A09011 Summary:

BILL NOA09011
 
SAME ASSAME AS UNI. S06411
 
SPONSORBudget
 
COSPNSR
 
MLTSPNSR
 
Amd Various Laws, generally
 
Enacts into law major components of legislation relating to Good Government and Ethics Reform; relates to political contributions by limited liability companies (Part A); relates to prohibiting outside earned income by members of the legislature (Part B); relates to statements of campaign receipts, contributions, transfers and expenditures to and by political committees; relates to the filing of statements regarding campaign receipts and expenditures; relates to establishing a contribution limit for certain contributions to a party committee or constituted committee; relates to campaign finance reform; relates to public financing; relates to the New York state campaign finance fund; and relates to the New York state campaign finance fund check-off (Part C); relates to the freedom of information law; and repeals certain provisions relating to access to certain records (Part D); relates to financial disclosure of certain public officers (Part E); relates to motor vehicle voter registration; repeals certain provisions relating thereto (Part F); directs the state comptroller, the attorney general, the chief information officer of the office of information technology services and the commissioner of general services to make recommendations on assigning a single identifying code to contractors, vendors and other payees (Part G); relates to the regulation of political consultants; repeals certain provisions relating thereto (Part H).
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A09011 Actions:

BILL NOA09011
 
01/14/2016referred to ways and means
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A09011 Memo:

NEW YORK STATE ASSEMBLY
MEMORANDUM IN SUPPORT OF LEGISLATION
submitted in accordance with Assembly Rule III, Sec 1(f)
 
BILL NUMBER: A9011
 
SPONSOR: Budget
  TITLE OF BILL: An act to amend the election law, in relation to political contributions by limited liability companies (Part A); to amend the legislative law, in relation to prohibiting outside earned income by members of the legislature (Part B); to amend the election law, in relation to state- ments of campaign receipts, contributions, transfers and expenditures to and by political committees; to amend the election law, in relation to the filing of statements regarding campaign receipts and expenditures; to amend the election law, in relation to establishing a contribution limit for certain contributions to a party committee or constituted committee; to amend the election law, in relation to campaign finance reform; to amend the election law, in relation to public financing; to amend the state finance law, in relation to the New York state campaign finance fund; and to amend the tax law, in relation to the New York state campaign finance fund check-off (Part C); to amend the public officers law, the civil practice law and rules and the executive law, in relation to the freedom of information law; and to repeal certain provisions of the public officers law, the environmental conservation law and the county law relating to access to certain records (Part D); to amend the public officers law, the executive law and the legislative law, in relation to financial disclosure of certain public officers (Part E); to amend the election law, in relation to motor vehicle voter registration; and to repeal certain provisions of such law relating thereto (Part F); to direct the state comptroller, the attorney general, the chief information officer of the office of information technology services and the commissioner of general services to make recommenda- tions on assigning a single identifying code to contractors, vendors and other payees (Part G); and to amend the legislative law and the election law, in relation to the regulation of political consultants; and repeal- ing certain provisions of such law relating thereto (Part H)   PURPOSE: This bill contains provisions needed to enact into law major components of legislation relating to Good Government and Ethics Reform. This memorandum describes Parts A through H of the bill which are described wholly within the parts listed below. Part A - Close the "LLC loophole" by defining LLCs as corporations for the purpose of political donations   PURPOSE: This bill would define Limited Liability Companies (LLCs) as corpo- rations, closing the "LLC loophole" for the purpose of political donations. This action would result in lower contribution limits for LLCs and allow for a more transparent campaign finance system in the State.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: Under current law, individuals are permitted to donate up to a combined 65,100 for primary and general election campaigns for statewide office candidates; $18,000 for State Senate candidates; and $8,800 for Assembly candidates. LLCs are currently considered to be "individuals", and as a result, they can donate large sums of funds, in some cases through multiple LLCs, with little transparency. This bill would define LLCs as corporations, which would reduce poli- tical donation limits to an aggregate of $5,000 in each calendar year. This bill would also establish additional requirements related to LLCs, including: *Disclosing the identity of all direct and indirect owners of the membership interest in the LLC, and the proportion of members' ownership interest in the LLC; and *Requiring that all contributions made to a campaign or political committee by an LLC be attributed to each member of the LLC in propor- tion to the member's ownership interest. Finally, this bill would require the BOE to enact regulations that prevent the avoidance of the additional disclosure and attribution requirements, as outlined above.   BUDGET IMPLICATIONS: Enactment of this bill is necessary to implement the 2016-17 Executive Budget.   EFFECTIVE DATE: This bill would take effect immediately upon enactment. Part B - Sets limits on outside income for members of the Legislature   PURPOSE: This bill would set limits on the amount of outside income that members of the Legislature can earn.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: This bill would restrict outside earned income to 15 percent of a member of the Legislature's statutory salary. Compliance would be required as a condition of receipt of their salary and in order to vote in their capacity as a member of the Legislature. This bill would also define "outside earned income" as wages, salaries, fees and other forms of compensation for services actually rendered. Such definition would not include: salary, benefits and allowances paid by the State; income and allowances attributable to military service; royalties from the sale of book, artistic performance or other intellec- tual property; and pension or other investment benefits from prior employment. A member of the Legislature who willfully violates outside earned income limits would be subject to a civil penalty in an amount not to exceed $50,000, which shall be assessed by the Joint Commission on Public Ethics or, in lieu of or in addition to the penalty, referred to the appropriate prosecutor. The penalty for willful violation of outside earned income requirements would be punishable as a Class A misdemeanor.   BUDGET IMPLICATIONS: Enactment of this bill is necessary to implement the 2016-17 Executive Budget. While there is no immediate impact on State finances, enactment of this bill will deter the potential influence of outside activities on the public work of the New York State Legislature.   EFFECTIVE DATE: This bill would take effect January 1, 2017. Part C - Implement Campaign Finance Reform and Public Financing of Campaigns   PURPOSE: This bill would reform the State's campaign finance system by requiring disclosure of certain campaign contributions, reducing campaign contrib- ution limits, and enacting a voluntary public campaign finance system.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: This bill would improve the State's current campaign finance system and enhance transparency by: *Requiring that statements filed by political committees include infor- mation about intermediaries or "bundlers"; *Applying a $25,000 contribution limit to so-called "housekeeping accounts"; *Requiring campaigns to disclose, within sixty days of receipt, any contributions or loans in excess of $1,000; *Creating a new system for public financing of campaigns and establish- ing contribution limits, as follows: o Statewide candidates would have a contribution limit of $12,000, or $6,000 each for the primary and general election; o State Senate candidates would have a contribution limit of $8,000, or $4,000 each for the primary and general election; o State Assembly candidates would have a contribution limit of $4,000, or $2,000 each for the primary and general election; and o District Delegates and At-Large Delegates to a Constitutional Conven- tion would have a contribution limit of $2,000. *For those candidates not participating in the public financing system, limits would be amended as follows: o Statewide candidates would have a contribution limit of $25,000, or $10,000 for the primary and $15,000 for the general election; o State Senate candidates would have a contribution limit of $10,000, or $5,000 each for the primary and general election; o State Assembly candidates would have a contribution limit of $6,000, or $3,000 each for the primary and the general election; and o Candidates for District Delegates and At-Large Delegates to a Consti- tutional Convention would have a contribution limit of $3,000. *Establishing system requirements for public financing of campaigns including: comprehensive reporting and disclosure requirements to ensure maximum transparency and accountability; eligibility criteria; limits on the total amounts of public funds that may be provided to participating candidates in any election cycle; procedures for the calculation and payment of public matching funds; allowable uses for public matching funds; requirements for audits of payments to candidates; and the repay- ment of any excess matching funds a candidate has received; and civil and criminal penalties for violations; and *Establishing the "New York State Campaign Finance Fund" and allowing for certain transfers from the Abandoned Property Fund to the New York State Campaign Finance Fund. This bill would further allow individuals to designate a portion of their tax liability for deposit into the New York State Campaign Finance Fund.   BUDGET IMPLICATIONS: Public financing of campaigns will be financed, in part, by allowing resident taxpayers to make a donation to the new Campaign Finance Fund through a check-off box on their State income tax return, beginning with the 2016 tax year. Fiscal impacts will be dependent upon candidate participation in the program.   EFFECTIVE DATE: The bill would take effect immediately; provided, however, all candi- dates will be eligible to participate in voluntary public financing beginning with the 2018 primary election. Part D - Comprehensive FOIL Reform   PURPOSE: This bill would comprehensively reform the State's Freedom of Informa- tion Law.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: Section 1 of the bill would amend section 86 of the public officers law to clarify the definition of state legislature and add a definition of "respective house of the state legislature." Section 2 of the bill would amend section 87 of the public officers law to incorporate the state legislature into the provisions of FOIL; make proposed terms of a collective bargaining agreement available to the public; clarify that access to records may be denied where disclosure could endanger critical infrastructure; and codify proactive disclosure. Section 3 of the bill would repeal section 88 of the public officers law. Section 4 of the bill would amend section 89 of the public officers law to incorporate the state legislature into the provisions of FOIL; include personal communications between a legislator and a constituent in the definition of an unwarranted invasion of personal privacy; amend the attorneys' fees provision; expedite FOIL appeals; require commercial entities to renew requests for trademark protection; and outline the process to handle suits by commercial entities to block disclosure. Section 5 of the bill would amend section 105 of the CPLR to define state legislature. Section 6 of the bill would amend section 7802 of the CPLR to include the state legislature within the definition of "body or officer." Section 7 of the bill would amend section 713 of the executive law to make reference to article six of the public offers law, instead of section eighty-eight. Section 8 of the bill would repeal section 70-0113 of the environmental conservation law. Section 9 of the bill would repeal section 308 of the county law. Section 10 of the bill would set forth the effective date.   BUDGET IMPLICATIONS: Enactment of this bill is necessary to implement the 2016-17 Executive Budget.   EFFECTIVE DATE: This bill would take effect immediately; provided however that the amendments to paragraphs (j), (k), (I), (m), (n), and (o) of subdivision 2 of section 87 of the public officers law made by section two of this act shall not affect the repeal of such paragraphs and shall be deemed repealed therewith. Part E - Enact Public Officers law Reform   PURPOSE: This bill would strengthen disclosure requirements for public officials.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: This bill would build upon the Public Integrity Reform Act of 2011 (PIRA), which reformed the oversight and regulation of ethics and lobby- ing in New York State and created the Joint Commission on Public Ethics (JCOPE). This bill would amend the Public Offices Law, the Executive Law, and the Legislative Law to strengthen disclosure requirements and associated penalties to empower JCOPE and enhance their enforcement abilities. This bill would do the following: *Require that filers unable to produce documents during an audit attest that such documents are unavailable or do not exist; *Expand JCOPE's civil penalty jurisdiction to include individuals who aid in the violation of the State's ethics laws; *Clarify the public availability of certain Commission records; *Provide that the Commission may conduct meetings from multiple locations, one of which must be open to the public; *Establish that any lobbyist who is guilty of accepting a contingent retainer or employment will be subject to a civil penalty of no more than $10,000 or the value of the contingent fee. Such violations are reclassified from a class A misdemeanor to an E felony; *Require electronic submission of lobbying reports and registrations beginning in 2017; *Institute a civil penalty not to exceed $10,000 for lobbyists or clients who fail to fully cooperate during audits; and *Establish a new $40,000 civil penalty for failure to cooperate with JCOPE financial statement reviews (Section 73-a).   BUDGET IMPLICATIONS: Enactment of this bill is necessary to implement the 2017 Executive Budget to ensure that taxpayer dollars are used in a responsible and efficient manner.   EFFECTIVE DATE: This bill would take effect immediately, however several sections take effect on January 1, 2017. Part F - Enhancing Voter Opportunities   PURPOSE: This bill would provide for a system of opt-out voter registration for qualified Department of Motor Vehicles (DMV) customers; and early voting in all special, primary, and general elections.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: Sections one through four of this bill would provide for a system of opt-out voter registration for qualified persons applying for a motor vehicle driver's license, a drivers license renewal, or an identifica- tion card issued by the DMV. Current law allows qualified DMV customers to apply to register to vote when conducting certain DMV transactions. This bill would automatically forward voter registration applications for any qualified persons to local boards of elections, unless the DMV customer explicitly opts out of registration. Sections five through 11 of this bill would authorize early voting in all special, primary, and general elections. This bill would: *Require early voting polling sites to be open for a period of 12 days prior to special, primary, and general elections; *Require that the number of early voting polling sites be based on the number of registered voters in each county, and that each county offer at least one site; and *Provide that any registered voter in a county can vote at any early voting polling place within their county, subject to certain limita- tions.   BUDGET IMPLICATIONS: Enactment of this bill is necessary to implement the 2016-17 Executive Budget.   EFFECTIVE DATE: Sections five through 11 of this bill would take effect on the first of January after enactment and would apply to any election held one hundred twenty days or more after the effective date, except that subsections one through four of this bill would be effective April 1, 2017. Part G - Improve transparency and oversight related to vendors and for- profit businesses   PURPOSE: This bill would explore the feasibility of implementing a single identi- fying code for contractors, vendors and other State payees to improve the State's oversight and monitoring of business activities.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: This bill would require the State Comptroller, the Attorney General, the Chief Information Officer of Office of Technology Services, and the Commissioner of Office of General Services to conduct a study concerning the feasibility of assigning a single identifying code to contractors, vendors, and other payees to track such entities and expenditures. The group would be required to submit its findings and recommendations to the Governor and Legislature on or before January 1, 2017.   BUDGET IMPLICATIONS: Enactment of this bill is necessary to implement the 2016-17 Executive Budget, as it would improve transparency and oversight of entities receiving State funding.   EFFECTIVE DATE: This bill would take effect immediately. Part H - Enact Lobbying Reform   PURPOSE: This bill would extend the reporting and compliance requirements of Section 1-A of Legislative Law (i.e. the Lobbying Act) to cover poli- tical consultants.   SUMMARY OF PROVISIONS AND STATEMENT IN SUPPORT: This bill would require that political consultants adhere to the same provisions as lobbyists with respect to registration, reporting and oversight by the Joint Commission on Public Ethics (JCOPE). Currently, lobbyists must register with JCOPE, complete ethics training, and regularly disclose activities and finances. This bill would extend such requirements to political consultants, who are defined as someone who is paid to provide advice, services, or assistance in securing future State or local public office for any elected State or local public official. Specific new provisions which would apply to political consulting include: *Semi-annual disclosure filings; and *Civil and criminal penalties and fines for knowingly and willingly failing to file and for filing false information, among other violations. This bill would also amend Election Law to require that treasurers of political committees furnish statements which include a list of all persons and organizations which provide consulting services, and the fair market value and actual amount paid for such services. Finally, this bill would expand the advisory council on procurement lobby to include political consulting.   BUDGET IMPLICATIONS: Enactment of this bill is necessary to implement the 2016-17 Executive Budget because it strengthens State ethics laws by increasing the trans- parency of political consulting activity.   EFFECTIVE DATE: This bill would take effect 30 days from enactment. The provisions of this act shall take effect immediately, provided, however, that the applicable effective date of each part of this act shall be as specifically set forth in the last section of such part.
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A09011 Text:



 
                STATE OF NEW YORK
        ________________________________________________________________________
 
            S. 6411                                                  A. 9011
 
                SENATE - ASSEMBLY
 
                                    January 14, 2016
                                       ___________
 
        IN  SENATE -- A BUDGET BILL, submitted by the Governor pursuant to arti-
          cle seven of the Constitution -- read twice and ordered  printed,  and
          when printed to be committed to the Committee on Finance
 
        IN  ASSEMBLY  --  A  BUDGET  BILL, submitted by the Governor pursuant to
          article seven of the Constitution -- read once  and  referred  to  the
          Committee on Ways and Means

        AN ACT to amend the election law, in relation to political contributions
          by limited liability companies (Part A); to amend the legislative law,
          in  relation  to  prohibiting  outside earned income by members of the
          legislature (Part B); to amend the election law, in relation to state-
          ments of campaign receipts, contributions, transfers and  expenditures
          to and by political committees; to amend the election law, in relation
          to  the  filing of statements regarding campaign receipts and expendi-
          tures; to amend the  election  law,  in  relation  to  establishing  a
          contribution  limit  for certain contributions to a party committee or
          constituted committee; to amend  the  election  law,  in  relation  to
          campaign  finance  reform;  to  amend the election law, in relation to
          public financing; to amend the state finance law, in relation  to  the
          New  York  state  campaign  finance fund; and to amend the tax law, in
          relation to the New York state campaign finance fund  check-off  (Part
          C); to amend the public officers law, the civil practice law and rules
          and  the executive law, in relation to the freedom of information law;
          and to repeal certain provisions of the public officers law, the envi-
          ronmental conservation law and the county law relating  to  access  to
          certain records (Part D); to amend the public officers law, the execu-
          tive  law and the legislative law, in relation to financial disclosure
          of certain public officers (Part E); to amend  the  election  law,  in
          relation  to  motor  vehicle voter registration; and to repeal certain
          provisions of such law relating thereto (Part F); to direct the  state
          comptroller,  the  attorney  general, the chief information officer of
          the office of information technology services and the commissioner  of
          general services to make recommendations on assigning a single identi-
          fying  code  to contractors, vendors and other payees (Part G); and to
          amend the legislative law and the election law,  in  relation  to  the
          regulation  of political consultants; and repealing certain provisions
          of such law relating thereto (Part H)
 
         EXPLANATION--Matter in italics (underscored) is new; matter in brackets
                              [ ] is old law to be omitted.
                                                                   LBD12675-01-6

        S. 6411                             2                            A. 9011
 
          The People of the State of New York, represented in Senate and  Assem-
        bly, do enact as follows:

     1    Section  1.  This  act enacts into law major components of legislation
     2  relating to Good Government and Ethics Reform. Each component is  wholly
     3  contained  within  a Part identified as Parts A through H. The effective
     4  date for each particular provision contained within  such  Part  is  set
     5  forth  in  the  last  section of such Part. Any provision in any section
     6  contained within a Part, including the effective date of the Part, which
     7  makes reference to a section "of this act", when used in connection with
     8  that particular component, shall be deemed to  mean  and  refer  to  the
     9  corresponding section of the Part in which it is found. Section three of
    10  this act sets forth the general effective date of this act.
 
    11                                   PART A
 
    12    Section 1. Section 14-116 of the election law, subdivision 1 as redes-
    13  ignated by chapter 9 of the laws of 1978 and subdivision 2 as amended by
    14  chapter 260 of the laws of 1981, is amended to read as follows:
    15    §  14-116.  Political  contributions  by certain organizations. 1.  No
    16  corporation [or], limited liability company, joint-stock association  or
    17  other  corporate  entity  doing  business in this state, except a corpo-
    18  ration or association organized or  maintained  for  political  purposes
    19  only, shall directly or indirectly pay or use or offer, consent or agree
    20  to  pay  or  use  any  money  or property for or in aid of any political
    21  party, committee or organization, or for, or in aid of, any corporation,
    22  limited liability company, joint-stock [or], other association, or other
    23  corporate entity organized or maintained for political purposes, or for,
    24  or in aid of, any candidate for political office or for  nomination  for
    25  such  office,  or  for  any  political  purpose  whatever,  or  for  the
    26  reimbursement or indemnification of any person for moneys or property so
    27  used. Any officer, director, stock-holder, member,  owner,  attorney  or
    28  agent  of  any  corporation [or], limited liability company, joint-stock
    29  association  or  other  corporate  entity  which  violates  any  of  the
    30  provisions  of this section, who participates in, aids, abets or advises
    31  or consents to any such violations, and any person who solicits or know-
    32  ingly receives any money or property in violation of this section, shall
    33  be guilty of a misdemeanor.
    34    2. Notwithstanding the provisions of subdivision one of this  section,
    35  any  corporation or an organization financially supported in whole or in
    36  part, by such corporation, any limited liability company or other corpo-
    37  rate entity may make expenditures, including contributions,  not  other-
    38  wise  prohibited  by  law,  for  political purposes, in an amount not to
    39  exceed five thousand dollars in the  aggregate  in  any  calendar  year;
    40  provided  that  no  public  utility shall use revenues received from the
    41  rendition of public service within the state for contributions for poli-
    42  tical purposes unless such cost is charged to the shareholders of such a
    43  public service corporation.
    44    3. Each limited liability company that makes an expenditure for  poli-
    45  tical purposes shall file with the state board of elections, by December
    46  thirty-first  of  the year in which the expenditure is made, on the form
    47  prescribed by the state board of elections, the identity of  all  direct
    48  and indirect owners of the membership interests in the limited liability
    49  company and the proportion of each direct or indirect member's ownership
    50  interest in the limited liability company.

        S. 6411                             3                            A. 9011
 
     1    §  2.  Section  14-120  of the election law is amended by adding a new
     2  subdivision 3 to read as follows:
     3    3. (a) Notwithstanding any law to the contrary, all contributions made
     4  to  a  campaign  or  political  committee by a limited liability company
     5  shall be attributed to each member of the limited liability  company  in
     6  proportion  to  the member's ownership interest in the limited liability
     7  company.
     8    (b) If, by  application  of  paragraph  (a)  of  this  subdivision,  a
     9  campaign  contribution is attributed to a limited liability company, the
    10  contributions shall be further attributed to each member of the  limited
    11  liability  company  in  proportion to the member's ownership interest in
    12  the limited liability company.
    13    (c) The state board of elections shall enact regulations that  prevent
    14  the  avoidance  of the rules set forth in paragraphs (a) and (b) of this
    15  subdivision.
    16    § 3. This act shall take effect immediately.
 
    17                                   PART B
 
    18    Section 1. The legislative law is amended by adding a new section  5-b
    19  to read as follows:
    20    §  5-b. Limit on outside earned income for members. 1. A member of the
    21  legislature receiving a salary for legislative work from  the  state  of
    22  New  York  shall  be  permitted  to  earn  outside  income each year for
    23  performing fee for service activities and compensated outside activities
    24  in an amount totaling no greater than fifteen percent of the member base
    25  compensation set forth in subdivision one of section five of this  arti-
    26  cle.    Compliance  with the limit on outside earned income described in
    27  this section shall be a condition precedent to receiving  a  salary  for
    28  legislative  activities  from  the  state  of  New York, and voting as a
    29  member of the legislature of the state of New York.
    30    2. a. For purposes of this section, the term "outside  earned  income"
    31  shall  include,  but  not be limited to, wages, salaries, fees and other
    32  forms of compensation for services actually rendered.
    33    b. For the purposes of this section, the term "outside earned  income"
    34  shall not include:
    35    (1) salary, benefits and allowances paid by the state;
    36    (2)  income  and allowances attributable to service in the reserves of
    37  the armed forces of the United States, national guard  or  other  active
    38  military service;
    39    (3)  royalties  from the sale of a book, artistic performance or other
    40  intellectual property; provided, however, that no advance fees shall  be
    41  permitted; or
    42    (4)  a  pension,  investment,  capital gains or other earnings accrued
    43  from prior employment or actual services rendered prior  to  the  member
    44  taking office.
    45    3.  A  member  of the legislature who knowingly and willfully violates
    46  the provisions of this section shall be subject to a civil penalty in an
    47  amount not to exceed fifty  thousand  dollars.  Assessment  of  a  civil
    48  penalty  shall  be  made  by the joint commission on public ethics. Such
    49  commission may, in lieu of or in addition to a civil  penalty,  refer  a
    50  violation to the appropriate prosecutor.
    51    4.  Willful  violation of the provisions of this section is punishable
    52  as a class A misdemeanor.
    53    § 2. This act shall take effect January 1, 2017.

