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.