laws, contracts and other documents. Whenever 32 the state commission on public integrity, the legislative ethics commis- 33 sion and the state board of elections as it pertains to article 14 of 34 the election law, and the committee on open government as it pertains to 35 article 7 of the public officers law are referred to or designated in 36 any law, contract or documents pertaining to the functions, powers, 37 obligations and duties hereby transferred and assigned to the state 38 government ethics commission, such reference or designation shall be 39 deemed to refer to the state government ethics commission as created by 40 this act. 41 S 38. Existing rights and remedies preserved. No existing right or 42 remedy of any character shall be lost, impaired or affected by reason of 43 this act. 44 S 39. Pending actions and proceedings. No action or proceeding pending 45 at the time when this act shall take effect, brought by or against the 46 state commission on public integrity, the legislative ethics commission 47 and the state board of elections as it pertains to article 14 of the 48 election law shall be affected by this act, but the same may be prose- 49 cuted or defended in the name of the state government ethics commission 50 and upon application to the court, the state government ethics commis- 51 sion shall be substituted as a party. 52 S 40. Notwithstanding any contrary provision of the state finance law, 53 transfer of appropriations heretofore made to the state commission on 54 public integrity, the legislative ethics commission and the state board 55 of elections as it pertains to article 14 of the election law all appro- 56 priations or reappropriations for the functions herein transferred here- S. 6615--A 58 A. 9715--A 1 tofore made to the state commission on public integrity, the legislative 2 ethics commission, the state board of elections as it pertains to arti- 3 cle 14 of the election law or segregated pursuant to law, to the extent 4 of remaining unexpended or unencumbered balances thereof, whether allo- 5 cated or unallocated and whether obligated or unobligated, are hereby 6 transferred to the state government ethics commission to the extent 7 necessary to carry out the state government ethics commission's func- 8 tions, powers and duties subject to the approval of the director of the 9 budget for the same purposes for which originally appropriated or reap- 10 propriated and shall be payable on vouchers certified or approved by the 11 state government ethics commission on audit and warrant of the comp- 12 troller. 13 S 41. Separability clause. If any clause, sentence, paragraph, section 14 or part of this act shall be adjudged by any court of competent juris- 15 diction to be invalid, such judgment shall not affect, impair or invali- 16 date the remainder thereof, but shall be confined in its operation to 17 the clause, sentence, paragraph, section or part thereof directly 18 involved in the controversy in which such judgment shall have been 19 rendered. 20 S 42. This act shall take effect on the two hundred seventieth day 21 after it shall have become a law, except that appointments to the state 22 government ethics commission, as added by section four of this act, and 23 the designating commission, as added by section eight of this act, may 24 be made before such date. 25 PART B 26 Section 1. Section 2 of the retirement and social security law is 27 amended by adding a new subdivision 8-a to read as follows: 28 8-A. "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD." THE ENTITY ESTAB- 29 LISHED PURSUANT TO SECTION TEN-B OF THIS ARTICLE. 30 S 2. The retirement and social security law is amended by adding a new 31 section 10-b to read as follows: 32 S 10-B. THE EMPLOYEE RETIREMENT SYSTEM BOARD. 1. THERE IS HEREBY 33 ESTABLISHED THE EMPLOYEE RETIREMENT SYSTEM BOARD, WHICH SHALL CONSIST OF 34 FIVE MEMBERS TO BE APPOINTED BY A DESIGNATING COMMISSION PURSUANT TO 35 SECTION SEVENTY-THREE-F OF THE PUBLIC OFFICERS LAW. 36 2. EACH MEMBER OF THE BOARD SHALL HAVE EXPERIENCE IN THE FIELD OF 37 SECURITIES INVESTMENT, PENSION ADMINISTRATION, PENSION LAW OR GOVERN- 38 MENTAL FINANCE, SHALL SERVE FIVE YEAR TERMS AND MAY BE REAPPOINTED TO 39 THE BOARD; PROVIDED, HOWEVER, THAT OF THE MEMBERS INITIALLY APPOINTED TO 40 THE BOARD, ONE SHALL SERVE FOR ONE YEAR, ONE SHALL SERVE FOR TWO YEARS, 41 ONE SHALL SERVE FOR THREE YEARS, ONE SHALL SERVE FOR FOUR YEARS AND ONE 42 SHALL SERVE FOR FIVE YEARS, AS DESIGNATED BY THE COMMISSION. MEMBERS OF 43 THE BOARD SHALL RECEIVE NO COMPENSATION FOR THEIR SERVICES AS BOARD 44 MEMBERS, BUT SHALL BE ENTITLED TO REIMBURSEMENT FOR THEIR ACTUAL AND 45 NECESSARY EXPENSES INCURRED IN THE PERFORMANCE OF THEIR FUNCTIONS. 46 VACANCIES TO THE BOARD SHALL BE FILLED WITHIN SIXTY DAYS OF THEIR OCCUR- 47 RENCE IN THE SAME MANNER AS ORIGINAL APPOINTMENTS. 48 3. THE MEMBERS OF THE BOARD SHALL BE SUBJECT TO SECTIONS SEVENTY-THREE 49 AND SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW. 50 4. BOARD MEMBERS SHALL PARTICIPATE IN TRAINING, DEVELOPED AND ADMINIS- 51 TERED BY THE DEPARTMENT OF AUDIT AND CONTROL, IN CONSULTATION WITH THE 52 SUPERINTENDENT OF INSURANCE AND THE ATTORNEY GENERAL, REGARDING LEGAL, 53 FIDUCIARY, FINANCIAL AND ETHICAL RESPONSIBILITIES WITHIN ONE YEAR OF 54 APPOINTMENT TO THE BOARD. S. 6615--A 59 A. 9715--A 1 5. A MAJORITY OF THE MEMBERS OF THE BOARD SHALL CONSTITUTE A QUORUM, 2 AND ALL ACTIONS OF THE BOARD SHALL REQUIRE APPROVAL OF A MAJORITY OF THE 3 TOTAL MEMBERS OF THE BOARD. 4 6. THE BOARD MAY EMPLOY AN EXECUTIVE DIRECTOR, A CHIEF ACTUARY, A 5 CHIEF INVESTMENT OFFICER, AS WELL AS INVESTMENT OFFICERS, PORTFOLIO 6 MANAGERS AND SUCH NECESSARY TECHNICAL AND ADMINISTRATIVE PERSONNEL AS IT 7 MAY REQUIRE. THE BOARD SHALL ESTABLISH COMPENSATION THAT IS REASONABLE 8 AND CUSTOMARY FOR SUCH POSITIONS. 9 7. THE BOARD MAY, IN CONSULTATION WITH THE SUPERINTENDENT OF INSUR- 10 ANCE, PROMULGATE RULES AND REGULATIONS ON THE GOVERNANCE OF THE RETIRE- 11 MENT SYSTEM, AND SUCH OTHER RULES AND REGULATIONS AS IT MAY DEEM APPRO- 12 PRIATE. 13 S 3. Section 13 of the retirement and social security law, subdivision 14 b as amended by chapter 369 of the laws of 1964, subdivision d as 15 amended by chapter 460 of the laws of 1971, subdivision f as amended by 16 chapter 376 of the laws of 1965, paragraph 2 of subdivision f as amended 17 by chapter 908 of the laws of 1971, subdivision h as amended by chapter 18 496 of the laws of 1967, subdivision i as amended by chapter 1046 of the 19 laws of 1973, subdivision j as added by chapter 510 of the laws of 1965 20 and subdivision k as added by chapter 841 of the laws of 1968, is 21 amended to read as follows: 22 S 13. Management of funds. a. The funds of the retirement system shall 23 be managed in accordance with this section. 24 b. The [comptroller] MEMBERS OF THE EMPLOYEE RETIREMENT SYSTEM BOARD 25 shall be trustee of the several funds of the retirement system AND THE 26 COMPTROLLER SHALL BE CUSTODIAN OF SUCH FUNDS. Such funds shall be 27 invested by the comptroller AS AUTHORIZED BY THE EMPLOYEE RETIREMENT 28 SYSTEM BOARD, in securities in which he OR SHE is authorized by law to 29 invest the funds of the state, except that he OR SHE may invest in obli- 30 gations consisting of notes, bonds, debentures, or equipment trust 31 certificates issued under an indenture, which are the direct obligations 32 of, or in the case of equipment trust certificates are secured by direct 33 obligations of, a railroad or industrial corporation, or a corporation 34 engaged directly and primarily in the production, transportation, 35 distribution, or sale of electricity or gas, or the operation of tele- 36 phone or telegraph systems or waterworks, or in some combination of 37 them; provided the obligor corporation is one which is incorporated 38 under the laws of the United States, or any state thereof, or of the 39 District of Columbia, and said obligations shall be rated at the time of 40 purchase within the three highest classifications established by at 41 least two standard rating services. The maximum amount that the comp- 42 troller AS AUTHORIZED BY THE BOARD may invest in such obligations shall 43 not exceed thirty per centum of the assets of the New York state employ- 44 ees' retirement system's funds; and provided further that not more than 45 two and one half per centum of the assets of the New York state employ- 46 ees' retirement system's funds shall be invested in the obligations of 47 any one corporation of the highest classification and subsidiary or 48 subsidiaries thereof, that not more than two per centum of the assets of 49 the New York state employees' retirement system's funds shall be 50 invested in the obligations of any one corporation of the second highest 51 classification and subsidiary or subsidiaries thereof, that not more 52 than one and one half per centum of the assets of the New York state 53 employees' retirement system's funds shall be invested in the obli- 54 gations of any one corporation of the third highest classification and 55 subsidiary or subsidiaries thereof. He OR SHE shall, however, be 56 subject to all terms, conditions, limitations and restrictions imposed S. 6615--A 60 A. 9715--A 1 by this article and by law upon the making of such investments. The 2 comptroller AS AUTHORIZED BY THE BOARD shall have full power: 3 1. To hold, purchase, sell, assign, transfer or dispose of any of the 4 securities or investments, in which any of the funds of the retirement 5 system shall be invested, including the proceeds of such investments and 6 any monies belonging to such funds, and 7 2. In his OR HER name as [trustee] CUSTODIAN, to foreclose mortgages 8 upon default or to take title to real property in such proceedings in 9 lieu thereof and to lease and sell real property so acquired. 10 c. The comptroller annually shall credit to each of the funds of the 11 retirement system regular interest on the mean amount therein for the 12 preceding year. 13 d. The custody of all funds of the retirement system shall be in the 14 charge of the head of the division of the treasury of the department of 15 taxation and finance, subject to the supervision and control of the 16 commissioner of taxation and finance. 17 e. Payment of all pensions, annuities and other benefits shall be made 18 as provided in this article. For the purpose of meeting disbursements 19 for pensions, annuities and other payments ordered by the comptroller, 20 the head of such division may keep on deposit an available fund which 21 shall not exceed ten per centum of the total amount of the several funds 22 of the retirement system. Every such deposit shall be kept only in a 23 bank or trust company organized under the laws of this state, or in a 24 national bank located in this state, which shall furnish adequate secu- 25 rity therefor. 26 f. The comptroller, however, shall have a fund in his OR HER immediate 27 possession. Such fund shall be used for the immediate payment of: 28 1. All pensions, annuities and other benefits, and 29 2. Such expenses as may necessarily be incurred in acquiring, servic- 30 ing and foreclosing mortgages and in acquiring, managing and protecting 31 investments, and 32 3. Such special expenditures for which the retirement system will be 33 paid by the state or a participating employer. 34 Such fund shall be reimbursed from time to time by the head of such 35 division on the warrant of the comptroller. 36 g. Neither the comptroller nor THE MEMBERS OF THE BOARD OR any person 37 employed on the work of the retirement system shall: 38 1. Except as herein provided, have any interest, direct or indirect, 39 in the gains or profits of any investment of the retirement system, nor, 40 in connection therewith, directly or indirectly, receive any pay or 41 emolument for his OR HER services. 42 2. Except as provided in section fifty of this article: 43 (a) Directly or indirectly, for himself OR HERSELF or as an agent or 44 partner of others, borrow any of its funds or deposits or in any manner 45 use the same except to make such current and necessary payments as are 46 authorized by the comptroller, or 47 (b) Become an endorser, surety or an obligor in any manner of monies 48 loaned by or borrowed of such funds. 49 h. The retirement system may use a part of its funds, not exceeding 50 ten per centum of its assets, (1) for purchasing or leasing of land in 51 the city of Albany and the construction thereon of a suitable office 52 building or buildings for the transaction of the business of the retire- 53 ment system and (2) for purchasing or leasing of land in the cities of 54 Albany, Syracuse, Buffalo, Binghamton, New York, Rochester and Utica and 55 the construction thereon of a suitable office building or buildings for 56 purposes of lease or sale to the state and (3) for purchasing or leasing S. 6615--A 61 A. 9715--A 1 of land in the city of Albany on the north and south sides of Washington 2 avenue commonly known as the "Campus Site" acquired by the state for a 3 state buildings site pursuant to the provisions of chapter five hundred 4 seventy-two of the laws of nineteen hundred forty-seven and the 5 construction thereon of power plants including service connections, 6 electric substations including service connections, garages, warehouses 7 and restaurant facilities deemed necessary for the efficient and econom- 8 ical operation of the office building or buildings constructed on such 9 land and (4) for purchasing or leasing of land in the city of Albany 10 acquired by the state for suitable parking facilities for the use prima- 11 rily of employees of the state and persons having business with state 12 departments and state agencies and the construction thereon of such 13 structures, appurtenances and facilities deemed necessary for the effi- 14 cient and economical operation of the parking facilities constructed on 15 such land and (5) for purchasing or leasing of land in locations 16 approved by the state university trustees and the construction, acquisi- 17 tion, reconstruction, rehabilitation or improvement of suitable build- 18 ings or facilities thereon for purposes of lease or sale to the state 19 university construction fund, such buildings or facilities to be used by 20 the state university or by state-operated institutions or statutory or 21 contract colleges under the jurisdiction of the state university or by 22 the students, faculty and staff of the state university or of any such 23 state-operated institution or statutory or contract college, and their 24 families and (6) for purchasing of lands from the New York state thruway 25 authority and the construction thereon of an office building or other 26 buildings for purposes of lease or sale to the thruway authority for its 27 own use under such terms and conditions, including consideration and 28 length of term, as shall be agreed upon between the retirement system 29 and the thruway authority. 30 The retirement system from time to time may lease to any public agency 31 any portion of a building constructed for the transaction of its busi- 32 ness which may not be required for such purpose, upon such terms and 33 conditions as shall be deemed to be for the best interest of the retire- 34 ment system. 35 Real property of the retirement system acquired or constructed pursu- 36 ant to this subdivision shall be exempt from taxation. 37 i. At the close of each fiscal year, the average rate of investment 38 earnings of the retirement system shall be computed by the actuary and 39 certified to the comptroller. This rate shall be determined from the 40 investment earnings during the calendar year which ended three months 41 prior to the close of the fiscal year. For any year that such average 42 rate of earnings is in excess of three per centum but not in excess of 43 four per centum, the comptroller shall declare a rate of special inter- 44 est, for members earning regular interest of three per centum, equal to 45 the difference between such average rate of earnings and three per 46 centum expressed to the lower one-tenth of one per centum, but not in 47 excess of one per centum. For any year, commencing with the fiscal year 48 the first day of which is April first, nineteen hundred seventy, that 49 such average rate of earnings is in excess of four per centum, the 50 special rate of interest for members earning regular interest of three 51 per centum shall be equal to the difference between such average rate of 52 earnings and three per centum expressed to the lower one-tenth of one 53 per centum, but not in excess of two per centum, and for members earning 54 regular interest of four per centum, it shall be the difference between 55 such average rate of earnings and four per centum, expressed to the 56 lower one-tenth of one per centum, but not in excess of one per centum. S. 6615--A 62 A. 9715--A 1 Special interest at such rates, shall be credited by the comptroller at 2 the same time that regular interest is credited, to the individual annu- 3 ity savings accounts of persons who are members as of the close of the 4 fiscal year. Special interest shall not be considered in determining 5 rates of contribution of members. In the case of persons who last became 6 members on or after July first, nineteen hundred seventy-three, the 7 provisions of this subdivision shall apply only to the fiscal years 8 beginning April first, nineteen hundred seventy-two and ending March 9 thirty-first, nineteen hundred seventy-three. 10 j. The retirement system may invest, within the limitations authorized 11 for investments in conventional mortgages, a part of its funds in first 12 mortgages on real property located anywhere within the boundaries of the 13 United States and leased to the government of the United States, 14 provided however, that no such investment shall be made unless the terms 15 of the mortgage shall provide for amortization payments in an amount 16 sufficient to completely amortize the loan within the period of the 17 lease. 18 k. The funds of the retirement system may be invested in the purchase 19 of promissory notes or bonds from the farmers home administration issued 20 in connection with the purchase or improvement of real property and 21 which are insured by the farmers home administration. 22 S 4. The retirement and social security law is amended by adding a new 23 article 3-B to read as follows: 24 ARTICLE 3-B 25 TRANSPARENCY, ACCOUNTABILITY AND PROHIBITIONS 26 IN THE STATE RETIREMENT SYSTEM 27 SECTION 156. PROHIBITION ON PLACEMENT AGENTS. 28 S 156. PROHIBITION ON PLACEMENT AGENTS. 1. DEFINITIONS. FOR THE 29 PURPOSES OF THIS SECTION, THE FOLLOWING DEFINITIONS SHALL APPLY: 30 (A) "CONFLICT OF INTEREST" SHALL MEAN A CIRCUMSTANCE UNDER WHICH AN 31 INDIVIDUAL OR ENTITY HAS AN INTEREST THAT HE, SHE OR IT IS AWARE MAY 32 IMPAIR HIS, HER OR ITS IMPARTIAL OR OBJECTIVE JUDGMENT. 33 (B) "CONSULTANT" SHALL MEAN ANY PERSON (OTHER THAN AN EMPLOYEE OF THE 34 BOARD OR THE COMPTROLLER) OR ENTITY RETAINED BY THE FUND TO PROVIDE 35 TECHNICAL OR PROFESSIONAL SERVICES TO THE FUND RELATING TO INVESTMENTS 36 BY THE FUND, INCLUDING OUTSIDE INVESTMENT COUNSEL AND LITIGATION COUN- 37 SEL, CUSTODIANS, ADMINISTRATORS, BROKER-DEALERS, AND PERSONS OR ENTITIES 38 THAT IDENTIFY INVESTMENT OBJECTIVES AND RISKS, ASSIST IN THE SELECTION 39 OF MONEY MANAGERS, SECURITIES, OR OTHER INVESTMENTS, OR MONITOR INVEST- 40 MENT PERFORMANCE. 41 (C) "FAMILY MEMBER" SHALL MEAN ANY PERSON RELATED BY BLOOD, MARRIAGE, 42 ADOPTION, OR OPERATION OF LAW WHO RESIDES IN THE SAME HOUSEHOLD, AND ANY 43 PERSON RELATED TO SUCH PERSON WITHIN THE THIRD DEGREE OF CONSANGUINITY 44 OR AFFINITY. 45 (D) "FUND" SHALL MEAN THE NEW YORK STATE COMMON RETIREMENT FUND. 46 (E) "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD" SHALL MEAN THE ENTI- 47 TY ESTABLISHED PURSUANT TO SECTION TEN-B OF THIS CHAPTER. 48 (F) "INVESTMENT MANAGER" SHALL MEAN ANY PERSON (OTHER THAN AN EMPLOYEE 49 OF THE DEPARTMENT OF AUDIT AND CONTROL) OR ENTITY ENGAGED BY THE FUND IN 50 THE MANAGEMENT OF PART OR ALL OF AN INVESTMENT PORTFOLIO OF THE FUND. 51 "MANAGEMENT" SHALL INCLUDE, BUT IS NOT LIMITED TO, ANALYSIS OF PORTFOLIO 52 HOLDINGS, AND THE PURCHASE, SALE, AND LENDING THEREOF. 53 (G) "INVESTMENT POLICY STATEMENT" SHALL MEAN A WRITTEN DOCUMENT THAT, 54 CONSISTENT WITH LAW, SETS FORTH A FRAMEWORK FOR THE INVESTMENT PROGRAM 55 OF THE FUND. S. 6615--A 63 A. 9715--A 1 (H) "PLACEMENT AGENT" SHALL MEAN ANY PERSON OR ENTITY THAT IS DIRECTLY 2 OR INDIRECTLY ENGAGED AND COMPENSATED BY AN INVESTMENT MANAGER TO 3 PROMOTE INVESTMENTS TO OR SOLICIT INVESTMENTS BY THE FUND, WHETHER 4 COMPENSATED ON A FLAT FEE, A CONTINGENT FEE, OR ANY OTHER BASIS, AND 5 SHALL INCLUDE A REGISTERED LOBBYIST. REGULAR EMPLOYEES OF AN INVESTMENT 6 MANAGER ARE EXCLUDED FROM THIS DEFINITION UNLESS THEY ARE EMPLOYED PRIN- 7 CIPALLY FOR THE PURPOSE OF SECURING OR INFLUENCING THE DECISION TO 8 SECURE A PARTICULAR TRANSACTION OR INVESTMENT BY THE FUND. FOR PURPOSES 9 OF THIS PARAGRAPH, THE TERM "EMPLOYEE" SHALL INCLUDE ANY PERSON WHO 10 WOULD QUALIFY AS AN EMPLOYEE UNDER THE FEDERAL INTERNAL REVENUE CODE OF 11 1986, AS AMENDED. 12 (I) "RETIREMENT SYSTEM" SHALL MEAN THE NEW YORK STATE AND LOCAL 13 EMPLOYEES' RETIREMENT SYSTEM AND THE NEW YORK STATE AND LOCAL POLICE AND 14 FIRE RETIREMENT SYSTEM. 15 (J) "THIRD PARTY ADMINISTRATOR" SHALL MEAN ANY PERSON OR ENTITY THAT 16 CONTRACTUALLY PROVIDES ADMINISTRATIVE SERVICES TO THE RETIREMENT SYSTEM, 17 INCLUDING RECEIVING AND RECORDING EMPLOYER AND EMPLOYEE CONTRIBUTIONS, 18 MAINTAINING ELIGIBILITY ROSTERS, VERIFYING ELIGIBILITY FOR BENEFITS, 19 PAYING BENEFITS OR MAINTAINING ANY OTHER RETIREMENT SYSTEM RECORDS. 20 "ADMINISTRATIVE SERVICES" SHALL NOT INCLUDE SERVICES PROVIDED TO THE 21 FUND RELATING TO FUND INVESTMENTS. 22 2. IN ORDER TO PRESERVE THE INDEPENDENCE AND INTEGRITY OF THE FUND, TO 23 PRECLUDE POTENTIAL CONFLICTS OF INTEREST, AND TO ASSIST THE BOARD IN 24 FULFILLING ITS DUTIES AS A FIDUCIARY TO THE FUND: 25 (A) THE BOARD SHALL NOT ENGAGE, HIRE, INVEST WITH OR COMMIT TO AN 26 OUTSIDE INVESTMENT MANAGER, EITHER DIRECTLY OR INDIRECTLY, WHO IS USING 27 THE SERVICES OF A PLACEMENT AGENT TO ASSIST THE INVESTMENT MANAGER IN 28 OBTAINING INVESTMENTS BY THE FUND; AND 29 (B) AN INVESTMENT MANAGER MAY NOT USE THE SERVICES OF A PLACEMENT 30 AGENT TO ASSIST THE INVESTMENT MANAGER IN OBTAINING INVESTMENTS BY THE 31 FUND OR OTHERWISE DOING BUSINESS THEREWITH. 32 3. AN INVESTMENT MANAGER SHALL DISCLOSE AND CERTIFY ON AT LEAST A 33 SEMI-ANNUAL BASIS, AND MORE FREQUENTLY AS DETERMINED BY THE BOARD: 34 (A) THE NAME, TITLE AND DESCRIPTION OF RESPONSIBILITIES OF EACH 35 EMPLOYEE OF THE INVESTMENT MANAGER WHOSE PROFESSIONAL DUTIES INCLUDE 36 CONTACT WITH THE RETIREMENT SYSTEM, INCLUDING THE RETIREMENT SYSTEM'S 37 EMPLOYEES, ADVISORS, CONSULTANTS AND THIRD-PARTY ADMINISTRATORS; 38 (B) WHETHER AN EMPLOYEE OF THE INVESTMENT MANAGER, WHOSE PROFESSIONAL 39 DUTIES INCLUDE CONTACT WITH THE RETIREMENT SYSTEM, IS A CURRENT OR 40 FORMER RETIREMENT SYSTEM EMPLOYEE, ADVISOR, CONSULTANT, OR THIRD-PARTY 41 ADMINISTRATOR; 42 (C) WHETHER ANY EMPLOYEE OF THE INVESTMENT MANAGER, WHOSE PROFESSIONAL 43 DUTIES INCLUDE CONTACT WITH THE RETIREMENT SYSTEM, HAS REGISTERED AS A 44 LOBBYIST WITH ANY STATE OR THE FEDERAL GOVERNMENT IN THE PAST TWO YEARS; 45 AND 46 (D) THE NAMES AND ADDRESSES OF ALL THIRD PARTIES THAT THE INVESTMENT 47 MANAGER COMPENSATED IN CONNECTION WITH INVESTMENTS IN THE RETIREMENT 48 SYSTEM, INCLUDING ANY FEES, COMMISSIONS OR RETAINERS, AND THE AMOUNTS OF 49 SUCH COMPENSATION. 50 4. AN INVESTMENT MANAGER SHALL PROMPTLY DISCLOSE TO THE BOARD, IN 51 WRITING, ANY APPARENT, POTENTIAL OR ACTUAL CONFLICT OF INTEREST BETWEEN 52 THE INVESTMENT MANAGER, INCLUDING THE INVESTMENT MANAGER'S EMPLOYEES AND 53 ANY FAMILY MEMBERS OF THE INVESTMENT MANAGER AND ITS EMPLOYEES, AND THE 54 RETIREMENT SYSTEM, INCLUDING THE RETIREMENT SYSTEM'S EMPLOYEES, CONSULT- 55 ANTS, THIRD-PARTY ADMINISTRATORS AND ANY FAMILY MEMBERS OF THE EMPLOY- 56 EES, CONSULTANTS, AND THIRD-PARTY ADMINISTRATORS. THE INVESTMENT MANAG- S. 6615--A 64 A. 9715--A 1 ER SHALL NOT PROVIDE ANY SERVICES CONCERNING ANY MATTERS AFFECTED BY 2 SUCH CONFLICT OF INTEREST UNLESS THE RETIREMENT SYSTEM EXPRESSLY WAIVES 3 SUCH PROHIBITION OR UNTIL THE CONFLICT OF INTEREST IS OTHERWISE CURED. 4 5. AN INVESTMENT MANAGER SHALL PUBLISH ALL DISCLOSURES AND CERTIF- 5 ICATIONS REQUIRED BY THIS SECTION ON THE INVESTMENT MANAGER'S WEBSITE. 