        S. 6411                             4                            A. 9011
 
     1                                   PART C
 
     2    Section  1.    Section 14-100 of the election law is amended by adding
     3  two new subdivisions 15 and 16 to read as follows:
     4    15. "intermediary"  means  an  individual,  corporation,  partnership,
     5  political  committee,  labor  organization, or other entity which, other
     6  than in the regular course of business as a postal, delivery, or messen-
     7  ger service, delivers any contribution from another person or entity  to
     8  a candidate or an authorized committee.
     9    "Intermediary"  shall  not  include  spouses,  parents,  children,  or
    10  siblings of the person making such contribution.
    11    16. "authorized committee" means the single political committee desig-
    12  nated by a candidate to receive all  contributions  authorized  by  this
    13  title.
    14    §  2.  Subdivision 1 of section 14-102 of the election law, as amended
    15  by chapter 8 and as redesignated by chapter 9 of the laws  of  1978,  is
    16  amended to read as follows:
    17    1.  The  treasurer of every political committee which, or any officer,
    18  member or agent of any  such  committee  who,  in  connection  with  any
    19  election,  receives  or  expends  any  money  or other valuable thing or
    20  incurs any liability to pay money or its equivalent  shall  file  state-
    21  ments  sworn,  or subscribed and bearing a form notice that false state-
    22  ments made therein are punishable as a class A misdemeanor  pursuant  to
    23  section  210.45 of the penal law, at the times prescribed by this [arti-
    24  cle] title setting forth all the  receipts,  contributions  to  and  the
    25  expenditures  by  and liabilities of the committee, and of its officers,
    26  members and agents in its behalf.  Such  statements  shall  include  the
    27  dollar  amount  of  any  receipt,  contribution or transfer, or the fair
    28  market value of any receipt, contribution or transfer,  which  is  other
    29  than  of  money,  the  name  and address of the transferor, contributor,
    30  intermediary, or person from  whom  received,  and  if  the  transferor,
    31  contributor,  intermediary, or person is a political committee; the name
    32  of and the political unit represented by the committee, the date of  its
    33  receipt, the dollar amount of every expenditure, the name and address of
    34  the  person  to  whom  it was made or the name of and the political unit
    35  represented by the committee to which it was made and the date  thereof,
    36  and shall state clearly the purpose of such expenditure. An intermediary
    37  need  not  be  reported  for  a  contribution  that was collected from a
    38  contributor in connection with a party or other candidate-related  event
    39  held  at the residence of the person delivering the contribution, unless
    40  the expenses of such event at such residence for such  candidate  exceed
    41  five  hundred  dollars or the aggregate contributions received from that
    42  contributor at such event exceed five  hundred  dollars.  Any  statement
    43  reporting  a  loan  shall  have attached to it a copy of the evidence of
    44  indebtedness. Expenditures in sums  under  fifty  dollars  need  not  be
    45  specifically  accounted  for  by  separate items in said statements, and
    46  receipts  and  contributions  aggregating  not  more  than   ninety-nine
    47  dollars, from any one contributor need not be specifically accounted for
    48  by  separate  items  in  said  statements,  provided  however, that such
    49  expenditures, receipts and contributions shall be subject to  the  other
    50  provisions of section 14-118 of this [article] title.
    51    §  3.  Subdivision 3 of section 14-124 of the election law, as amended
    52  by chapter 71 of the laws of 1988, is amended to read as follows:
    53    3. The contribution and receipt limits of this article shall not apply
    54  to monies received and expenditures made by a party committee or consti-
    55  tuted committee to maintain a permanent headquarters and staff and carry

        S. 6411                             5                            A. 9011
 
     1  on ordinary activities which are not for the express purpose of  promot-
     2  ing the candidacy of specific candidates, except that contributions made
     3  for  such activities to a party committee or constituted committee shall
     4  be  limited  to  twenty-five thousand dollars in the aggregate from each
     5  contributor in each year.
     6    § 4. Subdivision 2 of section 14-108 of the election law,  as  amended
     7  by chapter 109 of the laws of 1997, is amended to read as follows:
     8    2.  Each  statement  shall  cover  the  period up to and including the
     9  fourth day next preceding the day specified  for  the  filing  thereof[;
    10  provided,  however,  that].  The  receipt of any contribution or loan in
    11  excess of one thousand dollars shall be disclosed within sixty  days  of
    12  receipt.    Such submissions shall be reported in the same manner as any
    13  other contribution or loan on the next applicable statement.    However,
    14  any  contribution or loan in excess of one thousand dollars, if received
    15  after the close of the period to be covered in the last statement  filed
    16  before  any  primary,  general  or  special  election  but  before  such
    17  election, shall be reported, in the same manner as other  contributions,
    18  within twenty-four hours after receipt.
    19    §  5. The article heading of article 14 of the election law is amended
    20  to read as follows:
    21    [Campaign Receipts and Expenditures] CAMPAIGN  RECEIPTS  AND  EXPENDI-
    22  TURES; PUBLIC FINANCING
    23    §  6.  Subdivisions  1  and  10 of section 14-114 of the election law,
    24  subdivision 1 as amended and subdivision 10 as added by  chapter  79  of
    25  the  laws  of 1992 and paragraphs a and b of subdivision 1 as amended by
    26  chapter 659 of the laws of 1994, are amended to read as follows:
    27    1. The following limitations apply to all contributions to  candidates
    28  for election to any public office or for nomination for any such office,
    29  or  for  election  to  any  party positions, and to all contributions to
    30  political committees working directly or indirectly with  any  candidate
    31  to  aid or participate in such candidate's nomination or election, other
    32  than any contributions to any party committee or constituted committee:
    33    a. In any election for a public office to be voted on by the voters of
    34  the entire state, or for nomination to any such office,  no  contributor
    35  may  make a contribution to any candidate or political committee partic-
    36  ipating in the state's public campaign financing system  as  defined  in
    37  title  two of this article, and no such candidate or political committee
    38  may accept any contribution from any contributor, which is in the aggre-
    39  gate amount greater than:  (i) in the case of any nomination  to  public
    40  office, the product of the total number of enrolled voters in the candi-
    41  date's  party  in the state, excluding voters in inactive status, multi-
    42  plied by $.005, but such amount shall be not [less  than  four  thousand
    43  dollars  nor]  more  than [twelve] six thousand dollars [as increased or
    44  decreased by the cost of living adjustment described in paragraph  c  of
    45  this  subdivision,]  and  (ii)  in  the case of any election to [a] such
    46  public office, [twenty-five]  six  thousand  dollars  [as  increased  or
    47  decreased  by  the cost of living adjustment described in paragraph c of
    48  this subdivision]; provided however, that the maximum amount  which  may
    49  be  so  contributed  or accepted, in the aggregate, from any candidate's
    50  child, parent, grandparent, brother and sister, and the  spouse  of  any
    51  such  persons,  shall not exceed in the case of any nomination to public
    52  office an amount equivalent to the product of  the  number  of  enrolled
    53  voters  in the candidate's party in the state, excluding voters in inac-
    54  tive status, multiplied by $.025, and in the case of any election for  a
    55  public  office,  an  amount  equivalent  to the product of the number of

        S. 6411                             6                            A. 9011
 
     1  registered voters in the state  excluding  voters  in  inactive  status,
     2  multiplied by $.025.
     3    b.  In  any  other  election  for  party position or for election to a
     4  public office or for nomination for any such office, no contributor  may
     5  make  a contribution to any candidate or political committee participat-
     6  ing in the state's public campaign financing system defined in title two
     7  of this article (for those offices or positions covered by that  system)
     8  and no such candidate or political committee may accept any contribution
     9  from any contributor, which is in the aggregate amount greater than: (i)
    10  in  the  case  of  any election for party position, or for nomination to
    11  public office, the product of the total number of enrolled voters in the
    12  candidate's party in the district in which he is a candidate,  excluding
    13  voters  in  inactive status, multiplied by $.05, and (ii) in the case of
    14  any election for a public office, the product of  the  total  number  of
    15  registered  voters in the district, excluding voters in inactive status,
    16  multiplied by $.05, however in the case of a nomination within the  city
    17  of  New  York  for  the office of mayor, public advocate or comptroller,
    18  such amount shall be not less than four thousand dollars nor  more  than
    19  twelve  thousand dollars as increased or decreased by the cost of living
    20  adjustment described in paragraph [c] e of this subdivision; in the case
    21  of an election within the city of New York  for  the  office  of  mayor,
    22  public   advocate   or  comptroller,  twenty-five  thousand  dollars  as
    23  increased or decreased by the cost of  living  adjustment  described  in
    24  paragraph  [c]  e  of  this  subdivision; in the case of a nomination or
    25  election for state senator,  four  thousand  dollars  [as  increased  or
    26  decreased  by  the cost of living adjustment described in paragraph c of
    27  this subdivision; in the case of an  election  for  state  senator,  six
    28  thousand two hundred fifty dollars as increased or decreased by the cost
    29  of  living  adjustment described in paragraph c of this subdivision]; in
    30  the case of an election or nomination for  a  member  of  the  assembly,
    31  delegate-at-large  to a convention to revise and amend the state consti-
    32  tution, or district delegate to a convention to  revise  and  amend  the
    33  state  constitution,  [twenty-five  hundred]  two  thousand  dollars [as
    34  increased or decreased by the cost of  living  adjustment  described  in
    35  paragraph  c of this subdivision; but in no event shall any such maximum
    36  exceed fifty thousand dollars or be less  than  one  thousand  dollars];
    37  provided however, that the maximum amount which may be so contributed or
    38  accepted,  in  the aggregate, from any candidate's child, parent, grand-
    39  parent, brother and sister, and the spouse of any  such  persons,  shall
    40  not  exceed in the case of any election for party position or nomination
    41  for public office an amount equivalent to the number of enrolled  voters
    42  in  the  candidate's  party  in the district in which he is a candidate,
    43  excluding voters in inactive status, multiplied by $.25 and in the  case
    44  of  any election to public office, an amount equivalent to the number of
    45  registered voters in the district, excluding voters in inactive  status,
    46  multiplied by $.25; or twelve hundred fifty dollars, whichever is great-
    47  er, or in the case of a nomination or election of a state senator, twen-
    48  ty  thousand  dollars,  whichever  is greater, or in the case of a nomi-
    49  nation or election of a member of the assembly, delegate-at-large  to  a
    50  convention to revise and amend the state constitution, or district dele-
    51  gate  to a convention to revise and amend the state constitution, twelve
    52  thousand five hundred dollars, whichever is greater,  but  in  no  event
    53  shall any such maximum exceed one hundred thousand dollars.
    54    c.    In any election for a public office to be voted on by the voters
    55  of the entire state, or for nomination to any such office, no  contribu-
    56  tor  may  make a contribution to any candidate or political committee in

        S. 6411                             7                            A. 9011
 
     1  connection with a candidate who is  not  a  participating  candidate  as
     2  defined in subdivision fourteen of section 14-200-a of this article, and
     3  no  such  candidate  or  political committee may accept any contribution
     4  from  any  contributor,  which  is in the aggregate amount greater than:
     5  (i) in the case of any nomination to public office, the product  of  the
     6  total  number  of enrolled voters in the candidate's party in the state,
     7  excluding voters in inactive  status,  multiplied  by  $.005,  but  such
     8  amount  shall  be  not less than four thousand dollars nor more than ten
     9  thousand dollars, and (ii) in the case  of  any  election  to  a  public
    10  office,  fifteen  thousand  dollars;  provided however, that the maximum
    11  amount which may be so contributed or accepted, in the  aggregate,  from
    12  any  candidate's child, parent, grandparent, brother and sister, and the
    13  spouse of any such persons, shall not exceed in the case  of  any  nomi-
    14  nation  to  public  office  an  amount  equivalent to the product of the
    15  number of enrolled voters in the candidate's party in the state, exclud-
    16  ing voters in inactive status, multiplied by $.025, and in the  case  of
    17  any election for a public office, an amount equivalent to the product of
    18  the  number  of registered voters in the state excluding voters in inac-
    19  tive status, multiplied by $.025.
    20    d. In any other election for party  position  or  for  election  to  a
    21  public  office or for nomination for any such office, no contributor may
    22  make  a  contribution  to  any  candidate  or  political  committee   in
    23  connection  with  a  candidate  who  is not a participating candidate as
    24  defined in subdivision fourteen of section 14-200-a of this article  and
    25  no  such  candidate  or  political committee may accept any contribution
    26  from any contributor, which is in the aggregate amount greater than: (i)
    27  in the case of any election for party position,  or  for  nomination  to
    28  public office, the product of the total number of enrolled voters in the
    29  candidate's  party in the district in which he is a candidate, excluding
    30  voters in inactive status, multiplied by $.05, and (ii) in the  case  of
    31  any  election  for  a  public office, the product of the total number of
    32  registered voters in the district, excluding voters in inactive  status,
    33  multiplied  by $.05, however in the case of a nomination within the city
    34  of New York for the office of mayor,  public  advocate  or  comptroller,
    35  such  amount  shall be not less than four thousand dollars nor more than
    36  twelve thousand dollars as increased or decreased by the cost of  living
    37  adjustment  described in paragraph e of this subdivision; in the case of
    38  an election within the city of New York for the office of mayor,  public
    39  advocate  or  comptroller,  twenty-five thousand dollars as increased or
    40  decreased by the cost of living adjustment described in paragraph  e  of
    41  this  subdivision;  in  the  case  of a nomination or election for state
    42  senator, five thousand dollars; in the case of an election or nomination
    43  for a member of the  assembly,  delegate-at-large  to  a  convention  to
    44  revise  and  amend  the  state  constitution,  or district delegate to a
    45  convention to revise and amend the state  constitution,  three  thousand
    46  dollars;  provided  however,  that  the  maximum  amount which may be so
    47  contributed or accepted, in the aggregate, from any  candidate's  child,
    48  parent,  grandparent,  brother  and  sister,  and the spouse of any such
    49  persons, shall not exceed in the case of any election for party position
    50  or nomination for public office an amount equivalent to  the  number  of
    51  enrolled  voters in the candidate's party in the district in which he is
    52  a candidate, excluding voters in inactive status, multiplied by $.25 and
    53  in the case of any election to public office, an  amount  equivalent  to
    54  the  number  of  registered  voters in the district, excluding voters in
    55  inactive status, multiplied by $.25; or twelve  hundred  fifty  dollars,
    56  whichever  is  greater,  or in the case of a nomination or election of a

        S. 6411                             8                            A. 9011
 
     1  state senator, twenty thousand dollars, whichever is greater, or in  the
     2  case  of a nomination or election of a member of the assembly, delegate-
     3  at-large to a convention to revise and amend the state constitution,  or
     4  district  delegate to a convention to revise and amend the state consti-
     5  tution, twelve thousand five hundred dollars, whichever is greater,  but
     6  in no event shall any such maximum exceed one hundred thousand dollars.
     7    e. At the beginning of each fourth calendar year, commencing in [nine-
     8  teen hundred ninety-five] two thousand twenty-one, the state board shall
     9  determine  the  percentage  of  the  difference  between the most recent
    10  available monthly consumer price index for all urban consumers published
    11  by the United States bureau of labor statistics and such consumer  price
    12  index  published for the same month four years previously. The amount of
    13  each contribution limit fixed and expressly identified for adjustment in
    14  this subdivision shall be adjusted by  the  amount  of  such  percentage
    15  difference  to the closest one hundred dollars by the state board which,
    16  not later than the first day of February in each such year, shall  issue
    17  a regulation publishing the amount of each such contribution limit. Each
    18  contribution  limit  as  so  adjusted shall be the contribution limit in
    19  effect for any election held before the next such adjustment.
    20    f. Each party or constituted committee may transfer to,  or  spend  to
    21  elect or oppose a candidate, or transfer to another party or constituted
    22  committee,  no more than five thousand dollars per election, except that
    23  such committee may in addition to such transfers or expenditures:
    24    (i) in a general or special election transfer to, or spend to elect or
    25  oppose a candidate, no more than five hundred dollars received from each
    26  contributor; and
    27    (ii) in  any  election  spend  without  limitation  for  non-candidate
    28  expenditures not designed or intended to elect a particular candidate or
    29  candidates.
    30    g.  Notwithstanding  any  other  contribution  limit  in this section,
    31  participating candidates as defined in subdivision fourteen  of  section
    32  14-200-a  of  this article may contribute, out of their own money, three
    33  times the applicable contribution limit to their own authorized  commit-
    34  tee.
    35    10.  [a.] No contributor may make a contribution to a party or consti-
    36  tuted committee and no such committee may accept a contribution from any
    37  contributor which, in the aggregate, is greater than [sixty-two thousand
    38  five hundred] twenty-five thousand dollars per annum.
    39    [b. At the beginning of each fourth calendar year, commencing in nine-
    40  teen hundred ninety-five, the state board shall determine the percentage
    41  of the difference between the most  recent  available  monthly  consumer
    42  price  index  for  all  urban  consumers  published by the United States
    43  bureau of labor statistics and such consumer price index  published  for
    44  the  same  month  four years previously. The amount of such contribution
    45  limit fixed in paragraph a of this subdivision shall be adjusted by  the
    46  amount  of such percentage difference to the closest one hundred dollars
    47  by the state board which, not later than the first day  of  February  in
    48  each  such  year, shall issue a regulation publishing the amount of such
    49  contribution limit. Such contribution limit as so adjusted shall be  the
    50  contribution  limit in effect for any election held before the next such
    51  adjustment.]
    52    § 7. Sections 14-100 through 14-130 of the election law are designated
    53  Title I and a new title heading is added to read as follows:

    54                     CAMPAIGN RECEIPTS AND EXPENDITURES

        S. 6411                             9                            A. 9011
 
     1    § 8. Article 14 of the election law is amended by adding a  new  title
     2  II to read as follows:
     3                                  TITLE II
     4                              PUBLIC FINANCING
     5  Section 14-200.   Legislative findings and intent.
     6          14-200-a. Definitions.
     7          14-201.   Reporting requirements.
     8          14-202.   Contributions.
     9          14-203.   Proof of compliance.
    10          14-204.   Eligibility.
    11          14-205.   Limits on public financing.
    12          14-206.   Payment of public matching funds.
    13          14-207.   Use  of  public  matching  funds;  qualified  campaign
    14                      expenditures.
    15          14-208.   Powers and duties of the board.
    16          14-209.   Audits and repayments.
    17          14-210.   Enforcement and penalties  for  violations  and  other
    18                      proceedings.
    19          14-211.   Reports.
    20          14-212.   Debates for candidates for statewide office.
    21          14-213.   Severability.
    22    § 14-200. Legislative findings and intent.  The legislature finds that
    23  reform of New York state's campaign finance system is crucial to improv-
    24  ing public confidence in the state's democratic processes and continuing
    25  to  ensure  a government that is accountable to all of the voters of the
    26  state regardless of wealth or position. The legislature finds  that  New
    27  York's  current system of campaign finance, with its large contributions
    28  to candidates for office and party committees, has created the potential
    29  for and the appearance of corruption.   The  legislature  further  finds
    30  that,  whether or not this system creates actual corruption, the appear-
    31  ance of such corruption can give rise to a distrust  in  government  and
    32  citizen  apathy that undermine the democratic operation of the political
    33  process.
    34    The legislature also finds that the high cost of running for office in
    35  New York discourages qualified candidates from running  for  office  and
    36  creates an electoral system that encourages candidates to spend too much
    37  time  raising money rather than attending to the duties of their office,
    38  representing the needs of their  constituents,  and  communicating  with
    39  voters.
    40    The  legislature amends this chapter creating a new title two to arti-
    41  cle fourteen of this chapter to reduce the  possibility  and  appearance
    42  that special interests exercise undue influence over state officials; to
    43  increase  the actual and apparent responsiveness of elected officials to
    44  all voters; to encourage qualified candidates to run for office; and  to
    45  reduce the pressure on candidates to spend large amounts of time raising
    46  large contributions for their campaigns.
    47    The legislature finds that this article's limitations on contributions
    48  further   the  government's  interest  in  reducing  real  and  apparent
    49  corruption and in building trust in government.  The  legislature  finds
    50  that  the  contribution levels are sufficiently high to allow candidates
    51  and political parties to raise enough money to run effective  campaigns.
    52  In  addition,  the legislature finds that graduated contribution limita-
    53  tions reflect the campaign needs of candidates for different offices.
    54    The legislature also finds that the system of voluntary public financ-
    55  ing furthers the government's interest in encouraging  qualified  candi-
    56  dates to run for office. The legislature finds that the voluntary public

        S. 6411                            10                            A. 9011
 
     1  funding  program  will  enlarge  the  public debate and increase partic-
     2  ipation in the democratic process. In addition,  the  legislature  finds
     3  that  the  voluntary  expenditure  limitations and matching fund program
     4  reduce  the burden on candidates and officeholders to spend time raising
     5  money for their campaigns.
     6    Therefore, the legislature declares that these amendments further  the
     7  important  and  valid  government  interests  of  reducing voter apathy,
     8  building confidence in government, reducing the reality  and  appearance
     9  of  corruption,  and encouraging qualified candidates to run for office,
    10  while reducing candidates' and officeholders' fundraising burdens.
    11    § 14-200-a. Definitions.  For the purposes of this title, the  follow-
    12  ing terms shall have the following meanings:
    13    1.  The  term  "authorized  committee" shall mean the single committee
    14  designated by a candidate pursuant to section 14-201 of  this  title  to
    15  receive  contributions  and  make  expenditures in support of the candi-
    16  date's campaign.
    17    2. The term "board" shall mean the state board of elections.
    18    3. The term "contribution" shall have the same meaning as  appears  in
    19  subdivision nine of section 14-100 of this article.
    20    4. The term "contributor" shall mean any person or entity that makes a
    21  contribution.
    22    5.  The  term  "covered  election" shall mean any primary, general, or
    23  special election for nomination for election, or election, to the office
    24  of governor, lieutenant governor, attorney general,  state  comptroller,
    25  state senator, member of the assembly, delegate-at-large to a convention
    26  to  revise  and  amend the state constitution, or district delegate to a
    27  convention to revise and amend the state constitution.
    28    6. The term "election cycle" shall mean the two year  period  starting
    29  the  day  after  the  last general election for candidates for the state
    30  legislature and shall mean the four year period starting after  the  day
    31  after the last general election for candidates for statewide office.
    32    7.  The term "expenditure" shall mean any gift, subscription, advance,
    33  payment, or deposit of money or anything of value, or a contract to make
    34  any gift, subscription, payment, or deposit  of  money  or  anything  of
    35  value, made in connection with the nomination for election, or election,
    36  of  any  candidate.   Expenditures made by contract are deemed made when
    37  such funds are obligated.
    38    8. The term "fund" shall mean the  New  York  state  campaign  finance
    39  fund.
    40    9.  The term "immediate family" shall mean a spouse, child, sibling or
    41  parent.
    42    10. The term "intermediary" shall  mean  an  individual,  corporation,
    43  partnership,  political committee, employee organization or other entity
    44  which bundles, causes to be delivered or otherwise delivers any contrib-
    45  ution from another person or entity to a candidate or authorized commit-
    46  tee, other than in the regular course of business as a postal,  delivery
    47  or  messenger service.   Provided, however, that an "intermediary" shall
    48  not include spouses, domestic partners, parents, children or siblings of
    49  the person making such contribution or a staff member  or  volunteer  of
    50  the campaign identified in writing to the state board of elections. Here
    51  "causes  to  be delivered" shall include providing postage, envelopes or
    52  other shipping materials for the use of delivering the  contribution  to
    53  the ultimate recipient.
    54    11.  The  term  "item  with  significant intrinsic and enduring value"
    55  shall mean any item, including tickets to an event, that are  valued  at
    56  twenty-five dollars or more.

