Bill Text: NY S04794 | 2011-2012 | General Assembly | Introduced
Bill Title: Creates the Public Corruption Prevention and Enforcement Act; increases penalties for violations relating to scheme to defraud the government, duty to provide faithful public services, bribery; increases penalties for financial disclosure violations by public officials; relates to community project grants; provides for an executive community projects fund; inspection of annual statements; election law provisions.
Spectrum: Partisan Bill (Republican 1-0)
Status: (Introduced - Dead) 2012-01-04 - REFERRED TO CODES [S04794 Detail]
Download: New_York-2011-S04794-Introduced.html
S T A T E O F N E W Y O R K
________________________________________________________________________
4794
2011-2012 Regular Sessions
I N S E N A T E
April 25, 2011
___________
Introduced by Sen. BALL -- read twice and ordered printed, and when
printed to be committed to the Committee on Codes
AN ACT to amend the penal law, in relation to increasing penalties for
violations relating to scheme to defraud the government, bribery, and
duty to provide faithful public services; to amend the public officers
law, in relation to faithful public services and increases penalties
for financial disclosure violations, and in relation to community
project grants; to amend the legislative law, in relation to reporting
requirements; to amend the executive law, in relation to making tech-
nical changes thereto; to amend the state finance law, in relation to
the legislative community projects fund and executive community
projects fund; to amend the judiciary law, in relation to the
inspection of annual statements of financial disclosure; and to amend
the election law, in relation to campaign contributions and expendi-
tures
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
1 Section 1. This act shall be known and may be cited as the "public
2 corruption prevention and enforcement act of 2011".
3 S 2. Section 10.00 of the penal law is amended by adding three new
4 subdivisions 21, 22 and 23 to read as follows:
5 21. FOR THE PURPOSES OF SECTIONS 195.18 AND 195.20 OF THIS CHAPTER
6 "SCHEME" MEANS ANY PLAN, PATTERN, DEVICE, CONTRIVANCE, OR COURSE OF
7 ACTION, AND "INTENT TO DEFRAUD" INCLUDES AN INTENT TO DEPRIVE THE STATE
8 OR A POLITICAL SUBDIVISION OF THE STATE OR A GOVERNMENTAL INSTRUMENTALI-
9 TY OF FAITHFUL PUBLIC SERVICES.
10 22. "FAITHFUL PUBLIC SERVICES" MEANS CONDUCT THAT IS FREE OF UNDIS-
11 CLOSED SELF-DEALING AND FREE OF THE UNAUTHORIZED OR UNLAWFUL CONFERRAL
12 OR INTENDED CONFERRAL OF A BENEFIT, DIRECTLY OR INDIRECTLY, ON A PUBLIC
13 SERVANT.
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD00391-02-1
S. 4794 2
1 23. "SELF-DEALING" MEANS ANY ACTION TAKEN BY A PUBLIC SERVANT IN HIS
2 OR HER OFFICIAL CAPACITY WITH INTENT TO BENEFIT HIMSELF OR HERSELF,
3 DIRECTLY OR INDIRECTLY, AND WHICH RELATES TO HIS OR HER PRIVATE BUSINESS
4 INTERESTS.
5 S 3. Section 195.20 of the penal law, as amended by chapter 1 of the
6 laws of 2010, is amended to read as follows:
7 S 195.20 [Defrauding] SCHEME TO DEFRAUD the government IN THE FIRST
8 DEGREE.
9 A person is guilty of [defrauding] A SCHEME TO DEFRAUD the government
10 IN THE FIRST DEGREE when, being a public servant or party officer OR
11 ACTING IN CONCERT WITH A PUBLIC SERVANT OR PARTY OFFICER, he or she:
12 (a) engages in a scheme constituting a systematic ongoing course of
13 conduct with intent to:
14 (i) defraud the state or a political subdivision of the state or a
15 governmental instrumentality within the state; or
16 (II) to obtain property, services or other resources from the state or
17 a political subdivision of the state or a governmental instrumentality
18 within the state by false or fraudulent pretenses, representations or
19 promises; or
20 [(ii)] (III) defraud the state or a political subdivision of the state
21 or a governmental instrumentality within the state by making use of
22 property, services or resources of the state, political subdivision of
23 the state or a governmental instrumentality within the state for private
24 business purposes or other compensated non-governmental purposes; and
25 (b) EITHER (I) so obtains property, services or other resources with a
26 value in excess of one thousand dollars from such state, political
27 subdivision or governmental instrumentality, OR (II) CONFERS OR OBTAINS
28 A BENEFIT OR BENEFITS, DIRECTLY OR INDIRECTLY, WITH A COMBINED VALUE IN
29 EXCESS OF ONE THOUSAND DOLLARS.
30 [Defrauding] SCHEME TO DEFRAUD the government IN THE FIRST DEGREE is a
31 class [E] D felony.