6 6. THE ATTORNEY GENERAL MAY ENFORCE THE PROVISIONS OF THIS SECTION, 7 AND MAY SEEK AN INJUNCTION, ON NOTICE OF FIVE DAYS, ENJOINING A PERSON 8 OR ENTITY FROM CONTINUING TO ENGAGE IN ANY CONDUCT IN VIOLATION OF THIS 9 SECTION. NOTHING IN THIS SECTION SHALL BE CONSTRUED TO LIMIT ANY RIGHT 10 OR REMEDY OTHERWISE AVAILABLE UNDER LAW TO ANY PERSON, OR ENTITY, 11 INCLUDING THE ATTORNEY GENERAL. 12 7. THE BOARD SHALL: 13 (A) FILE WITH THE SUPERINTENDENT OF INSURANCE AN ANNUAL STATEMENT AS 14 PRESCRIBED BY SECTION THREE HUNDRED SEVEN OF THE INSURANCE LAW, INCLUD- 15 ING THE RETIREMENT SYSTEM'S FINANCIAL STATEMENT, TOGETHER WITH AN OPIN- 16 ION OF AN INDEPENDENT CERTIFIED PUBLIC ACCOUNTANT ON THE FINANCIAL 17 STATEMENT; 18 (B) DISCLOSE ON THE OFFICE OF STATE COMPTROLLER'S WEBSITE, ON AT LEAST 19 AN ANNUAL BASIS, ALL FEES PAID BY THE FUND TO INVESTMENT MANAGERS, 20 CONSULTANTS, AND THIRD-PARTY ADMINISTRATORS; 21 (C) DISCLOSE ON THE OFFICE OF STATE COMPTROLLER'S WEBSITE THE FUND'S 22 INVESTMENT POLICIES AND PROCEDURES; AND 23 (D) REQUIRE FIDUCIARY AND CONFLICT OF INTEREST REVIEWS OF THE FUND 24 EVERY THREE YEARS BY A QUALIFIED UNAFFILIATED PERSON. 25 8. FOR PURPOSES OF THIS SECTION, ANY INVESTMENT MADE BY THE FUND 26 PURSUANT TO SUBDIVISION SEVEN OF SECTION ONE HUNDRED SEVENTY-SEVEN OF 27 THIS CHAPTER SHALL BE DEEMED TO BE THE INVESTMENT OF THE FUND IN SUCH 28 INVESTMENT ENTITY, RATHER THAN IN THE ASSET OF SUCH INVESTMENT ENTITY. 29 9. ANY PERSON OR ENTITY THAT HAS A REASONABLE BASIS TO BELIEVE THAT 30 ANY OTHER PERSON OR ENTITY HAS VIOLATED THIS SECTION SHALL REPORT TO THE 31 BOARD AND THE ATTORNEY GENERAL EVIDENCE OF THE VIOLATION. 32 10. ANY VIOLATION OF THIS SECTION OR REGULATIONS PROMULGATED THERE- 33 UNDER SHALL BE A MISDEMEANOR, PUNISHABLE BY A FINE NOT TO EXCEED TWEN- 34 TY-FIVE THOUSAND DOLLARS OR BY IMPRISONMENT NOT TO EXCEED SIX MONTHS OR 35 BY BOTH SUCH FINE AND IMPRISONMENT. ANY SECOND OR SUBSEQUENT VIOLATION 36 SHALL BE A FELONY PUNISHABLE BY A FINE NOT TO EXCEED ONE HUNDRED THOU- 37 SAND DOLLARS OR BY IMPRISONMENT FOR A CLASS E FELONY OR BY BOTH SUCH 38 FINE AND IMPRISONMENT. 39 S 5. Subdivision 4 of section 302 of the retirement and social securi- 40 ty law is amended by adding a new subdivision 8-a to read as follows: 41 8-A. "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD." THE ENTITY ESTAB- 42 LISHED PURSUANT TO SECTION TEN-B OF THIS CHAPTER. 43 S 6. Subdivision g of section 311 of the retirement and social securi- 44 ty law, as added by chapter 1000 of the laws of 1966, is amended to read 45 as follows: 46 g. The comptroller shall, IN CONSULTATION WITH THE EMPLOYEE RETIREMENT 47 SYSTEM BOARD, adopt and amend pursuant to this article only such rules 48 and regulations as he OR SHE determines to be for the best interest of 49 the retirement system and its members. 50 S 7. Section 313 of the retirement and social security law, as added 51 by chapter 1000 of the laws of 1966, subdivision d as amended by chapter 52 460 of the laws of 1971, paragraph 2 of subdivision f as amended by 53 chapter 908 of the laws of 1971, subdivision i as amended by chapter 54 1046 of the laws of 1973, is amended to read as follows: S. 6615--A 65 A. 9715--A 1 S 313. Management of funds. a. The funds of the policemen's and fire- 2 men's retirement system shall be managed in accordance with this 3 section. 4 b. The [comptroller] MEMBERS OF THE EMPLOYEE RETIREMENT SYSTEM BOARD 5 shall be trustee of the several funds of the policemen's and firemen's 6 retirement system AND THE COMPTROLLER SHALL BE CUSTODIAN OF SUCH FUNDS. 7 Such funds shall be invested by the comptroller AS AUTHORIZED BY THE 8 BOARD, in securities in which he OR SHE is authorized by law to invest 9 the funds of the state, except that he OR SHE may invest in obligations 10 consisting of notes, bonds, debentures or equipment trust certificates 11 issued under an indenture, which are the direct obligations of, or in 12 the case of equipment trust certificates are secured by direct obli- 13 gations of, a railroad or industrial corporation, or a corporation 14 engaged directly and primarily in the production, transportation, 15 distribution, or sale of electricity, or gas, or the operation of tele- 16 phone or telegraph systems or waterworks, or in some combination of 17 them; provided the obligor corporation is one which is incorporated 18 under the laws of the United States, or any state thereof, or of the 19 District of Columbia, and said obligations shall be rated at the time of 20 purchase within the three highest classifications established by at 21 least two standard rating services. The maximum amount that the comp- 22 troller AS AUTHORIZED BY THE BOARD may invest in such obligations shall 23 not exceed thirty per centum of the assets of the New York state police- 24 men's and firemen's retirement system's funds; and provided further that 25 not more than two and one-half per centum of the assets of the New York 26 state policemen's and firemen's retirement system's funds shall be 27 invested in the obligations of any one corporation of the highest clas- 28 sification and subsidiary or subsidiaries thereof, that not more than 29 two per centum of the assets of the New York state policemen's and fire- 30 men's retirement system's funds shall be invested in the obligations of 31 any one corporation of the second highest classification and subsidiary 32 or subsidiaries thereof, that not more than one and one-half per centum 33 of the assets of the New York state policemen's and firemen's retirement 34 system's funds shall be invested in the obligations of any one corpo- 35 ration of the third highest classification and subsidiary or subsid- 36 iaries thereof. He OR SHE shall, however, be subject to all terms, 37 conditions, limitations and restrictions imposed by this article and by 38 law upon the making of such investments. The comptroller AS AUTHORIZED 39 BY THE BOARD shall have full power: 40 1. To hold, purchase, sell, assign, transfer or dispose of any of the 41 securities or investments, in which any of the funds of the policemen's 42 and firemen's retirement system shall be invested, including the 43 proceeds of such investments and any monies belonging to such funds, and 44 2. In his OR HER name as [trustee] CUSTODIAN, to foreclose mortgages 45 upon default or to take title to real property in such proceedings in 46 lieu thereof and to lease and sell real property so acquired. 47 c. The comptroller AS AUTHORIZED BY THE BOARD annually shall credit to 48 each of the funds of the policemen's and firemen's retirement system 49 regular interest on the mean amount therein for the preceding year. 50 d. The custody of all funds of the policemen's and firemen's retire- 51 ment system shall be in the charge of the head of the division of the 52 treasury of the department of taxation and finance, subject to the 53 supervision and control of the commissioner of taxation and finance. 54 e. Payment of all pensions, annuities and other benefits shall be made 55 as provided in this article. For the purpose of meeting disbursements 56 for pensions, annuities and other payments ordered by the comptroller, S. 6615--A 66 A. 9715--A 1 the head of such division may keep on deposit an available fund which 2 shall not exceed ten per centum of the total amount of the several funds 3 of the policemen's and firemen's retirement system. Every such deposit 4 shall be kept only in a bank or trust company organized under the laws 5 of this state, or in a national bank located in this state, which shall 6 furnish adequate security therefor. 7 f. The comptroller, however, shall have a fund in his OR HER immediate 8 possession. Such fund shall be used for the immediate payment of: 9 1. All pensions, annuities and other benefits, and 10 2. Such expenses as may necessarily be incurred in acquiring, servic- 11 ing and foreclosing mortgages and in acquiring, managing and protecting 12 investments, and 13 3. Such special expenditures for which the policemen's and firemen's 14 retirement system will be paid by the state or a participating employer. 15 Such fund shall be reimbursed from time to time by the head of such 16 division on the warrant of the comptroller. 17 g. Neither the comptroller nor THE MEMBER OF THE BOARD OR any person 18 employed on the work of the policemen's and firemen's retirement system 19 shall: 20 1. Except as herein provided, have any interest, direct or indirect, 21 in the gains or profits of any investment of the policemen's and fire- 22 men's retirement system, nor, in connection therewith, directly or indi- 23 rectly, receive any pay or emolument for his OR HER services. 24 2. Except as provided in section three hundred fifty of this article: 25 (a) Directly or indirectly, for himself or as an agent or partner of 26 others, borrow any of its funds or deposits or in any manner use the 27 same except to make such current and necessary payments as are author- 28 ized by the comptroller, or 29 (b) Become an endorser, surety or an obligor in any manner of monies 30 loaned by or borrowed of such funds. 31 h. The policemen's and firemen's retirement system may use a part of 32 its funds, not exceeding ten per centum of its assets, (1) for purchas- 33 ing or leasing of land in the city of Albany and the construction there- 34 on of a suitable office building or buildings for the transaction of the 35 business of the retirement system, (2) for purchasing or leasing of land 36 in the cities of Albany, Syracuse, Buffalo, Binghamton, New York, 37 Rochester and Utica and the construction thereon of a suitable office 38 building or buildings for purposes of lease or sale to the state, (3) 39 for purchasing or leasing of land in the city of Albany on the north and 40 south sides of Washington avenue commonly known as the "Campus Site" 41 acquired by the state for a state building site pursuant to the 42 provisions of chapter five hundred seventy-two of the laws of nineteen 43 hundred forty-seven and the construction thereon of power plants includ- 44 ing service connections, electric substations including service 45 connections, garages, warehouses and restaurant facilities deemed neces- 46 sary for the efficient and economical operation of the office building 47 or buildings constructed on such land and (4) for purchasing or leasing 48 of land in the city of Albany acquired by the state for suitable parking 49 facilities for the use primarily of employees of the state and persons 50 having business with state departments and state agencies and the 51 construction thereon of such structures, appurtenances and facilities 52 deemed necessary for the efficient and economical operation of the park- 53 ing facilities constructed on such land and (5) for purchasing or leas- 54 ing of land in locations approved by the state university trustees and 55 the construction, acquisition, reconstruction, rehabilitation or 56 improvement of suitable buildings or facilities thereon for purposes of S. 6615--A 67 A. 9715--A 1 lease or sale to the state university construction fund, such buildings 2 or facilities to be used by the state university or by state-operated 3 institutions or statutory or contract colleges under the jurisdiction of 4 the state university or by the students, faculty and staff of the state 5 university or of any such state-operated institution or statutory or 6 contract college, and their families. 7 The policemen's and firemen's retirement system from time to time may 8 lease to any public agency any portion of a building constructed for the 9 transaction of its business which may not be required for such purpose, 10 upon such terms and conditions as shall be deemed to be for the best 11 interest of the policemen's and firemen's retirement system. 12 Real property of the policemen's and firemen's retirement system 13 acquired or constructed pursuant to this subdivision shall be exempt 14 from taxation. 15 i. At the close of each fiscal year, the average rate of investment 16 earnings of the retirement system shall be computed by the actuary and 17 certified to the comptroller. This rate shall be determined from the 18 investment earnings during the calendar year which ended three months 19 prior to the close of the fiscal year. For any year that such average 20 rate of earnings is in excess of three per centum but not in excess of 21 four per centum, the comptroller shall declare a rate of special inter- 22 est, for members earning regular interest of three per centum, equal to 23 the difference between such average rate of earnings and three per 24 centum, expressed to the lower one-tenth of one per centum, but not in 25 excess of one per centum. For any year, commencing with the fiscal year 26 the first day of which is April first, nineteen hundred seventy, that 27 such average rate of earnings is in excess of four per centum, the 28 special rate of interest for members earning regular interest of three 29 per centum shall be equal to the difference between such average rate of 30 earnings and three per centum, expressed to the lower one-tenth of one 31 per centum, but not in excess of two per centum, and for members earning 32 regular interest of four per centum, it shall be the difference between 33 such average rate of earnings and four per centum, expressed to the 34 lower one-tenth of one per centum, but not in excess of one per centum. 35 Special interest at such rates, shall be credited, by the comptroller at 36 the same time that regular interest is credited, to the individual annu- 37 ity savings accounts of persons who are members as of the close of the 38 fiscal year. Special interest shall not be considered in determining 39 rates of contribution of members. In the case of persons who last became 40 members on or after July first, nineteen hundred seventy-three, the 41 provisions of this subdivision shall apply only to the fiscal years 42 beginning April first, nineteen hundred seventy-two and ending March 43 thirty-first, nineteen hundred seventy-three. 44 j. The retirement system may invest, within the limitations authorized 45 for investments in conventional mortgages, a part of its funds in first 46 mortgages on real property located anywhere within the boundaries of the 47 United States and leased to the government of the United States, 48 provided however, that no such investment shall be made unless the terms 49 of the mortgage shall provide for amortization payments in an amount 50 sufficient to completely amortize the loan within the period of the 51 lease. 52 S 8. Section 421 of the retirement and social security law, as added 53 by chapter 306 of the laws of 1967, is amended to read as follows: 54 S 421. Definitions. As used or referred to in this article, unless a 55 different meaning clearly appears from the context. 1. The term "employ- S. 6615--A 68 A. 9715--A 1 ees' retirement system" shall mean the New York state [employees] 2 EMPLOYEES' retirement system. 3 2. The term "policemen's and firemen's retirement system" shall mean 4 the New York state [policemen's and firemen's] AND LOCAL POLICE AND FIRE 5 retirement system. 6 3. The term "each retirement [sytsem] SYSTEM" shall mean each of the 7 foregoing defined systems. 8 4. [The term "comptroller" shall mean the state comptroller. 9 5.] The term "actuary" shall mean the actuary of the employees' 10 retirement system acting jointly with the actuary of the policemen's and 11 firemen's retirement system. 12 5. "EMPLOYEE RETIREMENT SYSTEM BOARD" OR "BOARD" SHALL MEAN THE ENTITY 13 ESTABLISHED PURSUANT TO SECTION TEN-B OF THIS CHAPTER. 14 S 9. Section 422 of the retirement and social security law, as added 15 by chapter 306 of the laws of 1967, is amended to read as follows: 16 S 422. Establishment of a common retirement fund. 1. There is hereby 17 established a fund, in the custody of the comptroller, to be known as 18 the common retirement fund. Notwithstanding any other provision of this 19 chapter, all of the assets and income of the employees' retirement 20 system and of the policemen's and firemen's retirement system shall be 21 held by the comptroller as [trustee] CUSTODIAN of such fund, except as 22 such assets and income may be allocated or distributed to the funds of 23 each retirement system by the comptroller. 24 2. The fund shall consist initially of the total assets of the employ- 25 ees' retirement system as of March thirty-first, nineteen hundred 26 sixty-seven, as such assets are defined in subdivision a of section two 27 hundred ninety-three of this chapter. After the annual valuation of the 28 assets and liabilities of the employees' retirement system and the 29 determination relating to assets and liabilities required by subdivision 30 b of section two hundred ninety-three of this chapter, the comptroller 31 shall credit to each retirement system a participating interest in the 32 assets of such fund in the proportion and percentage that the assets of 33 each retirement system bear to the total assets of the common retirement 34 fund. [On March thirty-first, nineteen hundred sixty-eight, and at the 35 close of each succeeding fiscal year, the] THE comptroller shall credit 36 each retirement system with a participating interest in such fund in the 37 proportion and percentage that the interest attributable to each retire- 38 ment system bears to the total assets of such fund, after considering 39 contributions, earnings, disbursements and expenses attributable to each 40 system. 41 S 10. Section 423 of the retirement and social security law, as 42 amended by chapter 770 of the laws of 1970, is amended to read as 43 follows: 44 S 423. Investments. a. [On and after April first, nineteen hundred 45 sixty-seven, the] THE comptroller, AS AUTHORIZED BY THE BOARD shall 46 invest the available monies of the common retirement fund in any invest- 47 ments and securities authorized by law for each retirement system and 48 shall hold such investments in his OR HER name as [trustee] CUSTODIAN of 49 such fund, notwithstanding any other provision of this chapter. Partic- 50 ipating interests in such investments shall be credited to each retire- 51 ment system in the manner and at the time specified in [paragraph] 52 SUBDIVISION two of section four hundred twenty-two of this article. 53 b. To assist in the management of the monies of the common retirement 54 fund, the comptroller shall appoint an investment advisory committee 55 consisting of not less than seven members who shall serve for [his] THE 56 COMPTROLLER'S term of office. A vacancy occurring from any cause other S. 6615--A 69 A. 9715--A 1 than expiration of term shall be filled by the comptroller for the 2 remainder of the term. Each member of the committee shall be experienced 3 in the field of investments and shall have served, or shall be serving, 4 as a senior officer or member of the board of an insurance company, 5 banking corporation or other financial or investment organization 6 authorized to do business in the state of New York. The committee shall 7 advise the comptroller, AS WELL AS ITS EXECUTIVE DIRECTOR, CHIEF ACTU- 8 ARY, AND CHIEF INVESTMENT OFFICER on investment policies relating to the 9 monies of the common retirement fund and shall review, from time to 10 time, the investment portfolio of the fund and make such recommendations 11 as may be deemed necessary. 12 The comptroller shall appoint a separate mortgage advisory committee, 13 with the advice and consent of the investment advisory committee, to 14 review proposed mortgage and real estate investments by the common 15 retirement fund. In making investments, as authorized by law, the comp- 16 troller shall be guided by policies established by each committee from 17 time to time; and, in the event the mortgage advisory committee disap- 18 proves a proposed mortgage or real estate investment, such shall not be 19 made. 20 No officer or employee of any state department or agency shall be 21 eligible for membership on either committee. Each committee shall 22 convene periodically on call of the comptroller, or on call of the 23 [chairman] CHAIR OF THE COMMITTEE. The members of each committee shall 24 be entitled to reimbursement for their actual and necessary expenses but 25 shall receive no compensation for their services. 26 S 11. Sections 423-a and 423-b of the retirement and social security 27 law, section 423-a as added by chapter 112 of the laws of 1986 and 28 section 423-b as added by chapter 624 of the laws of 1999, are amended 29 to read as follows: 30 S 423-a. Northern Ireland related investments. 1. Notwithstanding any 31 other provision of law, on and after January first, nineteen hundred 32 eighty-seven, any moneys or assets of the common retirement fund which 33 shall remain or be invested in the stocks, securities or other obli- 34 gations of any institution or company doing business in or with Northern 35 Ireland or with agencies or instrumentalities thereof, shall be invested 36 subject to the provisions of subdivision three of this section. 37 2. On or before the first day of January of each year, the comptroller 38 AS AUTHORIZED BY THE BOARD shall determine the existence of affirmative 39 action taken by institutions or companies doing business in Northern 40 Ireland to eliminate ethnic or religious discrimination based on actions 41 taken for: 42 (a) Increasing the representation of individuals from underrepresented 43 religious groups in the workforce including managerial, supervisory, 44 administrative, clerical and technical jobs. 45 (b) Providing adequate security for the protection of minority employ- 46 ees both at the workplace and while travelling to and from work. 47 (c) The banning of provocative religious or political emblems from the 48 workplace. 49 (d) Publicly advertising all job openings and making special recruit- 50 ment efforts to attract applicants from underrepresented religious 51 groups. 52 (e) Providing that layoff, recall, and termination procedures should 53 not in practice favor particular religious groupings. 54 (f) The abolition of job reservations, apprenticeship restrictions, 55 and differential employment criteria, which discriminate on the basis of 56 religion or ethnic origin. S. 6615--A 70 A. 9715--A 1 (g) The development of training programs that will prepare substantial 2 numbers of current minority employees for skilled jobs, including the 3 expansion of existing programs and the creation of new programs to 4 train, upgrade, and improve the skills of minority employees. 5 (h) The establishment of procedures to assess, identify, and actively 6 recruit minority employees with potential for further advancement. 7 (i) The appointment of senior management staff members to oversee 8 affirmative action efforts and the setting up of timetables to carry out 9 affirmative action principles. 10 3. Consistent with sound investment policy, the comptroller AS AUTHOR- 11 IZED BY THE BOARD shall invest the assets of the common retirement fund 12 in such a manner that the investments in institutions doing business in 13 or with Northern Ireland shall reflect the advances made by such insti- 14 tutions in eliminating discrimination as established pursuant to subdi- 15 vision two of this section. 16 S 423-b. New York state venture capital program. The comptroller AS 17 AUTHORIZED BY THE BOARD is hereby authorized to establish within the 18 common retirement fund a New York state venture capital program for the 19 purpose of investing in qualified businesses as defined in paragraph 20 [six] SEVEN of subdivision (a) of section eleven of the tax law. The 21 comptroller [is authorized to] AS AUTHORIZED BY THE BOARD MAY invest up 22 to two hundred fifty million dollars of assets of the common retirement 23 fund to carry out the purposes of this section. The comptroller AS 24 AUTHORIZED BY THE BOARD may make investments pursuant to this section in 25 partnerships, corporations, trusts or limited liability companies organ- 26 ized on a for-profit basis that enter into agreements to invest the 27 moneys of the New York state venture capital program in qualified busi- 28 nesses. The comptroller AS AUTHORIZED BY THE BOARD shall make such 29 investments consistent with the provisions of paragraph (b) of subdivi- 30 sion nine of section one hundred seventy-seven of this chapter. The 31 comptroller may establish procedures necessary to insure that invest- 32 ments of moneys of the New York state venture capital program are, for 33 each investment in a qualified business, equitably matched by invest- 34 ments made by other sources. The comptroller shall, to the maximum 35 extent practicable, insure that the geographic distribution of invest- 36 ments in the program is in proportion to the state population. 