        S. 6411                            11                            A. 9011
 
     1    12.  (a)  The term "matchable contribution" shall mean a contribution,
     2  contributions or a portion of a contribution or  contributions  for  any
     3  covered  elections  held  in  the same election cycle, made by a natural
     4  person who is a United States citizen and resident in the state  of  New
     5  York to a participating candidate, that has been reported in full to the
     6  board  in  accordance with sections 14-102 and 14-104 of this article by
     7  the candidate's authorized committee and  has  been  contributed  on  or
     8  before  the  day  of  the applicable primary, general, runoff or special
     9  election. Any contribution, contributions, or a portion  of  a  contrib-
    10  ution  determined  to be invalid for matching funds by the board may not
    11  be treated as a matchable contribution for any purpose.
    12    (b) The following contributions are not matchable:
    13    (i) loans;
    14    (ii) in-kind contributions of property, goods, or services;
    15    (iii) contributions in the form of the purchase price paid for an item
    16  with significant intrinsic and enduring value;
    17    (iv) transfers from a party or constituted committee;
    18    (v) anonymous contributions or contributions whose source is not item-
    19  ized as required by section 14-201 of this title;
    20    (vi) contributions gathered during a previous election cycle;
    21    (vii) illegal contributions;
    22    (viii) contributions from minors;
    23    (ix) contributions from vendors for campaigns; and
    24    (x) contributions from lobbyists registered  pursuant  to  subdivision
    25  (a) of section one-c of the legislative law.
    26    13. The term "nonparticipating candidate" shall mean a candidate for a
    27  covered  election  who fails to file a written certification in the form
    28  of an affidavit under section 14-204 of this  title  by  the  applicable
    29  deadline.
    30    14.  The  term  "participating candidate" shall mean any candidate for
    31  nomination for election, or election, to the office of  governor,  lieu-
    32  tenant  governor,  attorney  general,  state comptroller, state senator,
    33  member of the assembly, delegate-at-large to a convention to revise  and
    34  amend  the  state  constitution, or district delegate to a convention to
    35  revise and amend the state constitution, who  files  a  written  certif-
    36  ication  in  the form of an affidavit pursuant to section 14-204 of this
    37  title.
    38    15. The term "post-election period" shall mean the five years  follow-
    39  ing an election when a candidate is subject to an audit.
    40    16.  The  term "qualified campaign expenditure" shall mean an expendi-
    41  ture for which public matching funds may be used.
    42    17. The term "threshold for eligibility"  shall  mean  the  amount  of
    43  matchable  contributions  that  a  candidate's authorized committee must
    44  receive in total in order for such candidate to  qualify  for  voluntary
    45  public financing under this title.
    46    18.  The  term  "transfer"  shall mean any exchange of funds between a
    47  party or constituted committee and a candidate or  any  of  his  or  her
    48  authorized committees.
    49    §  14-201.  Reporting requirements.   1. Political committee registra-
    50  tion. Political committees as defined pursuant  to  subdivision  one  of
    51  section  14-100  of  this  article  shall register with the board before
    52  making any contribution or expenditure.  The board shall publish a cumu-
    53  lative list of political committees that have registered,  including  on
    54  its webpage, and regularly update it.
    55    2.  Only  one  authorized  committee per candidate per elective office
    56  sought.  Before receiving any contribution or making any expenditure for

        S. 6411                            12                            A. 9011
 
     1  a covered election, each candidate shall notify  the  board  as  to  the
     2  existence  of  his or her authorized committee that has been approved by
     3  such candidate. Each candidate shall have one and  only  one  authorized
     4  committee  per  elective  office sought. Each authorized committee shall
     5  have a treasurer and is subject to the  restrictions  found  in  section
     6  14-112 of this article.
     7    3.  (a)  Detailed  reporting. In addition to each authorized and poli-
     8  tical committee reporting to  the  board  every  contribution  and  loan
     9  received and every expenditure made in the time and manner prescribed by
    10  sections  14-102, 14-104 and 14-108 of this article, each authorized and
    11  political committee  shall  also  submit  disclosure  reports  on  March
    12  fifteenth and May fifteenth of each election year reporting to the board
    13  every  contribution  and  loan received and every expenditure made.  For
    14  contributors who make contributions of five  hundred  dollars  or  more,
    15  each  authorized  and  political committee shall report to the board the
    16  occupation, and business address of each contributor, lender, and inter-
    17  mediary. The board shall revise, prepare and post forms on  its  webpage
    18  that facilitate compliance with the requirements of this section.
    19    (b)  Board review. The board shall review each disclosure report filed
    20  and shall inform authorized and political committees of  relevant  ques-
    21  tions  it has concerning: (i) compliance with requirements of this title
    22  and of the rules issued by the board; and (ii) qualification for receiv-
    23  ing public matching funds pursuant to this title. In the course of  this
    24  review, it shall give authorized and political committees an opportunity
    25  to  respond  to  and correct potential violations and give candidates an
    26  opportunity to address  questions  it  has  concerning  their  matchable
    27  contribution claims or other issues concerning eligibility for receiving
    28  public  matching funds pursuant to this title. Nothing in this paragraph
    29  shall preclude the chief enforcement counsel from subsequently reviewing
    30  such disclosure reports and taking any action otherwise authorized under
    31  this title.
    32    (c) Itemization. Contributions that are not itemized in reports  filed
    33  with the board shall not be matchable.
    34    (d)  Option to file more frequently. Participating candidates may file
    35  reports of contributions as frequently as once a week on Monday so  that
    36  their matching funds may be paid at the earliest allowable date.
    37    §  14-202. Contributions.   Recipients of funds pursuant to this title
    38  shall be subject to the applicable  contribution  limits  set  forth  in
    39  section 14-114 of this article.
    40    §  14-203.  Proof  of  compliance. Authorized and political committees
    41  shall maintain such records of receipts and expenditures for  a  covered
    42  election  as  required by the board. Authorized and political committees
    43  shall obtain and furnish to the board any  information  it  may  request
    44  relating  to  financial  transactions  or contributions and furnish such
    45  documentation and other proof of compliance with this title  as  may  be
    46  requested. In compliance with section 14-108 of this article, authorized
    47  and  political  committees  shall  maintain copies of such records for a
    48  period of five years.
    49    § 14-204. Eligibility.  1. Terms and conditions. To  be  eligible  for
    50  voluntary public financing under this title, a candidate must:
    51    (a) be a candidate in a covered election;
    52    (b)  meet  all  the requirements of law to have his or her name on the
    53  ballot;
    54    (c) in the case of a covered general or special election,  be  opposed
    55  by another candidate on the ballot who is not a write-in candidate;

        S. 6411                            13                            A. 9011
 
     1    (d)  submit  a certification in the form of an affidavit, in such form
     2  as may be prescribed by the board, that sets forth his or her acceptance
     3  of and agreement to  comply  with  the  terms  and  conditions  for  the
     4  provision  of such funds in each covered election and such certification
     5  shall  be submitted at least four months before the election pursuant to
     6  a schedule promulgated by the board;
     7    (e) be certified as a participating candidate by the board;
     8    (f) not make, and not have made, expenditures from or use his  or  her
     9  personal  funds  or  property  or the personal funds or property jointly
    10  held with his or her spouse, or  unemancipated  children  in  connection
    11  with his or her nomination election or election to a covered office, but
    12  may  make a contribution to his or her authorized committee in an amount
    13  that does not exceed three times the applicable contribution limit  from
    14  an individual contributor to candidates for the office that he or she is
    15  seeking;
    16    (g) meet the threshold for eligibility set forth in subdivision two of
    17  this section;
    18    (h)  continue  to  abide  by all requirements during the post-election
    19  period;
    20    (i) agree not to expend for campaign purposes any portion of any  pre-
    21  existing  funds  raised for any public office or party position prior to
    22  the first day of the  election  cycle  for  which  the  candidate  seeks
    23  certification. Nothing in this paragraph shall be construed to limit, in
    24  any  way, any candidate or public official from expending any portion of
    25  pre-existing campaign funds for any  lawful  purpose  other  than  those
    26  related to his or her campaign; and
    27    (j)  not have accepted contributions in amounts exceeding the contrib-
    28  ution limits set forth for participating candidates in paragraphs a  and
    29  b  of  subdivision  one  of  section  14-114  of this article during the
    30  election cycle for which the candidate seeks certification;
    31    (i) Provided however, that,  if  a  candidate  accepted  contributions
    32  exceeding  such  limits  before certification, such acceptance shall not
    33  prevent the candidate from being certified by the board if the candidate
    34  immediately pays to the fund or returns to the contributor  the  portion
    35  of any contribution that exceeded the applicable contribution limit.
    36    (ii)  If  the  candidate  is  unable  to return such funds immediately
    37  because they  have  already  been  spent,  acceptance  of  contributions
    38  exceeding  the  limits shall not prevent the candidate from being certi-
    39  fied by the board if the candidate submits an affidavit agreeing to  pay
    40  to the fund all portions of any contributions that exceeded the limit no
    41  later  than  thirty  days  before  the  general election. If a candidate
    42  provides the board with such an affidavit, any  disbursement  of  public
    43  funds  to the candidate made under section 14-206 of this title shall be
    44  reduced by no more than twenty-five percent until the total amount  owed
    45  by the candidate is repaid.
    46    (iii) Nothing in this section shall be interpreted to require a candi-
    47  date  who  retains  funds  raised  during  a  previous election cycle to
    48  forfeit such funds. Funds raised during a previous election cycle may be
    49  retained, but only if the candidate places the funds in escrow.
    50    (iv) Contributions received and expenditures made by the candidate  or
    51  an  authorized committee of the candidate prior to the effective date of
    52  this title shall not constitute a violation of this title.    Unexpended
    53  contributions  shall  be  treated  the  same as campaign surpluses under
    54  subparagraph (iii) of this paragraph.
    55    2. Threshold for eligibility. (a) The threshold  for  eligibility  for
    56  public funding for participating candidates shall be in the case of:

        S. 6411                            14                            A. 9011
 
     1    (i)  Governor,  not  less  than  six hundred fifty thousand dollars in
     2  matchable contributions including at least  six  thousand  five  hundred
     3  matchable  contributions  comprised  of sums between ten and one hundred
     4  seventy-five dollars per contributor, from residents of New York state;
     5    (ii)  Lieutenant governor, attorney general, and comptroller, not less
     6  than two hundred thousand dollars in matchable  contributions  including
     7  at  least two thousand matchable contributions comprised of sums between
     8  ten and one hundred seventy-five dollars per contributor, from residents
     9  of New York state;
    10    (iii) State senator, not less than twenty thousand dollars in  matcha-
    11  ble contributions including at least two hundred matchable contributions
    12  comprised  of  sums between ten and one hundred seventy-five dollars per
    13  contributor, from residents of the district in which the seat is  to  be
    14  filled; and
    15    (iv)  Member  of  the  assembly,  delegate-at-large to a convention to
    16  revise and amend the state  constitution,  or  district  delegate  to  a
    17  convention to revise and amend the state constitution, not less than ten
    18  thousand  dollars  in  matchable  contributions  including  at least one
    19  hundred matchable contributions comprised of sums between  ten  and  one
    20  hundred  seventy-five  dollars  per  contributor,  from residents of the
    21  district in which the seat is to be filled.
    22    (b) Any participating candidate meeting the threshold for  eligibility
    23  in  a  primary election for one of the foregoing offices shall be deemed
    24  to have met the threshold for eligibility for such office in  any  other
    25  subsequent election held in the same calendar year.
    26    §  14-205. Limits on public financing. The following limitations apply
    27  to the total amounts of public funds that may be provided to  a  partic-
    28  ipating candidate's authorized committee for an election cycle:
    29    1.  In  any primary election, receipt of public funds by participating
    30  candidates and by their participating committees shall not exceed:
    31    (i) for governor, the sum of eight million dollars;
    32    (ii) for lieutenant governor, comptroller or attorney general, the sum
    33  of four million dollars;
    34    (iii) for senator, the sum  of  three  hundred  seventy-five  thousand
    35  dollars;
    36    (iv)  for member of the assembly, delegate-at-large to a convention to
    37  revise and amend the state  constitution,  or  district  delegate  to  a
    38  convention  to  revise  and amend the state constitution, the sum of one
    39  hundred seventy-five thousand dollars.
    40    2. In any general or special election, receipt of public  funds  by  a
    41  participating  candidate's  authorized  committees  shall not exceed the
    42  following amounts:
    43  Candidates for election to the office of:
    44  Governor and lieutenant governor (combined)                  $10,000,000
    45  Attorney general                                             $4,000,000
    46  Comptroller                                                  $4,000,000
    47  Member of senate                                             $375,000
    48  Member of assembly, delegate-at-large to a                   $175,000
    49  convention to revise and amend the state
    50  constitution, or district delegate to a
    51  convention to revise and amend the state
    52  constitution
    53    3. No participating candidate for nomination for an office who is  not
    54  opposed  by  a  candidate  on  the ballot in a primary election shall be
    55  entitled to payment of public matching funds, except that,  where  there
    56  is a contest in such primary election for the nomination of at least one

        S. 6411                            15                            A. 9011
 
     1  of  the two political parties with the highest and second highest number
     2  of enrolled members for such office, a participating  candidate  who  is
     3  unopposed  in  the  primary election may receive public funds before the
     4  primary  election,  for  expenses incurred on or before the date of such
     5  primary election, in an amount equal to up to half the sum set forth  in
     6  paragraph one of this section.
     7    § 14-206. Payment of public matching funds. 1. Determination of eligi-
     8  bility.  No public matching funds shall be paid to an authorized commit-
     9  tee unless the board determines that the participating candidate has met
    10  the eligibility requirements of this title. Payment shall not exceed the
    11  amounts specified in subdivision two of this section, and shall be  made
    12  only  in  accordance with the provisions of this title. Such payment may
    13  be made only to the participating candidate's authorized  committee.  No
    14  public  matching  funds shall be used except as reimbursement or payment
    15  for qualified campaign expenditures actually and lawfully incurred or to
    16  repay loans used to pay qualified campaign expenditures.
    17    2. Calculation of payment. If the threshold for  eligibility  is  met,
    18  the participating candidate's authorized committee shall receive payment
    19  for  qualified  campaign  expenditures of six dollars of public matching
    20  funds for each one dollar of matchable contributions, for the first  one
    21  hundred  seventy-five dollars of eligible private funds per contributor,
    22  obtained and reported to the board in accordance with the provisions  of
    23  this title. The maximum payment of public matching funds shall be limit-
    24  ed  to  the  amounts  set  forth in section 14-205 of this title for the
    25  covered election.
    26    3. Timing of payment. The board  shall  make  any  payment  of  public
    27  matching  funds  to  participating candidates as soon as is practicable.
    28  But in all cases, it shall verify eligibility for public matching  funds
    29  within  four  days,  excluding  weekends  and  holidays,  of receiving a
    30  campaign contribution report filed in compliance with section 14-104  of
    31  this  article.  Within  two  days  of determining that a candidate for a
    32  covered office is eligible for public matching funds, it shall authorize
    33  payment of the applicable matching funds owed to the candidate. However,
    34  it shall not make any payments of public money earlier than the earliest
    35  dates for making such payments as provided by this title.    If  any  of
    36  such  payments  would  require  payment on a weekend or federal holiday,
    37  payment shall be made on the next business day.
    38    4. Electronic funds transfer. The board shall,  in  consultation  with
    39  the office of the comptroller, promulgate rules to facilitate electronic
    40  funds  transfers directly from the campaign finance fund into an author-
    41  ized committee's bank account.
    42    5.  Irregularly  scheduled  elections.   Notwithstanding   any   other
    43  provision of this title, the board shall promulgate rules to provide for
    44  the  prompt  issuance of public matching funds to eligible participating
    45  candidates for qualified campaign expenditures in the case of any  other
    46  covered election held on a day different from that than originally sche-
    47  duled including special elections. But in all cases, the board shall (a)
    48  within four days, excluding weekends and holidays, of receiving a report
    49  of  contributions  from a candidate for a covered office claiming eligi-
    50  bility for public matching funds verify that candidate's eligibility for
    51  public matching funds; and (b) within two days of determining  that  the
    52  candidate for a covered office is eligible for public matching funds, it
    53  shall  authorize  payment  of  the applicable matching funds owed to the
    54  candidate.
    55    § 14-207. Use of public matching funds;  qualified  campaign  expendi-
    56  tures.    1. Public matching funds provided under the provisions of this

        S. 6411                            16                            A. 9011
 
     1  title may be used only by an authorized committee  for  expenditures  to
     2  further   the  participating  candidate's  nomination  for  election  or
     3  election, including paying for debts incurred within one year  prior  to
     4  an  election  to  further  the  participating candidate's nomination for
     5  election or election.
     6    2. Such public matching funds may not be used for:
     7    (a) an expenditure in violation of any law;
     8    (b) an expenditure in excess of the fair  market  value  of  services,
     9  materials, facilities or other things of value received in exchange;
    10    (c) an expenditure made after the candidate has been finally disquali-
    11  fied from the ballot;
    12    (d)  an  expenditure  made  after  the  only remaining opponent of the
    13  candidate has been finally disqualified  from  the  general  or  special
    14  election ballot;
    15    (e) an expenditure made by cash payment;
    16    (f)  a  contribution  or  loan  or  transfer made to or expenditure to
    17  support another candidate or political committee or party, committee  or
    18  constituted committee;
    19    (g)  an  expenditure  to  support  or oppose a candidate for an office
    20  other than that which the participating candidate seeks;
    21    (h) gifts, except brochures, buttons, signs and other printed campaign
    22  material;
    23    (i) legal fees to defend against a criminal charge;
    24    (j) payments to immediate family members of the  participating  candi-
    25  date; or
    26    (k)  any expenditure made to challenge the validity of any petition of
    27  designation or nomination or any certificate of nomination,  acceptance,
    28  authorization, declination or substitution.
    29    §  14-208.  Powers and duties of the board.  1. Advisory opinions. The
    30  board shall render advisory opinions with respect to  questions  arising
    31  under  this title upon the written request of a candidate, an officer of
    32  a political committee or member of the public, or upon  its  own  initi-
    33  ative.    The board shall promulgate rules regarding reasonable times to
    34  respond to such requests. The board shall make public the  questions  of
    35  interpretation  for  which  advisory  opinions will be considered by the
    36  board and its advisory opinions, including by publication on its webpage
    37  with identifying information redacted as  the  board  determines  to  be
    38  appropriate.
    39    2. Public information and candidate education. The board shall develop
    40  a  program for informing candidates and the public as to the purpose and
    41  effect of the provisions of this title, including by means of a webpage.
    42  The board shall prepare in plain language and make available educational
    43  materials, including compliance manuals and summaries  and  explanations
    44  of the purposes and provisions of this title. The board shall prepare or
    45  have  prepared  and  make  available materials, including, to the extent
    46  feasible, computer software, to facilitate the task of  compliance  with
    47  the disclosure and record-keeping requirements of this title.
    48    3.  Rules  and  regulations.  The  board  shall  have the authority to
    49  promulgate such rules and regulations and provide such forms as it deems
    50  necessary for the administration of this title.
    51    4. Database.  The  board  shall  develop  an  interactive,  searchable
    52  computer  database  that shall contain all information necessary for the
    53  proper administration of this title including  information  on  contrib-
    54  utions to and expenditures by candidates and their authorized committee,
    55  independent  expenditures  in  support  or  opposition of candidates for

        S. 6411                            17                            A. 9011
 
     1  covered offices, and distributions of moneys from the fund.  Such  data-
     2  base shall be accessible to the public on the board's webpage.
     3    5.  The board shall work with the chief enforcement counsel to enforce
     4  this section.
     5    § 14-209. Audits and repayments.  1. Audits. The board shall audit and
     6  examine all matters relating to the proper administration of this  title
     7  and shall complete such audit no later than two years after the election
     8  in question.  Every candidate who receives public funds under this title
     9  shall  be  audited by the board. The cost of complying with a post-elec-
    10  tion audit shall be borne by the candidate's authorized committee  using
    11  public  funds,  private  funds or any combination of such funds.  Candi-
    12  dates who run in any primary or general election must maintain a reserve
    13  of three percent of the public funds received to comply with the post-e-
    14  lection audit.  The board shall issue to each campaign audited  a  final
    15  audit report that details its findings.
    16    2.  Repayments.  (a)  If  the board determines that any portion of the
    17  payment made to a candidate's authorized committee from the fund was  in
    18  excess  of  the  aggregate  amount  of  payments that such candidate was
    19  eligible to receive pursuant to this title, it shall notify such commit-
    20  tee and such committee shall pay to the board an  amount  equal  to  the
    21  amount  of  excess  payments.  Provided,  however, that if the erroneous
    22  payment was the result of an error by  the  board,  then  the  erroneous
    23  payment  will  be  deducted  from  any future payment, if any, and if no
    24  payment is to be made then neither the candidate nor the committee shall
    25  be liable to repay the excess amount to the board.  The  candidate,  the
    26  treasurer  and  the  candidate's  authorized  committee  are jointly and
    27  severably liable for any repayments to the board.
    28    (b) If the board determines that any portion of the payment made to  a
    29  candidate's  authorized  committee  from  the fund was used for purposes
    30  other than qualified campaign expenditures and  such  expenditures  were
    31  not  approved by the board, it shall notify such committee of the amount
    32  so disqualified and such committee shall pay  to  the  board  an  amount
    33  equal  to such disqualified amount. The candidate, the treasurer and the
    34  candidate's authorized committee are jointly and  severably  liable  for
    35  any repayments to the board.
    36    (c) If the total of payments from the fund received by a participating
    37  candidate  and his or her authorized committee exceed the total campaign
    38  expenditures of such candidate and authorized committee for all  covered
    39  elections  held  in  the same calendar year or for a special election to
    40  fill a vacancy, such candidate and committee shall use such excess funds
    41  to reimburse the fund for payments received by such authorized committee
    42  from the fund during such calendar year or for  such  special  election.
    43  Participating  candidates shall pay to the board unspent public campaign
    44  funds from an election  not  later  than  twenty-seven  days  after  all
    45  liabilities  for the election have been paid and in any event, not later
    46  than the day on which the board issues its final audit  report  for  the
    47  participating  candidate's authorized committee; provided, however, that
    48  all unspent public campaign funds for a participating candidate shall be
    49  immediately due and payable to the board upon  a  determination  by  the
    50  board  that  the  participant  has  delayed  the  post-election audit. A
    51  participating candidate may make post-election expenditures with  public
    52  funds only for routine activities involving nominal cost associated with
    53  winding  up a campaign and responding to the post-election audit.  Noth-
    54  ing in this title shall be construed to prevent a candidate  or  his  or
    55  her authorized committee from using campaign contributions received from
    56  private contributors for otherwise lawful expenditures.