32 S 4. The penal law is amended by adding a new section 195.18 to read
33 as follows:
34 S 195.18 SCHEME TO DEFRAUD THE GOVERNMENT IN THE SECOND DEGREE.
35 A PERSON IS GUILTY OF A SCHEME TO DEFRAUD THE GOVERNMENT IN THE SECOND
36 DEGREE WHEN, BEING A PUBLIC SERVANT OR PARTY OFFICER OR ACTING IN
37 CONCERT WITH A PUBLIC SERVANT OR PARTY OFFICER, HE OR SHE ENGAGES IN A
38 SCHEME CONSTITUTING A SYSTEMATIC ONGOING COURSE OF CONDUCT WITH INTENT
39 TO:
40 (A) DEFRAUD THE STATE OR A POLITICAL SUBDIVISION OF THE STATE OR A
41 GOVERNMENTAL INSTRUMENTALITY WITHIN THE STATE; OR
42 (B) OBTAIN PROPERTY, SERVICES OR OTHER RESOURCES FROM THE STATE OR A
43 POLITICAL SUBDIVISION OF THE STATE OR A GOVERNMENTAL INSTRUMENTALITY
44 WITHIN THE STATE BY FALSE OR FRAUDULENT PRETENSES, REPRESENTATIONS OR
45 PROMISES; OR
46 (C) DEFRAUD THE STATE OR A POLITICAL SUBDIVISION OF THE STATE OR A
47 GOVERNMENTAL INSTRUMENTALITY WITHIN THE STATE BY MAKING USE OF PROPERTY,
48 SERVICES OR RESOURCES OF THE STATE, POLITICAL SUBDIVISION OF THE STATE
49 OR A GOVERNMENTAL INSTRUMENTALITY WITHIN THE STATE FOR PRIVATE BUSINESS
50 PURPOSES OR OTHER COMPENSATED NON-GOVERNMENTAL PURPOSES.
51 SCHEME TO DEFRAUD THE GOVERNMENT IN THE SECOND DEGREE IS A CLASS E
52 FELONY.
53 S 5. Section 200.00 of the penal law, as amended by chapter 833 of the
54 laws of 1986, is amended to read as follows:
55 S 200.00 Bribery in the third degree.
S. 4794 3
1 A person is guilty of bribery in the third degree when he OR SHE
2 confers, or offers or agrees to confer, any benefit upon a public serv-
3 ant [upon an agreement or understanding that] WITH THE INTENT TO INFLU-
4 ENCE such public servant's vote, opinion, judgment, action, decision or
5 exercise of discretion as a public servant [will thereby be influenced].
6 Bribery in the third degree is a class D felony.
7 S 6. Section 200.03 of the penal law, as amended by chapter 833 of the
8 laws of 1986, is amended to read as follows:
9 S 200.03 Bribery in the second degree.
10 A person is guilty of bribery in the second degree when he OR SHE
11 confers, or offers or agrees to confer, any benefit valued in excess of
12 ten thousand dollars upon a public servant [upon an agreement or under-
13 standing that] WITH THE INTENT TO INFLUENCE such public servant's vote,
14 opinion, judgment, action, decision or exercise of discretion as a
15 public servant [will thereby be influenced].
16 Bribery in the second degree is a class C felony.
17 S 7. Section 200.04 of the penal law, as added by chapter 276 of the
18 laws of 1973, is amended to read as follows:
19 S 200.04 Bribery in the first degree.
20 A person is guilty of bribery in the first degree when he OR SHE
21 confers, or offers or agrees to confer, any benefit upon a public serv-
22 ant [upon an agreement or understanding that] WITH THE INTENT TO INFLU-
23 ENCE such public servant's vote, opinion, judgment, action, decision or
24 exercise of discretion as a public servant [will thereby be influenced]
25 in the investigation, arrest, detention, prosecution or incarceration of
26 any person for the commission or alleged commission of a class A felony
27 defined in article two hundred twenty of [the penal law] THIS PART or an
28 attempt to commit any such class A felony.
29 Bribery in the first degree is a class B felony.
30 S 8. The penal law is amended by adding a new section 200.28 to read
31 as follows:
32 S 200.28 DUTY TO PROVIDE FAITHFUL PUBLIC SERVICES.
33 FOR PURPOSES OF THIS ARTICLE, THE DUTIES OF A PUBLIC SERVANT SHALL
34 INCLUDE BUT NOT BE LIMITED TO THE DUTY TO PROVIDE FAITHFUL PUBLIC
35 SERVICES. IN EXECUTING THE DUTIES OF HIS OR HER OFFICE, EVERY PUBLIC
36 SERVANT SHALL HAVE THE DUTY TO PROVIDE FAITHFUL PUBLIC SERVICES TO HIS
37 OR HER CONSTITUENTS AND THE STATE OR POLITICAL SUBDIVISION THEREOF, AS
38 APPLICABLE. IN EXECUTING THE DUTIES OF HIS OR HER OFFICE OR EMPLOYMENT,
39 EVERY PUBLIC SERVANT SHALL ALSO HAVE THE DUTY TO PROVIDE FAITHFUL PUBLIC
40 SERVICES TO A STATE OR LOCAL AGENCY OR LEGISLATURE, AS APPLICABLE.
41 S 9. Subdivision 3 of section 73-a of the public officers law is
42 amended by adding a new paragraph 20 to read as follows:
43 20. IF THE REPORTING INDIVIDUAL, SUCH REPORTING INDIVIDUAL'S SPOUSE OR
44 DOMESTIC PARTNER IS A NON-COMPENSATED DIRECTOR, OFFICER OR TRUSTEE, OR
45 SUCH REPORTING INDIVIDUAL'S RELATIVE OR A RELATIVE OF SUCH REPORTING
46 INDIVIDUAL'S SPOUSE OR DOMESTIC PARTNER IS EMPLOYED IN ANY POSITION AT,
47 FOR OR WITHIN A NON-PROFIT ENTITY IN NEW YORK STATE AS DESCRIBED IN
48 SECTION 501(C)(3) OF THE UNITED STATES INTERNAL REVENUE CODE, LIST BELOW
49 THE NAME OF THE ENTITY, BUSINESS ADDRESS OF THE ENTITY, NAME OF SPOUSE,
50 DOMESTIC PARTNER OR OTHER RELATIVE, DEGREE OF RELATIONSHIP WITH THE
51 REPORTING INDIVIDUAL AND TITLE OF THE COMPENSATED OR NON-COMPENSATED
52 POSITION.
53 ENTITY NAME/ NAME OF SPOUSE/ DEGREE OF TITLE OR
54 ADDRESS DOMESTIC PARTNER/ RELATIONSHIP POSITION
55 RELATIVE
S. 4794 4
1 ________________________________________________________________________
2 ________________________________________________________________________
3 ________________________________________________________________________
4 ________________________________________________________________________
5 ________________________________________________________________________
6 S 10. Subdivision 1 of section 74 of the public officers law, as
7 amended by chapter 1012 of the laws of 1965, the opening paragraph as
8 amended by chapter 14 of the laws of 2007, is amended to read as
9 follows:
10 1. [Definition. As used in this section:] DEFINITIONS OF TERMS OF
11 GENERAL USE IN THIS SECTION:
12 A. The term "state agency" shall mean any state department, or divi-
13 sion, board, commission, or bureau of any state department or any public
14 benefit corporation or public authority at least one of whose members is
15 appointed by the governor or corporations closely affiliated with
16 specific state agencies as defined by paragraph (d) of subdivision five
17 of section fifty-three-a of the state finance law or their successors.
18 B. The term "legislative employee" shall mean any officer or employee
19 of the legislature but it shall not include members of the legislature.
20 C. THE TERM "FAITHFUL PUBLIC SERVICES" SHALL MEAN CONDUCT THAT IS FREE
21 OF UNDISCLOSED SELF-DEALING AND FREE OF THE UNAUTHORIZED OR UNLAWFUL
22 CONFERRAL OR INTENDED CONFERRAL OF A BENEFIT, DIRECTLY OR INDIRECTLY, ON
23 AN OFFICER OR EMPLOYEE OF A STATE AGENCY, MEMBER OF THE LEGISLATURE OR
24 LEGISLATIVE EMPLOYEE. EVERY OFFICER OR EMPLOYEE OF A STATE AGENCY,
25 MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE SHALL HAVE A DUTY OF
26 FAITHFUL PUBLIC SERVICES WITH RESPECT TO HIS OR HER CONSTITUENTS AND THE
27 STATE OR TO A STATE AGENCY OR LEGISLATURE, AS APPLICABLE.
28 D. THE TERM "SELF-DEALING" SHALL MEAN ANY ACTION TAKEN BY AN OFFICER
29 OR EMPLOYEE OF A STATE AGENCY, MEMBER OF THE LEGISLATURE OR LEGISLATIVE
30 EMPLOYEE IN HIS OR HER OFFICIAL CAPACITY WITH INTENT TO BENEFIT HIMSELF
31 OR HERSELF, DIRECTLY OR INDIRECTLY, AND WHICH RELATES TO HIS OR HER
32 PRIVATE BUSINESS INTERESTS.
33 S 11. Subdivision 3 of section 74 of the public officers law is
34 amended by adding a new paragraph j to read as follows:
35 J. IN EXECUTING THE DUTIES OF HIS OR HER OFFICE, EVERY OFFICER OR
36 EMPLOYEE OF A STATE AGENCY, MEMBER OF THE LEGISLATURE OR LEGISLATIVE
37 EMPLOYEE SHALL HAVE THE DUTY TO PROVIDE FAITHFUL PUBLIC SERVICES TO HIS
38 OR HER CONSTITUENTS AND THE STATE, AS APPLICABLE. IN EXECUTING THE
39 DUTIES OF HIS OR HER OFFICE OR EMPLOYMENT, EVERY OFFICER OR EMPLOYEE OF
40 A STATE AGENCY, MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE SHALL
41 ALSO HAVE THE DUTY TO PROVIDE FAITHFUL PUBLIC SERVICES TO A STATE AGENCY
42 OR THE LEGISLATURE, AS APPLICABLE.
43 S 12. Subdivision 4 of section 74 of the public officers law, as
44 amended by chapter 14 of the laws of 2007, is amended to read as
45 follows:
46 4. Violations. In addition to any penalty contained in any other
47 provision of law any such officer, member or employee who shall knowing-
48 ly and intentionally violate any of the provisions of this section may
49 be fined, suspended or removed from office or employment in the manner
50 provided by law. Any such individual who knowingly and intentionally
51 violates the provisions of paragraph b, c, d or i of subdivision three
52 of this section shall be subject to a civil penalty in an amount not to
53 exceed ten thousand dollars and the value of any gift, compensation or
54 benefit received as a result of such violation. Any such individual who
55 knowingly and intentionally violates the provisions of paragraph a, e or
56 g of subdivision three of this section shall be subject to a civil
S. 4794 5
1 penalty in an amount not to exceed the value of any gift, compensation
2 or benefit received as a result of such violation. ANY SUCH INDIVIDUAL
3 WHO KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF PARAGRAPH J
4 OF SUBDIVISION THREE OF THIS SECTION SHALL BE SUBJECT TO A CIVIL PENALTY
5 IN AN AMOUNT NOT TO EXCEED TEN THOUSAND DOLLARS AND THE VALUE OF ANY
6 GIFT, COMPENSATION OR BENEFIT RECEIVED AS A RESULT OF SUCH VIOLATION.
7 ANY SUCH INDIVIDUAL WHO, AS PART OF OR IN FURTHERANCE OF A SCHEME OR
8 ARTIFICE TO DEFRAUD A STATE AGENCY, THE LEGISLATURE, ANY POLITICAL
9 SUBDIVISION, HIS OR HER CONSTITUENTS OR THE STATE, AS APPLICABLE, KNOW-
10 INGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF PARAGRAPH J OF SUBDI-
11 VISION THREE OF THIS SECTION SHALL, IN ADDITION TO ANY PENALTY CONTAINED
12 IN THIS SECTION OR ANY OTHER PROVISION OF LAW, BE GUILTY OF A CLASS E
13 FELONY.
14 S 13. Section 80 of the public officers law is renumbered section 81
15 and a new section 80 is added to article 4 to read as follows:
16 S 80. COMMUNITY PROJECT GRANTS. 1. DEFINITIONS. AS USED IN THIS
17 SECTION:
18 (A) THE TERM "COMMUNITY PROJECT GRANT" SHALL MEAN A BUDGETARY ALLO-
19 CATION AS FUNDED BY THE LEGISLATIVE COMMUNITY PROJECTS FUND AS DEFINED
20 IN SECTION NINETY-NINE-V OF THE STATE FINANCE LAW, AND THE EXECUTIVE
21 COMMUNITY PROJECTS FUND AS DEFINED IN SECTION NINETY-NINE-U OF THE STATE
22 FINANCE LAW AT THE DISCRETION AND REQUEST OF THE GOVERNOR OR A MEMBER OF
23 THE LEGISLATURE FOR A NOT-FOR-PROFIT AS DEFINED IN PARAGRAPH (D) OF THIS
24 SUBDIVISION, UNIVERSITY, COLLEGE, SCHOOL DISTRICT OR MUNICIPALITY;
25 (B) THE TERM "SPONSOR" SHALL MEAN THE GOVERNOR OR A MEMBER OF THE
26 LEGISLATURE WHO MAKES A REQUEST FOR A COMMUNITY PROJECT GRANT;
27 (C) THE TERM "GRANTEE" SHALL MEAN THE RECIPIENT OF A COMMUNITY PROJECT
28 GRANT;
29 (D) THE TERM "NOT-FOR-PROFIT" SHALL MEAN AN ENTITY QUALIFIED AS EXEMPT
30 FOR FEDERAL TAX PURPOSES UNDER SECTION 501(C)(3) OF THE UNITED STATES
31 INTERNAL REVENUE CODE.
32 (E) THE TERM "RELATIVE" SHALL MEAN AN INDIVIDUAL'S SPOUSE, DOMESTIC
33 PARTNER, CHILD, STEPCHILD, STEPPARENT, OR ANY PERSON WHO IS A DIRECT
34 DESCENDENT OF THE GRANDPARENTS OF SUCH INDIVIDUAL OR OF THE REPORTING
35 INDIVIDUAL'S SPOUSE OR DOMESTIC PARTNER.
36 2. STANDARDS. (A) NO SPONSOR SHALL MAKE A REQUEST FOR A COMMUNITY
37 PROJECT GRANT UNLESS:
38 (I) THE GRANTEE IS A NOT-FOR-PROFIT, UNIVERSITY, COLLEGE, SCHOOL
39 DISTRICT AND/OR MUNICIPALITY; AND
40 (II) THE GRANTEE, IF A NOT-FOR-PROFIT, HAS BEEN INCORPORATED IN THE
41 STATE OF NEW YORK FOR AT LEAST ONE YEAR PRIOR TO APRIL FIRST OF THE YEAR
42 IN WHICH THE COMMUNITY PROJECT GRANT IS REQUESTED AND IS REGISTERED WITH
43 THE ATTORNEY GENERAL UNDER SECTION ONE HUNDRED SEVENTY-TWO OF THE EXECU-
44 TIVE LAW.
45 (B) NO GRANTEE SHALL RECEIVE A COMMUNITY PROJECT GRANT IF:
46 (I) THE GRANTEE HAS BEEN BARRED BY A GOVERNMENT AGENCY IN ANY JURIS-
47 DICTION AS A RESULT OF INAPPROPRIATE OR UNLAWFUL ACTIVITY WITHIN THE
48 LAST FIVE YEARS;
49 (II) ANY COMPENSATED OR NON-COMPENSATED DIRECTOR, OFFICER OR TRUSTEE
50 OF A GRANTEE, IF A NOT-FOR-PROFIT, HAS BEEN CONVICTED OR CHARGED WITH A
51 FELONY OR MISDEMEANOR THAT IS RELATED TO THE ADMINISTRATION OF SUCH
52 GRANTEE'S BUSINESS WITHIN THE LAST FIVE YEARS;
53 (III) THE GRANTEE HAS FAILED TO FILE A REQUIRED FEDERAL, STATE OR CITY
54 TAX RETURN OR PAY TAXES OWED WITHIN THE LAST FIVE YEARS.
S. 4794 6
1 (C) WHERE A VIOLATION OF THE PROVISIONS OF THIS SUBDIVISION IS ALLEGED
2 TO HAVE OCCURRED, THE ATTORNEY GENERAL SHALL HAVE JURISDICTION UNDER
3 SECTION SIXTY-THREE-C OF THE EXECUTIVE LAW.
4 3. PROHIBITIONS. (A) NO SPONSOR SHALL REQUEST A COMMUNITY PROJECT
5 GRANT FOR A GRANTEE IF THE SPONSOR OR A RELATIVE OF SUCH SPONSOR IS A
6 COMPENSATED OR NON-COMPENSATED DIRECTOR, OFFICER OR TRUSTEE.
7 (B) NO SPONSOR OR ANY RELATIVE OF SUCH SPONSOR WHO REQUESTS A COMMUNI-
8 TY PROJECT GRANT SHALL HAVE A FINANCIAL INTEREST, DIRECT OR INDIRECT, TO
9 SUCH GRANTEE OR HAS RECEIVED OR WILL RECEIVE ANY FINANCIAL BENEFIT,
10 EITHER DIRECTLY OR INDIRECTLY, FROM SUCH GRANTEE OR FROM MATTERS
11 CONTAINED IN THE COMMUNITY PROJECT GRANT.
12 (C) ANY SPONSOR WHO KNOWINGLY AND INTENTIONALLY VIOLATES ANY PROVISION
13 OF THIS SUBDIVISION SHALL BE GUILTY OF A CLASS E FELONY. THE ATTORNEY
14 GENERAL AND ANY DISTRICT ATTORNEY SHALL HAVE CONCURRENT AUTHORITY TO
15 INVESTIGATE AND PROSECUTE VIOLATIONS OF THIS SUBDIVISION.
16 4. WAIVER OF STANDARDS. A SPONSOR MAY REQUEST A WAIVER FROM THE
17 ATTORNEY GENERAL OF PROVISIONS CONTAINED IN PARAGRAPH (B) OF SUBDIVISION
18 TWO OF THIS SECTION. IN ASSESSING WHETHER OR NOT TO ISSUE A WAIVER, THE
19 ATTORNEY GENERAL SHALL CONSIDER THE HISTORY OF THE SPONSOR, THE SUIT-
20 ABILITY OF A POTENTIAL COMMUNITY PROJECT GRANT FOR THE SPONSOR, THE
21 EFFECTIVENESS OF ANY PREVIOUS GRANTS UNDER THE COMMUNITY PROJECT FUND,
22 AND ANY OTHER FACTORS THE ATTORNEY GENERAL DEEMS APPROPRIATE.
23 5. RULES AND REGULATIONS. THE ATTORNEY GENERAL MAY PROMULGATE RULES
24 AND REGULATIONS NECESSARY TO EFFECTUATE THE PROVISIONS OF THIS SECTION.
25 S 14. Subparagraph 1 of paragraph a of subdivision 14 of section 80 of
26 the legislative law, as amended by chapter 14 of the laws of 2007, is
27 amended to read as follows:
28 (1) the information set forth in an annual statement of financial
29 disclosure, INCLUDING THE CATEGORIES OF VALUE OR AMOUNT, filed pursuant
30 to section seventy-three-a of the public officers law except [the cate-
31 gories of value or amount which shall be confidential, and any other]
32 ANY item of information deleted pursuant to paragraph i of subdivision
33 seven of this section;
34 S 15. Subparagraph 1 of paragraph (a) of subdivision 17 of section 94
35 of the executive law, as amended by chapter 14 of the laws of 2007, is
36 amended to read as follows:
37 (1) the information set forth in an annual statement of financial
38 disclosure, INCLUDING THE CATEGORIES OF VALUE OR AMOUNT, filed pursuant
39 to section seventy-three-a of the public officers law except [the cate-
40 gories of value or amount, which shall remain confidential, and any
41 other] ANY item of information deleted pursuant to paragraph (h) of
42 subdivision nine of this section;
43 S 16. Section 99-d of the state finance law, as added by chapter 474
44 of the laws of 1996, is renumbered section 99-v and the section heading,
45 as added by chapter 474 of the laws of 1996, and subdivision 1, as
46 amended by section 2 of part BB of chapter 686 of the laws of 2003, are
47 amended to read as follows:
48 [Community] LEGISLATIVE COMMUNITY projects fund. 1. There is hereby
49 established in the joint custody of the comptroller and the commissioner
50 of taxation and finance a special fund to be known as the LEGISLATIVE
51 community projects fund. This fund may have separate accounts designated
52 pursuant to a specific appropriation to such account or pursuant to a
53 written suballocation plan approved in a memorandum of understanding
54 executed by the director of the budget, the secretary of the senate
55 finance committee and the secretary of the assembly ways and means
56 committee. Such suballocation shall be submitted to the comptroller.
S. 4794 7
1 S 17. The state finance law is amended by adding a new section 99-u to
2 read as follows:
3 S 99-U. EXECUTIVE COMMUNITY PROJECTS FUND. 1. THERE IS HEREBY ESTAB-
4 LISHED IN THE JOINT CUSTODY OF THE COMPTROLLER AND THE COMMISSIONER OF
5 TAXATION AND FINANCE A SPECIAL FUND TO BE KNOWN AS THE EXECUTIVE COMMU-
6 NITY PROJECTS FUND. THIS FUND MAY HAVE SEPARATE ACCOUNTS DESIGNATED
7 PURSUANT TO A SPECIFIC APPROPRIATION TO SUCH ACCOUNT OR PURSUANT TO A
8 WRITTEN SUBALLOCATION PLAN APPROVED IN A MEMORANDUM OF UNDERSTANDING
9 EXECUTED BY THE DIRECTOR OF THE BUDGET, THE SECRETARY OF THE SENATE
10 FINANCE COMMITTEE AND THE SECRETARY OF THE ASSEMBLY WAYS AND MEANS
11 COMMITTEE. SUCH SUBALLOCATION SHALL BE SUBMITTED TO THE COMPTROLLER.
12 2. SUCH FUND SHALL CONSIST OF MONIES TRANSFERRED TO SUCH FUND FROM THE
13 GENERAL FUND/STATE PURPOSES ACCOUNT, OR ANY OTHER MONIES REQUIRED TO BE
14 TRANSFERRED OR DEPOSITED, PURSUANT TO LAW. MONIES MAY NOT BE TRANSFERRED
15 OR LOANED BETWEEN THE ACCOUNTS OF THIS FUND, UNLESS SPECIFICALLY
16 PROVIDED (A) BY LAW, OR (B) BY LETTER SIGNED BY THE DIRECTOR OF THE
17 BUDGET, BUT ONLY UPON THE JOINT REQUEST OF THE SECRETARY OF THE SENATE
18 FINANCE COMMITTEE AND THE SECRETARY OF THE ASSEMBLY WAYS AND MEANS
19 COMMITTEE.
20 3. (A) AS REQUIRED TO MAKE TIMELY PAYMENTS FROM SUCH ACCOUNTS UPON
21 PRESENTMENT OF PROPER VOUCHERS THEREFOR, THE STATE COMPTROLLER SHALL
22 MAKE TRANSFERS TO ANY ACCOUNT IN THIS FUND UP TO THE AMOUNTS ANNUALLY
23 SPECIFIED FOR TRANSFER TO SUCH ACCOUNT AND IN COMPLIANCE WITH SUBDIVI-
24 SION TWO OF THIS SECTION, BUT ONLY FROM SUCH FUND OR FUNDS AUTHORIZED TO
25 PROVIDE SUCH TRANSFERS.
26 (B) BY THE CLOSE OF EACH FISCAL YEAR, ALL REMAINING AMOUNTS NOT YET
27 TRANSFERRED SHALL BE TRANSFERRED TO THE DESIGNATED ACCOUNTS FOR WHICH
28 SUCH TRANSFERS WERE AUTHORIZED, UP TO THE TOTAL AMOUNTS SPECIFIED FOR
29 TRANSFER TO EACH ACCOUNT IN EACH FISCAL YEAR, PURSUANT TO LAW AND IN
30 COMPLIANCE WITH SUBDIVISION TWO OF THIS SECTION.
31 4. NOTWITHSTANDING SECTION FORTY OF THIS CHAPTER OR ANY OTHER
32 PROVISION OF LAW, APPROPRIATIONS OF THIS FUND SHALL BE AVAILABLE FOR
33 LIABILITIES INCURRED DURING AND AFTER THE CLOSE OF THE FISCAL YEAR FOR
34 WHICH SUCH APPROPRIATIONS ARE ENACTED, PROVIDED HOWEVER THAT SUCH APPRO-
35 PRIATIONS SHALL LAPSE ON THE FIFTEENTH DAY OF SEPTEMBER FOLLOWING THE
36 CLOSE OF THE FISCAL YEAR, AND NO MONIES SHALL THEREAFTER BE PAID OUT OF
37 THE STATE TREASURY OR ANY OF ITS FUNDS OR THE FUNDS UNDER ITS MANAGEMENT
38 PURSUANT TO SUCH APPROPRIATIONS.
39 5. THE DIRECTOR OF THE BUDGET SHALL ISSUE A CERTIFICATE OF APPROVAL
40 FOR ANY APPROPRIATION IN ANY ACCOUNT OF THIS FUND NO LATER THAN THE
41 LATER OF SIXTY DAYS AFTER THE ENACTMENT OF SUCH APPROPRIATION OR FIVE
42 DAYS AFTER THE EXECUTION OF A WRITTEN SUBALLOCATION PLAN PURSUANT TO THE
43 PROVISIONS OF SUBDIVISION ONE OF THIS SECTION. SUCH APPROVAL SHALL
44 SATISFY ANY OTHER REQUIREMENT FOR A CERTIFICATE OF APPROVAL.
45 6. (A) THE STATE SHALL NOT BE LIABLE FOR PAYMENTS PURSUANT TO ANY
46 CONTRACT, GRANT OR AGREEMENT MADE PURSUANT TO AN APPROPRIATION IN ANY
47 ACCOUNT OF THIS FUND IF INSUFFICIENT MONIES ARE AVAILABLE FOR TRANSFER
48 TO SUCH ACCOUNT OF THIS FUND, AFTER REQUIRED TRANSFERS PURSUANT TO
49 SUBDIVISION THREE OF THIS SECTION. EXCEPT WITH RESPECT TO, GRANTS, OR
50 AGREEMENTS EXECUTED BY ANY STATE OFFICER, EMPLOYEE, DEPARTMENT, INSTITU-
51 TION, COMMISSION, BOARD, OR OTHER AGENCY OF THE STATE PRIOR TO THE
52 EFFECTIVE DATE OF THIS SECTION, ANY CONTRACT, GRANT OR AGREEMENT MADE
53 PURSUANT TO AN APPROPRIATION IN THIS FUND SHALL INCORPORATE THIS
54 PROVISION AS A TERM OF SUCH CONTRACT, GRANT OR AGREEMENT.
55 (B) THE EXHAUSTION OF FUNDS AVAILABLE FOR SUCH TRANSFERS SHALL NOT
56 PRECLUDE THE APPROVAL OF CONTRACTS HEREUNDER PURSUANT TO SECTION ONE
S. 4794 8
1 HUNDRED TWELVE OF THIS CHAPTER. NOTWITHSTANDING ANY OTHER PROVISION OF
2 LAW, INTEREST SHALL NOT BE DUE TO ANY RECIPIENT FOR ANY LATE PAYMENTS
3 MADE FROM THIS FUND WHICH RESULT FROM INSUFFICIENT MONIES BEING AVAIL-
4 ABLE IN AN ACCOUNT OF THIS FUND.
5 7. MONIES SHALL BE PAID OUT OF SUCH ACCOUNTS ON THE AUDIT AND WARRANT
6 OF THE STATE COMPTROLLER ON VOUCHERS CERTIFIED OR APPROVED BY THE HEAD
7 OF THE APPROPRIATE AGENCY.
8 S 18. Subdivision 4 of section 211 of the judiciary law, as amended by
9 chapter 188 of the laws of 1990, is amended to read as follows:
10 4. By September first, nineteen hundred eighty-eight, the chief judge,
11 after consultation with the administrative board, shall approve a form
12 of annual statement of financial disclosure which form shall apply to
13 all judges, justices, officers and employees of the courts of record of
14 the unified court system, who receive annual compensation at or above
15 the filing rate defined by paragraph (l) of subdivision one of section
16 seventy-three-a of the public officers law or are determined to hold a
17 policy-making position pursuant to the rules and regulations promulgated
18 pursuant to this subdivision. Such form of annual statement of financial
19 disclosure shall be substantially similar to the form set forth in
20 subdivision three of section seventy-three-a of the public officers law.