37 S 12. Intentionally omitted. 38 S 13. Section 425 of the retirement and social security law, as added 39 by chapter 306 of the laws of 1967, is amended to read as follows: 40 S 425. Separability of retirement systems. No provision of this arti- 41 cle shall be construed as an impairment of the separability of or of the 42 corporate powers and privileges of the employees' retirement system or 43 the policemen's and firemen's retirement system. The comptroller AS 44 AUTHORIZED BY THE BOARD shall establish or continue separate funds and 45 accounts for each retirement system, consistent with the common retire- 46 ment fund herein provided for, as may be required to carry out the sepa- 47 rate purposes and privileges of each retirement system. 48 S 14. The retirement and social security law is amended by adding a 49 new article 23 to read as follows: 50 ARTICLE 23 51 INVESTMENT FIRMS 52 SECTION 1300. LEGISLATIVE INTENT. 53 1301. DEFINITIONS. 54 1302. BAN ON INVESTMENT FIRM BUSINESS. 55 1303. PROHIBITION ON SOLICITING AND COORDINATING CONTRIBUTIONS. 56 1304. CIRCUMVENTION OF RULE. S. 6615--A 71 A. 9715--A 1 1305. REQUIRED DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY. 2 1306. VOLUNTARY DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY. 3 1307. PROHIBITION OF CERTAIN EMPLOYMENT. 4 1308. PROHIBITION OF CERTAIN FINANCIAL RELATIONSHIPS. 5 1309. INTERNAL PROCEDURES. 6 1310. PROHIBITION OF CERTAIN CONTACTS. 7 1311. GIFTS. 8 1312. MANDATORY REPORTING. 9 1313. ATTORNEY GENERAL ACTION. 10 1314. CRIMINAL SANCTIONS. 11 S 1300. LEGISLATIVE INTENT. THE PURPOSE AND INTENT OF THIS ARTICLE IS 12 TO ENSURE THAT THE HIGH STANDARDS AND INTEGRITY OF INVESTMENT FIRMS ARE 13 MAINTAINED TO PREVENT FRAUDULENT AND MANIPULATIVE ACTS AND PRACTICES, TO 14 PROMOTE JUST AND EQUITABLE PRINCIPLES, TO PERFECT A FREE AND OPEN MARKET 15 AND TO PROTECT THE COMMON RETIREMENT FUND AND THE PUBLIC INTEREST BY: 16 1. PROHIBITING INVESTMENT FIRMS FROM ENGAGING IN BUSINESS WITH THE 17 COMMON RETIREMENT FUND IF CERTAIN POLITICAL CONTRIBUTIONS HAVE BEEN MADE 18 TO OFFICIALS THAT OVERSEE THE FUND; AND 19 2. REQUIRING INVESTMENT FIRMS TO DISCLOSE CERTAIN POLITICAL CONTRIB- 20 UTIONS, AS WELL AS OTHER INFORMATION, TO ALLOW PUBLIC SCRUTINY OF POLI- 21 TICAL CONTRIBUTIONS BY THOSE IN THE BUSINESS. 22 S 1301. DEFINITIONS. AS USED IN THIS ARTICLE: 23 1. "COMMON RETIREMENT FUND" SHALL MEAN ALL OF THE ASSETS AND INCOME OF 24 THE EMPLOYEES' RETIREMENT SYSTEM AND OF THE POLICE AND FIRE RETIREMENT 25 SYSTEM. 26 2. "ISSUER" SHALL MEAN THE COMPTROLLER OR HIS OR HER DESIGNEE IN 27 RELATION TO THE ISSUANCE OF FUNDS FOR INVESTMENT FROM THE COMMON RETIRE- 28 MENT FUND. 29 3. "INVESTMENT FIRM" SHALL MEAN ANY PERSON OR ENTITY THAT ACCEPTS AN 30 INVESTMENT FROM OR PROVIDES INVESTMENT MANAGEMENT SERVICES TO THE 31 RETIREMENT SYSTEM IN CONNECTION WITH THE MANAGEMENT OR INVESTMENT OF A 32 RETIREMENT SYSTEM'S TRUST FUND OR ASSETS. INVESTMENT FIRM INCLUDES ANY 33 SUBSIDIARY OR AFFILIATE OVER WHICH THE INVESTMENT FIRM EXERCISES EXCLU- 34 SIVE CONTROL. 35 4. "OFFICIAL" SHALL MEAN ANY PERSON, INCLUDING THE PERSON'S ELECTION 36 COMMITTEE, WHO WAS, AT THE TIME OF A CONTRIBUTION, AN INCUMBENT, CANDI- 37 DATE OR SUCCESSFUL CANDIDATE FOR AN ELECTIVE OFFICE OF A GOVERNMENT 38 ENTITY, IF THE OFFICE IS DIRECTLY RESPONSIBLE FOR, OR CAN DIRECTLY 39 INFLUENCE THE OUTCOME OF, THE RETIREMENT SYSTEM'S INVESTMENT WITH OR 40 ENGAGEMENT OF THE INVESTMENT FIRM. 41 S 1302. BAN ON INVESTMENT FIRM BUSINESS. NO INVESTMENT FIRM SHALL 42 ENGAGE IN BUSINESS WITH THE COMMON RETIREMENT FUND WITHIN TWO YEARS 43 AFTER ANY CONTRIBUTION TO AN OFFICIAL OF THE COMMON RETIREMENT FUND MADE 44 BY: 45 1. THE INVESTMENT FIRM; 46 2. ANY FINANCE PROFESSIONAL ASSOCIATED WITH SUCH INVESTMENT FIRM; OR 47 3. ANY POLITICAL ACTION COMMITTEE CONTROLLED BY THE INVESTMENT FIRM; 48 PROVIDED, HOWEVER, THAT THIS SECTION SHALL NOT PROHIBIT THE INVESTMENT 49 FIRM FROM ENGAGING IN BUSINESS WITH THE COMMON RETIREMENT FUND IF THE 50 ONLY CONTRIBUTIONS MADE BY THE FOREGOING PERSONS AND ENTITIES TO OFFI- 51 CIALS OF SUCH ISSUER WITHIN THE PREVIOUS TWO YEARS WERE MADE BY PERSONS 52 TO OFFICIALS OF SUCH ISSUER FOR WHOM THE PERSONS WERE ENTITLED TO VOTE 53 AND WHICH CONTRIBUTIONS, IN TOTAL, WERE NOT IN EXCESS OF THREE HUNDRED 54 DOLLARS BY ANY INVESTMENT FIRM TO EACH OFFICIAL, PER ELECTION. 55 S 1303. PROHIBITION ON SOLICITING AND COORDINATING CONTRIBUTIONS. NO 56 INVESTMENT FIRM SHALL SOLICIT ANY PERSON, INCLUDING BUT NOT LIMITED TO, S. 6615--A 72 A. 9715--A 1 ANY AFFILIATED ENTITY OF THE INVESTMENT FIRM OR POLITICAL ACTION COMMIT- 2 TEE, TO: 3 1. MAKE OR COORDINATE ANY CONTRIBUTION, TO AN OFFICIAL OF THE COMMON 4 RETIREMENT FUND WITH WHICH THE INVESTMENT FIRM IS ENGAGING OR IS SEEKING 5 TO ENGAGE IN BUSINESS WITH; OR 6 2. MAKE OR COORDINATE ANY PAYMENT TO A POLITICAL PARTY OF A STATE OR 7 LOCALITY WHERE THE INVESTMENT FIRM IS ENGAGING OR IS SEEKING TO ENGAGE 8 IN BUSINESS WITH THE COMMON RETIREMENT FUND. 9 S 1304. CIRCUMVENTION OF RULE. NO INVESTMENT FIRM, OR ANY PROFESSIONAL 10 THAT CONDUCTS BUSINESS WITH THE COMMON RETIREMENT FUND SHALL, DIRECTLY 11 OR INDIRECTLY, THROUGH OR BY ANY OTHER PERSON, RELATIVE OR MEANS, DO ANY 12 ACT THAT SHALL RESULT IN A VIOLATION OF SECTION THIRTEEN HUNDRED TWO OR 13 THIRTEEN HUNDRED THREE OF THIS ARTICLE. 14 S 1305. REQUIRED DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY. 1. 15 EXCEPT AS OTHERWISE PROVIDED IN SUBDIVISION TWO OF THIS SECTION, EACH 16 INVESTMENT FIRM SHALL, BY JANUARY THIRTY-FIRST, APRIL THIRTIETH, JULY 17 THIRTY-FIRST AND OCTOBER THIRTY-FIRST OF EACH YEAR, REPORT TO THE 18 COMMISSION ON PUBLIC INTEGRITY, IN A FORMAT REQUIRED BY THE COMMISSION, 19 THE FOLLOWING INFORMATION: 20 (A) FOR CONTRIBUTIONS TO OFFICIALS OF THE COMMON RETIREMENT FUND 21 (OTHER THAN A CONTRIBUTION MADE BY AN INVESTMENT FIRM TO AN OFFICIAL OF 22 AN ISSUER FOR WHOM SUCH INVESTMENT FIRM IS ENTITLED TO VOTE IF ALL 23 CONTRIBUTIONS BY SUCH INVESTMENT FIRM TO SUCH OFFICIAL, IN TOTAL, DO NOT 24 EXCEED THREE HUNDRED DOLLARS PER ELECTION) AND PAYMENTS TO POLITICAL 25 PARTIES OF A STATE OR POLITICAL SUBDIVISION (OTHER THAN A PAYMENT MADE 26 BY AN INVESTMENT FIRM TO A POLITICAL PARTY OF A STATE OR A POLITICAL 27 SUBDIVISION IN WHICH SUCH INVESTMENT FIRM IS ENTITLED TO VOTE IF ALL 28 PAYMENTS BY SUCH INVESTMENT FIRM TO SUCH POLITICAL PARTY, IN TOTAL, DO 29 NOT EXCEED THREE HUNDRED DOLLARS PER YEAR) MADE BY THE PERSONS AND ENTI- 30 TIES DESCRIBED IN SUBPARAGRAPH (II) OF THIS PARAGRAPH: 31 (I) THE NAME AND TITLE (INCLUDING ANY CITY, COUNTY, STATE OR POLITICAL 32 SUBDIVISION) OF EACH OFFICIAL AND POLITICAL PARTY RECEIVING CONTRIB- 33 UTIONS OR PAYMENTS DURING SUCH CALENDAR QUARTER; 34 (II) THE CONTRIBUTION OR PAYMENT AMOUNT MADE AND THE CONTRIBUTOR CATE- 35 GORY OF EACH OF THE FOLLOWING PERSONS AND ENTITIES MAKING SUCH CONTRIB- 36 UTIONS OR PAYMENTS DURING SUCH CALENDAR QUARTER: 37 (A) ANY INVESTMENT FIRM OR FINANCE PROFESSIONAL ASSOCIATED WITH SUCH 38 INVESTMENT FIRM; AND 39 (B) EACH POLITICAL ACTION COMMITTEE CONTROLLED BY THE INVESTMENT FIRM 40 OR ANY FINANCE PROFESSIONAL ASSOCIATED WITH SUCH INVESTMENT FIRM; 41 (B) A LIST OF STATE OFFICIALS WITH WHICH THE INVESTMENT FIRM HAS 42 ENGAGED IN BUSINESS DURING SUCH CALENDAR QUARTER, ALONG WITH THE TYPE OF 43 BUSINESS; 44 (C) WHETHER ANY CONTRIBUTION LISTED IN THIS SUBDIVISION IS THE SUBJECT 45 OF AN AUTOMATIC EXEMPTION, AND THE DATE OF SUCH AUTOMATIC EXEMPTION; AND 46 (D) SUCH OTHER INFORMATION REQUIRED BY THE COMMISSION ON PUBLIC INTEG- 47 RITY. 48 2. NO INVESTMENT FIRM SHALL BE REQUIRED TO MAKE A DISCLOSURE PURSUANT 49 TO THIS SECTION TO THE COMMISSION ON PUBLIC INTEGRITY FOR ANY CALENDAR 50 QUARTER IN WHICH: 51 (A) SUCH INVESTMENT FIRM HAS NO INFORMATION TO DISCLOSE FOR SUCH 52 CALENDAR QUARTER; OR 53 (B) SUCH INVESTMENT FIRM HAS NOT ENGAGED IN BUSINESS WITH THE COMMON 54 RETIREMENT FUND, BUT ONLY IF SUCH INVESTMENT FIRM DID NOT ENGAGE IN 55 BUSINESS WITH THE COMMON RETIREMENT FUND DURING THE SEVEN CONSECUTIVE 56 CALENDAR QUARTERS IMMEDIATELY PRECEDING SUCH CALENDAR QUARTER. S. 6615--A 73 A. 9715--A 1 3. THE COMMISSION ON PUBLIC INTEGRITY SHALL MAKE PUBLIC A COPY OF THE 2 DISCLOSURES RECEIVED FROM ANY INVESTMENT FIRM. 3 4. IF AN INVESTMENT FIRM ENGAGES IN BUSINESS DURING ANY CALENDAR QUAR- 4 TER AFTER NOT HAVING REPORTED THE INFORMATION DESCRIBED IN PARAGRAPH (A) 5 OF SUBDIVISION ONE OF THIS SECTION FOR ONE OR MORE CONTRIBUTIONS OR 6 PAYMENTS MADE DURING THE TWO-YEAR PERIOD PRECEDING SUCH CALENDAR QUARTER 7 SOLELY AS A RESULT OF PARAGRAPH (B) OF SUBDIVISION TWO OF THIS SECTION, 8 THEN SUCH INVESTMENT FIRM SHALL INCLUDE IN THE INFORMATION FOR SUCH 9 CALENDAR QUARTER ALL SUCH INFORMATION (INCLUDING YEAR AND CALENDAR QUAR- 10 TER OF SUCH CONTRIBUTIONS OR PAYMENTS) NOT SO REPORTED DURING SUCH TWO- 11 YEAR PERIOD. 12 5. AN INVESTMENT FIRM THAT SUBMITS INFORMATION TO THE COMMISSION ON 13 PUBLIC INTEGRITY SHALL: 14 (A) SEND TWO COPIES OF SUCH DISCLOSURE TO THE COMMISSION ON PUBLIC 15 INTEGRITY BY CERTIFIED OR REGISTERED MAIL, OR SOME OTHER EQUALLY PROMPT 16 MEANS THAT PROVIDES A RECORD OF SENDING; OR 17 (B) SUBMIT AN ELECTRONIC VERSION OF SUCH DISCLOSURE TO THE COMMISSION 18 ON PUBLIC INTEGRITY IN SUCH FORMAT AND MANNER SPECIFIED IN REGULATIONS 19 PROMULGATED BY THE COMMISSION ON PUBLIC INTEGRITY. 20 S 1306. VOLUNTARY DISCLOSURE TO COMMISSION ON PUBLIC INTEGRITY. THE 21 COMMISSION ON PUBLIC INTEGRITY SHALL ACCEPT ADDITIONAL DISCLOSURES 22 RELATED TO CONTRIBUTIONS MADE TO OFFICIALS OF ISSUERS AND PAYMENTS TO 23 POLITICAL PARTIES AND POLITICAL SUBDIVISIONS VOLUNTARILY SUBMITTED BY AN 24 INVESTMENT FIRM PROVIDED THAT SUCH DISCLOSURES ARE SUBMITTED IN ACCORD- 25 ANCE WITH SECTION THIRTEEN HUNDRED FIVE OF THIS ARTICLE. 26 S 1307. PROHIBITION OF CERTAIN EMPLOYMENT. NO INVESTMENT FIRM SHALL 27 EMPLOY OR COMPENSATE IN ANY MANNER A BOARD MEMBER, OFFICIAL, RETIREMENT 28 FUND OFFICIAL, EMPLOYEE OR FIDUCIARY OF THE COMMON RETIREMENT FUND FOR 29 TWO YEARS AFTER THE TERMINATION OF SUCH PERSON'S RELATIONSHIP WITH THE 30 COMMON RETIREMENT FUND UNLESS SUCH PERSON SHALL NOT HAVE CONTACT WITH, 31 OR PROVIDE SERVICES TO, THE COMMON RETIREMENT FUND. 32 S 1308. PROHIBITION OF CERTAIN FINANCIAL RELATIONSHIPS. NO INVESTMENT 33 FIRM OR RELATED PARTY SHALL HAVE A DIRECT OR INDIRECT FINANCIAL, COMMER- 34 CIAL OR BUSINESS RELATIONSHIP WITH AN OFFICIAL OR ISSUER OF PENSION 35 FUNDS, UNLESS THE BOARD CONSENTS AFTER FULL DISCLOSURE BY THE INVESTMENT 36 FIRM OR RELATED PARTY. 37 S 1309. INTERNAL PROCEDURES. AN INVESTMENT FIRM SHALL ADOPT INTERNAL 38 PROCEDURES TO MONITOR AND ENSURE ITS COMPLIANCE WITH THIS ARTICLE, AND 39 SHALL PROVIDE TO THE BOARD AND THE ATTORNEY GENERAL A COPY OF THESE 40 PROCEDURES, INCLUDING ANY UPDATES THERETO. 41 S 1310. PROHIBITION OF CERTAIN CONTACTS. UPON THE COMMON RETIREMENT 42 FUND'S RELEASE OF ANY REQUEST FOR PROPOSAL, INVITATION FOR BID, OR 43 COMPARABLE PROCUREMENT VEHICLE FOR ANY INVESTMENT SERVICES, THERE SHALL 44 BE NO COMMUNICATION BETWEEN ANY BOARD MEMBER, OFFICIAL, RETIREMENT FUND 45 OFFICIAL, EMPLOYEE OR FIDUCIARY OF THE COMMON RETIREMENT FUND CONCERNING 46 THE PROCUREMENT PROCESS UNTIL THE PROCESS IS COMPLETE, PROVIDED, HOWEV- 47 ER, THAT A REQUEST FOR TECHNICAL CLARIFICATION REGARDING THE PROCUREMENT 48 PROCESS ITSELF SHALL BE PERMISSIBLE, AND AN INVESTMENT FIRM SHALL DIRECT 49 SUCH REQUEST TO THE PERSON DESIGNATED BY THE COMMON RETIREMENT FUND. 50 NOTHING HEREIN SHALL PROHIBIT AN INVESTMENT FIRM FROM COMPLYING WITH A 51 REQUEST FOR INFORMATION FROM THE COMMON RETIREMENT FUND DURING THE 52 PROCUREMENT PROCESS. 53 S 1311. GIFTS. AN INVESTMENT FIRM SHALL NOT GIVE OR OFFER TO GIVE ANY 54 GIFT TO ANY BOARD MEMBER, OFFICIAL, RETIREMENT FUND OFFICIAL, EMPLOYEE 55 OR FIDUCIARY OF THE COMMON RETIREMENT FUND OTHER THAN AN ARTICLE OF 56 MERCHANDISE NOT EXCEEDING FIFTEEN DOLLARS IN VALUE, WHICH SHALL HAVE S. 6615--A 74 A. 9715--A 1 CONSPICUOUSLY STAMPED OR PRINTED THEREON THE ADVERTISEMENT OF THE 2 INVESTMENT FIRM. FOR THE PURPOSE OF THIS SECTION, A GIFT SHALL INCLUDE, 3 BUT IS NOT LIMITED TO, MONEY, LOANS, LODGING, MEALS, REFRESHMENTS, 4 VACATIONS, PRIZES, DISCOUNTS, AND ENTERTAINMENT. 5 S 1312. MANDATORY REPORTING. ANY PERSON OR ENTITY THAT HAS A REASON- 6 ABLE BASIS TO BELIEVE THAT ANY OTHER PERSON OR ENTITY HAS VIOLATED THIS 7 ARTICLE SHALL REPORT TO THE BOARD AND THE ATTORNEY GENERAL EVIDENCE OF 8 THE VIOLATION. 9 S 1313. ATTORNEY GENERAL ACTION. THE ATTORNEY GENERAL MAY ENFORCE THE 10 PROVISIONS OF THIS ARTICLE AND MAY SEEK AN INJUNCTION, ON NOTICE OF FIVE 11 DAYS, ENJOINING A PERSON OR ENTITY FROM CONTINUING TO ENGAGE IN ANY 12 CONDUCT IN VIOLATION OF THIS ARTICLE. NOTHING IN THIS ARTICLE SHALL BE 13 CONSTRUED TO LIMIT ANY RIGHT OR REMEDY OTHERWISE AVAILABLE UNDER LAW TO 14 ANY PERSON OR ENTITY, INCLUDING THE ATTORNEY GENERAL. 15 S 1314. CRIMINAL SANCTIONS. ANY VIOLATION OF THIS ARTICLE OR REGU- 16 LATIONS PROMULGATED THEREUNDER SHALL BE A MISDEMEANOR, PUNISHABLE BY A 17 FINE NOT TO EXCEED TWENTY-FIVE THOUSAND DOLLARS OR BY IMPRISONMENT NOT 18 TO EXCEED SIX MONTHS OR BY BOTH SUCH FINE AND IMPRISONMENT. ANY SECOND 19 OR SUBSEQUENT VIOLATION SHALL BE A FELONY PUNISHABLE BY A FINE NOT TO 20 EXCEED ONE HUNDRED THOUSAND DOLLARS OR BY IMPRISONMENT FOR A CLASS E 21 FELONY OR BY BOTH SUCH FINE AND IMPRISONMENT. 22 S 15. Section 98 of the state finance law, subdivision 2-a as added by 23 chapter 61 of the laws of 1989, subdivision 3-a as amended by chapter 24 219 of the laws of 1999, subdivision 5 as amended by chapter 6 of the 25 laws of 1960, subdivision 6 as amended by chapter 527 of the laws of 26 1950, subdivision 7 as amended by chapter 243 of the laws of 1952, 27 subdivisions 8, 9 and 10 as amended by chapter 870 of the laws of 1948, 28 subdivision 11 as amended by chapter 458 of the laws of 1950, the open- 29 ing paragraph and paragraphs b, c and i of subdivision 11 as amended by 30 chapter 250 of the laws of 1951, paragraph w of subdivision 11 as added 31 by chapter 259 of the laws of 1952, paragraph x of subdivision 11 as 32 added by chapter 364 of the laws of 1955, paragraph y of subdivision 11 33 as amended by chapter 865 of the laws of 1955 and as relettered by chap- 34 ter 864 of the laws of 1956, paragraph z of subdivision 11 as amended by 35 chapter 809 of the laws of 1968, paragraph aa of subdivision 11 as 36 amended by chapter 339 of the laws of 1961, paragraph aa of subdivision 37 11 as added by chapter 261 of the laws of 1957, paragraph bb of subdivi- 38 sion 11 as added by chapter 826 of the laws of 1958, paragraph cc of 39 subdivision 11 as added by chapter 324 of the laws of 1965, paragraph dd 40 of subdivision 11 as added by chapter 717 of the laws of 1967, paragraph 41 dd of subdivision 11 as added by chapter 722 of the laws of 1967, para- 42 graph ee of subdivision 11 as added by chapter 1124 of the laws of 1969, 43 paragraph ff of subdivision 11 as added by chapter 460 of the laws of 44 1970, paragraph ff of subdivision 11 as added by chapter 714 of the laws 45 of 1970, subdivision 12 as added by chapter 499 of the laws of 1952, 46 subdivision 13 as added by chapter 311 of the laws of 1960, subdivision 47 13-a as added by chapter 113 of the laws of 1968, subdivision 13-b as 48 added by chapter 234 of the laws of 1988, subdivision 13-c as added by 49 chapter 144 of the laws of 1991, subdivision 14 as added by chapter 797 50 of the laws of 1963, subdivision 14 as added by chapter 932 of the laws 51 of 1963, subdivision 15 as added by chapter 392 of the laws of 1973, 52 subdivision 16 as added by chapter 7 of the laws of 1975, subdivision 17 53 as added by chapter 169 of the laws of 1975, subdivision 18 as amended 54 by chapter 219 of the laws of 1999, subdivision 19 as amended by chapter 55 201 of the laws of 1996, subdivision 20 as added by chapter 545 of the S. 6615--A 75 A. 9715--A 1 laws of 2005 and the closing paragraph as amended by chapter 317 of the 2 laws of 1994, is amended to read as follows: 3 S 98. Investment of state funds. The comptroller, AS AUTHORIZED BY THE 4 EMPLOYEE RETIREMENT SYSTEM BOARD OF TRUSTEES ESTABLISHED PURSUANT TO 5 SECTION TEN-B OF THE RETIREMENT AND SOCIAL SECURITY LAW, shall invest 6 and keep invested all moneys belonging to any and all funds which the 7 comptroller OR SUCH BOARD now is or hereafter shall be authorized to 8 invest, in any of the following securities: 9 1. Bonds and notes of the United States. 10 2. Bonds and notes of this state. 11 2-a. General obligation bonds and notes of any state other than this 12 state, provided that such bonds and notes receive the highest rating of 13 at least one independent rating agency designated by the comptroller. 14 3. Obligations for the payment of which the faith and credit of the 15 United States or of this state are pledged. 16 3-a. Notes, bonds, debentures, mortgages and other evidences of 17 indebtedness of the United States Postal Service; the federal national 18 mortgage association; federal home loan mortgage corporation; student 19 loan marketing association; federal farm credit system or any other 20 United States government sponsored agency, provided that at the time of 21 the investment such agency or its obligations are rated and the agency 22 receives, or its obligations receive, the highest rating of all inde- 23 pendent rating agencies that rate such agency or its obligations, 24 provided, however, that no more than two hundred fifty million dollars 25 may be invested in the obligations of any one agency. 26 4. Judgments or awards of the court of claims of this state. 27 5. Stocks, bonds, or notes of any county, town, city, village, fire 28 district or school district of this state issued pursuant to law. 29 6. Mortgage bonds or any obligations for the payment of money, no 30 matter how designated, secured by another instrument representing a lien 31 on specific real property or a leasehold thereof, heretofore or hereaft- 32 er and at the time of the assignment thereof to the comptroller insured 33 by the federal housing administrator or any of his successors in office 34 and guaranteed by the United States under the provisions of the national 35 housing act, as amended or supplemented. Any such mortgage bonds or 36 obligations as aforesaid in which the comptroller has invested or shall 37 have invested pursuant to this subdivision shall be serviced by the 38 comptroller or in his discretion, by mortgagees, as such are defined by 39 the national housing act, as amended or supplemented, duly appointed by 40 him and subject to the inspection and supervision of some governmental 41 agency. The comptroller may receive and hold such debentures and certif- 42 icates or other obligations as are issued in payment of such insurance 43 or guarantee. 44 7. Bonds and notes of the Savings and Loan Bank of the state of New 45 York. 46 8. Bonds or notes of any housing authority of this state duly issued 47 pursuant to law. 48 9. Bonds or notes of any regulating district of this state duly issued 49 pursuant to law. 50 10. Bonds or notes of any drainage improvement district of this state 51 duly issued pursuant to law. 52 11. Bonds or notes of the authorities or commissions set forth below 53 when issued pursuant to law: 54 a. Port of New York Authority. 55 b. Niagara Frontier Authority. 56 c. Triborough bridge and tunnel authority. S. 6615--A 76 A. 9715--A 1 d. Thousand Islands Bridge Authority. 2 e. New York State Bridge Authority. 3 f. New York City Tunnel Authority. 4 g. Lake Champlain Bridge Commission. 5 h. Lower Hudson Regional Market Authority. 6 i. Albany Regional Market Authority. 7 k. American Museum of Natural History Planetarium Authority. 8 l. Industrial Exhibit Authority. 9 m. Buffalo Sewer Authority. 10 n. Whiteface Mountain Authority. 11 o. Pelham-Portchester Parkway Authority. 12 p. Jones Beach State Parkway Authority. 13 q. Bethpage Park Authority. 14 r. Dormitory Authority. 15 s. Central New York Regional Market Authority. 16 t. Erie County Water Authority. 17 u. Suffolk County Water Authority. 18 v. New York State Thruway Authority. 19 w. Genesee Valley Regional Market Authority. 20 x. Onondaga county water authority. 21 y. Power Authority of the state of New York. 22 z. Ogdensburg Bridge and Port Authority. 23 aa. East Hudson Parkway Authority. 24 aa. Niagara Frontier Port Authority. 25 bb. Northwestern New York Water Authority. 26 cc. Metropolitan Commuter Transportation Authority. 27 dd. Niagara Frontier Transportation Authority. 28 dd. New York State Pure Waters Authority. 29 ee. Rochester-Genesee Regional Transportation Authority. 30 ff. Capital District Transportation Authority. 31 ff. Central New York Regional Transportation Authority. 32 12. Obligations of the International Bank for Reconstruction and 33 Development duly issued pursuant to law. 34 13. Obligations of the inter-American development bank duly issued 35 pursuant to law. 36 13-a. Obligations of the Asian Development Bank duly issued pursuant 37 to law. 38 13-b. Obligations of the African Development Bank duly issued pursuant 39 to law. 40 13-c. Obligations of the International Finance Corporation duly issued 41 pursuant to law. 42 14. Collateral trust notes issued by a trust company, all of the capi- 43 tal stock of which is owned by not less than twenty savings banks of the 44 state of New York. 45 14. Bonds and notes issued for any of the corporate purposes of the 46 New York state housing finance agency. 47 15. Bonds and notes issued for any of the corporate purposes of the 48 New York state medical care facilities finance agency. 49 16. Bonds and notes issued for any of the corporate purposes of the 50 New York state project finance agency. 51 17. Bonds and notes issued for any of the corporate purposes of the 52 municipal assistance corporation for New York City. 53 18. Obligations of any corporation organized under the laws of any 54 state in the United States maturing within two hundred seventy days 55 provided that such obligations receive the highest rating of two inde- 56 pendent rating services designated by the comptroller and that the S. 6615--A 77 A. 9715--A 1 issuer of such obligations has maintained such ratings on similar obli- 2 gations during the preceding six months provided, however, that the 3 issuer of such obligations need not have received such rating during the 4 prior six month period if such issuer has received the highest rating of 5 two independent rating services designated by the state comptroller and 6 is the successor or wholly owned subsidiary of an issuer that has main- 7 tained such ratings on similar obligations during the preceding six 8 month period or if the issuer is the product of a merger of two or more 9 issuers, one of which has maintained such ratings on similar obligations 10 during the preceding six month period, provided, however, that no more 11 than two hundred fifty million dollars may be invested in such obli- 12 gations of any one corporation. 13 19. Bankers' acceptances maturing within ninety days which are eligi- 14 ble for purchase in the open market by federal reserve banks and which 15 have been accepted by a bank or trust company, which is organized under 16 the laws of the United States or of any state thereof and which is a 17 member of the federal reserve system and whose short-term obligations 18 meet the criteria outlined in subdivision eighteen of this section. 19 Provided, however, that no more than two hundred fifty million dollars 20 may be invested in such bankers' acceptance of any one bank or trust 21 company. 22 20. No-load money market mutual funds registered under the Securities 23 Act of 1933, as amended, and operated in accordance with Rule 2a-7 of 24 the Investment Company Act of 1940, as amended, provided that such funds 25 are limited to investments in obligations issued or guaranteed by the 26 United States of America or in obligations of agencies or instrumentali- 27 ties of the United States of America where the payment of principal and 28 interest are guaranteed by the United States of America (including 29 contracts for the sale and repurchase of any such obligations), and are 30 rated in the highest rating category by at least one nationally recog- 31 nized statistical rating organization, provided, however, that no more 32 than two hundred fifty million dollars may be invested in such funds. 