        S. 6411                            18                            A. 9011
 
     1    3.  Rules and regulations.  The board shall promulgate regulations for
     2  the certification of the amount of funds  payable  by  the  comptroller,
     3  from  the fund established pursuant to section ninety-two-t of the state
     4  finance law, to a participating candidate that has qualified to  receive
     5  such  payment.  These  regulations  shall  include  the promulgation and
     6  distribution of forms on which contributions and expenditures are to  be
     7  reported,  the  periods  during which such reports must be filed and the
     8  verification required. The board shall institute procedures  which  will
     9  make  possible  payment  by  the  fund  within  four business days after
    10  receipt of the required forms and verifications.
    11    §  14-210.  Enforcement  and  penalties  for  violations   and   other
    12  proceedings.    1.  Civil penalties. Violations of any provision of this
    13  title or rule promulgated pursuant to this title shall be subject  to  a
    14  civil penalty in an amount not in excess of fifteen thousand dollars.
    15    2. Notice of violation and opportunity to contest. The board shall:
    16    (a)  determine  whether  a violation of any provision of this title or
    17  rule promulgated hereunder has been committed;
    18    (b) give written notice and the opportunity to contest before an inde-
    19  pendent hearing officer to each  person  or  entity  it  has  reason  to
    20  believe has committed a violation; and
    21    (c)  if  appropriate,  assess penalties for violations, following such
    22  notice and opportunity to contest.
    23    3. Criminal conduct. Any person who knowingly and willfully  furnishes
    24  or  submits  false  statements or information to the board in connection
    25  with its administration of this title, shall be guilty of a  misdemeanor
    26  in addition to any other penalty as may be imposed under this chapter or
    27  pursuant  to  any other law. The chief enforcement counsel shall seek to
    28  recover any public matching funds obtained as a result of such  criminal
    29  conduct.
    30    4. Proceedings as to public financing. (a) The determination of eligi-
    31  bility  pursuant  to  this  title  and any question or issue relating to
    32  payments for  campaign  expenditures  pursuant  to  this  title  may  be
    33  contested  in a proceeding instituted in the Supreme court, Albany coun-
    34  ty, by any aggrieved candidate.
    35    (b) A proceeding with respect to such a determination  of  eligibility
    36  or  payment for qualified campaign expenditures pursuant to this chapter
    37  shall be instituted within fourteen days after  such  determination  was
    38  made. The board shall be made a party to any such proceeding.
    39    (c)  Upon the board's failure to receive the amount due from a partic-
    40  ipating candidate or such candidate's  authorized  committee  after  the
    41  issuance  of  written  notice  of  such  amount due, as required by this
    42  title, the chief  enforcement  counsel  is  authorized  to  institute  a
    43  special  proceeding  or civil action in Supreme Court, Albany county, to
    44  obtain a judgment for any amounts determined to be payable to the  board
    45  as  a  result of an examination and audit made pursuant to this title or
    46  to obtain such amounts directly from the candidate or authorized commit-
    47  tee after a hearing at the board.
    48    (d) The chief enforcement counsel is authorized to institute a special
    49  proceeding or civil action in Supreme Court, Albany county, to obtain  a
    50  judgment  for  civil  penalties  determined  to  be payable to the board
    51  pursuant to this title or to impose such penalty directly after a  hear-
    52  ing at the board.
    53    §  14-211.  Reports. The board shall review and evaluate the effect of
    54  this title upon the conduct of election campaigns  and  shall  submit  a
    55  report to the legislature on or before January first, two thousand twen-
    56  ty,  and  every  third  year  thereafter, and at any other time upon the

        S. 6411                            19                            A. 9011
 
     1  request of the governor and at such  other  times  as  the  board  deems
     2  appropriate. These reports shall include:
     3    1.  a  list  of  the  participating and nonparticipating candidates in
     4  covered elections and the votes received  by  each  candidate  in  those
     5  elections;
     6    2.  the  amount  of contributions and loans received, and expenditures
     7  made, on behalf of these candidates;
     8    3. the amount of public matching funds  each  participating  candidate
     9  received, spent, and repaid pursuant to this title;
    10    4.  analysis  of  the  effect  of  this  title on political campaigns,
    11  including its effect on the sources and amounts  of  private  financing,
    12  the  level  of campaign expenditures, voter participation, the number of
    13  candidates, the candidates' ability to campaign effectively  for  public
    14  office,  and  the diversity of candidates seeking and elected to office;
    15  and
    16    5. recommendations for amendments to this title, including changes  in
    17  contribution  limits, thresholds for eligibility, and any other features
    18  of the system.
    19    § 14-212. Debates for candidates for  statewide  office.    The  board
    20  shall  promulgate  regulations to facilitate debates among participating
    21  candidates who seek election to statewide office.  Participating  candi-
    22  dates are required to participate in one debate before each election for
    23  which  the  candidate  receives  public  funds, unless the participating
    24  candidate is running unopposed. Nonparticipating candidates may  partic-
    25  ipate in such debates.
    26    §  14-213. Severability.   If any clause, sentence, subdivision, para-
    27  graph, section or part of this title be adjudged by any court of  compe-
    28  tent  jurisdiction to be invalid, such judgment shall not affect, impair
    29  or invalidate the remainder thereof, but shall be confined in its opera-
    30  tion to the clause, sentence, subdivision, paragraph,  section  or  part
    31  thereof  directly  involved  in  the  controversy in which such judgment
    32  shall have been rendered.
    33    § 9. The state finance law is amended by adding a new section 92-t  to
    34  read as follows:
    35    §  92-t.  New  York  state  campaign  finance fund. 1. There is hereby
    36  established in the joint  custody  of  the  state  comptroller  and  the
    37  commissioner  of taxation and finance a fund to be known as the New York
    38  state campaign finance fund.
    39    2. Such fund shall consist of all revenues received from the New  York
    40  state  campaign  finance  fund  check-off  pursuant to subsection (h) of
    41  section six hundred fifty-eight of the tax law, from the abandoned prop-
    42  erty fund pursuant to section ninety-five  of  this  article,  from  the
    43  general  fund, and from all other moneys credited or transferred thereto
    44  from any other fund or source pursuant to law.   Such  fund  shall  also
    45  receive  contributions from private individuals, organizations, or other
    46  persons to fulfill the purposes of the public financing system.
    47    3. Moneys of the fund, following appropriation by the legislature, may
    48  be expended for the purposes of making payments to  candidates  pursuant
    49  to  title II of article fourteen of the election law and for administra-
    50  tive expenses related to the implementation of article fourteen  of  the
    51  election  law.  Moneys  shall be paid out of the fund by the state comp-
    52  troller on  vouchers  certified  or  approved  by  the  state  board  of
    53  elections,   or  its  duly  designated  representative,  in  the  manner
    54  prescribed by law, not more than five working days after such voucher is
    55  received by the state comptroller.

        S. 6411                            20                            A. 9011
 
     1    4. Notwithstanding any provision of law to the contrary,  if,  in  any
     2  state  fiscal  year, the state campaign finance fund lacks the amount of
     3  money to pay all claims vouchered by eligible candidates  and  certified
     4  or  approved  by the state board of elections, any such deficiency shall
     5  be  paid  by  the state comptroller, from funds deposited in the general
     6  fund of the state not more than four working days after such voucher  is
     7  received by the state comptroller.
     8    5.  Commencing in two thousand nineteen, if the surplus in the fund on
     9  April first of the year after a year in  which  a  governor  is  elected
    10  exceeds  twenty-five percent of the disbursements from the fund over the
    11  previous four years, the excess shall revert to the general fund of  the
    12  state.
    13    6.  No public funds shall be paid to any participating candidates in a
    14  primary  election  any  earlier  than  thirty  days  after   designating
    15  petitions  or  certificates  of nomination have been filed and not later
    16  than thirty days after such primary election.
    17    7. No public funds shall be paid to any participating candidates in  a
    18  general  election  any earlier than the day after the day of the primary
    19  election held to nominate candidates for such election.
    20    8. No public funds shall be paid to any participating candidates in  a
    21  special  election  any  earlier  than the day after the last day to file
    22  certificates of party nomination for such special election.
    23    9. No public funds shall be paid to any  participating  candidate  who
    24  has  been disqualified or whose designating petitions have been declared
    25  invalid by the appropriate board of elections or a  court  of  competent
    26  jurisdiction until and unless such finding is reversed by a higher court
    27  in a final judgment.  No payment from the fund in the possession of such
    28  a  candidate  or such candidate's participating committee on the date of
    29  such disqualification or invalidation may thereafter be expended for any
    30  purpose except the payment of liabilities  incurred  before  such  date.
    31  All such moneys shall be repaid to the fund.
    32    §  10.  Section 95 of the state finance law is amended by adding a new
    33  subdivision 5 to read as follows:
    34    5. (a) As often as necessary, the co-chairs  of  the  state  board  of
    35  elections shall certify the amount such co-chairs have determined neces-
    36  sary  to  fund  estimated  payments from the fund established by section
    37  ninety-two-t of  this  article  for  the  primary,  general  or  special
    38  election.
    39    (b)  Notwithstanding  any  provision  of  this section authorizing the
    40  transfer of any moneys in the abandoned property  fund  to  the  general
    41  fund, the comptroller, after receiving amounts  sufficient to pay claims
    42  against  the  abandoned property fund, shall, based upon a certification
    43  of the state board of elections pursuant to paragraph (a) of this subdi-
    44  vision, and at the direction of the director of the budget, transfer the
    45  requested amount from remaining available monies in the abandoned  prop-
    46  erty  fund  to  the campaign finance fund established by section ninety-
    47  two-t of this article.
    48    § 11. Section 658 of the tax law is amended by adding a new subsection
    49  (h) to read as follows:
    50    (h) New York state campaign finance fund check-off. (1) For each taxa-
    51  ble year beginning on and after January  first,  two  thousand  sixteen,
    52  every  resident  taxpayer  whose New York state income tax liability for
    53  the taxable year for which the return is filed is forty dollars or  more
    54  may  designate  on  such  return that forty dollars be paid into the New
    55  York state campaign finance fund established by section ninety-two-t  of
    56  the  state finance law. Where a husband and wife file a joint return and

        S. 6411                            21                            A. 9011
 
     1  have a New York state income tax liability  for  the  taxable  year  for
     2  which  the  return  is filed is eighty dollars or more, or file separate
     3  returns on a single form, each such taxpayer may  make  separate  desig-
     4  nations  on  such  return  of forty dollars to be paid into the New York
     5  state campaign finance fund.
     6    (2) The commissioner shall transfer to the  New  York  state  campaign
     7  finance  fund, established pursuant to section ninety-two-t of the state
     8  finance law, an amount equal to forty dollars multiplied by  the  number
     9  of designations.
    10    (3)  For  purposes  of this subsection, the income tax liability of an
    11  individual for any taxable year is the amount of tax imposed under  this
    12  article  reduced  by  the  sum  of  the  credits (as shown in his or her
    13  return) allowable under this article.
    14    (4) The department shall include a place on every personal income  tax
    15  return  form to be filed by an individual for a tax year beginning on or
    16  after January first, two thousand sixteen, for such taxpayer to make the
    17  designations described in paragraph one of this subsection. Such  return
    18  form shall contain a concise explanation of the purpose of such optional
    19  designations.
    20    §  12.  Severability. If any clause, sentence, subdivision, paragraph,
    21  section or part of title II of article 14 of the election law, as  added
    22  by  section  three  of  this  act  be adjudged by any court of competent
    23  jurisdiction to be invalid, such judgment shall not  affect,  impair  or
    24  invalidate the remainder thereof, but shall be confined in its operation
    25  to the clause, sentence, subdivision, paragraph, section or part thereof
    26  directly  involved  in the controversy in which such judgment shall have
    27  been rendered.
    28    § 13. This act shall take effect immediately; provided,  however,  all
    29  affected  candidates will be eligible to participate in voluntary public
    30  financing beginning with the 2018 primary election.
 
    31                                   PART D
 
    32    Section 1. Subdivisions 2 and 3 of section 86 of the  public  officers
    33  law,  as added by chapter 933 of the laws of 1977, are amended and a new
    34  subdivision 6 is added to read as follows:
    35    2. "State legislature" means the [legislature  of  the  state  of  New
    36  York,  including]  New  York  state senate, New York state assembly, any
    37  committee, subcommittee, joint committee, select committee,  or  commis-
    38  sion  thereof,  and any members, officers, representatives and employees
    39  thereof.
    40    3. "Agency" means any state or municipal  department,  board,  bureau,
    41  division,  commission,  committee, public authority, public corporation,
    42  council, office or other governmental entity performing  a  governmental
    43  or  proprietary function for the state or any one or more municipalities
    44  thereof, except the judiciary [or the state legislature].
    45    6. "Respective house of the state  legislature"  means  the  New  York
    46  state  senate, New York state assembly, and any corresponding committee,
    47  subcommittee, joint committee, select committee, or commission  thereof,
    48  and any members, officers, representatives and employees thereof.
    49    § 2. Section 87 of the public officers law, as added by chapter 933 of
    50  the  laws  of 1977, paragraph (a) and the opening paragraph of paragraph
    51  (b) of subdivision 1 as amended by chapter  80  of  the  laws  of  1983,
    52  subparagraph  iii of paragraph (b) of subdivision 1 as amended and para-
    53  graph (c) of subdivision 1 and subdivision 5 as added by chapter 223  of
    54  the  laws  of 2008, paragraph (d) of subdivision 2 as amended by chapter

        S. 6411                            22                            A. 9011
 
     1  289 of the laws of 1990, paragraph (f) of subdivision 2  as  amended  by
     2  chapter  403  of  the  laws  of  2003, paragraph (g) of subdivision 2 as
     3  amended by chapter 510 of the laws of 1999, paragraph (i) of subdivision
     4  2 as amended by chapter 154 of the laws of 2010, paragraph (j) of subdi-
     5  vision  2  as added by chapter 746 of the laws of 1988, paragraph (k) of
     6  subdivision 2 as separately added by chapters 19, 20, 21, 22, 23 and 383
     7  of the laws of 2009, paragraph (l) of subdivision 2 as added by  section
     8  12 of part II of chapter 59 of the laws of 2010, paragraph (m) of subdi-
     9  vision  2  as added by chapter 189 of the laws of 2013, paragraph (n) of
    10  subdivision 2 as added by chapter 43 of the laws of 2014, paragraph  (n)
    11  of subdivision 2 as separately added by chapters 99, 101, and 123 of the
    12  laws  of 2014, paragraph (o) of subdivision 2 as added by chapter 222 of
    13  the laws of 2015, paragraph (c) of subdivision 3 as amended  by  chapter
    14  499  of  the  laws of 2008, subdivision 4 as added by chapter 890 of the
    15  laws of 1981, and paragraph (c) of subdivision 4 as added by chapter 102
    16  of the laws of 2007, is amended to read as follows:
    17    § 87. Access to agency or state legislature  records.  1.  (a)  Within
    18  sixty  days after the effective date of this article, the governing body
    19  of each public corporation shall  promulgate  uniform  rules  and  regu-
    20  lations  for  all  agencies  in such public corporation pursuant to such
    21  general rules and regulations as may be promulgated by the committee  on
    22  open  government  in  conformity  with  the  provisions of this article,
    23  pertaining to the administration of this article.
    24    (b) Each agency and each house of the state legislature shall  promul-
    25  gate rules and regulations, in conformity with this article and applica-
    26  ble  rules  and  regulations  promulgated  pursuant to the provisions of
    27  paragraph (a) of this subdivision, and pursuant to  such  general  rules
    28  and  regulations  as may be promulgated by the committee on open govern-
    29  ment in conformity with the provisions of this  article,  pertaining  to
    30  the  availability  of  records and procedures to be followed, including,
    31  but not limited to:
    32    i. the times and places such records are available;
    33    ii. the persons from whom such records may be obtained[,]; and
    34    iii. the fees for copies of records which shall not exceed twenty-five
    35  cents per photocopy not in excess of nine inches by fourteen inches,  or
    36  the  actual  cost of reproducing any other record in accordance with the
    37  provisions of paragraph (c) of this subdivision, except when a different
    38  fee is otherwise prescribed by statute.
    39    (c) In determining the actual cost of reproducing a record, an  agency
    40  and the state legislature may include only:
    41    i.  an amount equal to the hourly salary attributed to the lowest paid
    42  employee of an agency or [employee] respective house of the state legis-
    43  lature who has the necessary skill required to prepare  a  copy  of  the
    44  requested record;
    45    ii.  the  actual  cost of the storage devices or media provided to the
    46  person making the request in complying with such request;
    47    iii. the actual cost to the agency or to the respective house  of  the
    48  state legislature of engaging an outside professional service to prepare
    49  a copy of a record, but only when an agency's or respective house of the
    50  state  legislature's  information  technology equipment is inadequate to
    51  prepare a copy, if such service is used to prepare the copy; and
    52    iv. preparing a copy shall not include search time  or  administrative
    53  costs,  and  no fee shall be charged unless at least two hours of agency
    54  or respective house of the state legislature employee time is needed  to
    55  prepare  a  copy  of  the record requested. A person requesting a record
    56  shall be informed of the estimated cost  of  preparing  a  copy  of  the

        S. 6411                            23                            A. 9011

     1  record  if  more  than two hours of an agency or respective house of the
     2  state legislature employee's time is needed, or if  an  outside  profes-
     3  sional service would be retained to prepare a copy of the record.
     4    2.  Each  agency  and  the  respective  house of the state legislature
     5  shall, in accordance with its published rules, make available for public
     6  inspection and copying all records, except  that  such  agency  and  the
     7  respective  house of the state legislature may deny access to records or
     8  portions thereof that:
     9    (a) are specifically exempted from  disclosure  by  state  or  federal
    10  statute;
    11    (b)  if disclosed would constitute an unwarranted invasion of personal
    12  privacy under the provisions of subdivision two of  section  eighty-nine
    13  of this article;
    14    (c)  if  disclosed would impair present or imminent contract awards or
    15  collective bargaining negotiations provided, however, that the  proposed
    16  terms  of  an agreement between a public employer and an employee organ-
    17  ization, as those terms are defined in article  fourteen  of  the  civil
    18  service law, that require ratification by members of the employee organ-
    19  ization or by the public employer, where applicable, or approval of such
    20  provisions  by  the  appropriate legislative body as required by section
    21  two hundred four-a of the civil service law, shall be made available  to
    22  the public no later than when such proposed terms are sent to members of
    23  the   employee  organization  for  ratification,  when  such  terms  are
    24  presented to the employer for ratification, where  applicable,  or  when
    25  the  provisions  of such agreement requiring approval by the appropriate
    26  legislative body pursuant to section two hundred  four-a  of  the  civil
    27  service  law  are  submitted  to  such body, whichever date is earliest.
    28  Additionally, a copy of the proposed terms of such  agreement  shall  be
    29  placed  on  the  website  of  the  applicable  public  employer, if such
    30  websites exist, and within the local public  libraries  and  offices  of
    31  such public employer, or in the case of collective bargaining agreements
    32  negotiated  by  the  state,  on  the  website  of the office of employee
    33  relations on such date;
    34    (d) are trade secrets or are submitted to an agency or to the  respec-
    35  tive  house  of  the  state  legislature  by  a commercial enterprise or
    36  derived from information obtained from a commercial enterprise and which
    37  if disclosed would cause substantial injury to the competitive  position
    38  of the subject enterprise;
    39    (e) are compiled for law enforcement purposes and which, if disclosed,
    40  would:
    41    i.   interfere   with   law  enforcement  investigations  or  judicial
    42  proceedings;
    43    ii. deprive a person of a right to a fair trial or  impartial  adjudi-
    44  cation;
    45    iii.  identify a confidential source or disclose confidential informa-
    46  tion relating to a criminal investigation; or
    47    iv. reveal criminal investigative  techniques  or  procedures,  except
    48  routine techniques and procedures;
    49    (f) if disclosed could endanger critical infrastructure or the life or
    50  safety of any person;
    51    (g) are inter-agency or intra-agency materials which are not:
    52    i. statistical or factual tabulations or data;
    53    ii. instructions to staff that affect the public;
    54    iii. final agency policy or determinations;
    55    iv.  external audits, including but not limited to audits performed by
    56  the comptroller and the federal government; [or]

        S. 6411                            24                            A. 9011
 
     1    (g-1) are materials exchanged within the state legislature  which  are
     2  not:
     3    i. statistical or factual tabulations or data;
     4    ii. instructions to staff that affect the public;
     5    iii.  final  policy  or  determinations of the respective house of the
     6  state legislature;
     7    iv. external audits, including but not limited to audits performed  by
     8  the comptroller and the federal government; or
     9    (h)  are examination questions or answers which are requested prior to
    10  the final administration of such questions.
    11    (i) if disclosed, would jeopardize the  capacity  of  an  agency,  the
    12  state  legislature,  or  an  entity  that has shared information with an
    13  agency or the state legislature to guarantee the security of its  infor-
    14  mation  technology  assets,  such  assets  encompassing  both electronic
    15  information systems and infrastructures; or
    16    (j) are photographs, microphotographs,  videotape  or  other  recorded
    17  images  prepared  under  authority of section eleven hundred eleven-a of
    18  the vehicle and traffic law.
    19    (k) are photographs, microphotographs,  videotape  or  other  recorded
    20  images  prepared  under  authority of section eleven hundred eleven-b of
    21  the vehicle and traffic law.
    22    (l) are photographs, microphotographs,  videotape  or  other  recorded
    23  images  produced  by a bus lane photo device prepared under authority of
    24  section eleven hundred eleven-c of the vehicle and traffic law.
    25    (m) are photographs, microphotographs,  videotape  or  other  recorded
    26  images  prepared  under the authority of section eleven hundred eighty-b
    27  of the vehicle and traffic law.
    28    (n) are photographs, microphotographs,  videotape  or  other  recorded
    29  images  prepared  under the authority of section eleven hundred eighty-c
    30  of the vehicle and traffic law.
    31    (n) are photographs, microphotographs,  videotape  or  other  recorded
    32  images  prepared  under  authority of section eleven hundred eleven-d of
    33  the vehicle and traffic law.
    34    (o) are photographs, microphotographs,  videotape  or  other  recorded
    35  images  prepared  under  authority of section eleven hundred eleven-e of
    36  the vehicle and traffic law.
    37    3. Each agency and the respective house of the state legislature shall
    38  maintain:
    39    (a) a record of the final vote of each member in every agency or state
    40  legislature proceeding in which the member votes;
    41    (b) a record of votes of  each  member  in  every  session  and  every
    42  committee  and subcommittee meeting in which the member of the senate or
    43  assembly votes;
    44    [(b)] (c) a record setting forth  the  name,  public  office  address,
    45  title and salary of every officer or employee of the agency or the state
    46  legislature; and
    47    [(c)]  (d) a reasonably detailed current list by subject matter of all
    48  records in the possession of the agency or state legislature, whether or
    49  not available under this article. Each agency and each respective  house
    50  of  the state legislature shall update its subject matter list annually,
    51  and the date of the most recent update shall be conspicuously  indicated
    52  on  the  list.  [Each]  The  state  legislature and each state agency as
    53  defined in subdivision four of this section  that  maintains  a  website
    54  shall  post  its  current  list on its website and such posting shall be
    55  linked to the website of the committee  on  open  government.  Any  such
    56  agency or part of the state legislature that does not maintain a website

        S. 6411                            25                            A. 9011
 
     1  shall arrange to have its list posted on the website of the committee on
     2  open government.
     3    4.  (a) Each state agency or respective house of the state legislature
     4  which maintains records containing trade secrets, to which access may be
     5  denied pursuant to paragraph (d) of subdivision  two  of  this  section,
     6  shall promulgate regulations in conformity with the provisions of subdi-
     7  vision  five  of  section eighty-nine of this article pertaining to such
     8  records, including, but not limited to the following:
     9    (1) the manner of identifying the records or parts;
    10    (2) the manner of identifying persons within the agency or  respective
    11  house  of  the  state  legislature to whose custody the records or parts
    12  will be charged and for whose inspection and study the records  will  be
    13  made available;
    14    (3)  the manner of safeguarding against any unauthorized access to the
    15  records.
    16    (b) As used in this subdivision the term "agency"  or  "state  agency"
    17  means  only  a  state  department,  board,  bureau, division, council or
    18  office and any public corporation the  majority  of  whose  members  are
    19  appointed by the governor.
    20    (c) As used in this subdivision the term "state legislature" means the
    21  legislature  as defined in subdivision two of section eighty-six of this
    22  article.
    23    (d) Each state agency and respective house of  the  state  legislature
    24  that  maintains a website shall post information related to this article
    25  and article six-A of this chapter on its website. Such information shall
    26  include, at a minimum, contact information for  the  persons  from  whom
    27  records  of  the agency or respective house of the state legislature may
    28  be obtained, the  times  and  places  such  records  are  available  for
    29  inspection  and  copying,  and  information on how to request records in
    30  person, by mail, and, if the agency or respective  house  of  the  state
    31  legislature accepts requests for records electronically, by e-mail. This
    32  posting  shall be linked to the website of the committee on open govern-
    33  ment.
    34    5. (a) An agency and the respective house  of  the  state  legislature
    35  shall provide records on the medium requested by a person, if the agency
    36  or  the  respective  house  of the state legislature can reasonably make
    37  such copy or have such copy made by  engaging  an  outside  professional
    38  service. Records provided in a computer format shall not be encrypted.
    39    (b)  No  agency  nor the state legislature shall enter into or renew a
    40  contract for the creation or maintenance of  records  if  such  contract
    41  impairs  the  right of the public to inspect or copy the agency's or the
    42  state legislature's records.
    43    6. (a) Each agency and house of the state legislature  shall  publish,
    44  on  its internet website, to the extent practicable, records or portions
    45  of records that are available to the public pursuant to  the  provisions
    46  of  this article, or which, in consideration of their nature, content or
    47  subject matter, are determined by the  agency  or  house  of  the  state
    48  legislature  to  be  of  substantial  interest  to  the public. Any such
    49  records may be removed from the internet  website  when  the  agency  or
    50  house  of  the  state  legislature determines that they are no longer of
    51  substantial interest to the public. Any such records may be removed from
    52  the internet website when they have  reached  the  end  of  their  legal
    53  retention period. Guidance on creating records in accessible formats and
    54  ensuring  their  continuing  accessibility  shall  be available from the
    55  office for technology and the state archives.