21 Within one year after approval of such form, the chief judge shall cause
22 the chief administrator of the courts to promulgate rules or regulations
23 which require every judge, justice, officer and employee of the courts
24 of record of the unified court system, who receives annual compensation
25 at or above the filing rate defined by paragraph (l) of subdivision one
26 of section seventy-three-a of the public officers law or is determined
27 to hold a policy-making position, to report the information required by
28 the approved form effective first with respect to a filing which shall
29 be required in nineteen hundred ninety-one (generally applicable to
30 information for the preceding calendar year) and thereafter, effective
31 for future annual filings. Such rules and regulations shall also provide
32 for the determination, by the appointing authority, of policy-makers who
33 shall be required to file the annual statement of financial disclosure
34 required by this subdivision. Any judge, justice, officer or employee of
35 the courts of record of the unified court system who, pursuant to such
36 rules or regulations, is required to file a completed annual statement
37 of financial disclosure and who makes such filing in accordance with the
38 requirements contained in such rules or regulations, shall be deemed to
39 have satisfied the requirements of any other law mandating the filing of
40 a completed annual statement of financial disclosure for the applicable
41 calendar year which might otherwise apply to such judges, justices,
42 officers or employees, and no duplicate filing shall be required on
43 account of any other such law, notwithstanding the provisions of such
44 other law. NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC
45 OFFICERS LAW OR ANY RULE OR REGULATION TO THE CONTRARY, THE ETHICS
46 COMMISSION FOR THE UNIFIED COURT SYSTEM SHALL MAKE AVAILABLE FOR PUBLIC
47 INSPECTION THE INFORMATION SET FORTH IN THE ANNUAL STATEMENT OF FINAN-
48 CIAL DISCLOSURE FILED PURSUANT TO THIS SUBDIVISION, INCLUDING THE CATE-
49 GORIES OF VALUE OR AMOUNT. NOTWITHSTANDING THE PROVISION OF ARTICLE SIX
50 OF THE PUBLIC OFFICERS LAW, THE ETHICS COMMISSION FOR THE UNIFIED COURT
51 SYSTEM MAY CHOOSE TO KEEP CONFIDENTIAL THE NAMES OF THE UNEMANCIPATED
52 CHILDREN ON THE ANNUAL STATEMENT OF FINANCIAL DISCLOSURE FILED PURSUANT
53 TO THIS SUBDIVISION, ANY ITEM OF INFORMATION DELETED PURSUANT TO JUDICI-
54 ARY RULES AND OTHER RECORDS OF SUCH COMMISSION AS IT SEES FIT.
S. 4794 9
1 S 19. Paragraph 1 and the opening paragraph of paragraph 3 of subdivi-
2 sion 9 of section 14-100 of the election law, as amended by chapter 70
3 of the laws of 1983, are amended to read as follows:
4 (1) any gift, subscription, outstanding loan (to the extent provided
5 for in section 14-114 of this [chapter] ARTICLE), advance, or deposit of
6 money or any thing of value, made in connection with the nomination for
7 election, or election, of any candidate, or made to promote the success
8 or defeat of a political party or principle, or of any ballot proposal,
9 any payment, by any person other than a candidate or a political
10 committee authorized by the candidate, made in connection with the nomi-
11 nation for election or election of any candidate, or any payment made to
12 promote the success or defeat of a political party or principle, or of
13 any ballot proposal including but not limited to compensation for the
14 personal services of any individual which are rendered in connection
15 with a candidate's election or nomination without charge; provided
16 however, that none of the foregoing IN THIS PARAGRAPH shall be deemed a
17 contribution if it is made, taken or performed by a candidate or his
18 spouse or by a person or a political committee independent of the candi-
19 date or his OR HER agents or authorized political committees. For
20 purposes of this article, the term "independent of the candidate or his
21 agents or authorized political committees" shall mean that the candidate
22 or his agents or authorized political committees did not authorize,
23 request, suggest, foster or cooperate in any such activity; and provided
24 further, that the term contribution shall not include:
25 S 20. Subdivision 1 of section 14-104 of the election law, as amended
26 by chapter 430 of the laws of 1997, is amended to read as follows:
27 1. (A) Any candidate for election to public office, or for nomination
28 for public office at a contested primary election or convention, or for
29 election to a party position at a primary election, shall file state-
30 ments sworn, or subscribed and bearing a form notice that false state-