33 The comptroller, AS AUTHORIZED BY THE EMPLOYEE RETIREMENT SYSTEM 34 BOARD, whenever he, SHE OR IT deems it for the best interest of any of 35 such funds, may dispose of any of the securities therein or investments 36 therefor, in making other investments authorized by law, and he, SHE OR 37 IT may exchange any such securities for those held in any other of such 38 funds, and the comptroller OR SUCH BOARD may take such action as may be 39 necessary to obtain the benefits of the insurance provided for in the 40 national housing act, and may draw his, HER OR ITS warrant upon the 41 treasurer for the amount required for such investments and exchanges. 42 Notwithstanding the provisions of any other general or special law, 43 the comptroller shall not invest the moneys of any fund in any security 44 or securities except as above described, provided, however, that: (a) 45 the comptroller may, in order to maximize the rate of return on invest- 46 ments, invest the moneys belonging to the New York interest on lawyer 47 account fund in notes, securities and deposits of banking institutions 48 which accept IOLA accounts, and (b) the provisions of this section shall 49 not limit the types of investments that may be made with moneys belong- 50 ing to the volunteer ambulance service award fund established by section 51 two hundred nineteen-h of the general municipal law. 52 S 16. The public officers law is amended by adding a new section 73-f 53 to read as follows: 54 S 73-F. DESIGNATING COMMISSION FOR THE EMPLOYEE RETIREMENT SYSTEM 55 BOARD. 1. DEFINITIONS. FOR THE PURPOSE OF THIS CHAPTER, THE FOLLOWING 56 TERMS SHALL HAVE THE FOLLOWING MEANINGS: S. 6615--A 78 A. 9715--A 1 A. "DESIGNATING COMMISSION" MEANS THE DESIGNATING COMMISSION FOR THE 2 EMPLOYEE RETIREMENT SYSTEM BOARD. 3 B. "DESIGNATING MEMBERS" MEANS THE MEMBERS OF THE DESIGNATING COMMIS- 4 SION FOR THE EMPLOYEE RETIREMENT SYSTEM BOARD. 5 C. "COMMISSIONER" MEANS A MEMBER OF THE STATE GOVERNMENT ETHICS 6 COMMISSION. 7 D. "CANDIDATE" MEANS ANY INDIVIDUAL UNDER CONSIDERATION BY THE DESIG- 8 NATING COMMISSION FOR THE POSITION OF TRUSTEE OF THE EMPLOYEE RETIREMENT 9 SYSTEM BOARD. 10 E. "APPOINTING OFFICER" MEANS THE STATE ELECTED OFFICIAL RESPONSIBLE 11 FOR APPOINTING THE DESIGNATING MEMBERS. 12 2. ORGANIZATION OF THE DESIGNATING COMMISSION. A. A DESIGNATING 13 COMMISSION FOR THE EMPLOYEE RETIREMENT SYSTEM BOARD IS HEREBY ESTAB- 14 LISHED. THE DESIGNATING COMMISSION SHALL CONSIST OF TEN MEMBERS OF WHOM 15 FOUR SHALL BE APPOINTED BY THE GOVERNOR, AND ONE EACH BY THE ATTORNEY 16 GENERAL, THE STATE COMPTROLLER, THE SPEAKER OF THE ASSEMBLY, THE TEMPO- 17 RARY PRESIDENT OF THE SENATE, THE MINORITY LEADER OF THE SENATE, AND THE 18 MINORITY LEADER OF THE ASSEMBLY. OF THE FOUR MEMBERS APPOINTED BY THE 19 GOVERNOR, NO MORE THAN TWO SHALL BE ENROLLED IN THE SAME POLITICAL 20 PARTY. NO MEMBER OF THE DESIGNATING COMMISSION SHALL BE A MEMBER OF THE 21 LEGISLATURE, AN EMPLOYEE OF STATE GOVERNMENT, HOLD ANY OFFICE IN ANY 22 POLITICAL PARTY OR BE A REGISTERED LOBBYIST IN THIS STATE OR IN ANY 23 OTHER STATE. NO MEMBER OF THE DESIGNATING COMMISSION SHALL BE A PARTNER, 24 OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBYING FIRM OR ANY ENTITY 25 RECEIVING A STATE CONTRACT THAT SHARES IN ANY PART OF THE PROFIT DERIVED 26 FROM LOBBYING. TO THE EXTENT POSSIBLE, THE MEMBERS OF THE DESIGNATING 27 COMMISSION SHALL BE INDIVIDUALS WITH KNOWLEDGE OR EXPERIENCE IN THE 28 FIELD OF SECURITIES INVESTMENTS, PENSION ADMINISTRATION, PENSION LAW OR 29 GOVERNMENTAL FINANCE. 30 B. THE MEMBERS FIRST APPOINTED BY THE GOVERNOR SHALL HAVE RESPECTIVELY 31 ONE, TWO, THREE AND FOUR-YEAR TERMS AS HE SHALL DESIGNATE. THE MEMBER 32 FIRST APPOINTED BY THE ATTORNEY GENERAL SHALL HAVE A TWO-YEAR TERM. THE 33 MEMBER FIRST APPOINTED BY THE STATE COMPTROLLER SHALL HAVE A TWO-YEAR 34 TERM. THE MEMBER FIRST APPOINTED BY THE TEMPORARY PRESIDENT OF THE 35 SENATE SHALL HAVE A ONE-YEAR TERM. THE MEMBER FIRST APPOINTED BY THE 36 MINORITY LEADER OF THE SENATE SHALL HAVE A TWO-YEAR TERM. THE MEMBER 37 FIRST APPOINTED BY THE SPEAKER OF THE ASSEMBLY SHALL HAVE A FOUR-YEAR 38 TERM. THE MEMBER FIRST APPOINTED BY THE MINORITY LEADER OF THE ASSEMBLY 39 SHALL HAVE A THREE-YEAR TERM. EACH SUBSEQUENT APPOINTMENT SHALL BE FOR 40 A TERM OF FOUR YEARS. 41 C. A VACANCY SHALL BE DEEMED TO OCCUR IMMEDIATELY UPON THE APPOINTMENT 42 OR ELECTION OF ANY MEMBER TO AN OFFICE THAT WOULD DISQUALIFY HIM OR HER 43 FOR APPOINTMENT TO, OR MEMBERSHIP ON, THE DESIGNATING COMMISSION. A 44 VACANCY OCCURRING FOR ANY REASON OTHER THAN BY EXPIRATION OF TERM SHALL 45 BE FILLED BY THE APPOINTING OFFICER FOR THE REMAINDER OF THE UNEXPIRED 46 TERM. NO MEMBER OF THE DESIGNATING COMMISSION SHALL HOLD OFFICE FOR 47 MORE THAN NINETY DAYS AFTER THE EXPIRATION OF HIS OR HER TERM. IF THE 48 APPOINTING OFFICER FAILS TO APPOINT A PERSON TO A VACANT OFFICE, BY A 49 MAJORITY VOTE WITHOUT VACANCY, THE DESIGNATING COMMISSION SHALL SELECT A 50 PERSON TO FILL THE VACANT OFFICE. 51 D. THE MEMBERS SHALL DESIGNATE ONE OF THEIR NUMBER TO SERVE AS CHAIR- 52 MAN FOR A PERIOD OF TWO YEARS OR UNTIL HIS OR HER TERM OF OFFICE 53 EXPIRES, WHICHEVER PERIOD IS SHORTER. 54 E. NO MEMBER OF THE DESIGNATING COMMISSION SHALL RECEIVE COMPENSATION, 55 BUT MAY RECEIVE HIS OR HER ACTUAL AND NECESSARY EXPENSES INCURRED IN THE 56 DISCHARGE OF HIS OR HER DUTIES. S. 6615--A 79 A. 9715--A 1 F. EIGHT MEMBERS OF THE DESIGNATING COMMISSION SHALL CONSTITUTE A 2 QUORUM. 3 3. FUNCTIONS OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMIS- 4 SION SHALL CONSIDER AND EVALUATE THE QUALIFICATIONS OF CANDIDATES FOR 5 APPOINTMENT AS A MEMBER OF THE EMPLOYEE RETIREMENT SYSTEM BOARD AND, AS 6 A VACANCY OCCURS IN ANY SUCH OFFICE, SHALL APPOINT PERSONS WHO BY THEIR 7 CHARACTER, TEMPERAMENT, PROFESSIONAL APTITUDE AND EXPERIENCE ARE WELL 8 QUALIFIED TO HOLD SUCH OFFICE. THE DESIGNATING COMMISSION SHALL SELECT 9 ONE SUCH PERSON TO SERVE AS CHAIR OF THE BOARD. 10 B. AN APPOINTMENT AS MEMBER OF THE EMPLOYEE RETIREMENT SYSTEM BOARD BY 11 THE DESIGNATING COMMISSION SHALL REQUIRE THE CONCURRENCE OF SEVEN 12 MEMBERS OF THE DESIGNATING COMMISSION. THE APPOINTMENT SHALL BE TRANS- 13 MITTED TO THE GOVERNOR, THE ATTORNEY GENERAL, THE STATE COMPTROLLER, THE 14 TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF THE ASSEMBLY, THE 15 MINORITY LEADER OF THE SENATE AND THE MINORITY LEADER OF THE ASSEMBLY IN 16 A SINGLE WRITTEN REPORT, WHICH SHALL BE RELEASED TO THE PUBLIC BY THE 17 DESIGNATING COMMISSION AT THE TIME IT IS SUBMITTED. THE REPORT SHALL BE 18 IN WRITING, SIGNED ONLY BY THE CHAIRMAN, AND SHALL INCLUDE THE DESIGNAT- 19 ING COMMISSION'S FINDINGS RELATING TO THE CHARACTER, TEMPERAMENT, 20 PROFESSIONAL APTITUDE, EXPERIENCE, QUALIFICATIONS AND FITNESS FOR OFFICE 21 OF EACH CANDIDATE WHO IS APPOINTED COMMISSIONER. 22 C. NO PERSON SHALL BE APPOINTED MEMBER OF THE BOARD BY THE DESIGNATING 23 COMMISSION WHO HAS NOT CONSENTED TO BE A CANDIDATE, WHO HAS NOT BEEN 24 PERSONALLY INTERVIEWED BY A QUORUM OF THE MEMBERSHIP OF THE DESIGNATING 25 COMMISSION, AND WHO HAS NOT FILED A FINANCIAL STATEMENT WITH THE DESIG- 26 NATING COMMISSION, ON A FORM TO BE PRESCRIBED BY THE DESIGNATING COMMIS- 27 SION. THE FINANCIAL STATEMENT SHALL CONSIST OF A SWORN STATEMENT OF THE 28 PERSON'S ASSETS, LIABILITIES AND SOURCES OF INCOME, AND ANY OTHER RELE- 29 VANT FINANCIAL INFORMATION WHICH THE DESIGNATING COMMISSION MAY REQUIRE. 30 THE DESIGNATING COMMISSION SHALL TRANSMIT THE FINANCIAL STATEMENT FILED 31 BY EACH PERSON WHO IS APPOINTED TO THE GOVERNOR, THE ATTORNEY GENERAL, 32 THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAK- 33 ER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE MINORITY 34 LEADER OF THE ASSEMBLY. THE DESIGNATING COMMISSION SHALL MAKE AVAILABLE 35 TO THE PUBLIC THE FINANCIAL STATEMENT FILED BY THE PERSON WHO IS 36 APPOINTED TO FILL A VACANCY. THE FINANCIAL STATEMENTS FILED BY ALL OTHER 37 PERSONS NOT APPOINTED BY THE DESIGNATING COMMISSION SHALL BE CONFIDEN- 38 TIAL. 39 4. ADDITIONAL FUNCTIONS OF THE DESIGNATING COMMISSION. THE DESIGNATING 40 COMMISSION SHALL HAVE THE FOLLOWING FUNCTIONS, POWERS AND DUTIES: 41 A. ESTABLISH DETAILED COMMUNICATION PROCEDURES TO ASSURE THAT PERSONS 42 WHO MAY BE QUALIFIED FOR APPOINTMENT TO THE BOARD, OTHER THAN THOSE WHO 43 HAVE REQUESTED CONSIDERATION OR WHO HAVE BEEN RECOMMENDED FOR CONSIDER- 44 ATION BY OTHERS, ARE ENCOURAGED TO AGREE TO BE CONSIDERED BY THE DESIG- 45 NATING COMMISSION. THE TOTAL NUMBER OF REQUESTS FOR CONSIDERATION SHALL 46 BE DOCUMENTED FOR THE PUBLIC RECORD. 47 B. CONDUCT INVESTIGATIONS, ADMINISTER OATHS OR AFFIRMATIONS, INTERVIEW 48 WITNESSES AND COMPEL THEIR ATTENDANCE, EXAMINE THEM UNDER OATH OR AFFIR- 49 MATION AND REQUIRE THE PRODUCTION OF ANY BOOKS, RECORDS, DOCUMENTS OR 50 OTHER EVIDENCE THAT IT MAY DEEM RELEVANT OR MATERIAL TO ITS EVALUATION 51 OF CANDIDATES FOR TRUSTEE. 52 C. REQUIRE FROM ANY COURT, DEPARTMENT, DIVISION, BOARD, BUREAU, 53 COMMISSION, OR OTHER AGENCY OF THE STATE OR POLITICAL SUBDIVISION THERE- 54 OF OR ANY PUBLIC AUTHORITY SUCH ASSISTANCE, INFORMATION AND DATA, AS 55 WILL ENABLE IT PROPERLY TO EVALUATE THE QUALIFICATIONS OF CANDIDATES, S. 6615--A 80 A. 9715--A 1 SUBJECT TO ANY ABSOLUTE JUDICIAL OR EXECUTIVE PRIVILEGE, WHERE ONE 2 EXISTS. 3 NOTWITHSTANDING ANY OTHER PROVISION OF LAW, THE DESIGNATING COMMIS- 4 SION, WITH THE CONSENT OF THE APPLICANT, SHALL BE ENTITLED TO REQUIRE 5 FROM ANY FORMAL DELIBERATIVE BODY ANY FORMAL WRITTEN COMPLAINT AGAINST A 6 CANDIDATE, IN WHICH THE APPLICANT'S MISCONDUCT WAS ESTABLISHED, ANY 7 PENDING COMPLAINT AGAINST A CANDIDATE, AND THE RECORD TO DATE OF ANY 8 PENDING PROCEEDING PURSUANT TO A FORMAL WRITTEN COMPLAINT AGAINST SUCH 9 CANDIDATE. THE DELIBERATIVE BODY THAT HAS JURISDICTION OVER SUCH 10 COMPLAINT SHALL HAVE FIFTEEN DAYS WITHIN WHICH TO RESPOND TO A REQUEST 11 MADE PURSUANT TO THIS SUBDIVISION. 12 D. REQUIRE THE APPEARANCE OF ANY CANDIDATE BEFORE IT AND INTERVIEW ANY 13 PERSON CONCERNING THE QUALIFICATIONS OF ANY CANDIDATE. 14 E. ESTABLISH PROCEDURES TO COMMUNICATE WITH THE GOVERNOR, THE ATTORNEY 15 GENERAL, THE STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE, 16 THE SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE AND THE 17 MINORITY LEADER OF THE ASSEMBLY CONCERNING THE QUALIFICATIONS OF ANY 18 PERSON WHO IT HAS APPOINTED AS TRUSTEE. 19 F. APPOINT, AND AT PLEASURE REMOVE, A COUNSEL AND SUCH OTHER STAFF AS 20 IT MAY REQUIRE FROM TIME TO TIME, AND PRESCRIBE THEIR POWERS AND DUTIES. 21 THE DESIGNATING COMMISSION SHALL FIX THE COMPENSATION OF ITS STAFF AND 22 PROVIDE FOR REIMBURSEMENT OF THEIR EXPENSES WITHIN THE AMOUNTS APPROPRI- 23 ATED BY LAW. 24 G. DO ALL OTHER THINGS NECESSARY AND CONVENIENT TO CARRY OUT ITS FUNC- 25 TIONS PURSUANT TO THIS ARTICLE. 26 5. RULES OF THE DESIGNATING COMMISSION. A. THE DESIGNATING COMMISSION 27 SHALL ADOPT, AND MAY AMEND, WRITTEN RULES OF PROCEDURE NOT INCONSISTENT 28 WITH LAW. 29 B. RULES OF THE DESIGNATING COMMISSION SHALL BE FILED WITH THE SECRE- 30 TARY OF STATE AND SHALL BE PUBLISHED IN THE OFFICIAL COMPILATION OF 31 CODES, RULES AND REGULATIONS OF THE STATE. UPON REQUEST OF ANY PERSON, 32 THE SECRETARY OF STATE SHALL FURNISH A COPY OF THE DESIGNATING COMMIS- 33 SION'S RULES WITHOUT CHARGE. 34 C. RULES OF THE DESIGNATING COMMISSION MAY PRESCRIBE FORMS AND QUES- 35 TIONNAIRES TO BE COMPLETED AND, IF REQUIRED BY THE DESIGNATING COMMIS- 36 SION, VERIFIED BY CANDIDATES. 37 D. RULES OF THE DESIGNATING COMMISSION SHALL PROVIDE THAT UPON THE 38 COMPLETION BY THE DESIGNATING COMMISSION OF ITS CONSIDERATION AND EVALU- 39 ATION OF THE QUALIFICATIONS OF A CANDIDATE, THERE SHALL BE NO RECONSID- 40 ERATION OF SUCH CANDIDATE FOR THE VACANCY FOR WHICH HE WAS CONSIDERED, 41 EXCEPT WITH THE CONCURRENCE OF EIGHT MEMBERS OF THE DESIGNATING COMMIS- 42 SION. 43 6. CONFIDENTIALITY OF PROCEEDINGS AND RECORDS. A. ALL COMMUNICATIONS 44 TO THE DESIGNATING COMMISSION, AND ITS PROCEEDINGS, AND ALL APPLICA- 45 TIONS, CORRESPONDENCE, INTERVIEWS, TRANSCRIPTS, REPORTS AND ALL OTHER 46 PAPERS, FILES AND RECORDS OF THE DESIGNATING COMMISSION SHALL BE CONFI- 47 DENTIAL AND PRIVILEGED AND, EXCEPT FOR THE PURPOSES OF ARTICLE TWO 48 HUNDRED TEN OF THE PENAL LAW, SHALL NOT BE MADE AVAILABLE TO ANY PERSON 49 EXCEPT AS OTHERWISE PROVIDED IN THIS ARTICLE. 50 B. NEITHER THE MEMBERS OF THE BOARD, MEMBERS OF THE DESIGNATING 51 COMMISSION NOR ITS STAFF SHALL PUBLICLY DIVULGE THE NAMES OF, OR ANY 52 INFORMATION CONCERNING, ANY CANDIDATE EXCEPT AS OTHERWISE PROVIDED IN 53 THIS ARTICLE. ANY VIOLATION OF THIS SUBDIVISION SHALL BE A CLASS A 54 MISDEMEANOR. 55 7. PROCEDURES WHEN VACANCIES OCCUR. A. WHENEVER A VACANCY WILL OCCUR 56 FOR THE POSITION OF MEMBER OF THE EMPLOYEE RETIREMENT SYSTEM BOARD BY S. 6615--A 81 A. 9715--A 1 EXPIRATION OF A TERM, THE MEMBER OF THE BOARD SHALL NOTIFY THE DESIGNAT- 2 ING COMMISSION OF THE ANTICIPATED VACANCY NO LATER THAN SEVEN MONTHS 3 PRECEDING THE VACANCY. THE DESIGNATING COMMISSION SHALL MAKE ITS 4 APPOINTMENT TO THE BOARD ON OR BEFORE THE DATE OF EXPIRATION, TO TAKE 5 EFFECT ON THE DAY FOLLOWING SUCH EXPIRATION. 6 B. WHENEVER A VACANCY OCCURS OTHER THAN BY EXPIRATION OF TERM, THE 7 COMMISSIONERS OF STATE GOVERNMENT ETHICS SHALL IMMEDIATELY NOTIFY THE 8 DESIGNATING COMMISSION OF SUCH VACANCY. THE DESIGNATING COMMISSION SHALL 9 MAKE ITS APPOINTMENT NO LATER THAN ONE HUNDRED TWENTY DAYS AFTER RECEIPT 10 OF SUCH NOTICE. 11 S 17. Severability. If any title, section, subdivision, paragraph or 12 other part of this act shall be adjudged invalid by any court of compe- 13 tent jurisdiction, such judgment shall not invalidate the remainder 14 thereof, but shall be confined in its operation to the part directly 15 involved in the controversy wherein such judgment shall have been 16 rendered. 17 S 18. This act shall take effect on the ninetieth day after it shall 18 have become a law. 19 PART C 20 Section 1. Subdivisions 1, 8, 9 and 11 of section 3-102 of the 21 election law, subdivisions 1 and 9 as redesignated and subdivision 11 as 22 amended by chapter 9 of the laws of 1978 and subdivision 8 as amended by 23 chapter 695 of the laws of 1985, are amended to read as follows: 24 1. issue instructions and promulgate rules and regulations relating to 25 the administration of the election process[,] AND election campaign 26 practices [and campaign financing practices] consistent with the 27 provisions of law; 28 8. prepare [uniform forms for the statements required by article four- 29 teen of this chapter and] uniform forms for use by local election offi- 30 cials in the conduct of registration and voting; design, prepare and 31 make available to county boards of election and to such other insti- 32 tutions and groups as such board in its discretion shall determine 33 uniform application forms for registration and enrollment, transfer of 34 registration and/or enrollment and special enrollment upon application 35 filed by mail pursuant to the provisions of section 5-210 of this chap- 36 ter; 37 9. study and examine the administration of elections within the state 38 including [campaign financing, campaign financing reporting, and] 39 campaign practices; 40 11. recommend such legislation or administrative measures as it finds 41 appropriate to promote fair, honest and efficiently administered 42 elections[, including, but not limited to, legislation to adjust the 43 contribution limitations set forth in article fourteen of this chapter]; 44 S 2. Subdivision 9-A of section 3-102 of the election law is REPEALED. 45 S 3. Subdivision 7 of section 3-102 of the election law is REPEALED. 46 S 4. Section 3-104 of the election law, subdivisions 1, 3, 4 and 5 as 47 redesignated and subdivision 2 as amended by chapter 9 of the laws of 48 1978, is amended to read as follows: 49 S 3-104. State board of elections; enforcement powers. 1. The state 50 board of elections shall have jurisdiction of, and be responsible for, 51 the execution and enforcement of the provisions of [article fourteen of] 52 this chapter, EXCEPT ARTICLE FOURTEEN, WHICH THE STATE GOVERNMENT ETHICS 53 COMMISSION SHALL HAVE JURISDICTION OF, and other statutes governing 54 campaigns, elections and related procedures. S. 6615--A 82 A. 9715--A 1 2. Whenever the state board of elections or other board of elections 2 shall determine, on its own initiative or upon complaint, or otherwise, 3 that there is substantial reason to believe a violation of this chapter 4 or any code or regulation promulgated thereunder has occurred, it shall 5 expeditiously make an investigation which shall also include investi- 6 gation of reports and statements made or failed to be made by the 7 complainant and any political committee supporting his candidacy if the 8 complainant is a candidate or, if the complaint was made by an officer 9 or member of a political committee, of reports and statements made or 10 failed to be made by such political committee and any candidates 11 supported by it. The state board of elections, in lieu of making such an 12 investigation, may direct the appropriate board of elections to make an 13 investigation. The state board of elections may request, and shall 14 receive, the assistance of the state police in any investigation it 15 shall conduct. 16 3. If, after an investigation, the state or other board of elections 17 finds reasonable cause to believe that a violation warranting criminal 18 prosecution has taken place, it shall forthwith refer the matter to the 19 district attorney of the appropriate county and shall make available to 20 such district attorney all relevant papers, documents, testimony and 21 findings relevant to its investigation. 22 4. [The state or other board of elections may, where appropriate, 23 commence a judicial proceeding with respect to the filing or failure to 24 file any statement of receipts, expenditures, or contributions, under 25 the provisions of this chapter, and the state board of elections may 26 direct the appropriate other board of elections to commence such 27 proceeding. 28 5.] The state board of elections may promulgate rules and regulations 29 consistent with law to effectuate the provisions of this section. 30 S 5. Subdivision 1 of section 14-100 of the election law, as amended 31 by chapter 71 of the laws of 1988, is amended to read as follows: 32 1. "political committee" means any [corporation] BUSINESS ENTITY 33 aiding or promoting and any committee, political club or combination of 34 one or more persons operating or co-operating to aid or to promote the 35 success or defeat of a political party or principle, or of any ballot 36 proposal; or to aid or take part in the election or defeat of a candi- 37 date for public office or to aid or take part in the election or defeat 38 of a candidate for nomination at a primary election or convention, 39 including all proceedings prior to such primary election, or of a candi- 40 date for any party position voted for at a primary election, or to aid 41 or defeat the nomination by petition of an independent candidate for 42 public office; OR ANY POLITICAL ACTION COMMITTEE ESTABLISHED, FINANCED, 43 MAINTAINED OR CONTROLLED BY ANY BUSINESS ENTITY, LABOR ORGANIZATION OR 44 ANY OTHER PERSON OR ENTITY WHICH MAKES NO EXPENDITURE TO AID OR TAKE 45 PART IN THE ELECTION OR DEFEAT OF A CANDIDATE, OTHER THAN IN THE FORM OF 46 CONTRIBUTIONS; but nothing in this article shall apply to any committee 47 or organization for the discussion or advancement of political questions 48 or principles without connection with any vote or to a national commit- 49 tee organized for the election of presidential or vice-presidential 50 candidates; provided, however, that a person or [corporation] BUSINESS 51 ENTITY making a contribution or contributions to a candidate or a poli- 52 tical committee which has filed pursuant to section 14-118 shall not, by 53 that fact alone, be deemed to be a political committee as herein 54 defined. S. 6615--A 83 A. 9715--A 1 S 6. Paragraph 2 of subdivision 9 of section 14-100 of the election 2 law, as amended by chapter 70 of the laws of 1983, is amended and a new 3 subdivision 9-a is added to read as follows: 4 (2) any funds received by a political committee from another political 5 committee [to the extent such funds do not constitute a transfer] BY ANY 6 MEANS, INCLUDING BUT NOT LIMITED TO TRANSFERS, 7 9-A. "INTERMEDIARY" MEANS AN INDIVIDUAL, CORPORATION, PARTNERSHIP, 8 POLITICAL COMMITTEE, EMPLOYEE ORGANIZATION OR OTHER ENTITY WHICH: 9 (A) OTHER THAN IN THE REGULAR COURSE OF BUSINESS AS A POSTAL, DELIVERY 10 OR MESSENGER SERVICE, DELIVERS ANY CONTRIBUTION FROM ANOTHER PERSON OR 11 ENTITY TO A CANDIDATE OR AUTHORIZED COMMITTEE; OR 12 (B) SUCCESSFULLY SOLICITS CONTRIBUTIONS TO A CANDIDATE OR OTHER 13 AUTHORIZED COMMITTEE WHERE SUCH SOLICITATION IS KNOWN TO SUCH CANDIDATE 14 OR HIS OR HER AUTHORIZED COMMITTEE. FOR PURPOSES OF THIS PARAGRAPH, ONLY 15 PERSONS CLEARLY IDENTIFIED AS THE SOLICITOR OF A CONTRIBUTION TO THE 16 CANDIDATE OR HIS OR HER AUTHORIZED COMMITTEE SHALL BE PRESUMED TO BE 17 KNOWN TO SUCH CANDIDATE OR HIS OR HER AUTHORIZED COMMITTEE. "INTERME- 18 DIARY" SHALL NOT INCLUDE SPOUSES, DOMESTIC PARTNERS, PARENTS, CHILDREN 19 OR SIBLINGS OF THE PERSON MAKING SUCH CONTRIBUTION, OR ANY PAID OR 20 VOLUNTEER FULL-TIME CAMPAIGN WORKERS OR COMMERCIAL FUNDRAISING FIRMS 21 RETAINED BY THE CANDIDATE AND THE AGENTS THEREOF. 22 S 7. Subdivisions 1 and 3 of section 14-102 of the election law, as 23 amended by chapter 8 of the laws of 1978, subdivision 1 as redesignated 24 by chapter 9 of the laws of 1978 and subdivision 3 as renumbered by 25 chapter 70 of the laws of 1983, are amended to read as follows: 26 1. The treasurer of every political committee which, or any officer, 27 member or agent of any such committee who, in connection with any 28 election, receives or expends any money or other [valuable thing] ITEM 29 OF VALUE or incurs any liability to pay money or its equivalent shall 30 file statements sworn, or subscribed and bearing a form notice that 31 false statements made therein are punishable as a class A misdemeanor 32 pursuant to section 210.45 of the penal law, at the times prescribed by 33 this article setting forth all the receipts, contributions to and the 34 expenditures by and liabilities of the committee, and of its officers, 35 members and agents in its behalf. Such statements shall include the 36 dollar amount of any receipt, contribution or transfer, or the fair 37 market value of any receipt, contribution or transfer, which is other 38 than of money, the name [and], address AND OCCUPATION of the transferor, 39 contributor or person from whom received, OTHER THAN IN THE REGULAR 40 COURSE OF A LENDER'S BUSINESS, AND FOR A NATURAL PERSON CONTRIBUTING TWO 41 HUNDRED DOLLARS OR MORE, THE NAME AND ADDRESS OF SUCH PERSON'S EMPLOYER, 42 AND THE BUSINESS ADDRESS OF EACH POLITICAL COMMITTEE OR OTHER ENTITY 43 MAKING SUCH CONTRIBUTION, OR ANY LOAN, GUARANTEE, OR OTHER SECURITY FOR 44 SUCH A LOAN and if the transferor, contributor or person is a political 45 committee; the name of and the political unit represented by the commit- 46 tee, the date of its receipt, the dollar amount of every expenditure, 47 the name and address of the person to whom it was made or the name of 48 and the political unit represented by the committee to which it was made 49 and the date thereof, and shall state clearly the purpose of such 50 expenditure. IF ANY ONE EXPENDITURE IS MADE FOR MORE THAN ONE PURPOSE, 51 OR AS PAYMENT FOR GOODS OR SERVICES SUPPLIED BY MORE THAN ONE SUPPLIER, 52 SUCH STATEMENT SHALL SET FORTH SEPARATELY EACH SUCH PURPOSE OR SUPPLIER 53 AND THE AMOUNT EXPENDED FOR EACH SUCH PURPOSE OR TO EACH SUCH SUPPLIER. 54 Any statement reporting a loan shall have attached to it a copy of the 55 evidence of indebtedness. Expenditures in sums under fifty dollars need 56 not be specifically accounted for by separate items in said statements, S. 6615--A 84 A. 9715--A 1 and receipts and contributions aggregating not more than ninety-nine 2 dollars, from any one contributor need not be specifically accounted for 3 by separate items in said statements, provided however, that such 4 expenditures, receipts and contributions shall be subject to the other 5 provisions of section 14-118 of this article. 6 3. The state [board of elections] GOVERNMENT ETHICS COMMISSION shall 7 promulgate regulations with respect to the accounting methods to be 8 applied IN COMPLYING WITH, AND in preparing the statements required by, 9 the provisions of this article and shall provide forms suitable for such 10 statements. SUCH REGULATIONS SHALL BE DRAWN TO ASSURE SUCH COMPLIANCE 11 AND OBTAIN THE MAXIMUM POSSIBLE DISCLOSURE. 