        S. 6411                            26                            A. 9011
 
     1    (b) The provisions of paragraph (a)  of  this  subdivision  shall  not
     2  apply  to  records  or portions of records the disclosure of which would
     3  constitute an unwarranted invasion of  personal  privacy  in  accordance
     4  with subdivision two of section eighty-nine of this article.
     5    (c)  The  committee  on open government shall promulgate guidelines to
     6  effectuate this subdivision.
     7    (d) Nothing in this subdivision shall be  construed  as  to  limit  or
     8  abridge  the  power  of  an  agency or house of the state legislature to
     9  publish records  on  its  internet  website  that  are  subject  to  the
    10  provisions  of  this  article  prior  to a written request or prior to a
    11  frequent request.
    12    § 3. Section 88 of the public officers law is REPEALED.
    13    § 4. Section 89 of the public officers law, as added by chapter 933 of
    14  the laws of 1977, paragraph (a) of subdivision 1 as amended  by  chapter
    15  33  of  the  laws  of 1984, paragraph (b) of subdivision 1 as amended by
    16  chapter 182 of the laws of 2006, subdivision 2 as amended by section  11
    17  of part U of chapter 61 of the laws of 2011, subdivision 2-a as added by
    18  chapter 652 of the laws of 1983, subdivision 3 as amended by chapter 223
    19  of  the laws of 2008, subdivision 4 as amended by chapter 22 of the laws
    20  of 2005, paragraph (c) of subdivision 4 as amended by chapter 492 of the
    21  laws of 2006, subdivision 5 as added and subdivision 6 as renumbered  by
    22  chapter  890  of  the  laws  of  1981, paragraph (a) of subdivision 5 as
    23  amended by chapter 403 of the laws of 2003, paragraph (d) of subdivision
    24  5 as amended by chapter 339 of the laws of 2004, subdivision 7 as  added
    25  by  chapter  783  of the laws of 1983, subdivision 8 as added by chapter
    26  705 of the laws of 1989, and subdivision 9 as added by  chapter  351  of
    27  the laws of 2008, is amended to read as follows:
    28    § 89. General provisions relating to access to records; certain cases.
    29  The provisions of this section apply to access to all records, except as
    30  hereinafter specified:
    31    1. (a) The committee on open government is continued and shall consist
    32  of  the  lieutenant governor or the delegate of such officer, the secre-
    33  tary of state or the delegate of such officer, whose office shall act as
    34  secretariat for the committee, the commissioner of the office of general
    35  services or the delegate of such officer, the director of the budget  or
    36  the  delegate  of  such  officer,  and seven other persons, none of whom
    37  shall hold any other state or local public office except  the  represen-
    38  tative  of  local  governments  as  set forth herein, to be appointed as
    39  follows: five by the governor, at least two of whom  are  or  have  been
    40  representatives of the news media, one of whom shall be a representative
    41  of  local  government  who,  at the time of appointment, is serving as a
    42  duly elected officer of a local government, one by the temporary  presi-
    43  dent  of the senate, and one by the speaker of the assembly. The persons
    44  appointed by the temporary president of the senate and  the  speaker  of
    45  the  assembly shall be appointed to serve, respectively, until the expi-
    46  ration of the terms of office of the temporary president and the speaker
    47  to which the temporary president and  speaker  were  elected.  The  four
    48  persons presently serving by appointment of the governor for fixed terms
    49  shall  continue to serve until the expiration of their respective terms.
    50  Thereafter, their respective successors shall be appointed for terms  of
    51  four  years. The member representing local government shall be appointed
    52  for a term of four years, so long as such member  shall  remain  a  duly
    53  elected  officer of a local government. The committee shall hold no less
    54  than two meetings annually, but may meet at any time. The members of the
    55  committee  shall  be  entitled  to  reimbursement  for  actual  expenses
    56  incurred in the discharge of their duties.

        S. 6411                            27                            A. 9011
 
     1    (b) The committee shall:
     2    i.  furnish  to  any agency and to each house of the state legislature
     3  advisory guidelines, opinions or other appropriate information regarding
     4  this article;
     5    ii. furnish to any  person  advisory  opinions  or  other  appropriate
     6  information regarding this article;
     7    iii.  promulgate rules and regulations with respect to the implementa-
     8  tion of subdivision one  and  paragraph  (c)  of  subdivision  three  of
     9  section eighty-seven of this article;
    10    iv.  request from any agency and from either house of the state legis-
    11  lature such assistance, services and  information  as  will  enable  the
    12  committee to effectively carry out its powers and duties;
    13    v. develop a form, which shall be made available on the internet, that
    14  may be used by the public to request a record; and
    15    vi.  report  on its activities and findings regarding this article and
    16  article seven of this chapter, including recommendations for changes  in
    17  the  law,  to  the  governor  and the legislature annually, on or before
    18  December fifteenth.
    19    2. (a) The committee on public access to records may promulgate guide-
    20  lines regarding  deletion  of  identifying  details  or  withholding  of
    21  records  otherwise  available  under this article to prevent unwarranted
    22  invasions of personal privacy. In the absence  of  such  guidelines,  an
    23  agency  and the respective house of state legislature may delete identi-
    24  fying details when it makes records available.
    25    (b) An unwarranted invasion of personal privacy  includes,  but  shall
    26  not be limited to:
    27    i.  disclosure  of employment, medical or credit histories or personal
    28  references of applicants for employment;
    29    ii. disclosure of items involving the medical or personal records of a
    30  client or patient in a medical facility;
    31    iii. sale or release of lists of names and  addresses  if  such  lists
    32  would be used for solicitation or fund-raising purposes;
    33    iv.  disclosure  of  information  of a personal nature when disclosure
    34  would result in economic or personal hardship to the subject  party  and
    35  such information is not relevant to the work of the agency or respective
    36  house of the state legislature requesting or maintaining it;
    37    v.  disclosure  of information of a personal nature reported in confi-
    38  dence to an agency or to the state legislature and not relevant  to  the
    39  ordinary work of such agency or the state legislature;
    40    vi.  information  of a personal nature contained in a workers' compen-
    41  sation record, except as provided by section one hundred  ten-a  of  the
    42  workers' compensation law; [or]
    43    vii.  disclosure  of electronic contact information, such as an e-mail
    44  address or a social network username, that has  been  collected  from  a
    45  taxpayer under section one hundred four of the real property tax law[.];
    46  or
    47    viii. disclosure of communications of a personal nature between legis-
    48  lators and their constituents.
    49    (c) Unless otherwise provided by this article, disclosure shall not be
    50  construed  to  constitute  an  unwarranted  invasion of personal privacy
    51  pursuant to paragraphs (a) and (b) of this subdivision:
    52    i. when identifying details are deleted;
    53    ii. when the person to whom a record pertains consents in  writing  to
    54  disclosure;
    55    iii. when upon presenting reasonable proof of identity, a person seeks
    56  access to records pertaining to him or her; or

        S. 6411                            28                            A. 9011
 
     1    iv.  when  a record or group of records relates to the right, title or
     2  interest in real property, or relates to the inventory, status or  char-
     3  acteristics  of  real  property,  in which case disclosure and providing
     4  copies of such record or group of records shall not be deemed an  unwar-
     5  ranted  invasion of personal privacy, provided that nothing herein shall
     6  be construed to authorize the disclosure of electronic contact  informa-
     7  tion,  such  as an e-mail address or a social network username, that has
     8  been collected from a taxpayer under section one  hundred  four  of  the
     9  real property tax law.
    10    2-a. Nothing in this article shall permit disclosure which constitutes
    11  an  unwarranted  invasion  of personal privacy as defined in subdivision
    12  two of this section if such disclosure is prohibited under section nine-
    13  ty-six of this chapter.
    14    3. (a) Each entity subject to the provisions of this  article,  within
    15  five  business  days  of  the  receipt of a written request for a record
    16  reasonably described, shall make such record  available  to  the  person
    17  requesting  it,  deny  such  request  in  writing  or  furnish a written
    18  acknowledgement of the receipt of such request and a  statement  of  the
    19  approximate  date,  which shall be reasonable under the circumstances of
    20  the request, when such request will be  granted  or  denied,  including,
    21  where  appropriate, a statement that access to the record will be deter-
    22  mined in accordance with subdivision five of this section. [An]  Neither
    23  an  agency  nor  the state legislature shall [not] deny a request on the
    24  basis that the request is voluminous or that locating or  reviewing  the
    25  requested  records  or  providing  the  requested  copies  is burdensome
    26  because the agency or respective house of the  state  legislature  lacks
    27  sufficient  staffing  or  on any other basis if the agency or respective
    28  house of the  state  legislature  may  engage  an  outside  professional
    29  service  to  provide  copying, programming or other services required to
    30  provide the copy, the costs of which the agency or respective  house  of
    31  the  state legislature may recover pursuant to paragraph (c) of subdivi-
    32  sion one of section eighty-seven of this article. An agency  or  respec-
    33  tive  house  of  the  state  legislature may require a person requesting
    34  lists of names and addresses to provide  a  written  certification  that
    35  such person will not use such lists of names and addresses for solicita-
    36  tion  or fund-raising purposes and will not sell, give or otherwise make
    37  available such lists of names and addresses to any other person for  the
    38  purpose of allowing that person to use such lists of names and addresses
    39  for  solicitation  or  fund-raising purposes. If an agency or respective
    40  house of the state legislature determines to grant a request in whole or
    41  in part, and if circumstances prevent disclosure to the person  request-
    42  ing  the  record or records within twenty business days from the date of
    43  the acknowledgement of the receipt of the request, the agency or respec-
    44  tive house of the state legislature shall state, in  writing,  both  the
    45  reason  for  the  inability  to grant the request within twenty business
    46  days and a date certain within a reasonable  period,  depending  on  the
    47  circumstances,  when  the  request  will be granted in whole or in part.
    48  Upon payment of, or offer to pay, the fee prescribed therefor, the enti-
    49  ty shall provide a copy of such record and certify to the correctness of
    50  such copy if so requested, or as the case may be, shall certify that  it
    51  does  not  have  possession of such record or that such record cannot be
    52  found after diligent search. Nothing in this article shall be  construed
    53  to  require any entity to prepare any record not possessed or maintained
    54  by such entity except the records  specified  in  subdivision  three  of
    55  section  eighty-seven [and subdivision three of section eighty-eight] of
    56  this article. When an agency or the respective house of the state legis-

        S. 6411                            29                            A. 9011
 
     1  lature has the ability to retrieve or extract a  record  or  data  main-
     2  tained  in a computer storage system with reasonable effort, it shall be
     3  required to do so. When doing so requires less employee time than engag-
     4  ing  in  manual retrieval or redactions from non-electronic records, the
     5  agency and respective house of the state legislature shall  be  required
     6  to  retrieve or extract such record or data electronically. Any program-
     7  ming necessary to retrieve a record maintained  in  a  computer  storage
     8  system  and  to transfer that record to the medium requested by a person
     9  or to allow the transferred record to be read or printed  shall  not  be
    10  deemed to be the preparation or creation of a new record.
    11    (b)  All  entities  shall,  provided  such entity has reasonable means
    12  available, accept requests for records submitted in the  form  of  elec-
    13  tronic mail and shall respond to such requests by electronic mail, using
    14  forms,  to  the  extent  practicable,  consistent with the form or forms
    15  developed by the committee on open government  pursuant  to  subdivision
    16  one of this section and provided that the written requests do not seek a
    17  response in some other form.
    18    4.  (a)  Except  as  provided in subdivision five of this section, any
    19  person denied access to a record may within thirty days appeal in  writ-
    20  ing  such  denial  to the head, chief executive or governing body of the
    21  entity, or the person therefor designated by such head, chief executive,
    22  or governing body, who shall within ten business days of the receipt  of
    23  such appeal fully explain in writing to the person requesting the record
    24  the  reasons for further denial, or provide access to the record sought.
    25  In addition, each agency or the respective house of the  state  legisla-
    26  ture  shall  immediately  forward  to the committee on open government a
    27  copy of such appeal when received by the agency or such  house  and  the
    28  ensuing  determination thereon. Failure by an agency or respective house
    29  of the state legislature to conform to  the  provisions  of  subdivision
    30  three of this section shall constitute a denial.
    31    (b)  Except  as provided in subdivision five of this section, a person
    32  denied  access  to  a  record  in  an  appeal  determination  under  the
    33  provisions  of  paragraph (a) of this subdivision may bring a proceeding
    34  for review of such denial pursuant to article seventy-eight of the civil
    35  practice law and rules. In the event that access to any record is denied
    36  pursuant to the provisions of subdivision two of section eighty-seven of
    37  this article, the agency or respective house of  the  state  legislature
    38  involved  shall have the burden of proving that such record falls within
    39  the provisions of such subdivision two. Failure by an agency or  respec-
    40  tive  house  of  the  state  legislature to conform to the provisions of
    41  paragraph (a) of this subdivision shall constitute a denial.
    42    (c) (i) The court in such a proceeding may assess, against such agency
    43  or the respective house of the state  legislature  involved,  reasonable
    44  [attorney's]  attorneys'  fees  and  other  litigation  costs reasonably
    45  incurred by such person, in  any  case  under  the  provisions  of  this
    46  section in which such person has substantially prevailed[, when:
    47    i. the agency had no reasonable basis for denying access; or
    48    ii.]  and  the  agency failed to respond to a request or appeal within
    49  the statutory time.
    50    (ii) The court in such proceeding shall assess, against such agency or
    51  the respective house  of  the  state  legislature  involved,  reasonable
    52  attorneys'  fees  and other litigation costs reasonably incurred by such
    53  person, in any case under the provisions of this section in  which  such
    54  person  has  substantially prevailed and the court finds that the agency
    55  denied access in clear disregard of the exceptions to rights  of  access

        S. 6411                            30                            A. 9011
 
     1  in  section eighty-seven of this article and had no reasonable basis for
     2  denying access.
     3    (d) Appeal to the appellate division of the supreme court must be made
     4  in  accordance  with  law,  and  must  be filed within thirty days after
     5  service by a party upon the appellant of a copy of the judgment or order
     6  appealed from and written  notice  of  its  entry.  Notwithstanding  any
     7  provision  of  law,  rule or regulation to the contrary, an appeal taken
     8  from an order of the court under this section shall be given preference,
     9  shall be brought on for argument on such terms  and  conditions  as  the
    10  presiding  justice  may  direct  upon  application  of  any party to the
    11  proceeding, and shall be deemed not timely filed when a party  fails  to
    12  serve  and  file  a record and brief within sixty days after the date of
    13  the notice of appeal. The  clerk  or  a  justice  may  grant  reasonable
    14  enlargements of time to perfect or to serve and file a brief upon stipu-
    15  lation of the parties, or, for cause where a party establishes a reason-
    16  able  ground  why  there cannot or could not be compliance with the time
    17  limits prescribed by this subdivision. Failure by a party to  serve  and
    18  file  a  record  and  brief  within  the  allotted  time, subject to any
    19  enlargements of time granted by a clerk or justice, shall result in  the
    20  dismissal of the appeal.
    21    5.  (a)  (1) A person acting pursuant to law or regulation who, subse-
    22  quent to the effective date of this subdivision, submits any information
    23  to any state agency or to the respective house of the state  legislature
    24  may,  at  the  time of submission, request that the agency or such house
    25  provisionally except such information from  disclosure  under  paragraph
    26  (d)  of  subdivision  two of section eighty-seven of this article. Where
    27  the request itself contains information which if disclosed would  defeat
    28  the  purpose  for  which the exception is sought, such information shall
    29  also be provisionally excepted from disclosure.
    30    (1-a) A person or entity who submits or otherwise makes available  any
    31  records  to  any agency or a house of the state legislature, may, at any
    32  time, identify those records or portions thereof that may contain  crit-
    33  ical infrastructure information, and request that the agency or house of
    34  the  state  legislature that maintains such records except such informa-
    35  tion from disclosure under subdivision two of  section  eighty-seven  of
    36  this  article.  Where  the  request itself contains information which if
    37  disclosed would defeat the purpose for which the  exception  is  sought,
    38  such information shall also be provisionally excepted from disclosure.
    39    (2)  The  request  for an exception shall be in writing, shall specif-
    40  ically identify which portions of the record  are  the  subject  of  the
    41  request  for  exception  and shall state the reasons why the information
    42  should be provisionally excepted from disclosure. Any such  request  for
    43  an exception shall be effective for a five-year period from the agency's
    44  or   respective  house  of  the  state  legislature's  receipt  thereof.
    45  Provided, however, that not less than sixty days prior to the expiration
    46  of the then current term of the exception  request,  the  submitter  may
    47  apply  to  the agency or respective house of the state legislature for a
    48  two-year extension of its exception request. Upon timely  receipt  of  a
    49  request  for  an extension of an exception request, an agency or respec-
    50  tive house of the state legislature may either  (A)  perform  a  cursory
    51  review  of  the  application  and grant the extension should it find any
    52  justification for such determination, or (B) commence the procedure  set
    53  forth in paragraph (b) of this subdivision to make a final determination
    54  granting or terminating such exception.
    55    (3)  Information  submitted as provided in subparagraphs one and one-a
    56  of this paragraph shall be provisionally excepted from disclosure and be

        S. 6411                            31                            A. 9011
 
     1  maintained apart by the agency and the respective  house  of  the  state
     2  legislature  from  all other records until the expiration of the submit-
     3  ter's exception request or fifteen days after the  entitlement  to  such
     4  exception has been finally determined or such further time as ordered by
     5  a court of competent jurisdiction.
     6    (b) [On the] During the effective period of an exception request under
     7  this subdivision, on the initiative of the agency or either house of the
     8  state  legislature  at any time, or upon the request of any person for a
     9  record excepted from disclosure pursuant to this subdivision, the agency
    10  or respective house of the state legislature shall:
    11    (1) inform the person who requested the exception of the  agency's  or
    12  such  house's  intention  to  determine whether such exception should be
    13  granted or continued;
    14    (2) permit the person who requested the exception, within ten business
    15  days of receipt of notification from the agency or respective  house  of
    16  the  state  legislature,  to submit a written statement of the necessity
    17  for the granting or continuation of such exception;
    18    (3) within seven business days of receipt of such  written  statement,
    19  or within seven business days of the expiration of the period prescribed
    20  for  submission  of such statement, issue a written determination grant-
    21  ing, continuing or terminating such exception and  stating  the  reasons
    22  therefor;  copies of such determination shall be served upon the person,
    23  if any, requesting the record, the person who requested  the  exception,
    24  and the committee on [public access to records] open government.
    25    (c)  A  denial  of an exception from disclosure under paragraph (b) of
    26  this subdivision may be appealed by the person submitting  the  informa-
    27  tion  and a denial of access to the record may be appealed by the person
    28  requesting the record in accordance with this subdivision:
    29    (1) Within seven business days of receipt of  written  notice  denying
    30  the request, the person may file a written appeal from the determination
    31  of  the agency or the respective house of the state legislature with the
    32  head of the agency or respective house of  the  state  legislature,  the
    33  chief  executive officer or governing body or their designated represen-
    34  tatives.
    35    (2) The appeal shall be determined within ten  business  days  of  the
    36  receipt  of  the  appeal.  Written  notice of the determination shall be
    37  served upon the person, if any, requesting the record,  the  person  who
    38  requested  the exception and the committee on [public access to records]
    39  open government. The notice shall contain a statement of the reasons for
    40  the determination.
    41    (d) A proceeding to review an adverse determination pursuant to  para-
    42  graph  (c)  of  this  subdivision  may  be commenced pursuant to article
    43  seventy-eight of the civil practice law and rules. Such proceeding, when
    44  brought by a person seeking an exception  from  disclosure  pursuant  to
    45  this  subdivision,  must be commenced within fifteen days of the service
    46  of the written notice containing the adverse determination provided  for
    47  in subparagraph two of paragraph (c) of this subdivision. The proceeding
    48  shall  be  given preference and shall be brought on for argument on such
    49  terms and conditions as the presiding justice may direct, not to  exceed
    50  forty-five  days.  Appeal to the appellate division of the supreme court
    51  must be made in accordance with law, and must be  filed  within  fifteen
    52  days  after service by a party upon the appellant of a copy of the judg-
    53  ment or order appealed from and written notice of its entry.  An  appeal
    54  taken  from  an  order  of the court requiring disclosure shall be given
    55  preference and shall be brought on for argument on such terms and condi-
    56  tions as the presiding justice may direct, not  to  exceed  sixty  days.

        S. 6411                            32                            A. 9011
 
     1  This  action  shall  be  deemed  abandoned  when the party requesting an
     2  exclusion from disclosure fails to serve and file  a  record  and  brief
     3  within  thirty  days after the date of the notice of appeal.  Failure by
     4  the  party  requesting  an exclusion from disclosure to serve and file a
     5  record and brief within the allotted time shall result in the  dismissal
     6  of the appeal.
     7    (e)  The  person  requesting  an exception from disclosure pursuant to
     8  this subdivision shall in all proceedings have  the  burden  of  proving
     9  entitlement to the exception.
    10    (f)  Where the agency or the respective house of the state legislature
    11  denies access to a record pursuant to paragraph [(d)  of]  (b)  of  this
    12  subdivision  in conjunction with subdivision two of section eighty-seven
    13  of this article, the agency or respective house of the state legislature
    14  shall have the burden of  proving  that  the  record  falls  within  the
    15  provisions of such exception.
    16    (g)  Nothing in this subdivision shall be construed to deny any person
    17  access, pursuant to the remaining provisions of  this  article,  to  any
    18  record or part excepted from disclosure upon the express written consent
    19  of the person who had requested the exception.
    20    (h)  As  used  in this subdivision the term "agency" or "state agency"
    21  means only a state  department,  board,  bureau,  division,  council  or
    22  office  and  any  public  corporation  the majority of whose members are
    23  appointed by the governor.
    24    (i) As used in this subdivision the term "state legislature" means the
    25  legislature as defined in subdivision two of section eighty-six of  this
    26  article.
    27    6.  Nothing in this article shall be construed to limit or abridge any
    28  otherwise available right of access at law or in equity of any party  to
    29  records.
    30    7.  Nothing  in  this article shall require the disclosure of the home
    31  address of an officer or employee, former officer or employee, or  of  a
    32  retiree  of a public employees' retirement system; nor shall anything in
    33  this article require the disclosure of the name or  home  address  of  a
    34  beneficiary  of a public employees' retirement system or of an applicant
    35  for appointment to public employment; provided however, that nothing  in
    36  this  subdivision shall limit or abridge the right of an employee organ-
    37  ization, certified or recognized for any collective negotiating unit  of
    38  an  employer  pursuant  to article fourteen of the civil service law, to
    39  obtain the name or home address of any officer, employee or  retiree  of
    40  such employer, if such name or home address is otherwise available under
    41  this article.
    42    8.  Any  person who, with intent to prevent the public inspection of a
    43  record pursuant to this article, willfully conceals or destroys any such
    44  record shall be guilty of a violation.
    45    9. When records maintained electronically include items of information
    46  that would be available under this article, as well as items of informa-
    47  tion that may be withheld, an agency or respective house  of  the  state
    48  legislature  in  designing  its  information retrieval methods, whenever
    49  practicable and reasonable, shall do so in a  manner  that  permits  the
    50  segregation and retrieval of available items in order to provide maximum
    51  public access.
    52    § 5. Subdivisions (t) and (u) of section 105 of the civil practice law
    53  and  rules,  subdivision (u) as relettered by chapter 100 of the laws of
    54  1994, are relettered subdivisions (u) and (v) and a new subdivision  (t)
    55  is added to read as follows:

        S. 6411                            33                            A. 9011
 
     1    (t)  "State  legislature"  means  the  New York state senate, New York
     2  state assembly, any committee,  subcommittee,  joint  committee,  select
     3  committee,  or  commission thereof, and any members, officers, represen-
     4  tatives and employees thereof.
     5    §  6.  Subdivision  (a)  of section 7802 of the civil practice law and
     6  rules is amended to read as follows:
     7    (a) Definition of "body or officer". The expression "body or  officer"
     8  includes  every  court,  tribunal,  board,  corporation,  officer, state
     9  legislature, or other person, or aggregation of  persons,  whose  action
    10  may be affected by a proceeding under this article.
    11    §  7. Subdivision 3 of section 713 of the executive law, as amended by
    12  section 16 of part B of chapter 56 of the laws of 2010,  is  amended  to
    13  read as follows:
    14    3.  Any reports prepared pursuant to this article shall not be subject
    15  to disclosure pursuant to [section  eighty-eight]  article  six  of  the
    16  public officers law.
    17    §  8.  Section  70-0113  of  the  environmental  conservation  law  is
    18  REPEALED.
    19    § 9. Subdivision 4 of section 308 of the county law is REPEALED.
    20    § 10. This act shall take effect immediately;  provided  however  that
    21  the  amendments  to  paragraphs (j), (k), (l), (m), (n), (n), and (o) of
    22  subdivision 2 of section 87 of the public officers law made  by  section
    23  two of this act shall not affect the repeal of such paragraphs and shall
    24  be deemed repealed therewith.
 