31 ments made therein are punishable as a class A misdemeanor pursuant to
32 section 210.45 of the penal law, at the times prescribed by this article
33 setting forth the particulars specified by section 14-102 of this arti-
34 cle, as to all moneys or other valuable things, paid, given, expended or
35 promised by him OR HER, EXCEPT AS DESCRIBED IN PARAGRAPH (B) OF THIS
36 SUBDIVISION to aid his OR HER own nomination or election, or to promote
37 the success or defeat of a political party, or to aid or influence the
38 nomination or election or the defeat of any other candidate to be voted
39 for at the election or primary election or at a convention, including
40 contributions to political committees, officers, members or agents ther-
41 eof, and transfers, receipts and contributions to him OR HER to be used
42 for any of the purposes above specified, or in lieu thereof, any such
43 candidate may file such a sworn statement at the first filing period, on
44 a form prescribed by the state board of elections that such candidate
45 has NOT made [no] ANY such expenditures OR RECEIVED ANY FUNDS and does
46 not intend to make any such expenditures, except through a political
47 committee authorized by such candidate pursuant to this article. A
48 committee authorized by such a candidate may fulfill all of the filing
49 requirements of this [act] ARTICLE on behalf of such candidate. IF A
50 CANDIDATE FILES A SWORN STATEMENT PURSUANT TO THIS SUBDIVISION, THE
51 CANDIDATE BECOMES AN AGENT OF THE COMMITTEE.
52 (B) ANY CANDIDATE FOR ELECTION TO PUBLIC OFFICE, OR FOR NOMINATION FOR
53 PUBLIC OFFICE AT A CONTESTED PRIMARY ELECTION OR CONVENTION, AND SUCH
54 CANDIDATE'S SPOUSE OR DOMESTIC PARTNER, SHALL FILE STATEMENTS SWORN, OR
55 SUBSCRIBED AND BEARING A FORM NOTICE THAT FALSE STATEMENTS MADE THEREIN
56 ARE PUNISHABLE AS A CLASS A MISDEMEANOR PURSUANT TO SECTION 210.45 OF
S. 4794 10
1 THE PENAL LAW, DISCLOSING ALL GIFTS AND ALL LOANS, EXCLUDING LOANS FROM
2 A FINANCIAL INSTITUTION, IN EXCESS OF ONE THOUSAND DOLLARS (I) BY THE
3 LAST DATE TO ACCEPT OR DECLINE A DESIGNATION OR NOMINATION, WHICHEVER IS
4 EARLIER, IF THE CANDIDATE HAS NOT DECLINED, FOR THE TWELVE MONTHS IMME-
5 DIATELY PRECEDING SUCH STATEMENT AND (II) AT TIMES PRESCRIBED BY THIS
6 ARTICLE SETTING FORTH THE PARTICULARS IN SECTION 14-102 OF THIS ARTICLE.
7 A COMMITTEE AUTHORIZED BY A CANDIDATE MAY NOT FULFILL THE FILING
8 REQUIREMENTS OF THIS PARAGRAPH ON BEHALF OF SUCH CANDIDATE OR SUCH
9 CANDIDATE'S SPOUSE OR DOMESTIC PARTNER.
10 S 21. Subdivision 2 of section 14-108 of the election law, as amended
11 by chapter 109 of the laws of 1997, is amended to read as follows:
12 2. Each statement shall cover the period up to and including the
13 fourth day next preceding the day specified for the filing thereof;
14 provided, however, that any contribution, GIFT or loan in excess of one
15 thousand dollars, if received after the close of the period to be
16 covered in the last statement filed before any primary, general or
17 special election but before such election, shall be reported, in the
18 same manner as other contributions, GIFTS OR LOANS, within twenty-four
19 hours after receipt.
20 S 22. Subdivision 1 of section 14-120 of the election law, as amended
21 by chapter 79 of the laws of 1992, is amended to read as follows:
22 1. No person shall in any name except his own, directly or indirectly,
23 make a CONTRIBUTION, LOAN OR payment or a promise of A CONTRIBUTION,
24 LOAN OR payment to a candidate or political committee or to any officer
25 or member thereof, or to any person acting under its authority or in its
26 behalf or on behalf of any candidate, nor shall any such committee or
27 any such person or candidate knowingly receive a CONTRIBUTION, LOAN OR
28 payment or promise of A CONTRIBUTION, LOAN OR payment, or enter or cause
29 the same to be entered in the accounts or records of such committee, in
30 any name other than that of the person or persons by whom it is made.
31 IT SHALL BE NO DEFENSE TO A VIOLATION OF THIS SECTION THAT THE PERSON
32 GIVING THE CONTRIBUTION, LOAN OR PAYMENT PROVIDES THE CONTRIBUTION, LOAN
33 OR PAYMENT TO A CANDIDATE PRIOR TO THE CANDIDATE GIVING IT TO THE
34 CAMPAIGN COMMITTEE.
35 S 23. If any clause, sentence, paragraph, section or part of this act
36 shall be adjudged by any court of competent jurisdiction to be invalid,
37 such judgment shall not affect, impair, or invalidate the remainder
38 thereof.
39 S 24. This act shall take effect immediately; provided, however, that
40 sections nine through twenty-two of this act shall take effect on the
41 sixtieth day after it shall have become a law.