12 S 8. Subdivisions 4 and 5 of section 14-102 of the election law, 13 subdivision 4 as amended and subdivision 5 as added by chapter 406 of 14 the laws of 2005, are amended to read as follows: 15 4. Any committee which is required to file statements with [any board 16 of elections] THE STATE GOVERNMENT ETHICS COMMISSION pursuant to this 17 article and which raises or spends or expects to raise or spend more 18 than one thousand dollars in any calendar year shall file all such 19 statements pursuant to the electronic reporting system prescribed by 20 [the state board of elections as set forth in subdivision nine-A of 21 section 3-102 of this chapter] SECTION SEVENTY-THREE-C OF THE PUBLIC 22 OFFICERS LAW. Notwithstanding the provisions of this subdivision, upon 23 the filing of a sworn statement by the treasurer of a political commit- 24 tee which states that such political committee does not have access to 25 the technology necessary to comply with the electronic filing require- 26 ments [of subdivision nine-A of section 3-102 of this chapter] 27 PRESCRIBED BY SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS LAW and 28 that filing by such means would constitute a substantial hardship for 29 such political committee, the state [board of elections] GOVERNMENT 30 ETHICS COMMISSION may issue an exemption from the electronic filing 31 requirements of this article. 32 [5. Any committee which is required to file statements pursuant to 33 this article with county boards of elections shall file in paper format 34 to the county board of elections or in electronic format if the legisla- 35 tive body of any county provides, by local law, an electronic filing 36 system and shall file such statements by electronic reporting process to 37 the state board of elections.] 38 S 9. Section 14-104 of the election law, as amended by chapter 430 of 39 the laws of 1997, subdivision 2 as amended and subdivision 3 as added by 40 chapter 406 of the laws of 2005, is amended to read as follows: 41 S 14-104. Statements of campaign receipts, contributions, transfers 42 and expenditures by and to candidates. 1. Any candidate for election to 43 public office, or for nomination for public office at a contested prima- 44 ry election or convention, or for election to a party position at a 45 primary election, shall file statements sworn, or subscribed and bearing 46 a form notice that false statements made therein are punishable as a 47 class A misdemeanor pursuant to section 210.45 of the penal law, at the 48 times prescribed by this article setting forth the particulars specified 49 by section 14-102 of this article, as to all moneys or other valuable 50 things, paid, given, expended or promised by him to aid his own nomi- 51 nation or election, or to promote the success or defeat of a political 52 party, or to aid or influence the nomination or election or the defeat 53 of any other candidate to be voted for at the election or primary 54 election or at a convention, including contributions to political 55 committees, officers, members or agents thereof, and transfers, receipts 56 and contributions to him to be used for any of the purposes above speci- S. 6615--A 85 A. 9715--A 1 fied, or in lieu thereof, any such candidate may file such a sworn 2 statement at the first filing period, on a form prescribed by [the state 3 board of elections] SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS LAW 4 that such candidate has made no such expenditures and does not intend to 5 make any such expenditures, except through a political committee author- 6 ized by such candidate pursuant to this article. A committee authorized 7 by such a candidate may fulfill all of the filing requirements of this 8 [act] ARTICLE on behalf of such candidate. 9 2. Statements filed by any political committee authorized by a candi- 10 date pursuant to this article which is required to file such statements 11 with [any board of elections] THE STATE GOVERNMENT ETHICS COMMISSION and 12 which raises or spends or expects to raise or spend more than one thou- 13 sand dollars in any calendar year shall file all such statements pursu- 14 ant to the electronic reporting system prescribed by [the state board of 15 elections as set forth in subdivision nine-A of section 3-102 of this 16 chapter] SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS LAW. Notwith- 17 standing the provisions of this subdivision, upon the filing of a sworn 18 statement by the treasurer of a political committee authorized by a 19 candidate pursuant to this article which states that such committee does 20 not have access to the technology necessary to comply with the electron- 21 ic filing requirements [of subdivision nine-A of section 3-102 of this 22 chapter] PRESCRIBED BY SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS 23 LAW and that filing by such means would constitute a substantial hard- 24 ship for such committee, the state [board of elections] GOVERNMENT 25 ETHICS COMMISSION may issue an exemption from the electronic filing 26 requirements of this article. 27 [3. Any committee which is required to file statements pursuant to 28 this article with county boards of elections shall file in paper format 29 to the county board of elections or in electronic format if the legisla- 30 tive body of any county provides, by local law, an electronic filing 31 system and shall file such statements by electronic reporting process to 32 the state board of elections.] 33 S 10. Section 14-108 of the election law, subdivision 1 as amended by 34 chapter 955 of the laws of 1983, subdivision 2 as amended by chapter 109 35 of the laws of 1997, subdivisions 3, 4 and 6 as redesignated by chapter 36 9 of the laws of 1978, subdivision 5 as amended and subdivision 7 as 37 added by chapter 146 of the laws of 1994 and subdivision 6 as amended by 38 chapter 323 of the laws of 1977, is amended to read as follows: 39 S 14-108. Time for filing statements. 1. The statements required by 40 this article shall be filed at such times as the state [board of 41 elections] GOVERNMENT ETHICS COMMISSION, by rule or regulation, shall 42 specify; provided, however, that in no event shall the [board] STATE 43 GOVERNMENT ETHICS COMMISSION provide for fewer than three filings in the 44 aggregate in connection with any primary, general or special election, 45 or in connection with a question to be voted on and two of said filings 46 shall be before any such election, including one such filing not less 47 than thirty days nor more than forty-five days prior to such election 48 and one such filing not less than eleven days nor more than fifteen days 49 prior to such election. In addition, the [board] STATE GOVERNMENT ETHICS 50 COMMISSION shall provide that every political committee which has filed 51 a statement of treasurer and depository shall make [at least] one filing 52 [every six months between the time such statement of treasurer and 53 depository is filed and the time such committee goes out of business] ON 54 JANUARY THIRTY-FIRST, ONE FILING ON APRIL THIRTIETH AND ONE FILING ON 55 JULY THIRTY-FIRST OF EACH YEAR. If any candidate or committee shall be 56 required by the provisions of this section, or by rule or regulation S. 6615--A 86 A. 9715--A 1 hereunder, to effect two filings within a period of five days, the state 2 [board of elections] GOVERNMENT ETHICS COMMISSION may, by rule or regu- 3 lation, waive the requirement of filing the earlier of such statements. 4 If a statement filed by a candidate or committee after the election to 5 which it pertains is not a final statement showing satisfaction of all 6 liabilities and disposition of all assets, such candidate or committee 7 shall file such additional statements as the [board] STATE GOVERNMENT 8 ETHICS COMMISSION shall, by rule or regulation provide until such a 9 final statement is filed. 10 2. Each statement shall cover the period up to and including the 11 fourth day next preceding the day specified for the filing thereof; 12 provided, however, that any contribution or loan in excess of one thou- 13 sand dollars, if received after the close of the period to be covered in 14 the last statement filed before any primary, general or special election 15 but before such election, shall be reported, in the same manner as other 16 contributions, within twenty-four hours after receipt. 17 3. Each statement shall be preserved by the officer with whom or the 18 [board] STATE GOVERNMENT ETHICS COMMISSION with which it is required to 19 be filed for a period of five years from the date of filing thereof. 20 4. Each statement shall constitute a part of the public records of 21 such officer or [board] STATE GOVERNMENT ETHICS COMMISSION and shall be 22 open to public inspection. 23 5. The state [board of elections or other board of elections, as the 24 case may be,] GOVERNMENT ETHICS COMMISSION shall not later than ten days 25 after the last day to file any such statement notify each person 26 required to file any such statement which has not been received by such 27 [board] COMMISSION by such tenth day in accordance with this article of 28 such person's failure to file such statement timely. Such notice shall 29 be in writing and mailed to the last known residence or business address 30 of such person by certified mail, return receipt requested. Failure to 31 file within five days of receipt of such notice shall constitute prima 32 facie evidence of a willful failure to file. If the person required to 33 file such statement is a treasurer who has stated that the committee has 34 been authorized by one or more candidates, a copy of such notice shall 35 be sent to each such candidate by first class mail. [A copy of any such 36 notice sent by a board of elections other than the state board of 37 elections shall be sent by such other board to the state board.] 38 6. A statement shall be deemed properly filed when deposited in an 39 established post-office within the prescribed time, duly stamped, certi- 40 fied and directed to the officer with whom or to the [board] STATE 41 GOVERNMENT ETHICS COMMISSION with which the statement is required to be 42 filed, but in the event it is not received, a duplicate of such state- 43 ment shall be promptly filed upon notice by such officer or such [board] 44 COMMISSION of its non-receipt; PROVIDED, HOWEVER, ALL STATEMENTS 45 REQUIRED TO BE FILED DURING THE PERIOD OF FIFTEEN DAYS BEFORE ANY 46 ELECTION SHALL BE FILED ELECTRONICALLY OR BY GUARANTEED OVERNIGHT DELIV- 47 ERY THROUGH THE UNITED STATES POSTAL SERVICE OR SOME OTHER OVERNIGHT 48 DELIVERY SERVICE. 49 7. On the twentieth day following the date by which such statements 50 were required to be filed, the state [board of elections] GOVERNMENT 51 ETHICS COMMISSION shall prepare and make available for public inspection 52 and distribution a list of those persons and committees from whom it has 53 not yet received such statement. 54 S 11. Section 14-110 of the election law, as amended by chapter 46 of 55 the laws of 1984, is amended to read as follows: S. 6615--A 87 A. 9715--A 1 S 14-110. Place for filing statements. The places for filing the 2 statements required by this article shall be determined by rule or regu- 3 lation of the state [board of elections] GOVERNMENT ETHICS COMMISSION; 4 provided, however, that the statements of a candidate for election to 5 the office of governor, lieutenant governor, attorney general, comp- 6 troller, member of the legislature, delegate to a constitutional conven- 7 tion, justice of the supreme court or for nomination for any such office 8 at a primary election and of any committee aiding or taking part in the 9 designation, nomination, election or defeat of candidates for one or 10 more of such offices or promoting the success or defeat of a question to 11 be voted on by the voters of the entire state shall be filed with the 12 state [board of elections] GOVERNMENT ETHICS COMMISSION and in such 13 other places as the state [board of elections] GOVERNMENT ETHICS COMMIS- 14 SION may, by rule or regulation provide. 15 S 12. Section 14-112 of the election law, as amended by chapter 930 of 16 the laws of 1981, is amended to read as follows: 17 S 14-112. [Political] AUTHORIZED COMMITTEE; POLITICAL committee 18 authorization statement. 1. Any political committee aiding or taking 19 part in the election or nomination of any candidate[, other than by 20 making contributions,] shall file, in the office in which the statements 21 of such committee are to be filed pursuant to this article, either a 22 sworn verified statement by the treasurer of such committee AND THE 23 CANDIDATE that [the] SUCH candidate has authorized the political commit- 24 tee to aid or take part in his OR HER election or A SWORN VERIFIED 25 STATEMENT BY THE TREASURER OF SUCH COMMITTEE that the candidate has not 26 authorized the committee to aid or take part in his OR HER election. 27 2. NO CANDIDATE MAY AUTHORIZE MORE THAN ONE POLITICAL COMMITTEE FOR 28 ANY ONE ELECTION. ANY CANDIDATE WHO, ON DECEMBER FIRST, TWO THOUSAND 29 TEN, HAS AUTHORIZED MORE THAN ONE POLITICAL COMMITTEE FOR ANY ONE 30 ELECTION SHALL, NOT LATER THAN THIRTY DAYS AFTER SAID DATE, DISAVOW ALL 31 BUT ONE OF SUCH COMMITTEES, IN WRITING, TO THE STATE GOVERNMENT ETHICS 32 COMMISSION. THIS SUBDIVISION SHALL NOT APPLY TO THE AUTHORIZATION OF AN 33 EXPLORATORY COMMITTEE BY AN ELECTED PUBLIC OFFICIAL. A MULTI-CANDIDATE 34 COMMITTEE MAY NOT BE AN AUTHORIZED COMMITTEE. 35 3. CAMPAIGN FUNDS REMAINING IN ANY DISAVOWED COMMITTEE SHALL BE 36 DISPOSED OF PURSUANT TO SECTION 14-132 OF THIS ARTICLE. 37 S 13. Subdivision 1 of section 14-114 of the election law, as amended 38 by chapter 79 of the laws of 1992, paragraphs a and b as amended by 39 chapter 659 of the laws of 1994, is amended to read as follows: 40 1. The following limitations apply to all contributions to candidates 41 for election to any public office or for nomination for any such office, 42 or for election to any party positions, and to all contributions to 43 political committees working directly or indirectly with any candidate 44 to aid or participate in such candidate's nomination or election, other 45 than any contributions to any party committee or constituted committee: 46 a. In any election for a public office to be voted on by the voters of 47 the entire state, or for nomination to any such office, no contributor 48 may make a contribution to any candidate or political committee, and no 49 candidate or political committee may accept any contribution from any 50 contributor, which is in [the aggregate amount greater than: (i) in the 51 case of any nomination to public office, the product of the total number 52 of enrolled voters in the candidate's party in the state, excluding 53 voters in inactive status, multiplied by $.005, but such amount shall be 54 not less than four thousand dollars nor more than twelve thousand 55 dollars] EXCESS OF ONE THOUSAND DOLLARS as increased or decreased by the 56 cost of living adjustment described in paragraph c of this subdivision[, S. 6615--A 88 A. 9715--A 1 and (ii) in the case of any election to a public office, twenty-five 2 thousand dollars as increased or decreased by the cost of living adjust- 3 ment described in paragraph c of this subdivision; provided however, 4 that the maximum amount which may be so contributed or accepted, in the 5 aggregate, from any candidate's child, parent, grandparent, brother and 6 sister, and the spouse of any such persons, shall not exceed in the case 7 of any nomination to public office an amount equivalent to the product 8 of the number of enrolled voters in the candidate's party in the state, 9 excluding voters in inactive status, multiplied by $.025, and in the 10 case of any election for a public office, an amount equivalent to the 11 product of the number of registered voters in the state excluding voters 12 in inactive status, multiplied by $.025]. 13 b. In any other election for party position or for election to a 14 public office or for nomination for any such office, no contributor may 15 make a contribution to any candidate or political committee and no 16 candidate or political committee may accept any contribution from any 17 contributor, which is in [the aggregate amount greater than: (i) in the 18 case of any election for party position, or for nomination to public 19 office, the product of the total number of enrolled voters in the candi- 20 date's party in the district in which he is a candidate, excluding 21 voters in inactive status, multiplied by $.05, and (ii) in the case of 22 any election for a public office, the product of the total number of 23 registered voters in the district, excluding voters in inactive status, 24 multiplied by $.05,] EXCESS OF ONE THOUSAND DOLLARS AS INCREASED OR 25 DECREASED BY THE COST OF LIVING ADJUSTMENT DESCRIBED IN PARAGRAPH C OF 26 THIS SUBDIVISION; however in the case of a nomination OR ELECTION within 27 the city of New York for the office of mayor, public advocate [or], 28 comptroller, BOROUGH PRESIDENT OR MEMBER OF THE CITY COUNCIL, such 29 amount shall be [not less than four thousand dollars nor more than 30 twelve thousand dollars as increased or decreased by the cost of living 31 adjustment described in paragraph c of this subdivision; in the case of 32 an election within the city of New York for the office of mayor, public 33 advocate or comptroller, twenty-five thousand dollars as increased or 34 decreased by the cost of living adjustment described in paragraph c of 35 this subdivision] EQUAL TO THE CONTRIBUTION LIMITS SET FORTH IN PARA- 36 GRAPH (F) OF SUBDIVISION ONE OF SECTION 3-703 OF THE ADMINISTRATIVE CODE 37 OF THE CITY OF NEW YORK OR ANY SUCCESSOR PROVISION; PROVIDED HOWEVER in 38 the case of a nomination OR ELECTION for state senator, [four] ONE thou- 39 sand dollars as increased or decreased by the cost of living adjustment 40 described in paragraph c of this subdivision; [in the case of an 41 election for state senator, six thousand two hundred fifty dollars as 42 increased or decreased by the cost of living adjustment described in 43 paragraph c of this subdivision;] in the case of [an election or] A 44 nomination OR ELECTION for a member of the assembly, [twenty-five 45 hundred] ONE THOUSAND dollars as increased or decreased by the cost of 46 living adjustment described in paragraph c of this subdivision[; but in 47 no event shall any such maximum exceed fifty thousand dollars or be less 48 than one thousand dollars; provided however, that the maximum amount 49 which may be so contributed or accepted, in the aggregate, from any 50 candidate's child, parent, grandparent, brother and sister, and the 51 spouse of any such persons, shall not exceed in the case of any election 52 for party position or nomination for public office an amount equivalent 53 to the number of enrolled voters in the candidate's party in the 54 district in which he is a candidate, excluding voters in inactive 55 status, multiplied by $.25 and in the case of any election to public 56 office, an amount equivalent to the number of registered voters in the S. 6615--A 89 A. 9715--A 1 district, excluding voters in inactive status, multiplied by $.25; or 2 twelve hundred fifty dollars, whichever is greater, or in the case of a 3 nomination or election of a state senator, twenty thousand dollars, 4 whichever is greater, or in the case of a nomination or election of a 5 member of the assembly twelve thousand five hundred dollars, whichever 6 is greater, but in no event shall any such maximum exceed one hundred 7 thousand dollars]. 8 c. At the beginning of each fourth calendar year, commencing in [nine- 9 teen hundred ninety-five] TWO THOUSAND TWELVE, the state [board] GOVERN- 10 MENT ETHICS COMMISSION shall determine the percentage of the difference 11 between the [most recent available monthly] consumer price index for all 12 urban consumers published by the United States bureau of labor statis- 13 tics and such consumer price index published for the same month four 14 years previously. The amount of each contribution limit fixed in this 15 subdivision shall be adjusted by the amount of such percentage differ- 16 ence to the closest one hundred dollars by the state [board] GOVERNMENT 17 ETHICS COMMISSION which, not later than the first day of February in 18 each such year, shall issue a regulation publishing the amount of each 19 such contribution limit. Each contribution limit as so adjusted shall be 20 the contribution limit in effect for any election held before the next 21 such adjustment. 22 S 14. Subdivision 2 of section 14-114 of the election law, as redesig- 23 nated by chapter 9 of the laws of 1978, is amended to read as follows: 24 2. For purposes of this section, contributions other than of money 25 shall be evaluated at their fair market value. The state [board of 26 elections] GOVERNMENT ETHICS COMMISSION shall promulgate regulations, 27 consistent with law, governing the manner of computing fair market 28 value. 29 S 15. Subdivision 8 of section 14-114 of the election law, as amended 30 by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the 31 laws of 1978, is amended to read as follows: 32 8. A. Except as may otherwise be provided [for] BY a candidate [and 33 his family] FOR HIS OR HER OWN CAMPAIGN, no NATURAL person may contrib- 34 ute, loan or guarantee in excess of [one hundred fifty] TWENTY-FIVE 35 thousand dollars within the state OF NEW YORK IN ANY CALENDAR YEAR in 36 connection with the nomination or election of [persons to] CANDIDATES 37 FOR state [and] OR local public offices [and] OR party positions [within 38 the state of New York in any one calendar year]. 39 B. For the purposes of this subdivision "loan" or "guarantee" shall 40 mean a loan or guarantee which is not repaid or discharged in the calen- 41 dar year in which it is made. 42 S 16. Subdivision 10 of section 14-114 of the election law, as added 43 by chapter 79 of the laws of 1992, is amended to read as follows: 44 10. a. No contributor may make a contribution to a party or consti- 45 tuted committee and no such committee may accept a contribution from any 46 contributor which, in the aggregate, is greater than [sixty-two] ONE 47 thousand [five hundred] dollars per annum. 48 b. At the beginning of each fourth calendar year, commencing in [nine- 49 teen hundred ninety-five] TWO THOUSAND TWELVE, the state [board] GOVERN- 50 MENT ETHICS COMMISSION shall determine the percentage of the difference 51 between the most recent available monthly consumer price index for all 52 urban consumers published by the United States bureau of labor statis- 53 tics and such consumer price index published for the same month four 54 years previously. The amount of such contribution limit fixed in para- 55 graph a of this subdivision shall be adjusted by the amount of such 56 percentage difference to the closest one hundred dollars by the state S. 6615--A 90 A. 9715--A 1 [board] GOVERNMENT ETHICS COMMISSION which, not later than the first day 2 of February in each such year, shall issue a regulation publishing the 3 amount of such contribution limit. Such contribution limit as so 4 adjusted shall be the contribution limit in effect for any election held 5 before the next such adjustment. 6 S 17. Section 14-116 of the election law, subdivision 1 as redesig- 7 nated by chapter 9 of the laws of 1978 and subdivision 2 as amended by 8 chapter 260 of the laws of 1981, is amended to read as follows: 9 S 14-116. Political contributions by certain organizations OR INDIVID- 10 UALS. 1. No corporation [or], joint-stock association, LIMITED LIABIL- 11 ITY COMPANY, PROFESSIONAL LIMITED LIABILITY COMPANY, PARTNERSHIP OR 12 LIMITED LIABILITY PARTNERSHIP doing business in this state, except [a 13 corporation or association] AN ENTITY organized or maintained for poli- 14 tical purposes only, shall directly or indirectly pay or use or offer, 15 consent or agree to pay or use any money or property for or in aid of 16 any political party, committee or organization, or for, or in aid of, 17 any [corporation, joint-stock or other association] ENTITY organized or 18 maintained for political purposes, or for, or in aid of, any candidate 19 for political office or for nomination for such office, or for any poli- 20 tical purpose whatever, or for the reimbursement or indemnification of 21 any person for moneys or property so used. Any officer, director, stock- 22 holder, MEMBER, PARTNER, attorney or agent of any corporation [or], 23 joint-stock association, LIMITED LIABILITY COMPANY, PROFESSIONAL LIMITED 24 LIABILITY COMPANY, PARTNERSHIP OR LIMITED LIABILITY PARTNERSHIP which 25 violates any of the provisions of this section, who participates in, 26 aids, abets or advises or consents to any such violations, and any 27 person who solicits or knowingly receives any money or property in 28 violation of this section, shall be guilty of a misdemeanor. 