    25                                   PART E
 
    26    Section 1.  Subdivision 4 of section 74 of the public officers law, as
    27  amended  by  chapter  14  of  the  laws  of  2007, is amended to read as
    28  follows:
    29    4. Violations. In addition to  any  penalty  contained  in  any  other
    30  provision of law any such officer, member or employee who shall knowing-
    31  ly  and  intentionally violate any of the provisions of this section may
    32  be fined, suspended or removed from office or employment in  the  manner
    33  provided  by  law.  Any  such individual who knowingly and intentionally
    34  violates the provisions of [paragraph b, c, d or i of] subdivision three
    35  of this section shall be subject to a civil penalty in an amount not  to
    36  exceed  ten  thousand dollars and the value of any gift, compensation or
    37  benefit received as a result of such violation. [Any such individual who
    38  knowingly and intentionally violates the provisions of paragraph a, e or
    39  g of subdivision three of this section  shall  be  subject  to  a  civil
    40  penalty  in  an amount not to exceed the value of any gift, compensation
    41  or benefit received as a result of such violation.]
    42    § 2. Subparagraph (b) of paragraph 3 of subdivision 3 of section  73-a
    43  of the public officers law, as amended by section 5 of part A of chapter
    44  399 of the laws of 2011, is amended to read as follows:
 
    45                                                                  (b) List
    46  the names of all unemancipated children.
 
    47                                                               ___________
    48                                                               ___________
    49                                                               ___________
    50                                                               ___________
    51                                                               ___________

        S. 6411                            34                            A. 9011

     1  Answer each of the  following  questions  completely,  with  respect  to
     2    calendar  year  _________,  unless another period or date is otherwise
     3    specified. If additional space is needed, attach additional pages.
 
     4    Whenever a "value" or "amount" is required to be reported herein, such
     5  value  or amount shall be reported [as being within one of the following
     6  Categories in Table I or Table II of this subdivision as called  for  in
     7  the  question:  A  reporting  individual  shall indicate the Category by
     8  letter only] to the nearest dollar.
     9    Whenever "income" is required to be reported herein, the term "income"
    10  shall mean the aggregate net income before taxes from the source identi-
    11  fied.
    12    The term "calendar year" shall mean the year ending the December  31st
    13  preceding the date of filing of the annual statement.
    14    §  3. Paragraph 6 of subdivision 3 of section 73-a of the public offi-
    15  cers law, as amended by section 5 of part A of chapter 399 of  the  laws
    16  of 2011, is amended to read as follows:
    17  6.  List  any interest, in EXCESS of $1,000, held by the reporting indi-
    18      vidual, such individual's spouse or unemancipated child, or partner-
    19      ship of which any such person is a member, or  corporation,  10%  or
    20      more  of  the  stock  of  which  is  owned or controlled by any such
    21      person, whether vested  or  contingent,  in  any  contract  made  or
    22      executed  by  a  state  or  local agency and include the name of the
    23      entity which holds such interest and the relationship of the report-
    24      ing individual or such individual's spouse or  such  child  to  such
    25      entity  and  the interest in such contract. Do NOT include bonds and
    26      notes. Do NOT list any interest in any such contract on which  final
    27      payment  has been made and all obligations under the contract except
    28      for guarantees and warranties have been performed, provided,  howev-
    29      er,  that such an interest must be listed if there has been an ongo-
    30      ing dispute during the calendar year for  which  this  statement  is
    31      filed with respect to any such guarantees or warranties. Do NOT list
    32      any  interest in a contract made or executed by a local agency after
    33      public notice and pursuant to a process for competitive bidding or a
    34      process for competitive requests for proposals.
 
    35                   Entity       Relationship   Contracting     [Category
    36       Self,     Which Held      to Entity       State or      of] Total
    37      Spouse or  Interest in    and Interest      Local        Value of
    38       Child      Contract      in Contract       Agency       Contract
    39                                                             [(In Table II)]
 
    40      ____________________________________________________________________
    41      ____________________________________________________________________
    42      ____________________________________________________________________
    43      ____________________________________________________________________
    44      ____________________________________________________________________
 
    45    § 4. Subparagraphs (b-1), (b-2), and (c) of paragraph 8 of subdivision
    46  3 of section 73-a of the public officers law,  subparagraphs  (b-1)  and
    47  (b-2)  as  added  by  section  2 of part CC of chapter 56 of the laws of
    48  2015, and subparagraph (c) as amended by section 1 of part CC of chapter
    49  56 of the laws of 2015, are amended to read as follows:
    50    (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
    51  ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
    52  FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE

        S. 6411                            35                            A. 9011
 
     1  SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
     2  SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
     3  CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
     4    If the reporting individual receives income from employment reportable
     5  in question 8(a) and personally provides services to any person or enti-
     6  ty,  or  works  as  a member or employee of a partnership or corporation
     7  that provides such services (referred to hereinafter as a  "firm"),  the
     8  reporting  individual shall identify each client or customer to whom the
     9  reporting individual personally provided services, or who  was  referred
    10  to  the  firm  by  the reporting individual, and from whom the reporting
    11  individual or his or her firm earned fees in excess  of  $10,000  during
    12  the reporting period in direct connection with:
    13    (i) A contract in an amount totaling $10,000 or more from the state or
    14  any state agency for services, materials, or property;
    15    (ii)  A  grant  of  $10,000 or more from the state or any state agency
    16  during the reporting period;
    17    (iii) A grant obtained through a  legislative  initiative  during  the
    18  reporting period; or
    19    (iv)  A  case,  proceeding,  application or other matter that is not a
    20  ministerial matter before a state agency during the reporting period.
    21    For such services rendered by the  reporting  individual  directly  to
    22  each  such  client,  describe  each  matter that was the subject of such
    23  representation, the services actually provided and the payment received.
    24  For payments received from clients referred to the firm by the reporting
    25  individual, if the reporting individual directly received a referral fee
    26  or fees for such referral,  identify  the  client  and  the  payment  so
    27  received.
    28    For  purposes  of  this  question,  "referred to the firm" shall mean:
    29  having intentionally and knowingly taken a specific  act  or  series  of
    30  acts  to  intentionally  procure  for the reporting individual's firm or
    31  having knowingly solicited or directed  to  the  reporting  individual's
    32  firm  in  whole  or  substantial part, a person or entity that becomes a
    33  client of that firm for the purposes of representation for a  matter  as
    34  defined  in clauses (i) through (iv) of this subparagraph, as the result
    35  of such procurement, solicitation or direction of the reporting individ-
    36  ual. A reporting individual need not disclose activities performed while
    37  lawfully acting in his or her capacity as provided  in  paragraphs  (c),
    38  (d),  (e)  and (f) of subdivision seven of section seventy-three of this
    39  article.
    40    Client   Matter     Nature of Services Provided      [Category
    41                                                       of] Amount
    42                                                      [(in Table I)]
 
    43  ________________________________________________________________________
    44  ________________________________________________________________________
    45  ________________________________________________________________________
    46  ________________________________________________________________________
    47  ________________________________________________________________________

    48    (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
    49  ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
    50  FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
    51  SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
    52  SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
    53  CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):

        S. 6411                            36                            A. 9011
 
     1    (i) With respect to reporting individuals  who  receive  ten  thousand
     2  dollars  or  more  from employment or activity reportable under question
     3  8(a), for each client or customer NOT otherwise disclosed or exempted in
     4  question 8 or 13, disclose the name of each client or customer known  to
     5  the  reporting  individual  to  whom  the  reporting individual provided
     6  services: (A) who paid the reporting individual in excess of five  thou-
     7  sand  dollars  for  such  services;  or (B) who had been billed with the
     8  knowledge of the reporting individual in excess of five thousand dollars
     9  by the firm or other entity named in question  8(a)  for  the  reporting
    10  individual's services.
    11  Client               Services              [Category of] Amount
    12                   Actually Provided            [(in Table I)]
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________

    13  FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
    14  DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
    15    * REVIEWED DOCUMENTS AND CORRESPONDENCE;
    16    * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
    17    * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
    18    * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
    19      OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
    20    * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
    21      NAME);
    22    * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
    23      REPRESENTATION OR CONSULTATION;
    24    * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
    25    * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
    26      RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
    27    * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
    28    (ii)  With  respect to reporting individuals who disclosed in question
    29  8(a) that the reporting individual did not provide services to a  client
    30  but  provided  services  to a firm or business, identify the category of
    31  amount received for providing such services and  describe  the  services
    32  rendered.
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
    33    A  reporting  individual  need not disclose activities performed while
    34  lawfully acting in his or her capacity as provided  in  paragraphs  (c),
    35  (d),  (e)  and (f) of subdivision seven of section seventy-three of this
    36  article.
    37  The disclosure requirement  in  questions  (b-1)  and  (b-2)  shall  not
    38  require  disclosing  clients  or customers receiving medical, pharmaceu-
    39  tical or dental services, mental health services,  or  residential  real
    40  estate  brokering  services  from the reporting individual or his or her
    41  firm or if federal law prohibits or  limits  disclosure.  The  reporting
    42  individual  need not identify any client to whom he or she or his or her
    43  firm provided legal representation  with  respect  to  investigation  or
    44  prosecution  by  law  enforcement authorities, bankruptcy, family court,
    45  estate planning, or domestic relations matters, nor shall the  reporting
    46  individual  identify  individuals  represented  pursuant to an insurance
    47  policy but the reporting individual shall  in  such  circumstances  only

        S. 6411                            37                            A. 9011

     1  report  the  entity that provides compensation to the reporting individ-
     2  ual; with respect to matters in which the client's name is  required  by
     3  law  to  be  kept  confidential  (such as matters governed by the family
     4  court act) or in matters in which the reporting individual represents or
     5  provides  services  to  minors,  the  client's name may be replaced with
     6  initials. To the extent that the reporting individual,  or  his  or  her
     7  firm,  provided  legal  representation with respect to an initial public
     8  offering, and professional disciplinary  rules,  federal  law  or  regu-
     9  lations  restrict  the  disclosure of information relating to such work,
    10  the reporting individual shall (i) disclose the identity of  the  client
    11  and the services provided relating to the initial public offering to the
    12  office  of  court  administration,  who  will  maintain such information
    13  confidentially in a locked box; and (ii) include in his or her  response
    14  to  questions (b-1) and (b-2) that pursuant to this paragraph, a disclo-
    15  sure to the office of court administration has been made. Upon such time
    16  that the disclosure of information maintained in the locked  box  is  no
    17  longer  restricted  by  professional  disciplinary rules, federal law or
    18  regulation, the reporting individual shall disclose such information  in
    19  an  amended  disclosure statement in response to the disclosure require-
    20  ments in questions (b-1) and (b-2). The office of  court  administration
    21  shall  develop  and  maintain  a secure portal through which information
    22  submitted to it pursuant to this paragraph can be safely  and  confiden-
    23  tially  stored. With respect to clients represented in other matters not
    24  otherwise exempt, the reporting individual may request an  exemption  to
    25  publicly  disclosing  the  name of that client from the joint commission
    26  pursuant to paragraph (i) of subdivision nine of section ninety-four  of
    27  the  executive  law, or from the office of court administration. In such
    28  application, the reporting individual shall  state  the  following:  "My
    29  client  is not currently receiving my services or seeking my services in
    30  connection with:
    31    (i) A proposed bill or resolution in the senate or assembly during the
    32  reporting period;
    33    (ii) A contract in an amount totaling $10,000 or more from  the  state
    34  or any state agency for services, materials, or property;
    35    (iii)  A  grant  of $10,000 or more from the state or any state agency
    36  during the reporting period;
    37    (iv) A grant obtained through  a  legislative  initiative  during  the
    38  reporting period; or
    39    (v)  A  case,  proceeding,  application  or other matter that is not a
    40  ministerial matter before a state agency during the reporting period."
    41    In reviewing the request for an exemption, the joint commission or the
    42  office of court administration may consult with  bar  or  other  profes-
    43  sional  associations  and the legislative ethics commission for individ-
    44  uals subject to its jurisdiction and may consider the rules  of  profes-
    45  sional conduct. In making its determination, the joint commission or the
    46  office  of  court administration shall conduct its own inquiry and shall
    47  consider factors including, but not limited to: (i) the nature  and  the
    48  size  of the client; (ii) whether the client has any business before the
    49  state; and if so, how significant  the  business  is;  and  whether  the
    50  client  has any particularized interest in pending legislation and if so
    51  how significant the interest is; (iii)  whether  disclosure  may  reveal
    52  trade secrets; (iv) whether disclosure could reasonably result in retal-
    53  iation  against  the client; (v) whether disclosure may cause undue harm
    54  to the client; (vi) whether disclosure may result in undue harm  to  the
    55  attorney-client relationship; and (vii) whether disclosure may result in
    56  an unnecessary invasion of privacy to the client.

        S. 6411                            38                            A. 9011
 
     1    The  joint  commission  or,  as  the  case may be, the office of court
     2  administration shall promptly make a final determination in response  to
     3  such  request, which shall include an explanation for its determination.
     4  The office of court administration shall issue its  final  determination
     5  within  three  days  of receiving the request. Notwithstanding any other
     6  provision of law or any professional disciplinary rule to the  contrary,
     7  the  disclosure of the identity of any client or customer in response to
     8  this question shall not constitute professional misconduct or  a  ground
     9  for  disciplinary action of any kind, or form the basis for any civil or
    10  criminal cause of action or proceeding. A reporting individual who first
    11  enters public office after January first, two thousand sixteen, need not
    12  report clients or customers  with  respect  to  matters  for  which  the
    13  reporting  individual  or his or her firm was retained prior to entering
    14  public office.
    15  Client               Services              [Category of] Amount
    16                   Actually Provided            [(in Table I)]
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
    17    (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
    18  PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
    19  NEW  MATTERS  FOR  EXISTING  CLIENTS  OR CUSTOMERS WITH RESPECT TO THOSE
    20  SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
    21  SAND FIFTEEN:
    22    If the reporting individual receives income of ten thousand dollars or
    23  greater  from any employment or activity reportable under question 8(a),
    24  identify each registered lobbyist who  has  directly  referred  to  such
    25  individual a client who was successfully referred to the reporting indi-
    26  vidual's  business  and  from  whom  the  reporting  individual  or firm
    27  received a fee for services in excess of five thousand  dollars.  Report
    28  only  those referrals that were made to a reporting individual by direct
    29  communication from a person known to such reporting individual to  be  a
    30  registered  lobbyist  at  the time the referral is made. With respect to
    31  each such referral, the reporting individual shall identify the  client,
    32  the registered lobbyist who has made the referral, the category of value
    33  of  the  compensation  received and a general description of the type of
    34  matter so referred. A reporting individual need not disclose  activities
    35  performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
    36  (f)  of  subdivision seven of section seventy-three of this article. The
    37  disclosure requirements in this question shall  not  require  disclosing
    38  clients   or  customers  receiving  medical,  pharmaceutical  or  dental
    39  services, mental health services, or residential real  estate  brokering
    40  services  from the reporting individual or his or her firm or if federal
    41  law prohibits or limits disclosure. The reporting  individual  need  not
    42  identify  any client to whom he or she or his or her firm provided legal
    43  representation with respect  to  investigation  or  prosecution  by  law
    44  enforcement  authorities,  bankruptcy, family court, estate planning, or
    45  domestic relations matters, nor shall the reporting individual  identify
    46  individuals  represented pursuant to an insurance policy but the report-
    47  ing individual shall in such circumstances only report the  entity  that
    48  provides  compensation  to  the  reporting  individual;  with respect to
    49  matters in which the client's name is required by law to be kept  confi-
    50  dential (such as matters governed by the family court act) or in matters
    51  in  which  the  reporting  individual represents or provides services to

        S. 6411                            39                            A. 9011
 
     1  minors, the client's name may be replaced with initials. To  the  extent
     2  that the reporting individual, or his or her firm, provided legal repre-
     3  sentation with respect to an initial public offering, and federal law or
     4  regulations  restricts  the  disclosure  of information relating to such
     5  work, the reporting individual shall (i) disclose the  identity  of  the
     6  client and the services provided relating to the initial public offering
     7  to  the  office of court administration, who will maintain such informa-
     8  tion confidentially in a locked box; and (ii)  include  in  his  or  her
     9  response  a  statement  that pursuant to this paragraph, a disclosure to
    10  the office of court administration has been made. Upon  such  time  that
    11  the  disclosure of information maintained in the locked box is no longer
    12  restricted by federal law or regulation, the reporting individual  shall
    13  disclose such information in an amended disclosure statement in response
    14  to  the  disclosure requirements of this paragraph.  The office of court
    15  administration shall develop and maintain a secure portal through  which
    16  information submitted to it pursuant to this paragraph can be safely and
    17  confidentially  stored.  With  respect  to  clients represented in other
    18  matters not otherwise exempt, the reporting individual  may  request  an
    19  exemption  to publicly disclosing the name of that client from the joint
    20  commission pursuant to paragraph (i)  of  subdivision  nine  of  section
    21  ninety-four  of  the executive law, or from the office of court adminis-
    22  tration. In such application, the reporting individual shall  state  the
    23  following:  "My client is not currently receiving my services or seeking
    24  my services in connection with:
    25    (i) A proposed bill or resolution in the senate or assembly during the
    26  reporting period;
    27    (ii) A contract in an amount totaling $10,000 or more from  the  state
    28  or any state agency for services, materials, or property;
    29    (iii)  A  grant  of $10,000 or more from the state or any state agency
    30  during the reporting period;
    31    (iv) A grant obtained through  a  legislative  initiative  during  the
    32  reporting period; or
    33    (v)  A  case,  proceeding,  application  or other matter that is not a
    34  ministerial matter before a state agency during the reporting period."
    35    In reviewing the request for an exemption, the joint commission or the
    36  office of court administration may consult with  bar  or  other  profes-
    37  sional  associations  and the legislative ethics commission for individ-
    38  uals subject to its jurisdiction and may consider the rules  of  profes-
    39  sional conduct. In making its determination, the joint commission or the
    40  office  of  court administration shall conduct its own inquiry and shall
    41  consider factors including, but not limited to: (i) the nature  and  the
    42  size  of the client; (ii) whether the client has any business before the
    43  state; and if so, how significant  the  business  is;  and  whether  the
    44  client  has any particularized interest in pending legislation and if so
    45  how significant the interest is; (iii)  whether  disclosure  may  reveal
    46  trade secrets; (iv) whether disclosure could reasonably result in retal-
    47  iation  against  the client; (v) whether disclosure may cause undue harm
    48  to the client; (vi) whether disclosure may result in undue harm  to  the
    49  attorney-client relationship; and (vii) whether disclosure may result in
    50  an unnecessary invasion of privacy to the client.
    51    The  joint  commission  or,  as  the  case may be, the office of court
    52  administration shall promptly make a final determination in response  to
    53  such  request, which shall include an explanation for its determination.
    54  The office of court administration shall issue its  final  determination
    55  within  three  days  of receiving the request. Notwithstanding any other
    56  provision of law or any professional disciplinary rule to the  contrary,

        S. 6411                            40                            A. 9011
 
     1  the  disclosure of the identity of any client or customer in response to
     2  this question shall not constitute professional misconduct or  a  ground
     3  for  disciplinary action of any kind, or form the basis for any civil or
     4  criminal cause of action or proceeding. A reporting individual who first
     5  enters  public office after December thirty-first, two thousand fifteen,
     6  need not report clients or customers with respect to matters  for  which
     7  the reporting individual or his or her firm was retained prior to enter-
     8  ing public office.
     9  Client           Name of Lobbyist          [Category of] Amount [(in
    10                                                Table 1)]
    11  ________________________________________________________________________
    12  ________________________________________________________________________
    13  ________________________________________________________________________
    14  ________________________________________________________________________
    15  ________________________________________________________________________
 
    16    §  5. Paragraphs 9, 11, 13, 14, 15, 16, 17, 18 and 19 of subdivision 3
    17  of section 73-a of the public officers law, as amended by section  5  of
    18  part  A  of  chapter 399 of the laws of 2011, paragraph 13 as amended by
    19  section 1 of part CC of chapter 56 of the laws of 2015, are  amended  to
    20  read as follows:
    21    9.  List  each  source  of gifts, EXCLUDING campaign contributions, in
    22  EXCESS of $1,000, received during the reporting period  for  which  this
    23  statement  is  filed  by  the  reporting individual or such individual's
    24  spouse or unemancipated child from the same donor, EXCLUDING gifts  from
    25  a  relative. INCLUDE the name and address of the donor. The term "gifts"
    26  does not include reimbursements, which  term  is  defined  in  item  10.
    27  Indicate the value and nature of each such gift.

    28                                                               [Category
    29       Self,                                                      of]
    30      Spouse or  Name of                       Nature          Value of
    31       Child      Donor         Address        of Gift           Gift
    32                                                             [(In Table I)]
 
    33      ____________________________________________________________________
    34      ____________________________________________________________________
    35      ____________________________________________________________________
    36      ____________________________________________________________________
    37      ____________________________________________________________________
 
    38  11. List  the  identity  and value, if reasonably ascertainable, of each
    39      interest in a trust, estate or other beneficial interest,  including
    40      retirement  plans  (other  than retirement plans of the state of New
    41      York or the city of  New  York),  and  deferred  compensation  plans
    42      (e.g.,  401,  403(b),  457, etc.) established in accordance with the
    43      internal revenue code, in which  the  REPORTING  INDIVIDUAL  held  a
    44      beneficial  interest  in  EXCESS  of  $1,000  at any time during the
    45      preceding year. Do NOT report interests in a trust, estate or  other
    46      beneficial interest established by or for, or the estate of, a rela-
    47      tive.
 
    48                                                               [Category
    49      Identity                                                 of] Value*
    50                                                             [(In Table II)]

        S. 6411                            41                            A. 9011
 
     1      ____________________________________________________________________
     2      ____________________________________________________________________
     3      ____________________________________________________________________
     4      ____________________________________________________________________
     5      ____________________________________________________________________
     6    * The  value  of  such  interest  shall be reported only if reasonably
     7  ascertainable.
 
     8  13. List below the nature and amount of any income in EXCESS  of  $1,000
     9      from  EACH SOURCE for the reporting individual and such individual's
    10      spouse for the taxable year last occurring  prior  to  the  date  of
    11      filing.    Each  such  source  must be described with particularity.
    12      Nature of income includes, but is not limited to, all income  (other
    13      than  that  received  from the employment listed under Item 2 above)
    14      from compensated employment whether public or private, directorships
    15      and other fiduciary positions,  contractual  arrangements,  teaching
    16      income,  partnerships,  honorariums,  lecture fees, consultant fees,
    17      bank and bond interest, dividends, income derived from a trust, real
    18      estate rents, and recognized gains from the sale or exchange of real
    19      or other property.  Income from a business or  profession  and  real
    20      estate  rents  shall  be  reported with the source identified by the
    21      building address in the case of real estate rents and  otherwise  by
    22      the name of the entity and not by the name of the individual custom-
    23      ers,  clients or tenants, with the aggregate net income before taxes
    24      for each building address or entity.   The  receipt  of  maintenance
    25      received  in connection with a matrimonial action, alimony and child
    26      support payments shall not be listed.
 
    27      Self/                                                      [Category
    28      Spouse          Source                   Nature           of] Amount
    29                                                              [(In Table I)]
 
    30      ____________________________________________________________________
    31      ____________________________________________________________________
    32      ____________________________________________________________________
    33      ____________________________________________________________________
    34      ____________________________________________________________________
 
    35  14. List the sources of any deferred income (not retirement  income)  in
    36      EXCESS  of $1,000 from each source to be paid to the reporting indi-
    37      vidual following the close of  the  calendar  year  for  which  this
    38      disclosure  statement  is  filed,  other  than deferred compensation
    39      reported in item 11 hereinabove. Deferred income  derived  from  the
    40      practice  of a profession shall be listed in the aggregate and shall
    41      identify as the source, the name of the firm, corporation,  partner-
    42      ship  or association through which the income was derived, but shall
    43      not identify individual clients.

        S. 6411                            42                            A. 9011
 
     1                                                                 [Category
     2      Source                                                    of] Amount
     3                                                              [(In Table I)]

     4      ____________________________________________________________________
     5      ____________________________________________________________________
     6      ____________________________________________________________________
     7      ____________________________________________________________________
     8      ____________________________________________________________________
 
     9  15. List  each assignment of income in EXCESS of $1,000, and each trans-
    10      fer other than to a relative during the reporting period  for  which
    11      this  statement  is  filed  for  less  than fair consideration of an
    12      interest in a trust, estate or other beneficial interest, securities
    13      or real property, by the reporting individual, in excess of  $1,000,
    14      which  would  otherwise be required to be reported herein and is not
    15      or has not been so reported.

    16      Item Assigned                    Assigned or             [Category
    17      or Transferred                 Transferred to            of] Value
    18                                                             [(In Table I)]
 
    19      ____________________________________________________________________
    20      ____________________________________________________________________
    21      ____________________________________________________________________
    22      ____________________________________________________________________
    23      ____________________________________________________________________
 
    24  16. List below the type and market  value  of  securities  held  by  the
    25      reporting  individual  or such individual's spouse from each issuing
    26      entity in EXCESS of $1,000 at the close of  the  taxable  year  last
    27      occurring  prior  to  the  date of filing, including the name of the
    28      issuing entity exclusive of securities held by the  reporting  indi-
    29      vidual issued by a professional corporation. Whenever an interest in
    30      securities  exists  through  a  beneficial  interest in a trust, the
    31      securities held in such trust shall be listed ONLY IF the  reporting
    32      individual has knowledge thereof except where the reporting individ-
    33      ual  or  the reporting individual's spouse has transferred assets to
    34      such trust for his or her benefit in  which  event  such  securities
    35      shall  be  listed unless they are not ascertainable by the reporting
    36      individual because the trustee is under an obligation  or  has  been
    37      instructed  in  writing not to disclose the contents of the trust to
    38      the reporting individual. Securities of which the reporting individ-
    39      ual or the reporting individual's spouse is the owner of record  but
    40      in which such individual or the reporting individual's spouse has no
    41      beneficial  interest  shall  not be listed.   Indicate percentage of
    42      ownership ONLY if the reporting person  or  the  reporting  person's
    43      spouse  holds  more  than five percent (5%) of the stock of a corpo-
    44      ration in which the stock  is  publicly  traded  or  more  than  ten
    45      percent  (10%)  of  the stock of a corporation in which the stock is
    46      NOT publicly traded.  Also  list  securities  owned  for  investment
    47      purposes by a corporation more than fifty percent (50%) of the stock
    48      of  which is owned or controlled by the reporting individual or such
    49      individual's spouse.  For the purpose of this item the term "securi-
    50      ties" shall mean mutual funds, bonds, mortgages, notes, obligations,

        S. 6411                            43                            A. 9011
 
     1      warrants and stocks of any class, investment interests in limited or
     2      general partnerships and certificates of  deposits  (CDs)  and  such
     3      other  evidences of indebtedness and certificates of interest as are
     4      usually  referred to as securities.  The market value for such secu-
     5      rities shall be reported only if reasonably ascertainable and  shall
     6      not be reported if the security is an interest in a general partner-
     7      ship  that  was listed in item 8 (a) or if the security is corporate
     8      stock, NOT publicly traded, in a trade or business  of  a  reporting
     9      individual or a reporting individual's spouse.
 
    10                                       Percentage
    11                                       of corporate
    12                                       stock owned
    13                                       or controlled      [Category of]
    14                                       (if more than      Market Value
    15                                       5% of pub-         as of the close
    16                                       licly traded       of the
    17                                       stock, or          taxable year
    18                                       more than          last occurring
    19                                       10% if stock       prior to
    20      Self/   Issuing     Type of      not publicly       the filing of
    21      Spouse  Entity      Security     traded, is held)   this statement
    22                                                          [(In Table II)]
 
    23      ____________________________________________________________________
    24      ____________________________________________________________________
    25      ____________________________________________________________________
    26      ____________________________________________________________________
    27      ____________________________________________________________________
 
    28  17. List  below  the  location,  size, general nature, acquisition date,
    29      market value and percentage of ownership of  any  real  property  in
    30      which  any vested or contingent interest in EXCESS of $1,000 is held
    31      by the reporting individual or the  reporting  individual's  spouse.
    32      Also  list  real  property owned for investment purposes by a corpo-
    33      ration more than fifty percent (50%) of the stock of which is  owned
    34      or  controlled  by  the  reporting  individual  or such individual's
    35      spouse. Do NOT list any  real  property  which  is  the  primary  or
    36      secondary  personal  residence  of  the  reporting individual or the
    37      reporting individual's spouse, except where there is a co-owner  who
    38      is other than a relative.
 
    39                                                                 [Category
    40      Self/                                             Percentage  of]
    41      Spouse/                      General  Acquisition    of      Market
    42      Corporation  Location Size   Nature     Date      Ownership   Value
    43                                                                    [(In
    44                                                                    Table
    45                                                                    II)]
 
    46      ____________________________________________________________________
    47      ____________________________________________________________________
    48      ____________________________________________________________________
    49      ____________________________________________________________________
    50      ____________________________________________________________________

        S. 6411                            44                            A. 9011
 
     1  18. List  below all notes and accounts receivable, other than from goods
     2      or services sold, held by the reporting individual at the  close  of
     3      the  taxable  year  last  occurring  prior to the date of filing and
     4      other debts owed to such individual at the close of the taxable year
     5      last  occurring  prior  to  the date of filing, in EXCESS of $1,000,
     6      including the name of the debtor, type of obligation, date  due  and
     7      the  nature  of  the  collateral  securing  payment of each, if any,
     8      excluding securities reported in item 16 hereinabove.  Debts,  notes
     9      and  accounts  receivable owed to the individual by a relative shall
    10      not be reported.
 
    11                                Type of Obligation,              [Category
    12                                Date Due, and Nature                of]
    13      Name of Debtor            of Collateral, if any               Amount
    14                                                             [(In Table II)]
 
    15      ____________________________________________________________________
    16      ____________________________________________________________________
    17      ____________________________________________________________________
    18      ____________________________________________________________________
    19      ____________________________________________________________________

    20  19. List below all liabilities of  the  reporting  individual  and  such
    21      individual's  spouse,  in EXCESS of $10,000 as of the date of filing
    22      of this statement, other than liabilities to a relative. Do NOT list
    23      liabilities incurred by, or guarantees made by, the reporting  indi-
    24      vidual  or  such individual's spouse or by any proprietorship, part-
    25      nership or corporation in which the  reporting  individual  or  such
    26      individual's  spouse  has  an interest, when incurred or made in the
    27      ordinary course of the trade, business or professional  practice  of
    28      the  reporting  individual  or such individual's spouse. Include the
    29      name of the creditor and any collateral pledged by  such  individual
    30      to  secure  payment  of  any  such liability. A reporting individual
    31      shall not list any obligation to pay maintenance in connection  with
    32      a  matrimonial  action,  alimony or child support payments. Any loan
    33      issued in the ordinary course of business by a financial institution
    34      to finance educational costs, the cost of home purchase or  improve-
    35      ments  for  a  primary  or  secondary  residence,  or  purchase of a
    36      personally owned motor vehicle, household  furniture  or  appliances
    37      shall be excluded. If any such reportable liability has been guaran-
    38      teed by any third person, list the liability and name the guarantor.
 
    39                                                                 [Category
    40      Name of Creditor          Type of Liability                   of]
    41      or Guarantor              and Collateral, if any              Amount
    42                                                             [(In Table II)]

    43      ____________________________________________________________________
    44      ____________________________________________________________________
    45      ____________________________________________________________________
    46      ____________________________________________________________________
    47      ____________________________________________________________________
 
    48      The  requirements  of  law  relating  to  the reporting of financial
    49      interests are in the public interest and  no  adverse  inference  of

        S. 6411                            45                            A. 9011
 
     1      unethical  or  illegal conduct or behavior will be drawn merely from
     2      compliance with these requirements.
 
     3      ___________________________________       _________________________
     4      (Signature of Reporting Individual)       Date  (month/day/year)

     5                                    [TABLE I
     6      Category A                  none
     7      Category B      $        1 to under $    1,000
     8      Category C      $    1,000 to under $    5,000
     9      Category D      $    5,000 to under $   20,000
    10      Category E      $   20,000 to under $   50,000
    11      Category F      $   50,000 to under $   75,000
    12      Category G      $   75,000 to under $  100,000
    13      Category H      $  100,000 to under $  150,000
    14      Category I      $  150,000 to under $  250,000
    15      Category J      $  250,000 to under $  350,000
    16      Category K      $  350,000 to under $  450,000
    17      Category L      $  450,000 to under $  550,000
    18      Category M      $  550,000 to under $  650,000
    19      Category N      $  650,000 to under $  750,000
    20      Category O      $  750,000 to under $  850,000
    21      Category P      $  850,000 to under $  950,000
    22      Category Q      $  950,000 to under $1,050,000
    23      Category R      $1,050,000 to under $1,150,000
    24      Category S      $1,150,000 to under $1,250,000
    25      Category T      $1,250,000 to under $1,350,000
    26      Category U      $1,350,000 to under $1,450,000
    27      Category V      $1,450,000 to under $1,550,000
    28      Category W      $1,550,000 to under $1,650,000
    29      Category X      $1,650,000 to under $1,750,000
    30      Category Y      $1,750,000 to under $1,850,000
    31      Category Z      $1,850,000 to under $1,950,000
    32      Category AA     $1,950,000 to under $2,050,000
    33      Category BB     $2,050,000 to under $2,150,000
    34      Category CC     $2,150,000 to under $2,250,000
    35      Category DD     $2,250,000 to under $2,350,000
    36      Category EE     $2,350,000 to under $2,450,000
    37      Category FF     $2,450,000 to under $2,550,000
    38      Category GG     $2,550,000 to under $2,650,000
    39      Category HH     $2,650,000 to under $2,750,000
    40      Category II     $2,750,000 to under $2,850,000
    41      Category JJ     $2,850,000 to under $2,950,000
    42      Category KK     $2,950,000 to under $3,050,000
    43      Category LL     $3,050,000 to under $3,150,000
    44      Category MM     $3,150,000 to under $3,250,000
    45      Category NN     $3,250,000 to under $3,350,000
    46      Category OO     $3,350,000 to under $3,450,000
    47      Category PP     $3,450,000 to under $3,550,000
    48      Category QQ     $3,550,000 to under $3,650,000
    49      Category RR     $3,650,000 to under $3,750,000
    50      Category SS     $3,750,000 to under $3,850,000
    51      Category TT     $3,850,000 to under $3,950,000
    52      Category UU     $3,950,000 to under $4,050,000
    53      Category VV     $4,050,000 to under $4,150,000
    54      Category WW     $4,150,000 to under $4,250,000

        S. 6411                            46                            A. 9011

     1      Category XX     $4,250,000 to under $4,350,000
     2      Category YY     $4,350,000 to under $4,450,000
     3      Category ZZ     $4,450,000 to under $4,550,000
     4      Category AAA    $4,550,000 to under $4,650,000
     5      Category BBB    $4,650,000 to under $4,750,000
     6      Category CCC    $4,750,000 to under $4,850,000
     7      Category DDD    $4,850,000 to under $4,950,000
     8      Category EEE    $4,950,000 to under $5,050,000
     9      Category FFF    $5,050,000 to under $5,150,000
    10      Category GGG    $5,150,000 to under $5,250,000
    11      Category HHH    $5,250,000 to under $5,350,000
    12      Category III    $5,350,000 to under $5,450,000
    13      Category JJJ    $5,450,000 to under $5,550,000
    14      Category KKK    $5,550,000 to under $5,650,000
    15      Category LLL    $5,650,000 to under $5,750,000
    16      Category MMM    $5,750,000 to under $5,850,000
    17      Category NNN    $5,580,000 to under $5,950,000
    18      Category OOO    $5,950,000 to under $6,050,000
    19      Category PPP    $6,050,000 to under $6,150,000
    20      Category QQQ    $6,150,000 to under $6,250,000
    21      Category RRR    $6,250,000 to under $6,350,000
    22      Category SSS    $6,350,000 to under $6,450,000
    23      Category TTT    $6,450,000 to under $6,550,000
    24      Category UUU    $6,550,000 to under $6,650,000
    25      Category VVV    $6,650,000 to under $6,750,000
    26      Category WWW    $6,750,000 to under $6,850,000
    27      Category XXX    $6,850,000 to under $6,950,000
    28      Category YYY    $6,950,000 to under $7,050,000
    29      Category ZZZ    $7,050,000 to under $7,150,000
    30      Category AAAA   $7,150,000 to under $7,250,000
    31      Category BBBB   $7,250,000 to under $7,350,000
    32      Category CCCC   $7,350,000 to under $7,450,000
    33      Category DDDD   $7,450,000 to under $7,550,000
    34      Category EEEE   $7,550,000 to under $7,650,000
    35      Category FFFF   $7,650,000 to under $7,750,000
    36      Category GGGG   $7,750,000 to under $7,850,000
    37      Category HHHH   $7,850,000 to under $7,950,000
    38      Category IIII   $7,950,000 to under $8,050,000
    39      Category JJJJ   $8,050,000 to under $8,150,000
    40      Category KKKK   $8,150,000 to under $8,250,000
    41      Category LLLL   $8,250,000 to under $8,350,000
    42      Category MMMM   $8,350,000 to under $8,450,000
    43      Category NNNN   $8,450,000 to under $8,550,000
    44      Category OOOO   $8,550,000 to under $8,650,000
    45      Category PPPP   $8,650,000 to under $8,750,000
    46      Category QQQQ   $8,750,000 to under $8,850,000
    47      Category RRRR   $8,850,000 to under $8,950,000
    48      Category SSSS   $8,950,000 to under $9,050,000
    49      Category TTTT   $9,050,000 to under $9,150,000
    50      Category UUUU   $9,150,000 to under $9,250,000
    51      Category VVVV   $9,250,000 to under $9,350,000
    52      Category WWWW   $9,350,000 to under $9,450,000
    53      Category XXXX   $9,450,000 to under $9,550,000
    54      Category YYYY   $9,550,000 to under $9,650,000
    55      Category ZZZZ   $9,650,000 to under $9,750,000
    56      Category AAAAA  $9,750,000 to under $9,850,000

        S. 6411                            47                            A. 9011

     1      Category BBBBB  $9,850,000 to under $9,950,000
     2      Category CCCCC  $9,950,000 to under $10,000,000
     3      Category DDDDD  $10,000,000 or over

     4                                    TABLE II
     5      Category A                none
     6      Category B    $        1 to under $    1,000
     7      Category C    $    1,000 to under $    5,000
     8      Category D    $    5,000 to under $   20,000
     9      Category E    $   20,000 to under $   50,000
    10      Category F    $   50,000 to under $   75,000
    11      Category G    $   75,000 to under $  100,000
    12      Category H    $  100,000 to under $  150,000
    13      Category I    $  150,000 to under $  250,000
    14      Category J    $  250,000 to under $  500,000
    15      Category K    $  500,000 to under $  750,000
    16      Category L    $  750,000 to under $1,000,000
    17      Category M    $1,000,000 to under $1,250,000
    18      Category N    $1,250,000 to under $1,500,000
    19      Category O    $1,500,000 to under $1,750,000
    20      Category P    $1,750,000 to under $2,000,000
    21      Category Q    $2,000,000 to under $2,250,000
    22      Category R    $2,250,000 to under $2,500,000
    23      Category S    $2,500,000 to under $2,750,000
    24      Category T    $2,750,000 to under $3,000,000
    25      Category U    $3,000,000 to under $3,250,000
    26      Category V    $3,250,000 to under $3,500,000
    27      Category W    $3,500,000 to under $3,750,000
    28      Category X    $3,750,000 to under $4,000,000
    29      Category Y    $4,000,000 to under $4,250,000
    30      Category Z    $4,250,000 to under $4,500,000
    31      Category AA   $4,500,000 to under $4,750,000
    32      Category BB   $4,750,000 to under $5,000,000
    33      Category CC   $5,000,000 to under $5,250,000
    34      Category DD   $5,250,000 to under $5,500,000
    35      Category EE   $5,500,000 to under $5,750,000
    36      Category FF   $5,750,000 to under $6,000,000
    37      Category GG   $6,000,000 to under $6,250,000
    38      Category HH   $6,250,000 to under $6,500,000
    39      Category II   $6,500,000 to under $6,750,000
    40      Category JJ   $6,750,000 to under $7,000,000
    41      Category KK   $7,000,000 to under $7,250,000
    42      Category LL   $7,250,000 to under $7,500,000
    43      Category MM   $7,500,000 to under $7,750,000
    44      Category NN   $7,750,000 to under $8,000,000
    45      Category OO   $8,000,000 to under $8,250,000
    46      Category PP   $8,250,000 to under $8,500,000
    47      Category QQ   $8,500,000 to under $8,750,000
    48      Category RR   $8,750,000 to under $9,000,000
    49      Category SS   $9,000,000 to under $9,250,000
    50      Category TT   $9,250,000 to under $9,500,000
    51      Category UU   $9,500,000 or over]
    52    §  6.  Subdivision  4  of  section 73-a of the public officers law, as
    53  amended by section 5 of part A of chapter 399 of the laws  of  2011,  is
    54  amended to read as follows:

        S. 6411                            48                            A. 9011
 
     1    4.  A reporting individual who knowingly and wilfully fails to file an
     2  annual statement of financial disclosure or who knowingly  and  wilfully
     3  with  intent  to  deceive  makes  a false statement or gives information
     4  which such individual knows to be false on such statement  of  financial
     5  disclosure  filed  pursuant  to this section shall be subject to a civil
     6  penalty in an amount not to exceed  forty  thousand  dollars  and  addi-
     7  tionally  such  violation may be punishable as a class A misdemeanor.  A
     8  person who knowingly and wilfully fails to respond  to  the  commission,
     9  fails  to provide information requested, or otherwise refuses to cooper-
    10  ate in the conduct of a review  of  an  annual  statement  of  financial
    11  disclosure  conducted  pursuant  to section ninety-four of the executive
    12  law may be subject to a civil  penalty  not  to  exceed  forty  thousand
    13  dollars.    Assessment of a civil penalty hereunder shall be made by the
    14  joint commission on public ethics or by the legislative  ethics  commis-
    15  sion,  as  the  case  may  be,  with respect to persons subject to their
    16  respective jurisdictions.  The joint commission on public ethics  acting
    17  pursuant to subdivision fourteen of section ninety-four of the executive
    18  law or the legislative ethics commission acting pursuant to [subdivision
    19  eleven  of  section eighty] paragraph (a) of subdivision nine of section
    20  eighty of the legislative law, as the case may be, may, in lieu of or in
    21  addition to a civil penalty, refer a violation to the appropriate prose-
    22  cutor [and upon such conviction, but  only  after  such  referral,  such
    23  violation shall be punishable as a class A misdemeanor]. A civil penalty
    24  for  false  filing may not be imposed hereunder in the event a [category
    25  of] "value" or "amount" reported  hereunder  is  incorrect  unless  such
    26  reported  information is falsely understated. [Notwithstanding any other
    27  provision of law to the contrary, no other penalty,  civil  or  criminal
    28  may  be  imposed  for  a failure to file, or for a false filing, of such
    29  statement, except that the appointing authority may impose  disciplinary
    30  action  as  otherwise  provided  by law.] The joint commission on public
    31  ethics and the legislative ethics commission shall each be deemed to  be
    32  an  agency  within the meaning of article three of the state administra-
    33  tive procedure act and shall adopt rules governing the conduct of  adju-
    34  dicatory proceedings and appeals relating to the assessment of the civil
    35  penalties  herein  authorized. Such rules, which shall not be subject to
    36  the approval requirements of the  state  administrative  procedure  act,
    37  shall  provide for due process procedural mechanisms substantially simi-
    38  lar to those set forth in such article three but  such  mechanisms  need
    39  not  be identical in terms or scope. Assessment of a civil penalty shall
    40  be final unless modified, suspended or vacated  within  thirty  days  of
    41  imposition  and  upon  becoming  final shall be subject to review at the
    42  instance of the affected reporting individual in a proceeding  commenced
    43  against  the joint commission on public ethics or the legislative ethics
    44  commission, pursuant to article seventy-eight of the civil practice  law
    45  and rules.
    46    §  7.  Paragraph (a) of subdivision 9 of section 80 of the legislative
    47  law, as amended by section 9 of part A of chapter 399  of  the  laws  of
    48  2011, is amended to read as follows:
    49    (a)  An  individual subject to the jurisdiction of the commission with
    50  respect to the imposition of penalties who knowingly  and  intentionally
    51  violates  the  provisions  of  subdivisions  two  through five-a, seven,
    52  eight, twelve, fourteen or  fifteen  of  section  seventy-three  of  the
    53  public officers law or a reporting individual who knowingly and wilfully
    54  fails  to  file an annual statement of financial disclosure or who know-
    55  ingly and wilfully with intent to deceive makes  a  false  statement  or
    56  gives information which such individual knows to be false on such state-