29 2. [Notwithstanding the provisions of subdivision one of this section, 30 any corporation or an organization financially supported in whole or in 31 part, by such corporation may make expenditures, including contrib- 32 utions, not otherwise prohibited by law, for political purposes, in an 33 amount not to exceed five thousand dollars in the aggregate in any 34 calendar year; provided that no public utility shall use revenues 35 received from the rendition of public service within the state for 36 contributions for political purposes unless such cost is charged to the 37 shareholders of such a public service corporation.] CONTRIBUTION DELIV- 38 ERY ACTIVITIES BY AN INTERMEDIARY AS DEFINED IN THIS ARTICLE ARE PROHIB- 39 ITED, AND ANY PERSON WHO SOLICITS OR KNOWINGLY RECEIVES ANY MONEY OR 40 PROPERTY IN VIOLATION OF THIS SECTION, SHALL BE GUILTY OF A MISDEMEANOR. 41 S 18. Subdivision 1 of section 14-118 of the election law, as amended 42 by chapter 70 of the laws of 1983, is amended to read as follows: 43 1. Every political committee shall have a treasurer and a depository, 44 and shall cause the treasurer to keep detailed, bound accounts of all 45 receipts, transfers, loans, liabilities, contributions and expenditures, 46 made by the committee or any of its officers, members or agents acting 47 under its authority or in its behalf. All such accounts shall be 48 retained by a treasurer for a period of five years from the date of the 49 filing of the final statement with respect to the election, primary 50 election or convention to which they pertain. No officer, member or 51 agent of any political committee shall receive any receipt, transfer or 52 contribution, or make any expenditure or incur any liability until the 53 committee shall have chosen a treasurer and depository and filed their 54 names in accordance with this subdivision. There shall be filed in the 55 office in which the committee is required to file its statements under 56 section 14-110 of this article, within five days after the choice of a S. 6615--A 91 A. 9715--A 1 treasurer and depository, a statement giving the name and address of the 2 treasurer chosen, the name and address of any person authorized to sign 3 checks by such treasurer, the name and address of the depository chosen 4 and the candidate or candidates or ballot proposal or proposals the 5 success or defeat of which the committee is to aid or take part; 6 provided, however, that such statement shall not be required of a 7 constituted committee [and provided further that a political committee 8 which makes no expenditures, to aid or take part in the election or 9 defeat of a candidate, other than in the form of contributions, shall 10 not be required to list the candidates being supported or opposed by 11 such committee]. SUCH A STATEMENT FROM ANY COMMITTEE OTHER THAN A PARTY 12 OR AUTHORIZED COMMITTEE ALSO SHALL CLEARLY IDENTIFY THE ECONOMIC OR 13 OTHER SPECIAL INTEREST, IF IDENTIFIABLE, OF A MAJORITY OF ITS CONTRIBU- 14 TORS, AND IF A MAJORITY OF ITS CONTRIBUTORS SHARE A COMMON EMPLOYER, 15 SHALL IDENTIFY SUCH EMPLOYER. IF THE ECONOMIC OR OTHER SPECIAL INTEREST 16 OR COMMON EMPLOYER ARE NOT IDENTIFIABLE, SUCH STATEMENT OF A MULTI-CAN- 17 DIDATE COMMITTEE SHALL CLEARLY IDENTIFY THE ECONOMIC OR OTHER SPECIAL 18 INTEREST, IF IDENTIFIABLE, OF A MAJORITY OF ITS ORGANIZERS, AND IF A 19 MAJORITY OF ITS ORGANIZERS SHARE A COMMON EMPLOYER, SHALL IDENTIFY SUCH 20 EMPLOYER, AND IF ORGANIZED, CONTROLLED OR MAINTAINED BY AN INDIVIDUAL, 21 SHALL IDENTIFY SUCH INDIVIDUAL. Such statement shall be signed by the 22 treasurer and all other persons authorized to sign checks. Any change in 23 the information required in any statement shall be reported, in an 24 amended statement filed in the same manner and in the same office as an 25 original statement filed under this section, within two days after it 26 occurs. Only a banking organization authorized to do business in this 27 state may be designated a depository hereunder. 28 S 18-a. Subdivision 2 of section 14-120 of the election law is 29 REPEALED. 30 S 19. Subdivision 2 of section 14-124 of the election law, as redesig- 31 nated by chapter 323 of the laws of 1977, is amended to read as follows: 32 2. The filing requirements and the expenditure, contribution and 33 receipt limits of this article shall not apply to any candidate or 34 committee who or which engages exclusively in activities on account of 35 which, pursuant to the laws of the United States, there is required to 36 be filed a statement or report of the campaign receipts, expenditures 37 and liabilities of such candidate or committee with an office or offi- 38 cers of the government of the United States, provided a copy of each 39 such statement or report is filed in the office of the state [board of 40 elections] GOVERNMENT ETHICS COMMISSION. 41 S 20. Subdivision 3 of section 14-124 of the election law is REPEALED. 42 S 21. Section 14-126 of the election law, as amended by chapter 8 of 43 the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of 44 1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the 45 laws of 1978, is amended to read as follows: 46 S 14-126. Violations; penalties. 1. Any person who fails to file a 47 statement required to be filed by this article shall be subject to a 48 civil penalty, not in excess of [five hundred] ONE THOUSAND dollars, [to 49 be recoverable in a special proceeding or civil action to be brought by 50 the state board of elections or other board of elections] ASSESSED BY 51 THE STATE GOVERNMENT ETHICS COMMISSION IN ACCORDANCE WITH THE PROVISIONS 52 OF SUBDIVISION TWELVE OF SECTION SEVENTY-THREE-C OF THE PUBLIC OFFICERS 53 LAW. 54 2. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL 55 COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW, 56 UNLAWFULLY ACCEPTS A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION S. 6615--A 92 A. 9715--A 1 LIMITATION ESTABLISHED IN THIS ARTICLE, SHALL BE REQUIRED TO REFUND SUCH 2 EXCESS AMOUNT AND SHALL BE SUBJECT TO A CIVIL PENALTY EQUAL TO TWO TIMES 3 THE EXCESS AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE 4 RECOVERABLE IN A SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE 5 STATE GOVERNMENT ETHICS COMMISSION PURSUANT TO SECTION 16-120 OF THIS 6 CHAPTER. 7 3. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL 8 COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW, 9 UNLAWFULLY (A) EXPENDS CAMPAIGN FUNDS FOR A PERSONAL USE IN VIOLATION OF 10 THIS ARTICLE, OR (B) CONDUCTS ACTIVITIES PROHIBITED BY THIS ARTICLE, 11 SHALL BE SUBJECT TO A CIVIL PENALTY, NOT IN EXCESS OF TEN THOUSAND 12 DOLLARS, TO BE RECOVERABLE IN A SPECIAL PROCEEDING OR CIVIL ACTION TO BE 13 BROUGHT BY THE STATE GOVERNMENT ETHICS COMMISSION PURSUANT TO SECTION 14 16-120 OF THIS CHAPTER. 15 4. Any person who knowingly and willfully fails to file a statement 16 required to be filed by this article within ten days after the date 17 provided for filing such statement or any person who knowingly and will- 18 fully violates any other provision of this article shall be guilty of a 19 misdemeanor. 20 [3.] 5. Any person who knowingly and willfully contributes, accepts or 21 aids or participates in the acceptance of a contribution in an amount 22 exceeding an applicable maximum specified in this article shall be guil- 23 ty of a misdemeanor. 24 [4.] 6. Any person who shall, acting on behalf of a candidate or poli- 25 tical committee, knowingly and willfully solicit, organize or coordinate 26 the formation of activities of one or more unauthorized committees, make 27 expenditures in connection with the nomination for election or election 28 of any candidate, or solicit any person to make any such expenditures, 29 for the purpose of evading the contribution limitations of this article, 30 shall be guilty of a class E felony. 31 S 22. Section 14-127 of the election law is REPEALED. 32 S 23. Section 14-130 of the election law, as added by chapter 152 of 33 the laws of 1985, is amended to read as follows: 34 S 14-130. Campaign funds for personal use. [Contributions] 1. CAMPAIGN 35 FUNDS received by a candidate or a political committee may ONLY be 36 expended for [any] lawful [purpose] PURPOSES THAT ARE DIRECTLY RELATED 37 TO PROMOTING THE NOMINATION OR ELECTION OF A CANDIDATE. Such funds shall 38 not be converted by any person to a personal use [which is unrelated to 39 a political campaign or the holding of a public office or party posi- 40 tion]. 41 2. AS USED IN THIS SECTION, THE TERM "CAMPAIGN FUNDS" MEANS ANY FUNDS 42 RECEIVED BY A CANDIDATE OR POLITICAL COMMITTEE INCLUDING, BUT NOT LIMIT- 43 ED TO, CONTRIBUTIONS AND TRANSFERS FROM ANY SOURCE AND INTEREST RECEIVED 44 AS THE RESULT OF THE LOAN OR INVESTMENT OF SUCH FUNDS. 45 3. NO CAMPAIGN FUNDS SHALL BE USED TO PAY INTEREST OR ANY OTHER 46 FINANCE CHARGES UPON MONIES LOANED TO THE CAMPAIGN BY SUCH CANDIDATE OR 47 THE SPOUSE OF SUCH CANDIDATE. 48 4. NO CAMPAIGN FUND SHALL BE USED TO PAY ATTORNEY'S FEES OR ANY COSTS 49 OF DEFENDING AGAINST CIVIL OR CRIMINAL INVESTIGATION OR PROSECUTION FOR 50 ALLEGED VIOLATIONS OF STATE, FEDERAL OR LOCAL LAW COMMITTED WHILE HOLD- 51 ING PUBLIC OFFICE OR PARTY POSITION, OR BEING A CANDIDATE FOR SUCH 52 OFFICE OR POSITION, UNLESS THE ALLEGED VIOLATION ARISES IN CONNECTION 53 WITH THE NOMINATION OR ELECTION OF SUCH CANDIDATE TO PUBLIC OFFICE OR 54 PARTY POSITION. 55 5. (A) AS USED IN THIS SECTION, EXPENDITURES FOR "PERSONAL USE" ARE 56 DEFINED AS EXPENDITURES THAT: S. 6615--A 93 A. 9715--A 1 (I) ARE FOR THE PERSONAL BENEFIT OF THE CANDIDATE OR ANY OTHER INDI- 2 VIDUAL; 3 (II) DEFRAY NORMAL LIVING EXPENSES OF THE CANDIDATE, IMMEDIATE FAMILY 4 OF THE CANDIDATE OR ANY OTHER INDIVIDUAL; 5 (III) ARE USED TO FULFILL ANY COMMITMENT, OBLIGATION OR EXPENSE OF A 6 PERSON THAT WOULD EXIST IRRESPECTIVE OF THE CANDIDATE'S ELECTION 7 CAMPAIGN INCLUDING, BUT NOT LIMITED TO, ANY EXPENSE INCURRED MORE THAN 8 THIRTY DAYS AFTER THE CANDIDATE CEASES TO BE A CANDIDATE; OR 9 (IV) ARE PUT TO ANY USE FOR WHICH THE CANDIDATE WOULD BE REQUIRED TO 10 TREAT THE AMOUNT OF THE EXPENDITURE AS GROSS INCOME UNDER SECTION 61 OF 11 THE INTERNAL REVENUE CODE, OR ANY SUBSEQUENT CORRESPONDING SECTION OF 12 THE INTERNAL REVENUE CODE. 13 (B) PROHIBITED EXPENDITURES FOR PERSONAL USE OF CAMPAIGN FUNDS SHALL 14 INCLUDE, BUT ARE NOT LIMITED TO, THE FOLLOWING: 15 (I) ANY RESIDENTIAL OR HOUSEHOLD ITEMS, SUPPLIES OR EXPENDITURES, 16 INCLUDING MORTGAGE, RENT OR UTILITY PAYMENTS FOR ANY PART OF ANY 17 PERSONAL RESIDENCE OF A CANDIDATE OR OFFICEHOLDER OR A MEMBER OF THE 18 CANDIDATE'S OR OFFICEHOLDER'S FAMILY. 19 (II) MORTGAGE, RENT OR UTILITY PAYMENTS FOR ANY PART OF ANY NON-RESI- 20 DENTIAL PROPERTY THAT IS OWNED BY A CANDIDATE OR OFFICEHOLDER OR A 21 MEMBER OF A CANDIDATE'S OR OFFICEHOLDER'S FAMILY AND USED FOR CAMPAIGN 22 PURPOSES, TO THE EXTENT THE PAYMENTS EXCEED THE FAIR MARKET VALUE OF THE 23 PROPERTY USAGE; 24 (III) FUNERAL, CREMATION OR BURIAL EXPENSES, INCLUDING ANY EXPENSES 25 RELATED TO A DEATH WITHIN A CANDIDATE'S OR OFFICEHOLDER'S FAMILY; 26 (IV) CLOTHING, OR OTHER THAN ITEMS OF NOMINAL VALUE THAT ARE USED IN 27 THE CAMPAIGN; 28 (V) TUITION PAYMENTS; 29 (VI) CHILDCARE COSTS; 30 (VII) DUES, FEES OR GRATUITIES AT A COUNTRY CLUB, HEALTH CLUB, RECRE- 31 ATIONAL FACILITY OR OTHER NONPOLITICAL ORGANIZATION, UNLESS THEY ARE 32 PART OF A SPECIFIC FUNDRAISING EVENT THAT TAKES PLACE ON THE ORGANIZA- 33 TION'S PREMISES; 34 (VIII) SALARY PAYMENTS TO ANY PERSON FOR SERVICES THAT ARE NOT SOLELY 35 FOR CAMPAIGN PURPOSES; 36 (IX) SALARY PAYMENTS TO A MEMBER OF A CANDIDATE'S FAMILY, UNLESS THE 37 FAMILY MEMBER IS PROVIDING BONA FIDE SERVICES TO THE CAMPAIGN. IF A 38 FAMILY MEMBER PROVIDES BONA FIDE SERVICES TO A CAMPAIGN, ANY SALARY 39 PAYMENTS IN EXCESS OF THE FAIR MARKET VALUE OF THE SERVICES PROVIDED 40 SHALL BE CONSIDERED PAYMENTS FOR PERSONAL USE; 41 (X) ADMISSION TO A SPORTING EVENT, CONCERT, THEATER OR OTHER FORM OF 42 ENTERTAINMENT, UNLESS PART OF A SPECIFIC CAMPAIGN OR OFFICEHOLDER ACTIV- 43 ITY; 44 (XI) PAYMENT OF ANY FINES, FEES OR PENALTIES ASSESSED PURSUANT TO THIS 45 CHAPTER; 46 (XII) AUTOMOBILE PURCHASES; 47 (XIII) AUTOMOBILE LEASES; 48 (XIV) TRAVEL EXPENSES, UNLESS USED SOLELY FOR CAMPAIGN PURPOSES. IF A 49 CANDIDATE USES CAMPAIGN FUNDS TO PAY EXPENSES ASSOCIATED WITH TRAVEL 50 THAT INVOLVES BOTH PERSONAL ACTIVITIES AND CAMPAIGN ACTIVITIES, THE 51 INCREMENTAL EXPENSES THAT RESULT FROM THE PERSONAL ACTIVITIES SHALL BE 52 CONSIDERED FOR PERSONAL USE UNLESS THE PERSON OR PERSONS BENEFITING FROM 53 THE USE REIMBURSES THE CAMPAIGN ACCOUNT WITHIN THIRTY DAYS FOR THE FULL 54 AMOUNT OF THE INCREMENTAL EXPENSES; AND 55 (XV) ANY OTHER EXPENDITURES DESIGNATED BY THE STATE GOVERNMENT ETHICS 56 COMMISSION AS CONSTITUTING PERSONAL USE. S. 6615--A 94 A. 9715--A 1 6. NOTHING IN THIS SECTION SHALL PROHIBIT A CANDIDATE FROM PURCHASING 2 EQUIPMENT OR PROPERTY FROM HIS PERSONAL FUNDS AND LEASING OR RENTING 3 SUCH EQUIPMENT OR PROPERTY TO A COMMITTEE WORKING DIRECTLY OR INDIRECTLY 4 WITH HIM TO AID OR PARTICIPATE IN HIS NOMINATION OR ELECTION, INCLUDING 5 AN EXPLORATORY COMMITTEE; PROVIDED THAT THE CANDIDATE AND HIS CAMPAIGN 6 TREASURER SIGN A WRITTEN LEASE OR RENTAL AGREEMENT. SUCH AGREEMENT SHALL 7 INCLUDE THE LEASE OR RENTAL PRICE, WHICH SHALL NOT EXCEED THE FAIR LEASE 8 OR RENTAL VALUE OF THE EQUIPMENT. THE CANDIDATE SHALL NOT RECEIVE LEASE 9 OR RENTAL PAYMENTS WHICH, IN THE AGGREGATE, EXCEED THE COST OF PURCHAS- 10 ING THE EQUIPMENT OR PROPERTY. 11 7. (A) NOTWITHSTANDING THIS SECTION, AN INDIVIDUAL WHO DOES NOT HOLD A 12 PUBLIC OFFICE OR A PARTY POSITION AND IS NOT A DECLARED CANDIDATE FOR 13 PUBLIC OFFICE OR PARTY POSITION MAY NOT EXPEND CAMPAIGN FUNDS FOR 14 PERSONAL USE INCLUDING, BUT NOT LIMITED TO, MEALS, ENTERTAINMENT, AND 15 SALARIES FOR IMMEDIATE FAMILY MEMBERS; PROVIDED, HOWEVER, NOTHING IN 16 THIS SUBDIVISION PROHIBITS THE USE OF CAMPAIGN FUNDS TO SUPPORT ONE OR 17 MORE DECLARED CANDIDATES AS AUTHORIZED BY THIS ARTICLE. 18 (B) FOR PURPOSES OF THIS SECTION, A "DECLARED CANDIDATE" MEANS AN 19 INDIVIDUAL WHO HAS FILED WITH THE STATE GOVERNMENT ETHICS COMMISSION 20 BOTH AN "AUTHORIZATION OR NON-AUTHORIZATION BY A CANDIDATE" FORM PURSU- 21 ANT TO SECTION 14-102 OF THIS ARTICLE AND A "COMMITTEE DESIGNATION OF 22 TREASURER AND DEPOSITORY" FORM PURSUANT TO SECTION 14-118 OF THIS ARTI- 23 CLE, BOTH OF WHICH INDICATE THE SPECIFIC OFFICE AND DISTRICT SOUGHT AND 24 THE YEAR OF THE ELECTION. 25 S 24. The election law is amended by adding a new section 14-132 to 26 read as follows: 27 S 14-132. DISPOSITION OF CAMPAIGN FUNDS. 1. A POLITICAL COMMITTEE 28 AIDING OR TAKING PART IN THE ELECTION OR NOMINATION OF ANY CANDIDATE, 29 OTHER THAN BY MAKING CONTRIBUTIONS, AUTHORIZED BY A CANDIDATE, MUST 30 DISPOSE OF ALL CAMPAIGN FUNDS AND CLOSE WITHIN TWO YEARS AFTER THE LATER 31 OF (A) THE END OF THE INDIVIDUAL'S MOST RECENT TERM OF OFFICE, OR (B) 32 THE DATE OF THE ELECTION IN WHICH THE INDIVIDUAL LAST WAS A FILED CANDI- 33 DATE. 34 2. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION ONE OF THIS SECTION, 35 A COMMITTEE DISAVOWED PURSUANT TO SECTION 14-112 OF THIS ARTICLE SHALL 36 DISPOSE OF ALL CAMPAIGN FUNDS NO LATER THAN DECEMBER THIRTY-FIRST, TWO 37 THOUSAND TEN. 38 3. ANY CANDIDATE COMMITTEE REQUIRED TO DISPOSE OF FUNDS PURSUANT TO 39 THIS SECTION SHALL, AT THE OPTION OF THE CANDIDATE, DISPOSE OF SUCH 40 FUNDS BY ANY OF THE FOLLOWING MEANS, OR ANY COMBINATION THEREOF: 41 (A) RETURNING, PRO RATA, TO EACH CONTRIBUTOR THE FUNDS THAT HAVE NOT 42 BEEN SPENT OR OBLIGATED; 43 (B) DONATING THE FUNDS TO A CHARITABLE ORGANIZATION OR ORGANIZATIONS 44 THAT MEET THE QUALIFICATIONS OF SECTION 501(C)(3) OF THE INTERNAL REVEN- 45 UE CODE; 46 (C) DONATING THE FUNDS TO THE STATE UNIVERSITY OF NEW YORK; 47 (D) DONATING THE FUNDS TO THE STATE'S GENERAL FUND; 48 (E) TRANSFERRING THE FUNDS TO A POLITICAL PARTY COMMITTEE REGISTERED 49 WITH THE STATE BOARD OF ELECTIONS; OR 50 (F) CONTRIBUTING THE FUNDS TO A CANDIDATE OR POLITICAL COMMITTEE SUCH 51 THAT THIS DOES NOT EXCEED THE LIMITS SET FORTH IN SECTION 14-114 OF THIS 52 ARTICLE. 53 4. NO POLITICAL COMMITTEE SHALL DISPOSE OF CAMPAIGN FUNDS BY MAKING 54 EXPENDITURES FOR PERSONAL USE AS DEFINED IN SECTION 14-130 OF THIS ARTI- 55 CLE. S. 6615--A 95 A. 9715--A 1 5. UPON THE DEATH OF A CANDIDATE, FORMER CANDIDATE OR HOLDER OF ELEC- 2 TIVE OFFICE, WHO RECEIVED CAMPAIGN CONTRIBUTIONS, ALL CONTRIBUTIONS 3 SHALL BE DISPOSED OF ACCORDING TO THIS SECTION WITHIN TWELVE MONTHS OF 4 THE DEATH OF THE CANDIDATE. 5 S 25. Section 16-100 of the election law is amended to read as 6 follows: 7 S 16-100. Jurisdiction; supreme court, county court. 1. The supreme 8 court is vested with jurisdiction to summarily determine any question of 9 law or fact arising as to any subject set forth in this article, which 10 shall be construed liberally. 11 2. The county court is vested with jurisdiction to summarily determine 12 any question of law or fact except proceedings as to a nomination or 13 election at a primary election or a nomination at a judicial convention, 14 proceedings as to the casting and canvass of ballots [and], proceedings 15 for examination or preservation of ballots AND PROCEEDINGS TO ENFORCE 16 THE PROVISIONS OF ARTICLE FOURTEEN OF THIS CHAPTER AS PROVIDED IN 17 SECTION 16-120 OF THIS ARTICLE. 18 S 26. Section 16-114 of the election law, subdivisions 1, 2, 3 and 4 19 as redesignated by chapter 9 of the laws of 1978, is amended to read as 20 follows: 21 S 16-114. Proceedings to compel filing of statements or corrected 22 statements of campaign receipts, expenditures and contributions. 1. The 23 supreme court or a justice thereof, in a proceeding instituted by any 24 candidate voted for at the election or primary or by any five qualified 25 voters or by the state [or other board of elections] GOVERNMENT ETHICS 26 COMMISSION may compel by order, any person required to file a statement 27 of receipts, expenditures or contributions for campaign purposes, who 28 has not filed any such statement within the time prescribed by this 29 chapter, to file such statement within five days after notice of the 30 order. 31 2. The supreme court or a justice thereof, in a proceeding instituted 32 by any candidate voted for at the election or primary or by any five 33 qualified voters, or by the state [or other board of elections] GOVERN- 34 MENT ETHICS COMMISSION in accordance with the provision of this chapter 35 may compel by order any person required under the provisions of this 36 chapter to file a statement of receipts, expenditures or contributions 37 for campaign purposes, who has filed a statement which does not conform 38 to the requirements of this chapter in respect to its truth, sufficiency 39 in detail or otherwise, to file a new or supplemental statement which 40 shall make the statement or statements true and complete within five 41 days after notice of the order. The state [board of elections] GOVERN- 42 MENT ETHICS COMMISSION shall be a necessary party in any such proceed- 43 ing. 44 3. The supreme court or a justice thereof, in a proceeding instituted 45 by any candidate voted for at the election or primary or by any five 46 qualified voters, or by the state [or other board of elections] GOVERN- 47 MENT ETHICS COMMISSION may compel by order any person who has failed to 48 comply, or the members of any committee which has failed to comply, with 49 any of the provisions of this chapter, to comply therewith. 50 4. In every proceeding instituted under this section, except a 51 proceeding to compel the filing of a statement by a candidate for nomi- 52 nation to a public office at a primary election or for election thereto, 53 or by the treasurer of a political committee, who has failed to file any 54 statement, the petitioner or petitioners, upon the institution of the 55 proceeding shall file with the county clerk an undertaking in a sum to 56 be determined and with sureties to be approved by a justice of the S. 6615--A 96 A. 9715--A 1 supreme court conditioned to pay any costs imposed against him or them; 2 provided, however, that no such undertaking shall be required in a 3 proceeding instituted by the state [or other board of elections] GOVERN- 4 MENT ETHICS COMMISSION. 5 S 27. The election law is amended by adding a new section 16-120 to 6 read as follows: 7 S 16-120. ENFORCEMENT PROCEEDINGS. 1. THE SUPREME COURT OR A JUSTICE 8 THEREOF, IN A PROCEEDING INSTITUTED BY THE STATE GOVERNMENT ETHICS 9 COMMISSION, MAY IMPOSE A CIVIL PENALTY, AS PROVIDED FOR IN SUBDIVISIONS 10 TWO AND THREE OF SECTION 14-126 OF THIS CHAPTER, UPON ANY PERSON WHO, 11 ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL COMMITTEE UNDER 12 CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW, HAS UNLAWFULLY (A) 13 ACCEPTED A MONETARY CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION 14 ESTABLISHED IN ARTICLE FOURTEEN OF THIS CHAPTER, (B) EXPENDED CAMPAIGN 15 FUNDS FOR A PERSONAL USE IN VIOLATION OF THIS ARTICLE OR (C) IN THE CASE 16 OF A POLITICAL COMMITTEE, CONDUCTED ACTIVITIES PROHIBITED BY ARTICLE 17 FOURTEEN OF THIS CHAPTER. 18 2. UPON PROOF THAT A VIOLATION OF ARTICLE FOURTEEN, AS PROVIDED IN 19 SUBDIVISION ONE OF THIS SECTION, HAS OCCURRED, THE COURT MAY IMPOSE A 20 CIVIL PENALTY, PURSUANT TO SUBDIVISIONS TWO AND THREE OF SECTION 14-126 21 OF THIS CHAPTER, AFTER CONSIDERING, AMONG OTHER FACTORS, THE SEVERITY OF 22 THE VIOLATION OR VIOLATIONS, WHETHER THE SUBJECT OF THE VIOLATION MADE A 23 GOOD FAITH EFFORT TO CORRECT THE VIOLATION BEFORE THE STATE GOVERNMENT 24 ETHICS COMMISSION DISCOVERED SUCH VIOLATION, AND WHETHER THE SUBJECT OF 25 THE VIOLATION HAS A HISTORY OF SIMILAR VIOLATIONS. ALL SUCH DETERMI- 26 NATIONS SHALL BE MADE ON A FAIR AND EQUITABLE BASIS WITHOUT REGARD TO 27 THE STATUS OF THE CANDIDATE OR POLITICAL COMMITTEE. 28 S 28. The legislative law is amended by adding a new article 1-B to 29 read as follows: 30 ARTICLE 1-B 31 PARTICIPATION IN FUNDRAISERS DURING 32 A LEGISLATIVE SESSION 33 SECTION 1-AA. DEFINITIONS. 34 1-BB. PARTICIPATION IN FUNDRAISERS DURING A LEGISLATIVE SESSION. 35 S 1-AA. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS 36 SHALL HAVE THE FOLLOWING MEANINGS: 37 1. "FUNDRAISER" SHALL MEAN AN EVENT OR FUNCTION AT WHICH OR IN 38 CONNECTION WITH FUNDS ARE SOLICITED FOR OR ON BEHALF OF (A) A GOVERNOR, 39 LIEUTENANT GOVERNOR, COMPTROLLER, ATTORNEY GENERAL, MEMBER OR MEMBERS OF 40 THE STATE LEGISLATURE, OR A CANDIDATE FOR ANY OF THE FOREGOING OFFICES; 41 (B) A POLITICAL COMMITTEE ORGANIZED TO SUPPORT OR OPPOSE THE ELECTION OF 42 ANY SUCH PERSON OR PERSONS; (C) A STATE COMMITTEE OR A SUBCOMMITTEE OF 43 SUCH STATE COMMITTEE, PROVIDED THAT THE TERM "FUNDRAISER" WHEN APPLIED 44 TO AN EVENT OR FUNCTION HELD BY A STATE COMMITTEE OR SUBCOMMITTEE THERE- 45 OF SHALL NOT INCLUDE AN EVENT OR FUNCTION AT WHICH FUNDS ARE RAISED 46 EXCLUSIVELY TO SUPPORT OR OPPOSE A CANDIDATE OR CANDIDATES FOR FEDERAL 47 ELECTIVE OFFICE, OR A POLITICAL COMMITTEE AUTHORIZED BY SUCH A CANDIDATE 48 OR CANDIDATES, WHERE SUCH FUNDS ARE NOT USED FOR ANY OTHER PURPOSE; OR 49 (D) ANY LOBBYIST OR CLIENT POLITICAL COMMITTEE, WHERE SUCH AN EVENT OR 50 FUNCTION IS HELD FOR THE EXPLICIT PURPOSE OF RAISING FUNDS FOR OR ON 51 BEHALF OF ANY OF THE FOREGOING ENTITIES. 52 2. "LOBBYIST OR CLIENT POLITICAL COMMITTEE" SHALL MEAN A POLITICAL 53 COMMITTEE ORGANIZED TO SUPPORT THE ACTIVITIES OF A LOBBYIST OR CLIENT 54 PROVIDED, HOWEVER, THAT THE TERM "LOBBYIST OR CLIENT POLITICAL COMMIT- 55 TEE" AS USED IN THIS ARTICLE, SHALL NOT INCLUDE A FUNDRAISING EVENT OR 56 FUNCTION HOSTED BY SUCH A COMMITTEE TO RAISE FUNDS FOR THE COMMITTEE'S S. 6615--A 97 A. 9715--A 1 GENERAL USE WHERE SUCH AN EVENT OR FUNCTION IS NOT TARGETED TO BENEFIT 2 ANY OF THE SPECIFIC PERSONS OR ENTITIES DESCRIBED IN SUBDIVISION ONE OF 3 THIS SECTION. 4 3. THE TERM "LEGISLATIVE SESSION" SHALL MEAN THE PERIOD BEGINNING ON 5 THE WEDNESDAY SUCCEEDING THE FIRST MONDAY OF JANUARY AND ENDING ON THE 6 LATER OF (A) THE THIRTIETH DAY OF JUNE OR (B) TWO WEEKS AFTER THE DAY ON 7 WHICH THE LEGISLATURE HAS TAKEN FINAL ACTION ON ALL OF THE APPROPRIATION 8 BILLS SUBMITTED BY THE GOVERNOR PURSUANT TO ARTICLE SEVEN OF THE STATE 9 CONSTITUTION, THEREBY ENACTING A STATE BUDGET THAT PROVIDED SUFFICIENT 10 APPROPRIATION AUTHORITY FOR THE ONGOING OPERATION AND SUPPORT OF STATE 11 GOVERNMENT AND LOCAL ASSISTANCE FOR THE ENSUING FISCAL YEAR. 12 S 1-BB. PARTICIPATION IN FUNDRAISERS DURING A LEGISLATIVE SESSION. 1. 13 EXCEPT AS OTHERWISE PROVIDED IN THIS SECTION, NO PERSON OR ENTITY SHALL 14 HOLD, PARTICIPATE IN, CONTRIBUTE TO, PURCHASE A TICKET FOR, OR ATTEND 15 ANY FUNDRAISER WITHIN FORTY MILES OF THE NEW YORK STATE CAPITOL DURING 16 THE LEGISLATIVE SESSION. 17 2. THIS SECTION SHALL NOT APPLY TO FUNDRAISERS WITHIN THE DISTRICT OF 18 MEMBERS OF THE LEGISLATURE OR CANDIDATES THEREFOR WHOSE DISTRICTS ARE 19 LOCATED IN WHOLE OR IN PART WITHIN FORTY MILES OF THE NEW YORK STATE 20 CAPITOL, PROVIDED, HOWEVER THAT SUCH FUNDRAISERS SHALL BE SOLELY FOR THE 21 BENEFIT OF THE LEGISLATOR OR THE CANDIDATE OR THE AUTHORIZED POLITICAL 22 COMMITTEE OF SUCH LEGISLATOR OR CANDIDATE AND NO OTHER ELECTED OFFICIAL, 23 POLITICAL COMMITTEE OR CANDIDATE FOR ELECTED OFFICE; AND FURTHER 24 PROVIDED THAT SUCH FUNDRAISERS SHALL NOT BE HELD ON ANY DAY WHEN A 25 QUORUM OF EITHER HOUSE OF THE LEGISLATURE IS IN ATTENDANCE OF A SESSION 26 OF THEIR RESPECTIVE HOUSE. 27 S 29. Sections 14-100 through 14-130 of article 14 of the election law 28 are designated title 1 and a new title heading is added to read as 29 follows: 30 CAMPAIGN RECEIPTS AND EXPENDITURES 31 S 30. Article 14 of the election law is amended by adding a new title 32 2 to read as follows: 33 TITLE II 34 PUBLIC FINANCING 35 SECTION 14-200. DEFINITIONS. 36 14-202. ELIGIBILITY. 37 14-204. QUALIFIED CAMPAIGN EXPENDITURES. 38 14-206. OPTIONAL PUBLIC FINANCING. 39 14-208. CONTRIBUTION AND RECEIPT LIMITATIONS. 40 14-210. EXPENDITURE LIMITATIONS. 41 14-212. EXAMINATIONS AND AUDITS; REPAYMENTS. 42 14-214. CIVIL PENALTIES. 43 S 14-200. DEFINITIONS. AS USED IN THIS TITLE, UNLESS ANOTHER MEANING 44 IS CLEARLY INDICATED: 45 1. THE TERM "ETHICS COMMISSION" SHALL MEAN THE STATE GOVERNMENT ETHICS 46 COMMISSION. 47 2. THE TERM "ELIGIBLE CANDIDATE" SHALL MEAN A CANDIDATE FOR NOMINATION 48 OR ELECTION TO ANY OF THE OFFICES OF GOVERNOR, LIEUTENANT GOVERNOR, 49 COMPTROLLER, ATTORNEY GENERAL, MEMBER OF THE STATE LEGISLATURE, AT-LARGE 50 DELEGATE TO A CONSTITUTIONAL CONVENTION OR DISTRICT DELEGATE TO A 51 CONSTITUTIONAL CONVENTION. 52 3. THE TERM "PARTICIPATING COMMITTEE" SHALL MEAN A SINGLE POLITICAL 53 COMMITTEE WHICH A CANDIDATE CERTIFIES IS THE COMMITTEE THAT WILL SOLELY 54 BE USED TO PARTICIPATE IN THE PUBLIC FINANCING SYSTEM ESTABLISHED BY 55 THIS TITLE AFTER JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY, GENERAL S. 6615--A 98 A. 9715--A 1 OR SPECIAL ELECTION IS HELD FOR THE PUBLIC OFFICE SOUGHT. A MULTI-CAN- 2 DIDATE COMMITTEE MAY NOT BE A PARTICIPATING COMMITTEE. 3 4. THE TERM "PARTICIPATING CANDIDATE" SHALL MEAN A CANDIDATE WHO IS 4 ELIGIBLE TO PARTICIPATE IN THE OPTIONAL PUBLIC FINANCING SYSTEM ESTAB- 5 LISHED BY THIS TITLE AND HAS ELECTED TO PARTICIPATE IN THE PUBLIC 6 FINANCING SYSTEM. 7 5. THE TERM "MATCHABLE CONTRIBUTIONS" SHALL MEAN THAT PORTION OF THE 8 AGGREGATE CONTRIBUTIONS MADE (A) IN THE CASE OF A PRIMARY OR GENERAL 9 ELECTION, AFTER JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY OR GENER- 10 AL ELECTION IS HELD FOR THE PUBLIC OFFICE SOUGHT OR (B) IN THE CASE OF A 11 SPECIAL ELECTION, WITHIN SIX MONTHS OF SUCH ELECTION BY NATURAL PERSONS 12 RESIDENT IN THE STATE OF NEW YORK TO A CANDIDATE FOR NOMINATION OR 13 ELECTION TO ANY OF THE OFFICES COVERED BY THE PROVISIONS OF THIS TITLE 14 WHICH DO NOT EXCEED TWO HUNDRED FIFTY DOLLARS, WHICH HAVE BEEN REPORTED 15 IN FULL BY THE CANDIDATE'S PARTICIPATING COMMITTEE TO THE ETHICS COMMIS- 16 SION, INCLUDING THE CONTRIBUTOR'S FULL NAME AND RESIDENTIAL ADDRESS. 17 "MATCHABLE CONTRIBUTIONS" SHALL BE THE NET AMOUNT OF ANY MONETARY 18 CONTRIBUTION REALIZED BY A CANDIDATE OR DESIGNATED COMMITTEE AFTER 19 DEDUCTING THE REASONABLE VALUE OF ANY GOODS OR SERVICES PROVIDED THE 20 CONTRIBUTOR IN CONNECTION WITH THE CONTRIBUTION, EXCEPT THAT CONTRIB- 21 UTIONS FROM ANY PERSON WHO HAS RECEIVED A PAYMENT OR ANYTHING OF VALUE 22 FROM SUCH COMMITTEE OR FROM A PERSON WHO IS AN OFFICER, DIRECTOR OR 23 EMPLOYEE OF, OR A PERSON WHO HAS A TEN PERCENT OR GREATER OWNERSHIP 24 INTEREST IN ANY ENTITY WHICH HAS RECEIVED SUCH A PAYMENT OR THING OF 25 VALUE SHALL NOT BE MATCHABLE. A LOAN MAY NOT BE TREATED AS A MATCHABLE 26 CONTRIBUTION. 27 6. THE TERM "QUALIFIED CAMPAIGN EXPENDITURE" SHALL MEAN AN EXPENDITURE 28 FOR WHICH PUBLIC FUNDS MAY BE USED. 29 7. THE TERM "THRESHOLD FOR ELIGIBILITY" SHALL MEAN THE AMOUNT OF TOTAL 30 MATCHABLE CONTRIBUTIONS THAT THE PARTICIPATING COMMITTEE OF AN OTHERWISE 31 ELIGIBLE CANDIDATE MUST RECEIVE, AS REQUIRED BY SECTION 14-202 OF THIS 32 TITLE, IN ORDER TO QUALIFY FOR OPTIONAL PUBLIC FINANCING PURSUANT TO 33 THIS TITLE. 34 8. THE TERM "CONTRIBUTION" SHALL HAVE THE SAME MEANING AS IN SUBDIVI- 35 SION NINE OF SECTION 14-100 OF THIS ARTICLE. 36 S 14-202. ELIGIBILITY. 1. TO BE ELIGIBLE FOR OPTIONAL PUBLIC FINANCING 37 UNDER THIS TITLE, A CANDIDATE FOR NOMINATION OR ELECTION MUST: 38 (A) MEET ALL THE REQUIREMENTS OF THIS CHAPTER AND OTHER PROVISIONS OF 39 LAW TO HAVE HIS OR HER NAME ON THE BALLOT; 40 (B) BE A CANDIDATE FOR STATEWIDE OFFICE, THE STATE LEGISLATURE OR 41 DELEGATE TO A CONSTITUTIONAL CONVENTION AT A PRIMARY, GENERAL OR SPECIAL 42 ELECTION AND MEET THE THRESHOLD FOR ELIGIBILITY SET FORTH IN SUBDIVISION 43 TWO OF THIS SECTION; 44 (C) ELECT TO PARTICIPATE IN THE PUBLIC FINANCING SYSTEM ESTABLISHED BY 45 THIS TITLE BY FILING A WRITTEN CERTIFICATION IN SUCH FORM AS MAY BE 46 PRESCRIBED BY THE ETHICS COMMISSION, WHICH SETS FORTH HIS OR HER ACCEPT- 47 ANCE OF AND AGREEMENT TO COMPLY WITH THE TERMS AND CONDITIONS FOR THE 48 PROVISIONS OF SUCH FUNDS, NOT LATER THAN SEVEN DAYS AFTER THE LAST DAY 49 TO FILE DESIGNATING PETITIONS FOR THE OFFICE SUCH CANDIDATE IS SEEKING 50 OR, IN THE CASE OF A SPECIAL ELECTION, NOT LATER THAN THE LAST DAY TO 51 FILE NOMINATING CERTIFICATES FOR SUCH OFFICE; 52 (D) AGREE TO OBTAIN AND FURNISH TO THE ETHICS COMMISSION ANY EVIDENCE 53 IT MAY REASONABLY REQUEST RELATING TO HIS OR HER CAMPAIGN EXPENDITURES 54 OR CONTRIBUTIONS AND FURNISH SUCH OTHER PROOF OF COMPLIANCE WITH THIS 55 TITLE AS MAY BE REQUESTED BY THE ETHICS COMMISSION; S. 6615--A 99 A. 9715--A 1 (E) HAVE A SINGLE AUTHORIZED POLITICAL COMMITTEE WHICH HE OR SHE 2 CERTIFIES AS THE PARTICIPATING COMMITTEE FOR THE PURPOSES OF THIS TITLE; 3 AND 4 (F) AGREE TO IDENTIFY ACCURATELY IN ALL CAMPAIGN MATERIALS THE PERSON 5 OR ENTITY THAT PAID FOR SUCH CAMPAIGN MATERIAL. 6 2. THE THRESHOLD FOR ELIGIBILITY FOR PUBLIC FUNDING FOR CANDIDATES IN 7 A PRIMARY, GENERAL OR SPECIAL ELECTION FOR THE FOLLOWING OFFICES SHALL 8 BE: 9 (A) GOVERNOR IN A PRIMARY OR GENERAL ELECTION. NOT LESS THAN EIGHT 10 HUNDRED THOUSAND DOLLARS FROM AT LEAST EIGHT THOUSAND MATCHABLE CONTRIB- 11 UTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY DOLLARS PER INDIVIDUAL 12 CONTRIBUTOR WHO RESIDES IN NEW YORK STATE. 13 (B) LIEUTENANT GOVERNOR IN A PRIMARY ELECTION AND COMPTROLLER OR 14 ATTORNEY GENERAL IN A PRIMARY OR GENERAL ELECTION. NOT LESS THAN FOUR 15 HUNDRED THOUSAND DOLLARS FROM AT LEAST FOUR THOUSAND MATCHABLE CONTRIB- 16 UTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY DOLLARS PER INDIVIDUAL 17 CONTRIBUTOR WHO RESIDES IN NEW YORK STATE. 18 (C) MEMBERS OF THE STATE SENATE IN A PRIMARY, GENERAL OR SPECIAL 19 ELECTION. NOT LESS THAN TWENTY THOUSAND DOLLARS FROM AT LEAST TWO 20 HUNDRED MATCHABLE CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED 21 FIFTY DOLLARS PER INDIVIDUAL CONTRIBUTOR WHO RESIDES IN THE SENATE 22 DISTRICT IN WHICH THE SEAT IS TO BE FILLED. 23 (D) MEMBERS OF THE ASSEMBLY IN A PRIMARY, GENERAL OR SPECIAL ELECTION. 24 NOT LESS THAN EIGHT THOUSAND DOLLARS FROM AT LEAST ONE HUNDRED MATCHABLE 25 CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY DOLLARS PER 26 INDIVIDUAL CONTRIBUTOR WHO RESIDES IN THE ASSEMBLY DISTRICT IN WHICH THE 27 SEAT IS TO BE FILLED. 28 (E) AT-LARGE DELEGATE TO A CONSTITUTIONAL CONVENTION IN A PRIMARY OR 29 GENERAL ELECTION. NOT LESS THAN TWENTY THOUSAND DOLLARS FROM AT LEAST 30 TWO HUNDRED MATCHABLE CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED 31 FIFTY DOLLARS PER INDIVIDUAL CONTRIBUTOR WHO RESIDES IN NEW YORK STATE. 32 (F) DISTRICT DELEGATE TO A CONSTITUTIONAL CONVENTION IN A PRIMARY OR 33 GENERAL ELECTION. NOT LESS THAN FIVE THOUSAND DOLLARS FROM AT LEAST 34 FIFTY MATCHABLE CONTRIBUTIONS MADE UP OF SUMS OF UP TO TWO HUNDRED FIFTY 35 DOLLARS PER INDIVIDUAL CONTRIBUTOR WHO RESIDES IN THE DISTRICT IN WHICH 36 THE SEAT IS TO BE FILLED. 37 3. IN ORDER TO BE ELIGIBLE TO RECEIVE PUBLIC FUNDS IN A PRIMARY 38 ELECTION A CANDIDATE MUST AGREE, BY FILING A WRITTEN CERTIFICATION IN 39 SUCH FORM AS MAY BE PRESCRIBED BY THE ETHICS COMMISSION, THAT IN THE 40 EVENT SUCH CANDIDATE IS A CANDIDATE FOR SUCH OFFICE IN THE GENERAL 41 ELECTION IN SUCH YEAR, THAT SUCH CANDIDATE WILL BE BOUND BY THE 42 PROVISIONS OF THIS TITLE, INCLUDING, BUT NOT LIMITED TO, THE RECEIPT AND 43 EXPENDITURE LIMITS OF THIS TITLE. 44 4. CANDIDATES WHO ARE CONTESTED IN A PRIMARY ELECTION AND WHO DO NOT 45 SEEK PUBLIC FUNDS SHALL NOT BE ELIGIBLE FOR PUBLIC FUNDS FOR THE GENERAL 46 ELECTION IN THAT YEAR. THE PROVISIONS OF THIS SUBDIVISION SHALL NOT 47 APPLY TO CANDIDATES FOR THE OFFICE OF LIEUTENANT GOVERNOR. 48 5. CANDIDATES WHO ARE UNOPPOSED IN A PRIMARY, GENERAL OR SPECIAL 49 ELECTION SHALL NOT BE ELIGIBLE TO RECEIVE PUBLIC FUNDS. 50 6. NO CANDIDATE FOR ELECTION TO AN OFFICE IN A PRIMARY, GENERAL OR 51 SPECIAL ELECTION WHO HAS ELECTED TO PARTICIPATE IN THE PUBLIC FINANCING 52 SYSTEM SHALL BE DEEMED OPPOSED AND RECEIVE PUBLIC FUNDS UNLESS AT LEAST 53 ONE OTHER CANDIDATE FOR SUCH OFFICE IN SUCH ELECTION WHO ALSO ELECTED TO 54 PARTICIPATE IN THE PUBLIC FINANCING SYSTEM, OR SUCH CANDIDATE'S COMMIT- 55 TEE, OR AT LEAST ONE OTHER CANDIDATE FOR SUCH OFFICE IN SUCH ELECTION 56 WHO HAS NOT ELECTED TO PARTICIPATE, OR SUCH CANDIDATE'S COMMITTEE, HAVE S. 6615--A 100 A. 9715--A 1 EITHER SPENT, CONTRACTED OR OBLIGATED TO SPEND, OR HAVE CONTRIBUTED SUCH 2 CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR HAVE 3 RECEIVED IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING TEN PERCENT OF 4 THE EXPENDITURE LIMIT FOR SUCH OFFICE IN SUCH ELECTION WHICH IS FIXED BY 5 THIS TITLE FOR CANDIDATES WHO HAVE ELECTED TO ACCEPT SUCH PUBLIC FUNDS. 6 IF ANY CANDIDATE FOR AN OFFICE AND THE COMMITTEE OF SUCH CANDIDATE 7 REACHES THE THRESHOLD TO QUALIFY TO RECEIVE PUBLIC FUNDS, OR SPENDS, 8 CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES SUCH CANDIDATE'S 9 PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR RECEIVES IN LOANS OR 10 CONTRIBUTIONS, AN AMOUNT EXCEEDING TEN PERCENT OF THE EXPENDITURE LIMIT 11 FOR SUCH OFFICE IN SUCH ELECTION AT ANY TIME AFTER THE FILING DEADLINE 12 FOR THE LAST REPORT REQUIRED TO BE FILED BEFORE THE FIRST DISTRIBUTION 13 OF PUBLIC FUNDS FOR SUCH ELECTION, SUCH CANDIDATE OR COMMITTEE MUST 14 NOTIFY THE ETHICS COMMISSION OF THAT FACT WITHIN TWENTY-FOUR HOURS IN 15 THE SAME MANNER AS PROVIDED IN SUBDIVISION TWO OF SECTION 14-108 OF THIS 16 ARTICLE. 17 S 14-204. QUALIFIED CAMPAIGN EXPENDITURES. 1. PUBLIC FUNDS PROVIDED 18 UNDER THE PROVISIONS OF THIS TITLE MAY ONLY BE USED FOR EXPENDITURES BY 19 THE PARTICIPATING COMMITTEE AUTHORIZED BY THE CANDIDATE TO MAKE EXPENDI- 20 TURES ON SUCH CANDIDATE'S BEHALF, TO FURTHER THE CANDIDATE'S NOMINATION 21 OR ELECTION AFTER JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY OR 22 GENERAL ELECTION IS HELD FOR THE OFFICE SOUGHT, FOR SERVICES, MATERIALS, 23 FACILITIES OR OTHER THINGS OF VALUE USED DURING THAT CAMPAIGN CYCLE OR, 24 IN THE CASE OF A SPECIAL ELECTION, FOR EXPENDITURES DURING THE PERIOD 25 COMMENCING THREE MONTHS BEFORE AND ENDING ONE MONTH AFTER SUCH SPECIAL 26 ELECTION. THE TOTAL OF ALL EXPENDITURES MADE BY THE CANDIDATE AND SUCH 27 CANDIDATE'S PARTICIPATING COMMITTEE, INCLUDING ALL PAYMENTS RECEIVED 28 FROM THE FUND, SHALL NOT EXCEED THE EXPENDITURE LIMITATIONS ESTABLISHED 29 IN SECTION 14-210 OF THIS TITLE, EXCEPT INSOFAR AS SUCH PAYMENTS ARE 30 MADE TO REPAY LOANS USED TO PAY CAMPAIGN EXPENDITURES. 31 2. SUCH PUBLIC FUNDS MAY NOT BE USED FOR: 32 (A) AN EXPENDITURE IN VIOLATION OF ANY LAW OF THE UNITED STATES OR OF 33 THIS STATE; 34 (B) PAYMENTS OR ANYTHING OF VALUE GIVEN OR MADE TO THE CANDIDATE, A 35 RELATIVE OF THE CANDIDATE, OR TO A BUSINESS ENTITY IN WHICH ANY SUCH 36 PERSON HAS A TEN PERCENT OR GREATER OWNERSHIP INTEREST OR OF WHICH ANY 37 SUCH PERSON IS AN OFFICER, DIRECTOR OR EMPLOYEE; 38 (C) PAYMENT IN EXCESS OF THE FAIR MARKET VALUE OF SERVICES, MATERIALS, 39 FACILITIES OR OTHER THINGS OF VALUE RECEIVED IN EXCHANGE; 40 (D) ANY EXPENDITURE MADE AFTER THE PARTICIPATING CANDIDATE, OR THE 41 ONLY REMAINING OPPONENT OF SUCH CANDIDATE, HAS BEEN DISQUALIFIED OR HAD 42 SUCH CANDIDATE'S PETITIONS DECLARED INVALID BY A BOARD OF ELECTIONS OR A 43 COURT OF COMPETENT JURISDICTION UNTIL AND UNLESS SUCH FINDING IS 44 REVERSED BY A HIGHER AUTHORITY. 45 (E) ANY EXPENDITURE MADE TO CHALLENGE THE VALIDITY OF ANY PETITION OF 46 DESIGNATION OR NOMINATION OR ANY CERTIFICATE OF NOMINATION, ACCEPTANCE, 47 AUTHORIZATION, DECLINATION OR SUBSTITUTION; 48 (F) EXPENDITURE FOR NONCAMPAIGN RELATED FOOD, DRINK OR ENTERTAINMENT; 49 AND 50 (G) GIFTS, EXCEPT BROCHURES, BUTTONS, SIGNS AND OTHER CAMPAIGN MATERI- 51 AL OF NOMINAL VALUE. 52 S 14-206. OPTIONAL PUBLIC FINANCING. 1. PARTICIPATING CANDIDATES FOR 53 NOMINATION OR ELECTION IN PRIMARY, GENERAL AND SPECIAL ELECTIONS MAY 54 OBTAIN PAYMENT TO A PARTICIPATING COMMITTEE FROM PUBLIC FUNDS FOR QUALI- 55 FIED CAMPAIGN EXPENDITURES. NO SUCH PUBLIC FUNDS SHALL BE PAID TO A 56 PARTICIPATING COMMITTEE UNTIL THE CANDIDATE HAS QUALIFIED TO APPEAR ON S. 6615--A 101 A. 9715--A 1 THE BALLOT AND FILED A SWORN STATEMENT WITH THE ETHICS COMMISSION ELECT- 2 ING TO PARTICIPATE IN THE OPTIONAL PUBLIC FINANCING SYSTEM AND AGREEING 3 TO ABIDE BY THE REQUIREMENTS OF THIS TITLE. PAYMENTS SHALL NOT EXCEED 4 THE AMOUNTS SPECIFIED IN THIS TITLE, AND SHALL BE MADE ONLY IN ACCORD- 5 ANCE WITH THE PROVISIONS OF THIS TITLE. SUCH PAYMENTS MAY ONLY BE MADE 6 TO A PARTICIPATING CANDIDATE'S PARTICIPATING COMMITTEE. NO PUBLIC FUNDS 7 SHALL BE USED EXCEPT AS REIMBURSEMENT OR PAYMENT FOR QUALIFIED CAMPAIGN 8 EXPENDITURES ACTUALLY AND LAWFULLY INCURRED OR TO REPAY LOANS USED TO 9 PAY QUALIFIED CAMPAIGN EXPENDITURES. 10 2. THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDIDATE SHALL 11 BE ENTITLED TO FOUR DOLLARS IN PUBLIC FUNDS FOR EACH ONE DOLLAR OF 12 MATCHABLE CONTRIBUTIONS OBTAINED AND REPORTED TO THE ETHICS COMMISSION 13 IN ACCORDANCE WITH THE PROVISIONS OF THIS TITLE, PROVIDED, HOWEVER, SUCH 14 PUBLIC FUNDS SHALL ONLY BE USED FOR QUALIFIED CAMPAIGN EXPENDITURES. 15 3. (A) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR 16 WHICH PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS 17 TITLE, ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH 18 CANDIDATE'S COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR 19 CONTRIBUTES SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMIT- 20 TEE OR RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE 21 EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES 22 WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, THEN (I) SUCH CANDIDATE OR 23 COMMITTEE MUST NOTIFY THE ETHICS COMMISSION OF THE FACT WITHIN 24 TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELECTRONIC FILING SYSTEM 25 ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH CANDIDATE DOES NOT FILE 26 ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR OVERNIGHT MAIL; AND 27 (II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDIDATE FOR 28 SUCH OFFICE SHALL BE ENTITLED TO A GRANT OF PUBLIC FUNDS EQUAL TO TWEN- 29 TY-FIVE PERCENT OF THE TOTAL AMOUNT OF PUBLIC FUNDS RECEIVED BY THE 30 PARTICIPATING CANDIDATE FOR MATCHABLE CONTRIBUTIONS OBTAINED AND 31 REPORTED TO THE ETHICS COMMISSION. SUCH GRANT SHALL BE PAID WITHIN TWO 32 BUSINESS DAYS AND SHALL ONLY BE USED FOR QUALIFIED CAMPAIGN EXPENDI- 33 TURES. 34 (B) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR WHICH 35 PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS TITLE, 36 ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH CANDIDATE'S 37 COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES 38 SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR 39 RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE TOTAL OF THE 40 EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES 41 WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, PLUS THE TWENTY-FIVE PERCENT 42 GRANT ALREADY RECEIVED BY THE PARTICIPATING CANDIDATE, THEN (I) SUCH 43 CANDIDATE OR COMMITTEE MUST NOTIFY THE ETHICS COMMISSION OF THE FACT 44 WITHIN TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELECTRONIC FILING 45 SYSTEM ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH CANDIDATE DOES 46 NOT FILE ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR OVERNIGHT 47 MAIL; AND (II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDI- 48 DATE FOR SUCH OFFICE SHALL BE ENTITLED TO AN ADDITIONAL GRANT OF PUBLIC 49 FUNDS EQUAL TO TWENTY-FIVE PERCENT OF THE TOTAL AMOUNT OF PUBLIC FUNDS 50 RECEIVED BY THE PARTICIPATING CANDIDATE FOR MATCHABLE CONTRIBUTIONS 51 OBTAINED AND REPORTED TO THE ETHICS COMMISSION. SUCH GRANT SHALL BE PAID 52 WITHIN TWO BUSINESS DAYS AND SHALL ONLY BE USED FOR QUALIFIED CAMPAIGN 53 EXPENDITURES. 54 (C) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR WHICH 55 PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS TITLE, 56 ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH CANDIDATE'S S. 6615--A 102 A. 9715--A 1 COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES 2 SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR 3 RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE TOTAL OF THE 4 EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES 5 WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, PLUS THE FIFTY PERCENT TOTAL 6 AGGREGATE GRANT ALREADY RECEIVED BY THE PARTICIPATING CANDIDATE, THEN 7 (I) SUCH CANDIDATE OR COMMITTEE MUST NOTIFY THE ETHICS COMMISSION OF THE 8 FACT WITHIN TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELECTRONIC 9 FILING SYSTEM ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH CANDIDATE 10 DOES NOT FILE ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR OVERNIGHT 11 MAIL; AND (II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPATING CANDI- 12 DATE FOR SUCH OFFICE SHALL BE ENTITLED TO AN ADDITIONAL GRANT OF PUBLIC 13 FUNDS EQUAL TO TWENTY-FIVE PERCENT OF THE TOTAL AMOUNT OF PUBLIC FUNDS 14 RECEIVED BY THE PARTICIPATING CANDIDATE FOR MATCHABLE CONTRIBUTIONS 15 OBTAINED AND REPORTED TO THE ETHICS COMMISSION. SUCH GRANT SHALL BE 16 PAID WITHIN TWO BUSINESS DAYS AND SHALL ONLY BE USED FOR QUALIFIED 17 CAMPAIGN EXPENDITURES. 18 (D) HOWEVER, IF ANY CANDIDATE IN ANY ELECTION FOR AN OFFICE FOR WHICH 19 PUBLIC FUNDS ARE AVAILABLE PURSUANT TO THE PROVISIONS OF THIS TITLE, 20 ELECTS NOT TO ACCEPT PUBLIC FUNDS AND SUCH CANDIDATE OR SUCH CANDIDATE'S 21 COMMITTEE EITHER SPENDS, CONTRACTS OR OBLIGATES TO SPEND, OR CONTRIBUTES 22 SUCH CANDIDATE'S PERSONAL FUNDS TO SUCH CANDIDATE'S COMMITTEE OR 23 RECEIVES IN LOANS OR CONTRIBUTIONS, AN AMOUNT EXCEEDING THE TOTAL OF THE 24 EXPENDITURE LIMIT FOR SUCH OFFICE, AS FIXED BY THIS TITLE FOR CANDIDATES 25 WHO HAVE ELECTED TO ACCEPT PUBLIC FUNDS, PLUS THE SEVENTY-FIVE PERCENT 26 TOTAL AGGREGATE GRANT ALREADY RECEIVED BY THE PARTICIPATING CANDIDATE, 27 THEN (I) SUCH CANDIDATE OR COMMITTEE MUST NOTIFY THE ETHICS COMMISSION 28 OF THE FACT WITHIN TWENTY-FOUR HOURS VIA THE INTERNET USING THE ELEC- 29 TRONIC FILING SYSTEM ESTABLISHED BY THE ETHICS COMMISSION, OR IF SUCH 30 CANDIDATE DOES NOT FILE ELECTRONICALLY VIA THE INTERNET, BY FACSIMILE OR 31 OVERNIGHT MAIL; AND (II) THE PARTICIPATING COMMITTEE OF EACH PARTICIPAT- 32 ING CANDIDATE FOR SUCH OFFICE SHALL BE ENTITLED TO AN ADDITIONAL GRANT 33 OF PUBLIC FUNDS EQUAL TO TWENTY-FIVE PERCENT OF THE TOTAL AMOUNT OF 34 PUBLIC FUNDS RECEIVED BY THE PARTICIPATING CANDIDATE FOR MATCHABLE 35 CONTRIBUTIONS OBTAINED AND REPORTED TO THE ETHICS COMMISSION. SUCH 36 GRANT SHALL BE PAID WITHIN TWO BUSINESS DAYS AND MAY ONLY BE USED FOR 37 QUALIFIED CAMPAIGN EXPENDITURES. 38 4. NO PARTICIPATING CANDIDATE FOR NOMINATION FOR AN OFFICE WHO IS 39 UNOPPOSED IN A PRIMARY ELECTION SHALL BE ENTITLED TO PAYMENT FROM THE 40 FUND FOR QUALIFIED CAMPAIGN EXPENDITURES. 41 5. THE ETHICS COMMISSION SHALL PROMPTLY EXAMINE ALL REPORTS OF 42 CONTRIBUTIONS TO DETERMINE WHETHER, ON THEIR FACE, THEY MEET THE 43 REQUIREMENTS FOR MATCHABLE CONTRIBUTIONS, AND SHALL KEEP A RECORD OF 44 SUCH CONTRIBUTIONS. 45 6. THE ETHICS COMMISSION SHALL PROMULGATE REGULATIONS FOR THE CERTIF- 46 ICATION OF THE AMOUNT OF FUNDS PAYABLE TO A PARTICIPATING CANDIDATE THAT 47 HAS QUALIFIED TO RECEIVE SUCH PAYMENT. THESE REGULATIONS SHALL INCLUDE 48 THE PROMULGATION AND DISTRIBUTION OF FORMS ON WHICH CONTRIBUTIONS AND 49 EXPENDITURES ARE TO BE REPORTED, THE PERIODS DURING WHICH SUCH REPORTS 50 MUST BE FILED AND THE VERIFICATION REQUIRED. THE ETHICS COMMISSION SHALL 51 INSTITUTE PROCEDURES WHICH WILL MAKE POSSIBLE PAYMENT FROM THE FUND 52 WITHIN FOUR BUSINESS DAYS AFTER RECEIPT OF THE REQUIRED FORMS AND 53 VERIFICATIONS. 54 S 14-208. CONTRIBUTION AND RECEIPT LIMITATIONS. 1. IN ANY PRIMARY, 55 SPECIAL OR GENERAL ELECTION FOR ANY STATEWIDE OFFICE, STATE LEGISLATIVE 56 OFFICE OR CONSTITUTIONAL CONVENTION DELEGATE NO CONTRIBUTOR MAY MAKE A S. 6615--A 103 A. 9715--A 1 CONTRIBUTION TO ANY PARTICIPATING CANDIDATE OR SUCH CANDIDATE'S PARTIC- 2 IPATING COMMITTEE, AND NO PARTICIPATING CANDIDATE OR PARTICIPATING 3 COMMITTEE MAY ACCEPT ANY CONTRIBUTION FROM ANY CONTRIBUTOR WHICH, IN THE 4 AGGREGATE AMOUNT, IS GREATER THAN TWO HUNDRED FIFTY DOLLARS. 5 2. A PARTICIPATING CANDIDATE FOR A PUBLIC OFFICE FOR WHICH PUBLIC 6 FUNDS ARE AVAILABLE PURSUANT TO THIS TITLE SHALL NOT ACCEPT ANY CONTRIB- 7 UTIONS ANY EARLIER THAN ONE DAY AFTER THE PREVIOUS GENERAL ELECTION FOR 8 THE OFFICE WHICH SUCH CANDIDATE IS SEEKING, OR ANY LATER THAN THE DAY OF 9 THE GENERAL ELECTION FOR THE OFFICE SOUGHT. CONTRIBUTIONS TO A PARTIC- 10 IPATING CANDIDATE OR PARTICIPATING COMMITTEE WHICH WERE RECEIVED BEFORE 11 JANUARY FIRST OF THE YEAR IN WHICH THE PRIMARY OR GENERAL ELECTION IS 12 HELD FOR THE PUBLIC OFFICE SOUGHT OR, IN THE CASE OF A SPECIAL ELECTION 13 RECEIVED MORE THAN SIX MONTHS BEFORE THE SPECIAL ELECTION, MAY NOT BE 14 EXPENDED IN ANY ELECTION FOR ANY SUCH OFFICE. 15 3. EXCEPT FOR THE LIMITATIONS SPECIFICALLY SET FORTH IN THIS SECTION, 16 PARTICIPATING CANDIDATES SHALL BE SUBJECT TO THE PROVISIONS OF THIS 17 ARTICLE. 18 S 14-210. EXPENDITURE LIMITATIONS. THE FOLLOWING EXPENDITURE LIMITA- 19 TIONS APPLY TO ALL EXPENDITURES BY PARTICIPATING CANDIDATES AND THEIR 20 PARTICIPATING COMMITTEES RECEIVING PUBLIC FUNDS PURSUANT TO THE 21 PROVISIONS OF THIS TITLE: 22 1. (A) IN ANY PRIMARY ELECTION, EXPENDITURES BY PARTICIPATING CANDI- 23 DATES AND BY THEIR PARTICIPATING COMMITTEES SHALL NOT EXCEED: 24 (I) FOR GOVERNOR, THE SUM OF ONE DOLLAR AND TEN CENTS FOR EACH VOTER 25 ENROLLED IN THE CANDIDATE'S PARTY IN THE STATE; PROVIDED, HOWEVER, SUCH 26 SUM SHALL NOT BE LESS THAN EIGHT HUNDRED THOUSAND DOLLARS NOR MORE THAN 27 EIGHT MILLION DOLLARS; 28 (II) FOR LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENERAL, THE SUM 29 OF ONE DOLLAR AND TEN CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S 30 PARTY IN THE STATE; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN 31 FIVE HUNDRED THOUSAND DOLLARS NOR MORE THAN FIVE MILLION DOLLARS; 32 (III) FOR SENATOR, THE SUM OF TWO DOLLARS AND FIFTY CENTS FOR EACH 33 VOTER ENROLLED IN THE CANDIDATE'S PARTY IN THE SENATE DISTRICT; 34 PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN TWENTY THOUSAND 35 DOLLARS NOR MORE THAN TWO HUNDRED THOUSAND DOLLARS; 36 (IV) FOR MEMBER OF THE ASSEMBLY, THE SUM OF TWO DOLLARS AND FIFTY 37 CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S PARTY IN THE ASSEMBLY 38 DISTRICT; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN EIGHT THOU- 39 SAND DOLLARS NOR MORE THAN EIGHTY THOUSAND DOLLARS; 40 (V) FOR AT-LARGE DELEGATE TO A CONSTITUTIONAL CONVENTION, THE SUM OF 41 FIFTEEN CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S PARTY IN THE 42 STATE; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS THAN SEVENTY-FIVE 43 THOUSAND DOLLARS NOR MORE THAN ONE HUNDRED SEVENTY-FIVE THOUSAND 44 DOLLARS; 45 (VI) FOR DISTRICT DELEGATES TO A CONSTITUTIONAL CONVENTION, THE SUM OF 46 ONE DOLLAR AND TEN CENTS FOR EACH VOTER ENROLLED IN THE CANDIDATE'S 47 PARTY IN THE DISTRICT; PROVIDED, HOWEVER, SUCH SUM SHALL NOT BE LESS 48 THAN FIVE THOUSAND DOLLARS NOR MORE THAN FIFTY THOUSAND DOLLARS; 49 (B) THE ENROLLMENT NUMBERS USED TO CALCULATE THE EXPENDITURE LIMITS 50 PROVIDED FOR IN THIS SUBDIVISION SHALL BE THE ENROLLMENTS DULY REPORTED 51 BY THE APPROPRIATE BOARD OR BOARDS OF ELECTION AS OF THE LAST GENERAL 52 ELECTION PRECEDING THE PRIMARY ELECTION. 53 2. IN ANY GENERAL OR SPECIAL ELECTION, EXPENDITURES BY PARTICIPATING 54 CANDIDATES FOR THE FOLLOWING OFFICES AND BY THEIR PARTICIPATING COMMIT- 55 TEES SHALL NOT EXCEED THE FOLLOWING AMOUNTS: 56 CANDIDATES FOR ELECTION TO THE OFFICE OF: S. 6615--A 104 A. 9715--A 1 GOVERNOR AND LIEUTENANT GOVERNOR (COMBINED) $12,000,000 2 ATTORNEY GENERAL $8,000,000 3 COMPTROLLER $8,000,000 4 MEMBER OF SENATE $300,000 5 MEMBER OF ASSEMBLY $125,000 6 DELEGATE AT-LARGE TO A CONSTITUTIONAL CONVENTION $300,000 7 DISTRICT DELEGATE TO A CONSTITUTIONAL CONVENTION $75,000 8 3. EXPENDITURES FOR LEGAL FEES AND REASONABLE EXPENSES TO DEFEND THE 9 VALIDITY OF PETITIONS OF DESIGNATION OR NOMINATION OR CERTIFICATES OF 10 NOMINATION, ACCEPTANCE, AUTHORIZATION, DECLINATION OR SUBSTITUTION, OR 11 TO SUCCESSFULLY CHALLENGE ANY SUCH PETITION OR CERTIFICATE ON GROUNDS OF 12 FRAUD, OR FOR EXPENSES INCURRED TO COMPLY WITH THE CAMPAIGN FINANCE 13 REPORTING REQUIREMENTS OF THIS ARTICLE, SHALL NOT BE SUBJECT TO THE 14 EXPENDITURE LIMITS OF THIS SUBDIVISION. 15 4. MONIES OF THE PUBLIC FINANCING SYSTEM, FOLLOWING APPROPRIATION BY 16 THE LEGISLATURE, MAY BE EXPENDED FOR THE PURPOSE OF MAKING PAYMENTS TO 17 CANDIDATES PURSUANT TO TITLE II OF ARTICLE FOURTEEN OF THE ELECTION LAW. 18 MONIES SHALL BE PAID OUT BY THE ETHICS COMMISSION ON VOUCHERS CERTIFIED 19 OR APPROVED BY THE ETHICS COMMISSION, OR ITS DULY DESIGNATED REPRESEN- 20 TATIVE, IN THE MANNER PRESCRIBED BY LAW, NOT MORE THAN FOUR WORKING DAYS 21 AFTER SUCH VOUCHER IS RECEIVED. 22 5. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A 23 PRIMARY ELECTION ANY EARLIER THAN THE DAY THAT SUCH CANDIDATE IS CERTI- 24 FIED AS BEING ON THE BALLOT FOR SUCH PRIMARY ELECTION. 25 6. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A 26 GENERAL ELECTION ANY EARLIER THAN THE DAY AFTER THE DAY OF THE PRIMARY 27 ELECTION HELD TO NOMINATE CANDIDATES FOR SUCH ELECTION. 28 7. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATES IN A 29 SPECIAL ELECTION ANY EARLIER THAN THE DAY AFTER THE LAST DAY TO FILE 30 CERTIFICATES OF PARTY NOMINATION FOR SUCH SPECIAL ELECTION. 31 8. NO PUBLIC FUNDS SHALL BE PAID TO ANY PARTICIPATING CANDIDATE WHO 32 HAS BEEN DISQUALIFIED OR WHOSE DESIGNATING PETITIONS HAVE BEEN DECLARED 33 INVALID BY THE APPROPRIATE BOARD OF ELECTIONS OR A COURT OF COMPETENT 34 JURISDICTION UNTIL AND UNLESS SUCH FINDING IS REVERSED BY A HIGHER 35 AUTHORITY. NO PAYMENT FROM THE FUND IN THE POSSESSION OF SUCH A CANDI- 36 DATE OR SUCH CANDIDATE'S PARTICIPATING COMMITTEE ON THE DATE OF SUCH 37 DISQUALIFICATION OR INVALIDATION MAY THEREAFTER BE EXPENDED FOR ANY 38 PURPOSE EXCEPT THE PAYMENT OF LIABILITIES INCURRED BEFORE SUCH DATE. ALL 39 SUCH MONEYS SHALL BE REPAID TO THE FUND. 40 S 14-212. EXAMINATIONS AND AUDITS; REPAYMENTS; REPORT. 1. THE ETHICS 41 COMMISSION SHALL HAVE THE POWER TO AUDIT AND EXAMINE ALL MATTERS RELAT- 42 ING TO THE PROPER ADMINISTRATION OF THIS ARTICLE. THE ETHICS COMMISSION 43 SHALL PROMULGATE RULES AND REGULATIONS REGARDING WHAT DOCUMENTATION IS 44 SUFFICIENT IN DEMONSTRATING FINANCIAL ACTIVITY AND THE METHOD OF 45 CONDUCTING AUDITS, INCLUDING REAL TIME AUDITS. THESE AUDIT AND EXAMINA- 46 TION POWERS EXTEND TO ALL PARTICIPATING CANDIDATES AND NON-PARTICIPATING 47 CANDIDATES, AND THE AUTHORIZED COMMITTEES OF ALL PARTICIPATING AND NON- 48 PARTICIPATING CANDIDATES. 49 2. (A) IF THE ETHICS COMMISSION DETERMINES THAT ANY PORTION OF THE 50 PAYMENT MADE TO A PARTICIPATING COMMITTEE WAS IN EXCESS OF THE AGGREGATE 51 AMOUNT OF PAYMENTS TO WHICH SUCH ELIGIBLE CANDIDATE WAS ENTITLED PURSU- 52 ANT TO SECTION 14-206 OF THIS TITLE, IT SHALL NOTIFY SUCH COMMITTEE OF 53 THE EXCESS AMOUNT AND SUCH COMMITTEE SHALL PAY TO THE ETHICS COMMISSION 54 AN AMOUNT EQUAL TO THE AMOUNT OF EXCESS PAYMENTS. 55 (B) IF THE ETHICS COMMISSION DETERMINES THAT ANY AMOUNT OF PAYMENT 56 MADE TO A PARTICIPATING COMMITTEE WAS USED FOR PURPOSES OTHER THAN TO S. 6615--A 105 A. 9715--A 1 DEFRAY QUALIFIED CAMPAIGN EXPENSES, IT SHALL NOTIFY SUCH PARTICIPATING 2 COMMITTEE OF THE AMOUNT DISQUALIFIED AND SUCH PARTICIPATING COMMITTEE 3 SHALL PAY TO THE ETHICS COMMISSION AN AMOUNT EQUAL TO SUCH DISQUALIFIED 4 AMOUNT. 5 (C) IF THE TOTAL OF CONTRIBUTIONS AND PAYMENTS RECEIVED BY ANY PARTIC- 6 IPATING CANDIDATE AND SUCH CANDIDATE'S PARTICIPATING COMMITTEE, EXCEEDS 7 THE CAMPAIGN EXPENDITURES OF SUCH CANDIDATE AND COMMITTEE, SUCH CANDI- 8 DATE AND COMMITTEE SHALL USE SUCH EXCESS FUNDS TO REIMBURSE THE ETHICS 9 COMMISSION FOR PAYMENTS RECEIVED BY SUCH COMMITTEE, UP TO THE AMOUNT OF 10 PUBLIC FUNDS RECEIVED BY SUCH PARTICIPATING CANDIDATE, NOT LATER THAN 11 TEN DAYS AFTER ALL PERMISSIBLE LIABILITIES HAVE BEEN PAID AND IN ANY 12 EVENT, NOT LATER THAN MARCH THIRTY-FIRST OF THE YEAR FOLLOWING THE YEAR 13 OF THE ELECTION FOR WHICH SUCH PAYMENTS WERE INTENDED. NO SUCH EXCESS 14 FUNDS SHALL BE USED FOR ANY OTHER PURPOSE. 15 3. IF A COURT OF COMPETENT JURISDICTION DISQUALIFIES A CANDIDATE WHOSE 16 PARTICIPATING COMMITTEE HAS RECEIVED PUBLIC FUNDS ON THE GROUNDS THAT 17 SUCH CANDIDATE COMMITTED FRAUDULENT ACTS IN ORDER TO OBTAIN A PLACE ON 18 THE BALLOT AND SUCH DECISION IS NOT REVERSED BY A HIGHER COURT, SUCH 19 CANDIDATE AND SUCH CANDIDATE'S PARTICIPATING COMMITTEE SHALL PAY TO THE 20 ETHICS COMMISSION AN AMOUNT EQUAL TO THE TOTAL OF PUBLIC FUNDS RECEIVED 21 BY SUCH PARTICIPATING COMMITTEE. 22 4. THE ETHICS COMMISSION MUST PROVIDE WRITTEN NOTICE OF ALL PAYMENTS 23 DUE FROM A PARTICIPATING CANDIDATE OR SUCH CANDIDATE'S COMMITTEE TO THE 24 ETHICS COMMISSION AND PROVIDE AN OPPORTUNITY FOR THE CANDIDATE OR 25 COMMITTEE TO REBUT, IN WHOLE OR IN PART, THE ALLEGED AMOUNT DUE. UPON A 26 FINAL WRITTEN DETERMINATION BY THE ETHICS COMMISSION, THE AMOUNT DUE 27 SHALL BE PAID TO THE ETHICS COMMISSION WITHIN THIRTY DAYS OF SUCH DETER- 28 MINATION. 29 5. THE ETHICS COMMISSION SHALL REVIEW THE IMPLEMENTATION OF PUBLIC 30 FINANCING UNDER THIS ARTICLE AND REPORT TO THE GOVERNOR AND THE LEGISLA- 31 TURE ON JANUARY FIRST, TWO THOUSAND THIRTEEN. THE REPORT SHALL INCLUDE 32 BUT NOT BE LIMITED TO: (A) THE NUMBER OF CANDIDATES QUALIFYING AND 33 OPTING FOR PUBLIC FINANCING, THE AMOUNTS EXPENDED FOR THIS PURPOSE IN 34 THE PRECEDING FISCAL YEAR AND A PROJECTION OF THE NUMBER OF CANDIDATES 35 LIKELY TO QUALIFY AND OPT FOR PUBLIC FINANCING AND THEIR EXPENDITURES IN 36 FUTURE ELECTIONS; (B) AN ANALYSIS OF THE EFFECT OF PUBLIC FINANCING ON 37 POLITICAL CAMPAIGNS, INCLUDING ITS EFFECT ON THE SOURCES AND AMOUNTS OF 38 PRIVATE FINANCING, THE LEVEL OF CAMPAIGN EXPENDITURES, VOTER PARTIC- 39 IPATION, THE NUMBER OF CANDIDATES AND THE CANDIDATE'S ABILITY TO 40 CAMPAIGN EFFECTIVELY FOR PUBLIC OFFICE; (C) A REVIEW OF THE PROCEDURES 41 UTILIZED IN PROVIDING PUBLIC FUNDS TO CANDIDATES; AND (D) SUCH RECOM- 42 MENDED CHANGES IN PUBLIC FINANCING UNDER THIS ARTICLE AS IT DEEMS APPRO- 43 PRIATE. 44 S 14-214. CIVIL PENALTIES. 1. ANY PERSON WHO FAILS TO FILE A STATEMENT 45 OR RECORD REQUIRED TO BE FILED BY THIS TITLE OR THE RULES OR REGULATIONS 46 OF THE ETHICS COMMISSION IN IMPLEMENTATION THEREOF SHALL BE SUBJECT TO A 47 CIVIL PENALTY, NOT IN EXCESS OF TEN THOUSAND DOLLARS, TO BE RECOVERABLE 48 IN A SPECIAL PROCEEDING OR CIVIL ACTION BROUGHT BY THE ETHICS COMMIS- 49 SION. 50 2. IF THE AGGREGATE AMOUNT OF EXPENDITURES BY A PARTICIPATING CANDI- 51 DATE AND SUCH CANDIDATE'S PARTICIPATING COMMITTEE EXCEEDS THE EXPENDI- 52 TURE LIMITATIONS CONTAINED IN THIS TITLE SUCH PARTICIPATING CANDIDATE 53 SHALL BE LIABLE FOR A CIVIL PENALTY IN AN AMOUNT EQUAL TO THREE TIMES 54 THE SUM BY WHICH SUCH EXPENDITURES EXCEED THE PERMITTED AMOUNT, TO BE 55 RECOVERABLE IN A SPECIAL PROCEEDING OR CIVIL ACTION BROUGHT BY THE 56 ETHICS COMMISSION. S. 6615--A 106 A. 9715--A 1 S 31. The election law is amended by adding a new section 16-103 to 2 read as follows: 3 S 16-103. PROCEEDINGS AS TO PUBLIC FINANCING. 1. THE DETERMINATION OF 4 ELIGIBILITY PURSUANT TO SECTION 14-202 OF THIS CHAPTER AND ANY QUESTION 5 OR ISSUE RELATING TO PAYMENTS FOR QUALIFIED CAMPAIGN EXPENDITURES PURSU- 6 ANT TO SECTION 14-206 OF THIS CHAPTER MAY BE CONTESTED IN A PROCEEDING 7 INSTITUTED IN THE SUPREME COURT, ALBANY COUNTY, BY ANY AGGRIEVED CANDI- 8 DATE. 9 2. A PROCEEDING WITH RESPECT TO SUCH A DETERMINATION OF ELIGIBILITY OR 10 PAYMENT FOR QUALIFIED CAMPAIGN EXPENDITURES PURSUANT TO SECTION 14-206 11 OF THIS CHAPTER SHALL BE INSTITUTED WITHIN SEVEN DAYS AFTER SUCH DETER- 12 MINATION WAS MADE. THE ETHICS COMMISSION SHALL BE MADE A PARTY TO ANY 13 SUCH PROCEEDING. 14 3. UPON THE ETHICS COMMISSION'S FAILURE TO RECEIVE THE AMOUNT DUE FROM 15 A PARTICIPATING CANDIDATE OR SUCH CANDIDATE'S COMMITTEE AFTER THE ISSU- 16 ANCE OF WRITTEN NOTICE OF SUCH AMOUNT DUE, AS REQUIRED BY SUBDIVISION 17 FOUR OF SECTION 14-212 OF THIS CHAPTER, THE ETHICS COMMISSION IS AUTHOR- 18 IZED TO INSTITUTE A SPECIAL PROCEEDING OR CIVIL ACTION IN SUPREME COURT, 19 ALBANY COUNTY, TO OBTAIN A JUDGMENT FOR ANY AMOUNTS DETERMINED TO BE 20 PAYABLE TO THE ETHICS COMMISSION AS A RESULT OF AN EXAMINATION AND AUDIT 21 MADE PURSUANT TO TITLE II OF ARTICLE FOURTEEN OF THIS CHAPTER. 22 4. THE ETHICS COMMISSION IS AUTHORIZED TO INSTITUTE A SPECIAL PROCEED- 23 ING OR CIVIL ACTION IN SUPREME COURT, ALBANY COUNTY, TO OBTAIN A JUDG- 24 MENT FOR CIVIL PENALTIES DETERMINED TO BE PAYABLE TO THE ETHICS COMMIS- 25 SION PURSUANT TO SECTION 14-214 OF THIS CHAPTER. 26 S 32. Severability clause. If any clause, sentence, paragraph, subdi- 27 vision, section or part of this act shall be adjudged by any court of 28 competent jurisdiction to be invalid, such judgment shall not affect, 29 impair or invalidate the remainder thereof, but shall be confined in its 30 operation to the clause, sentence, paragraph, subdivision, section or 31 part thereof directly involved in the controversy in which such judgment 32 shall have been rendered. It is hereby declared to be the intent of the 33 legislature that this act would have been enacted even if such invalid 34 provisions had not been included herein. 35 S 33. This act shall take effect immediately; provided however that: 36 a. sections one through twenty-eight of this act shall take effect on 37 the sixtieth day after it shall have become a law; 38 b. all amendments to article 14 of the election law made by this act, 39 which establish new contribution limits, shall apply January 1, 2011; 40 c. contributions legally received prior to the effective date of this 41 act may be retained and expended for lawful purposes and shall not 42 provide the basis for a violation of article 14 of the election law, as 43 amended by this act; 44 d. the state board of elections shall notify all candidates and poli- 45 tical committees of the applicable provisions of this act within thirty 46 days after this act shall have become a law; and 47 e. sections twenty-nine, thirty and thirty-one of this act shall take 48 effect immediately; provided, however, state legislature candidates will 49 be eligible to participate in the public financing system beginning with 50 the 2012 election, and all state candidates and constitutional conven- 51 tion delegates will be eligible to participate in the public financing 52 system beginning with the 2014 election. 53 PART D S. 6615--A 107 A. 9715--A 1 Section 1. The retirement and social security law is amended by adding 2 a new article 3-C to read as follows: 3 ARTICLE 3-C 4 PENSION FORFEITURE FOR PUBLIC CORRUPTION ACT 5 SECTION 157. SHORT TITLE. 6 157-A. DEFINITIONS. 7 157-B. PENSION FORFEITURE. 8 157-C. MISCELLANEOUS. 9 S 157. SHORT TITLE. THIS ARTICLE SHALL BE KNOWN AND MAY BE CITED AS 10 THE "PENSION FORFEITURE FOR PUBLIC CORRUPTION ACT". 11 S 157-A. DEFINITIONS. THE FOLLOWING WORDS AND PHRASES, AS USED IN THIS 12 ARTICLE, SHALL HAVE THE FOLLOWING MEANINGS, UNLESS A DIFFERENT MEANING 13 IS PLAINLY REQUIRED BY THE CONTEXT: 14 1. "DEFENDANT" SHALL MEAN A PERSON AGAINST WHOM A FORFEITURE ACTION IS 15 COMMENCED. 16 2. "DESIGNATED FELONY OFFENSE" SHALL MEAN: (A) ANY FELONY OFFENSE SET 17 FORTH IN THE PENAL LAW; (B) A CONSPIRACY TO COMMIT ANY FELONY OFFENSE 18 SET FORTH IN THE PENAL LAW; OR (C) ANY CRIMINAL OFFENSE COMMITTED IN ANY 19 OTHER STATE, DISTRICT, OR TERRITORY OF THE UNITED STATES AND CLASSIFIED 20 AS A FELONY THEREIN, WHICH IF COMMITTED WITHIN THIS STATE, WOULD CONSTI- 21 TUTE AN OFFENSE DESIGNATED IN PARAGRAPH (A) OR (B) OF THIS SUBDIVISION. 22 3. "COMPTROLLER" SHALL MEAN THE COMPTROLLER OF THE STATE OF NEW YORK 23 IN HIS OR HER CAPACITY AS ADMINISTRATIVE HEAD OF THE NEW YORK STATE AND 24 LOCAL EMPLOYEES' RETIREMENT SYSTEM AND THE NEW YORK STATE AND LOCAL 25 POLICE AND FIRE RETIREMENT SYSTEM. 26 4. "MEMBER" SHALL MEAN A MEMBER OF THE NEW YORK STATE AND LOCAL 27 EMPLOYEES' RETIREMENT SYSTEM OR THE NEW YORK STATE AND LOCAL POLICE AND 28 FIRE RETIREMENT SYSTEM WHO JOINED SUCH SYSTEM ON OR AFTER THE EFFECTIVE 29 DATE OF THIS ARTICLE. 30 5. "RETIRED MEMBER" SHALL MEAN A PERSON WHO IS RETIRED FROM AND WHO IS 31 RECEIVING A RETIREMENT ALLOWANCE FROM A RETIREMENT SYSTEM AND WHO HAD 32 JOINED SUCH SYSTEM ON OR AFTER THE EFFECTIVE DATE OF THIS ARTICLE. 33 6. "RETIREMENT SYSTEM" SHALL MEAN THE NEW YORK STATE AND LOCAL EMPLOY- 34 EES' RETIREMENT SYSTEM OR THE NEW YORK STATE AND LOCAL POLICE AND FIRE 35 RETIREMENT SYSTEM. 36 S 157-B. PENSION FORFEITURE. NOTWITHSTANDING ANY OTHER PROVISION OF 37 GENERAL, SPECIAL OR LOCAL LAW, RULE OR REGULATION TO THE CONTRARY: 38 1. IN THE CASE OF A MEMBER OR RETIRED MEMBER WHO IS CONVICTED OF ANY 39 DESIGNATED FELONY OFFENSE SET FORTH IN PARAGRAPH (A) OR (B) OF SUBDIVI- 40 SION TWO OF SECTION ONE HUNDRED FIFTY-SEVEN-A OF THIS ARTICLE, THE 41 COMMISSION OF WHICH IS RELATED TO THE PERFORMANCE OR FAILURE TO PERFORM 42 SUCH MEMBER OR RETIRED MEMBER'S OFFICIAL DUTIES AND RESPONSIBILITIES, AN 43 ACTION MAY BE COMMENCED IN SUPREME COURT BY THE DISTRICT ATTORNEY HAVING 44 JURISDICTION OVER THE OFFENSE FOR THE FORFEITURE OF ALL OR A PORTION OF 45 THOSE RIGHTS AND BENEFITS TO WHICH SUCH PERSON IS OR WILL BE ENTITLED AS 46 A MEMBER OR RETIRED MEMBER PROVIDED THAT ANY CONTRIBUTIONS MADE BY THE 47 OFFICIAL TO HIS OR HER RETIREMENT SYSTEM SHALL NOT BE SUBJECT TO FORFEI- 48 TURE, BUT SHALL BE RETURNED TO SUCH OFFICIAL. SUCH ACTION SHALL BE 49 COMMENCED WITHIN SIX MONTHS OF SUCH CONVICTION. FOR PURPOSES OF THIS 50 ARTICLE, A DESIGNATED FELONY OFFENSE IS RELATED TO THE PERFORMANCE OR 51 FAILURE TO PERFORM SUCH MEMBER OR RETIRED MEMBER'S OFFICIAL DUTIES AND 52 RESPONSIBILITIES IF IT: (A) CONSTITUTED A MATERIAL VIOLATION OF SUCH 53 MEMBER OR RETIRED MEMBER'S DUTIES AND RESPONSIBILITIES AS A PUBLIC SERV- 54 ANT; OR (B) EVEN THOUGH COMMITTED OUTSIDE THE SCOPE OF SUCH MEMBER'S 55 OFFICIAL DUTIES OR RESPONSIBILITIES, INVOLVED ACTIONS OR CONDUCT BY S. 6615--A 108 A. 9715--A 1 WHICH SUCH MEMBER OR RETIRED MEMBER INDICATED OR CONVEYED THAT HE OR SHE 2 WAS ACTING WITH THE AUTHORITY OF, OR UNDER COLOR OF THE AUTHORITY OF, 3 ANY GOVERNMENTAL ENTITY. 4 2. WHERE THE ATTORNEY GENERAL FINDS THAT A MEMBER OR A RETIRED MEMBER 5 HAS BEEN CONVICTED OF A DESIGNATED FELONY OFFENSE AS DEFINED IN PARA- 6 GRAPH (C) OF SUBDIVISION TWO OF SECTION ONE HUNDRED FIFTY-SEVEN-A OF 7 THIS ARTICLE, THE COMMISSION OF WHICH IS RELATED TO THE PERFORMANCE OR 8 FAILURE TO PERFORM SUCH MEMBER OR RETIRED MEMBER'S OFFICIAL DUTIES AND 9 RESPONSIBILITIES, AN ACTION MAY BE COMMENCED IN SUPREME COURT BY THE 10 ATTORNEY GENERAL FOR THE FORFEITURE OF ALL OR A PORTION OF THOSE RIGHTS 11 AND BENEFITS TO WHICH SUCH PERSON IS OR WILL BE ENTITLED AS A MEMBER OR 12 RETIRED MEMBER. SUCH ACTION SHALL BE COMMENCED WITHIN ONE YEAR OF SUCH 13 CONVICTION. 14 3. PRIOR TO COMMENCEMENT OF SUCH ACTION DESCRIBED IN SUBDIVISION ONE 15 OR TWO OF THIS SECTION, THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL, 16 AS THE CASE MAY BE, SHALL PROVIDE NOTICE TO THE COMPTROLLER STATING THAT 17 HE OR SHE HAS REASON TO BELIEVE THAT THE PERSON CONVICTED COMMITTED THE 18 FELONY RELATED TO HIS OR HER OFFICIAL DUTIES AND RESPONSIBILITIES. 19 WITHIN TWENTY DAYS OF RECEIPT OF SUCH NOTICE, THE COMPTROLLER SHALL 20 SUBMIT A NOTICE OF APPLICABILITY TO THE DISTRICT ATTORNEY OR THE ATTOR- 21 NEY GENERAL AS THE CASE MAY BE. THE NOTICE OF APPLICABILITY SHALL 22 CONTAIN A STATEMENT SPECIFYING WHETHER THE PERSON CONVICTED IS OR HAS 23 BEEN A MEMBER OR RETIRED MEMBER OF THE NEW YORK STATE AND LOCAL EMPLOY- 24 EES' RETIREMENT SYSTEM OR THE NEW YORK STATE AND LOCAL POLICE AND FIRE 25 RETIREMENT SYSTEM AND SHALL DESCRIBE THE RIGHTS AND BENEFITS TO WHICH 26 SUCH PERSON IS OR WILL BE ENTITLED FROM SUCH PUBLIC RETIREMENT SYSTEM. 27 4. NO FORFEITURE ACTION MAY BE COMMENCED BY THE DISTRICT ATTORNEY OR 28 THE ATTORNEY GENERAL UNTIL RECEIPT OF THE NOTICE OF APPLICABILITY AS SET 29 FORTH IN SUBDIVISION THREE OF THIS SECTION. IN DETERMINING WHETHER TO 30 SEEK FORFEITURE OF A PORTION, RATHER THAN ALL, OF SUCH RETIREMENT BENE- 31 FITS, THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL MAY CONSIDER MITI- 32 GATING FACTORS INCLUDING, BUT NOT LIMITED TO: THE NATURE AND SERIOUSNESS 33 OF THE OFFENSE COMMITTED IN RELATION TO THE AMOUNT OF THE FORFEITURE 34 PENALTY; WHETHER THE DEFENDANT'S CONDUCT IN COMMITTING THE OFFENSE WAS 35 WILLFUL OR MALICIOUS; WHETHER THE DEFENDANT MADE ANY SUBSTANTIAL GOOD 36 FAITH EFFORTS TO PREVENT OR MITIGATE THE HARM CAUSED BY THE OFFENSE; 37 WHETHER THE DEFENDANT'S PARTICIPATION IN THE CRIME WAS UNDER DURESS, 38 COERCION OR INDUCED BY OTHERS; THE IMPACT OF THE CRIME ON THE STATE OR 39 LOCAL GOVERNMENT AND THE NUMBER OF YEARS OF THE DEFENDANT'S PUBLIC 40 SERVICE PERFORMED WITHOUT CRIMINAL CONDUCT; THE PECUNIARY BENEFIT TO THE 41 DEFENDANT FROM THE CRIME; AND WHETHER AND TO WHAT EXTENT THE DEFENDANT'S 42 FAMILY IS DEPENDENT UPON THE DEFENDANT'S PRESENT AND FUTURE RETIREMENT 43 BENEFITS. 44 5. UPON MOTION BY THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL, AS 45 THE CASE MAY BE, MADE UPON COMMENCEMENT OF OR AT ANY TIME DURING THE 46 PENDENCY OF A FORFEITURE ACTION, PURSUANT TO THE PROCEDURE SET FORTH IN 47 SUBDIVISION ONE OF SECTION SIXTY-THREE HUNDRED ELEVEN OR SECTION SIXTY- 48 THREE HUNDRED THIRTEEN OF THE CIVIL PRACTICE LAW AND RULES, THE COURT 49 MAY ISSUE A TEMPORARY RESTRAINING ORDER OR A PRELIMINARY INJUNCTION 50 PROHIBITING THE DEFENDANT FROM RECEIVING ANY RIGHTS OR BENEFITS FROM THE 51 APPROPRIATE RETIREMENT SYSTEM. A PRELIMINARY INJUNCTION MAY BE GRANTED 52 WHERE THE COURT FINDS THAT THERE IS A SUBSTANTIAL PROBABILITY THAT THE 53 DISTRICT ATTORNEY OR ATTORNEY GENERAL WILL PREVAIL ON THE ISSUE OF 54 FORFEITURE. NO SHOWING OF IRREPARABLE HARM SHALL BE REQUIRED. THE COURT 55 MAY NOT CONSIDER ON SUCH MOTION ANY ISSUES PRESENTED TO THE COURT WHICH S. 6615--A 109 A. 9715--A 1 HEARD THE CRIMINAL ACTION IN WHICH THE DEFENDANT WAS CONVICTED OR WHICH 2 ARISE OUT OF SUCH CRIMINAL ACTION AND MAY BE PRESENTED ON APPEAL. 3 6. ALL DEFENDANTS IN A FORFEITURE ACTION BROUGHT PURSUANT TO THIS 4 ARTICLE SHALL HAVE THE RIGHT TO TRIAL BY JURY ON ANY ISSUE OF FACT. 5 7. THE BURDEN OF PROOF SHALL BE UPON THE DISTRICT ATTORNEY OR THE 6 ATTORNEY GENERAL, AS THE CASE MAY BE, TO PROVE BY CLEAR AND CONVINCING 7 EVIDENCE THE FACTS NECESSARY TO ESTABLISH A CLAIM OF PENSION FORFEITURE. 8 8. AT ANY TIME DURING THE PENDENCY OF A FORFEITURE ACTION, THE COURT 9 MAY DISMISS THE ACTION IF IT FINDS THAT SUCH RELIEF IS WARRANTED BY THE 10 EXISTENCE OF SOME COMPELLING FACTOR, CONSIDERATION OR CIRCUMSTANCE 11 INCLUDING, BUT NOT LIMITED TO, ONE OR MORE OF THE MITIGATING FACTORS SET 12 FORTH IN SUBDIVISION FOUR OF THIS SECTION, OR OTHER INFORMATION OR 13 EVIDENCE WHICH DEMONSTRATES THAT SUCH FORFEITURE WOULD NOT SERVE THE 14 ENDS OF JUSTICE. THE COURT SHALL ISSUE A WRITTEN DECISION STATING THE 15 BASIS FOR AN ORDER ISSUED PURSUANT TO THIS SUBDIVISION. 16 9. (A) UPON A FINDING BY THE COURT THAT THE DEFENDANT HAS COMMITTED A 17 FELONY IN CONNECTION WITH HIS OR HER OFFICIAL DUTIES AND RESPONSIBIL- 18 ITIES IN THIS STATE, THE COURT SHALL ISSUE AN ORDER TO THE APPROPRIATE 19 RETIREMENT SYSTEM FOR: (I) THE FORFEITURE OR RECOUPMENT OF ALL OR A 20 PORTION OF THE DEFENDANT'S RIGHTS AND BENEFITS AS A MEMBER OR RETIRED 21 MEMBER OF SUCH SYSTEM; (II) THE RECOUPMENT OF ALL OR A PORTION OF THE 22 RETIREMENT BENEFITS PAID TO THE DEFENDANT; AND (III) THE REFUND TO THE 23 DEFENDANT OF ANY CONTRIBUTIONS MADE BY THE DEFENDANT TO THE RETIREMENT 24 SYSTEM FOR ANY PERIOD FOR WHICH THE DEFENDANT'S RIGHTS AND BENEFITS AS A 25 MEMBER OR RETIRED MEMBER OF SUCH RETIREMENT SYSTEM HAVE BEEN ORDERED 26 FORFEIT. 27 (B) IN DETERMINING THE EXTENT OF THE FORFEITURE OR RECOUPMENT THAT IS 28 WARRANTED, THE COURT MAY CONSIDER ONE OR MORE OF THE MITIGATING FACTORS 29 SET FORTH IN SUBDIVISION FOUR OF THIS SECTION. ALL ORDERS AND FINDINGS 30 MADE BY THE COURT PURSUANT TO THIS SECTION SHALL BE SERVED UPON THE 31 COMPTROLLER. 32 10. UPON A FINAL DETERMINATION THAT REVERSES OR VACATES THE CONVICTION 33 OR CONVICTIONS OF A DESIGNATED OFFENSE OR OFFENSES, THE MEMBER OR 34 RETIRED MEMBER WHO HAS FORFEITED RETIREMENT RIGHTS AND BENEFITS PURSUANT 35 TO THIS SECTION SHALL HAVE SUCH RIGHTS AND BENEFITS RETROACTIVELY 36 RESTORED UPON APPLICATION TO THE COURT WITH JURISDICTION OVER THE 37 FORFEITURE ACTION, REGARDLESS OF ANY TEMPORARY RESTRAINING ORDER OR 38 PRELIMINARY INJUNCTION WHICH MAY BE OUTSTANDING OR ORDER WHICH MAY HAVE 39 BEEN ISSUED. SUCH COURT, UPON FINDING THAT SUCH A FINAL DETERMINATION 40 HAS OCCURRED, SHALL ISSUE AN ORDER RETROACTIVELY RESTORING SUCH RIGHTS 41 AND BENEFITS, TOGETHER WITH SUCH OTHER RELIEF DEEMED APPROPRIATE. AS A 42 CONDITION TO FULL RESTORATION OF RIGHTS AND BENEFITS AS PROVIDED IN THIS 43 SUBDIVISION, THE MEMBER OR RETIRED MEMBER SHALL REIMBURSE THE RETIREMENT 44 SYSTEM FOR ANY CONTRIBUTIONS THAT WERE REFUNDED TO THE MEMBER OR RETIRED 45 MEMBER PURSUANT TO THE PROVISIONS OF PARAGRAPH (A) OF SUBDIVISION NINE 46 OF THIS SECTION. 47 11. EXCEPT AS OTHERWISE PROVIDED BY THIS ARTICLE, THE CIVIL PRACTICE 48 LAW AND RULES SHALL GOVERN THE PROCEDURE IN ACTIONS COMMENCED UNDER THIS 49 ARTICLE, EXCEPT WHERE THE ACTION IS REGULATED BY ANY INCONSISTENT 50 PROVISIONS HEREIN. IN SUCH ACTIONS, THE COURT MAY NOT CONSIDER ANY 51 ISSUES PRESENTED TO THE COURT WHICH HEARD THE CRIMINAL ACTION IN WHICH 52 THE DEFENDANT WAS CONVICTED OR WHICH ARISE OUT OF SUCH CRIMINAL ACTION 53 AND MAY BE PRESENTED ON APPEAL. 54 S 157-C. MISCELLANEOUS. THE REMEDIES PROVIDED FOR IN THIS ARTICLE ARE 55 NOT INTENDED TO SUBSTITUTE FOR, LIMIT OR SUPERSEDE THE LAWFUL AUTHORITY S. 6615--A 110 A. 9715--A 1 OF ANY PUBLIC OFFICER, AGENCY OR OTHER PERSON TO ENFORCE ANY OTHER RIGHT 2 OR REMEDY PROVIDED FOR BY LAW. 3 S 2. The opening paragraph of subdivision 2 of section 212 of the 4 retirement and social security law, as amended by chapter 74 of the laws 5 of 2006, is amended and a new subdivision 3 is added to read as follows: 6 [The] EXCEPT AS PROVIDED IN SUBDIVISION THREE OF THIS SECTION, THE 7 earning limitations for retired persons in positions of public service 8 under this section shall be in accordance with the following table: 9 3. FOR RETIRED PERSONS OF ANY AGE WHO JOINED THE NEW YORK STATE AND 10 LOCAL EMPLOYEES' RETIREMENT SYSTEM ON OR AFTER JUNE FIRST, TWO THOUSAND 11 TEN, AND FOR WHOM ALL OR PART OF THEIR RETIREMENT BENEFIT IS BASED UPON 12 SERVICE AND SALARY EARNED WHILE SERVING IN AN ELECTIVE POSITION IN THE 13 NEW YORK STATE LEGISLATURE, THE EARNINGS LIMITATION FOR PURPOSES OF THIS 14 SECTION AND SECTION ONE HUNDRED FIFTY OF THE CIVIL SERVICE LAW FOR 15 SERVICE IN AN ELECTIVE POSITION IN THE NEW YORK STATE LEGISLATURE AFTER 16 THE DATE OF RETIREMENT SHALL BE $0. 17 S 3. This act shall take effect immediately. 18 S 2. Severability clause. If any clause, sentence, paragraph, subdivi- 19 sion, section or part of this act shall be adjudged by any court of 20 competent jurisdiction to be invalid, such judgment shall not affect, 21 impair, or invalidate the remainder thereof, but shall be confined in 22 its operation to the clause, sentence, paragraph, subdivision, section 23 or part thereof directly involved in the controversy in which such judg- 24 ment shall have been rendered. It is hereby declared to be the intent of 25 the legislature that this act would have been enacted even if such 26 invalid provisions had not been included herein. 27 S 3. This act shall take effect immediately provided, however, that 28 the applicable effective date of Parts A through D of this act shall be 29 as specifically set forth in the last section of such Parts.