        S. 6411                            49                            A. 9011
 
     1  ment  of  financial disclosure filed pursuant to section seventy-three-a
     2  of the public officers law, or who solicits, requests, commands,  impor-
     3  tunes,  or  intentionally  aids  another  person to engage in any of the
     4  above-mentioned conduct, or who knowingly and willfully fails to respond
     5  to  the  joint commission on public ethics, fails to provide information
     6  requested, or otherwise refuses to cooperate in the conduct of a  review
     7  of  an  annual  statement  of financial disclosure conducted pursuant to
     8  section ninety-four of the executive law shall be  subject  to  a  civil
     9  penalty  in an amount not to exceed forty thousand dollars and the value
    10  of any gift, compensation or  benefit  received  as  a  result  of  such
    11  violation.  Any such individual who knowingly and intentionally violates
    12  the provisions of [paragraph a, b, c, d, e,  g,  or  i  of]  subdivision
    13  three  of section seventy-four of the public officers law, or who solic-
    14  its, requests,  commands,  importunes,  or  intentionally  aids  another
    15  person to engage in any of the above-mentioned conduct, shall be subject
    16  to  a  civil penalty in an amount not to exceed ten thousand dollars and
    17  the value of any gift, compensation or benefit received as a  result  of
    18  such violation. Assessment of a civil penalty hereunder shall be made by
    19  the  commission  with respect to persons subject to its jurisdiction. In
    20  assessing the amount of the civil penalties to be imposed,  the  commis-
    21  sion shall consider the seriousness of the violation, the amount of gain
    22  to the individual and whether the individual previously had any civil or
    23  criminal  penalties  imposed  pursuant  to  this  section, and any other
    24  factors the commission  deems  appropriate.  For  a  violation  of  this
    25  section,  other than for conduct which constitutes a violation of subdi-
    26  vision twelve, fourteen or fifteen of section seventy-three  or  section
    27  seventy-four  of the public officers law, the legislative ethics commis-
    28  sion may, in lieu of  or  in  addition  to  a  civil  penalty,  refer  a
    29  violation  to  the appropriate prosecutor [and upon such conviction, but
    30  only after such referral, such violation shall be punishable as a  class
    31  A  misdemeanor].  Where  the commission finds sufficient cause, it shall
    32  refer such matter to the appropriate prosecutor.  A  civil  penalty  for
    33  false  filing  may  not  be imposed hereunder in the event a category of
    34  "value" or "amount" reported hereunder is incorrect unless such reported
    35  information is falsely understated. [Notwithstanding any other provision
    36  of law to the contrary, no other  penalty,  civil  or  criminal  may  be
    37  imposed for a failure to file, or for a false filing, of such statement,
    38  or a violation of subdivision six of section seventy-three of the public
    39  officers  law, except that the appointing authority may impose discipli-
    40  nary action as  otherwise  provided  by  law.]  The  legislative  ethics
    41  commission shall be deemed to be an agency within the meaning of article
    42  three  of  the  state administrative procedure act and shall adopt rules
    43  governing the conduct of  adjudicatory  proceedings  and  appeals  taken
    44  pursuant  to  a  proceeding commenced under article seventy-eight of the
    45  civil practice law and rules relating to the  assessment  of  the  civil
    46  penalties  herein  authorized. Such rules, which shall not be subject to
    47  the promulgation and hearing requirements of  the  state  administrative
    48  procedure  act,  shall  provide  for  due  process procedural mechanisms
    49  substantially similar to those set forth in such article three but  such
    50  mechanisms  need  not  be  identical  in terms or scope. Assessment of a
    51  civil penalty shall be final unless modified, suspended or vacated with-
    52  in thirty days of imposition, with respect to  the  assessment  of  such
    53  penalty,  or  unless such denial of request is reversed within such time
    54  period, and upon becoming final  shall  be  subject  to  review  at  the
    55  instance of the affected reporting individuals in a proceeding commenced

        S. 6411                            50                            A. 9011
 
     1  against  the legislative ethics commission, pursuant to article seventy-
     2  eight of the civil practice law and rules.
     3    §  8.  Paragraph  (n)  of subdivision 9 of section 94 of the executive
     4  law, as added by section 6 of part A of chapter 399 of the laws of 2011,
     5  are amended to read as follows:
     6    (n) Promulgate guidelines for the commission to conduct a  program  of
     7  random  reviews,  to  be carried out in the following manner: (i) annual
     8  statements of financial disclosure shall be selected  for  review  in  a
     9  manner  pursuant  to  which  the identity of any particular person whose
    10  statement is selected is unknown to the commission and its  staff  prior
    11  to  its selection; (ii) such review shall include a preliminary examina-
    12  tion of the selected statement for internal  consistency,  a  comparison
    13  with  other  records  maintained by the commission, including previously
    14  filed statements and requests for advisory opinions, and examination  of
    15  relevant  public  information;  (iii) upon completion of the preliminary
    16  examination, the commission shall determine whether further  inquiry  is
    17  warranted, whereupon it shall notify the reporting individual in writing
    18  that  the  statement is under review, advise the reporting individual of
    19  the specific areas of inquiry, and provide the reporting individual with
    20  the opportunity to provide  any  relevant  information  related  to  the
    21  specific areas of inquiry, request supporting documentation (if a person
    22  cannot  obtain  documents requested by the commission, or such documents
    23  do not exist, the person must sign a statement based  on  knowledge  and
    24  belief  that  such  documents  are unavailable or do not exist), and the
    25  opportunity to file  amendments  to  the  selected  statement  on  forms
    26  provided  by  the  commission;  and  (iv) if thereafter sufficient cause
    27  exists, the commission shall take additional actions, as appropriate and
    28  consistent with law.
    29    § 9. Paragraph (b) of subdivision 9-a of section 94 of  the  executive
    30  law, as added by section 6 of part A of chapter 399 of the laws of 2011,
    31  is amended to read as follows:
    32    (b)  [Except  as otherwise required or provided by law,] Unless other-
    33  wise required  herein,  confidential  information,  including  testimony
    34  received or any other information obtained by a commissioner or staff of
    35  the  commission  during  the  course  of  an investigation, shall not be
    36  disclosed by any such individual to any person  or  entity  outside  the
    37  commission [during the pendency of any matter. Any confidential communi-
    38  cation  to  any  person  or entity outside the commission related to the
    39  matters before the commission  may  occur  only  as  authorized  by  the
    40  commission]  except  as authorized by the commission or in response to a
    41  court order or a subpoena lawfully issued by a federal, state  or  local
    42  law enforcement agency.
    43    §  10.  Paragraph (a) of subdivision 13 of section 94 of the executive
    44  law, as amended by section 6 of part A of chapter 399  of  the  laws  of
    45  2011, is amended to read as follows:
    46    (a)  Investigations.  If  the  commission  receives  a sworn complaint
    47  alleging a  violation  of  section  seventy-three,  seventy-three-a,  or
    48  seventy-four  of  the  public officers law, section one hundred seven of
    49  the civil service law or article one-A  of  the  legislative  law  by  a
    50  person or entity subject to the jurisdiction of the commission including
    51  members  of the legislature and legislative employees and candidates for
    52  member of the legislature, or if a  reporting  individual  has  filed  a
    53  statement  which reveals a possible violation of these provisions, or if
    54  the commission determines on its own initiative to investigate a  possi-
    55  ble  violation,  the  commission shall notify the individual in writing,
    56  describe the possible or alleged violation of such laws and provide  the

        S. 6411                            51                            A. 9011
 
     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. The commission shall,  within  [forty-five]
     4  sixty  calendar  days  after a complaint or a referral is received or an
     5  investigation is initiated on the commission's own initiative,  vote  on
     6  whether  to  commence a full investigation of the matter under consider-
     7  ation to determine whether a substantial basis exists to conclude that a
     8  violation of law has occurred.  In lieu of such vote, the commission may
     9  vote to adjourn a matter until the next scheduled meeting of the commis-
    10  sion or, upon the request of a law enforcement  agency,  the  commission
    11  may  vote  to  defer  a determination on whether to commence an investi-
    12  gation pending the outcome of a criminal proceeding. The  staff  of  the
    13  joint  commission shall provide to the members prior to such vote infor-
    14  mation regarding the likely scope and content of the investigation,  and
    15  a  subpoena  plan,  to  the  extent  such information is available. Such
    16  investigation shall be conducted  if  at  least  eight  members  of  the
    17  commission vote to authorize it. Where the subject of such investigation
    18  is  a member of the legislature or a legislative employee or a candidate
    19  for member of the legislature, at least two of the eight or more members
    20  who so vote to authorize such an investigation must have been  appointed
    21  by  a  legislative  leader  or leaders from the major political party in
    22  which the subject of the proposed  investigation  is  enrolled  if  such
    23  person is enrolled in a major political party. Where the subject of such
    24  investigation  is a state officer or state employee, at least two of the
    25  eight or more members who so vote to  authorize  such  an  investigation
    26  must  have been appointed by the governor and lieutenant governor. Where
    27  the subject of such investigation is a statewide elected official  or  a
    28  direct  appointee of such an official, at least two of the eight or more
    29  members who so vote to authorize such an investigation  must  have  been
    30  appointed by the governor and lieutenant governor and be enrolled in the
    31  major political party in which the subject of the proposed investigation
    32  is enrolled, if such person is enrolled in a major political party.
    33    § 11. Subdivision 14 of section 94 of the executive law, as amended by
    34  section  6  of  part A of chapter 399 of the laws of 2011, is amended to
    35  read as follows:
    36    14. An individual subject to the jurisdiction of  the  commission  who
    37  knowingly  and intentionally violates the provisions of subdivisions two
    38  through five-a, seven, eight, twelve or fourteen  through  seventeen  of
    39  section  seventy-three  of  the public officers law, section one hundred
    40  seven of the civil service law, or a reporting individual who  knowingly
    41  and  wilfully  fails to file an annual statement of financial disclosure
    42  or who knowingly and wilfully with  intent  to  deceive  makes  a  false
    43  statement  or  fraudulent omission or gives information which such indi-
    44  vidual knows to be false on such statement of financial disclosure filed
    45  pursuant to section seventy-three-a of the public officers law,  or  who
    46  solicits,  requests, commands, importunes, or intentionally aids another
    47  person to engage in any of the above-mentioned conduct, or who knowingly
    48  and wilfully fails to respond to the commission, fails to provide infor-
    49  mation requested, or otherwise refuses to cooperate in the conduct of  a
    50  review of an annual statement of financial disclosure conducted pursuant
    51  to this section, shall be subject to a civil penalty in an amount not to
    52  exceed forty thousand dollars and the value of any gift, compensation or
    53  benefit  received as a result of such violation. An individual who know-
    54  ingly and intentionally violates the provisions of [paragraph a,  b,  c,
    55  d,  e,  g,  or  i  of]  subdivision three of section seventy-four of the
    56  public officers law, or who solicits, requests, commands, importunes, or

        S. 6411                            52                            A. 9011
 
     1  intentionally aids another person to engage in  any  of  the  above-men-
     2  tioned  conduct, shall be subject to a civil penalty in an amount not to
     3  exceed ten thousand dollars and the value of any gift,  compensation  or
     4  benefit  received as a result of such violation. An individual or entity
     5  subject to the jurisdiction of the commission who knowingly and willful-
     6  ly violates article one-A of  the  legislative  law,  or  who  solicits,
     7  requests,  commands, importunes, or intentionally aids another person or
     8  entity to engage in any of the above-mentioned conduct, shall be subject
     9  to civil penalty as provided for in that article. Except with respect to
    10  members of the legislature and legislative employees,  assessment  of  a
    11  civil  penalty hereunder shall be made by the commission with respect to
    12  persons subject to its jurisdiction. With respect to a violation of  any
    13  law other than sections seventy-three, seventy-three-a, and seventy-four
    14  of  the public officers law, where the commission finds sufficient cause
    15  by a vote [held in the same manner as set  forth  in  paragraph  (b)  of
    16  subdivision thirteen of this section], it shall refer such matter to the
    17  appropriate  prosecutor  for  further  investigation.  In  assessing the
    18  amount of the civil  penalties  to  be  imposed,  the  commission  shall
    19  consider  the  seriousness  of  the violation, the amount of gain to the
    20  individual and whether the individual previously had any civil or crimi-
    21  nal penalties imposed pursuant to this section, and  any  other  factors
    22  the  commission deems appropriate. Except with respect to members of the
    23  legislature and legislative employees, for a violation of this  subdivi-
    24  sion,  other  than  for conduct which constitutes a violation of section
    25  one hundred seven of the civil service law, subdivisions twelve or four-
    26  teen through seventeen of section seventy-three or section  seventy-four
    27  of  the public officers law or article one-A of the legislative law, the
    28  commission may, in lieu of or in addition to a civil  penalty,  refer  a
    29  violation  to the appropriate prosecutor [and upon such conviction, such
    30  violation shall be punishable as a class A misdemeanor]. A civil penalty
    31  for false filing may not be imposed hereunder in the event a category of
    32  "value" or "amount" reported hereunder is incorrect unless such reported
    33  information is falsely understated. [Notwithstanding any other provision
    34  of law to the contrary, no other  penalty,  civil  or  criminal  may  be
    35  imposed for a failure to file, or for a false filing, of such statement,
    36  or a violation of subdivision six of section seventy-three of the public
    37  officers  law, except that the appointing authority may impose discipli-
    38  nary action as otherwise provided by  law.]  The  commission  may  refer
    39  violations of this subdivision to the appointing authority for discipli-
    40  nary action as otherwise provided by law. The commission shall be deemed
    41  to  be an agency within the meaning of article three of the state admin-
    42  istrative procedure act and shall adopt rules governing the  conduct  of
    43  adjudicatory  proceedings  and  appeals  taken  pursuant to a proceeding
    44  commenced under article seventy-eight of  the  civil  practice  law  and
    45  rules  relating  to the assessment of the civil penalties herein author-
    46  ized and  commission  denials  of  requests  for  certain  deletions  or
    47  exemptions  to  be made from a financial disclosure statement as author-
    48  ized in paragraph (h) or paragraph  (i)  of  subdivision  nine  of  this
    49  section. Such rules, which shall not be subject to the approval require-
    50  ments  of  the state administrative procedure act, shall provide for due
    51  process procedural mechanisms substantially similar to those  set  forth
    52  in  article  three  of  the  state administrative procedure act but such
    53  mechanisms need not be identical in terms  or  scope.  Assessment  of  a
    54  civil  penalty  or  commission  denial  of such a request shall be final
    55  unless modified, suspended or vacated within thirty days of  imposition,
    56  with respect to the assessment of such penalty, or unless such denial of

        S. 6411                            53                            A. 9011
 
     1  request  is  reversed  within  such time period, and upon becoming final
     2  shall be subject to review at the instance  of  the  affected  reporting
     3  individuals  in  a proceeding commenced against the commission, pursuant
     4  to article seventy-eight of the civil practice law and rules.
     5    § 12. Subdivision 18 of section 94 of the executive law, as amended by
     6  section  6  of  part A of chapter 399 of the laws of 2011, is amended to
     7  read as follows:
     8    18. Within one hundred twenty days  of  the  effective  date  of  this
     9  subdivision,  the  commission  shall  create  and  thereafter maintain a
    10  publicly accessible website which shall  set  forth  the  procedure  for
    11  filing  a  complaint  with  the commission, and which shall contain [the
    12  documents identified in subdivision nineteen of this section, other than
    13  financial disclosure statements filed by state officers or employees  or
    14  legislative  employees,  and] any other records or information which the
    15  commission determines to be appropriate.
    16    § 13. Paragraphs (a) and (b) of subdivision 19 of section  94  of  the
    17  executive  law,  as amended by section 6 of part A of chapter 399 of the
    18  laws of 2011, are amended and a new paragraph (a-1) is added to read  as
    19  follows:off;
    20    (a) [Notwithstanding the provisions of article six of the public offi-
    21  cers  law,  the  only records of the commission which shall be available
    22  for public inspection and copying are:
    23    (1) the information set forth in  an  annual  statement  of  financial
    24  disclosure filed pursuant to section seventy-three-a of the public offi-
    25  cers  law except information deleted pursuant to paragraph (h) of subdi-
    26  vision nine of this section;
    27    (2) notices of delinquency  sent  under  subdivision  twelve  of  this
    28  section;
    29    (3)  notices  of  civil  assessments  imposed under this section which
    30  shall include a description of the nature of the alleged wrongdoing, the
    31  procedural history of the complaint,  the  findings  and  determinations
    32  made by the commission, and any sanction imposed;
    33    (4) the terms of any settlement or compromise of a complaint or refer-
    34  ral which includes a fine, penalty or other remedy;
    35    (5)  those required to be held or maintained publicly available pursu-
    36  ant to article one-A of the legislative law; and
    37    (6) substantial basis investigation reports issued by  the  commission
    38  pursuant  to  subdivision fourteen-a or fourteen-b of this section. With
    39  respect to reports concerning members of the legislature or  legislative
    40  employees or candidates for member of the legislature, the joint commis-
    41  sion  shall  not publicly disclose or otherwise disseminate such reports
    42  except in conformance with the requirements of paragraph (b) of subdivi-
    43  sion nine of section eighty of the legislative law.] Commission  records
    44  created  after  the  effective  date  of the chapter of the laws of 2016
    45  which amended this paragraph shall be available  for  public  inspection
    46  and  copying  pursuant  to  the  provisions of article six of the public
    47  officers law, except that the commission may also deny access to records
    48  or portions thereof that relate to requests from any person  or  entity,
    49  who  is  subject  to the jurisdiction of the commission and the require-
    50  ments of sections seventy-three, seventy-three-a or seventy-four of  the
    51  public  officers law or article one-a of the legislative law or applica-
    52  ble regulations, for advice and guidance or approval  relating  to  said
    53  provisions.
    54    (a-1)  Notwithstanding  the  provisions  of  article six of the public
    55  officers law, the only records of  the  commission  created  before  the

        S. 6411                            54                            A. 9011
 
     1  chapter  of the laws of 2016 which amended this paragraph which shall be
     2  available for public inspection and copying are:
     3    (1)  the  information  set  forth  in an annual statement of financial
     4  disclosure filed pursuant to section seventy-three-a of the public offi-
     5  cers law except the categories of value or amount,  which  shall  remain
     6  confidential,  and  any  other  item  of information deleted pursuant to
     7  paragraph (h) of subdivision nine of this section;
     8    (2) the information set forth in  an  annual  statement  of  financial
     9  disclosure filed pursuant to section seventy-three-a of the public offi-
    10  cers  law except information deleted pursuant to paragraph (h) of subdi-
    11  vision nine of this section;
    12    (3) notices of delinquency  sent  under  subdivision  twelve  of  this
    13  section;
    14    (4)  notices  of  civil  assessments  imposed under this section which
    15  shall include a description of the nature of the alleged wrongdoing, the
    16  procedural history of the complaint,  the  findings  and  determinations
    17  made by the commission, and any sanction imposed;
    18    (5) the terms of any settlement or compromise of a complaint or refer-
    19  ral which includes a fine, penalty or other remedy;
    20    (6)  those required to be held or maintained publicly available pursu-
    21  ant to article one-A of the legislative law; and
    22    (7) substantial basis investigation reports issued by  the  commission
    23  pursuant  to  subdivision fourteen-a or fourteen-b of this section. With
    24  respect to reports concerning members of the legislature or  legislative
    25  employees or candidates for member of the legislature, the joint commis-
    26  sion  shall  not publicly disclose or otherwise disseminate such reports
    27  except in conformance with the requirements of paragraph (b) of subdivi-
    28  sion nine of section eighty of the legislative law.
    29    (b) [Notwithstanding the provisions of article  seven  of  the  public
    30  officers  law,  no  meeting or proceeding, including any such proceeding
    31  contemplated under paragraph (h) or (i)  of  subdivision  nine  of  this
    32  section,]  Meetings  and  proceedings of the commission shall be open to
    33  the public[, except if expressly provided otherwise by the commission or
    34  as is required by article one-A of  the  legislative  law]  pursuant  to
    35  article seven of the public officers law. Notwithstanding the provisions
    36  of  article  seven of the public officers law, commissioners may partic-
    37  ipate in a meeting or proceeding of the  commission,  including  voting,
    38  from  a  location not open to the general public to conduct the business
    39  of the commission, so long as one of the locations from which the  meet-
    40  ing  or  proceeding  is  being conducted complies with the provisions of
    41  article seven of the public officers law. Such participation shall count
    42  towards quorum.
    43    § 14. Subdivision (b) of  section  1-k  of  the  legislative  law,  as
    44  amended by chapter 1 of the laws of 2005, is amended to read as follows:
    45    (b) No person shall accept such a retainer or employment. [A violation
    46  of]  Any  person  who  violates this section shall be subject to a civil
    47  penalty not to exceed the greater of ten thousand dollars or  the  value
    48  of  the contingent fee, and such violation shall be a class [A misdemea-
    49  nor] E felony.
    50    § 15. Subdivision (b) of section 1-o of the legislative law is amended
    51  by adding a new paragraph (vii) to read as follows:
    52    (vii) A lobbyist or client who knowingly and wilfully fails to  comply
    53  with  requests  for  the  production  of documents or otherwise fails to
    54  cooperate during the conduct of a random audit under section 1-d of this
    55  article shall be subject to a civil penalty not to exceed  ten  thousand
    56  dollars.

        S. 6411                            55                            A. 9011
 
     1    §  16.  Section 1-s of the legislative law, as relettered by chapter 1
     2  of the laws of 2005, is amended to read as follows:
     3    §  1-s.  Public access to records; format of records and reports.  (a)
     4  The commission shall make information furnished by lobbyists and clients
     5  available to the public for inspection and copying  in  electronic  [and
     6  paper  formats]  format.  Access  to such information shall also be made
     7  available for remote computer users through the internet network.
     8    (b) Beginning with the statement of registration and  reports  due  in
     9  calendar  year  two  thousand seventeen, all registration statements and
    10  reports must be submitted on the electronic filing  system  administered
    11  by the joint commission on public ethics.
    12    (i)  An  individual may submit a registration statement or report on a
    13  form supplied by the commission with a written attestation from a physi-
    14  cian or other health provider indicating that the individual has a disa-
    15  bility or infirmity preventing the individual from completing the regis-
    16  tration statement or report on the electronic filing system provided  by
    17  the commission.
    18    (ii)  Any  individual  required  to  file a statement pursuant to this
    19  section may request from the joint commission on public ethics access to
    20  an electronic computer terminal to file the statement.
    21    (iii) An individual who requests  access  to  an  electronic  computer
    22  terminal  pursuant to paragraph (i) of this subdivision must be provided
    23  such access within two business days of submitting the request.
    24    (iv) No individual shall be deemed to not have timely filed  a  regis-
    25  tration statement or report if access to an electronic computer terminal
    26  was not available as provided in paragraph (ii) of this subdivision.
    27    §  17.  Paragraph a of subdivision 12 of section 80 of the legislative
    28  law, as amended by section 9 of part A of chapter 399  of  the  laws  of
    29  2011, is amended to read as follows:
    30    a.  [Notwithstanding the provisions of article six of the public offi-
    31  cers law, the only records of the commission which  shall  be  available
    32  for public inspection and copying are:
    33    (1) the terms of any settlement or compromise of a complaint or refer-
    34  ral  or  report  which  includes a fine, penalty or other remedy reached
    35  after the commission has received a report from the joint commission  on
    36  public  ethics pursuant to subdivision fourteen-a of section ninety-four
    37  of the executive law;
    38    (2) generic advisory opinions;
    39    (3) all reports required by this section; and
    40    (4) all reports received from the joint commission  on  public  ethics
    41  pursuant  to subdivision fourteen-a of section ninety-four of the execu-
    42  tive law and in conformance with paragraph (b) of subdivision nine-b  of
    43  this  section.]  Commission  records created after the effective date of
    44  the chapter of the laws of two thousand sixteen which amended this para-
    45  graph shall be made available for public inspection and copying pursuant
    46  to the provisions of article six of the public officers law.
    47    § 18. This act shall take effect immediately provided,  however,  that
    48  sections  two,  three,  four, five, twelve, thirteen, fourteen, fifteen,
    49  sixteen and seventeen of this act shall take effect January 1, 2017.

    50                                   PART F
 
    51    Section 1. Section 5-212 of the election law is  REPEALED  and  a  new
    52  section 5-212 is added to read as follows:
    53    § 5-212. Motor vehicle registration. 1. In addition to any other meth-
    54  od  of  voter  registration  provided for in this article, any qualified

        S. 6411                            56                            A. 9011
 
     1  person shall be automatically applied for  registration  and  enrollment
     2  simultaneously  with  and  upon application for a motor vehicle driver's
     3  license, a driver's license renewal or an identification card if such  a
     4  card  is issued by the department of motor vehicles in its normal course
     5  of business unless such qualified person declines such  application  for
     6  registration  and  enrollment at the time of making an application for a
     7  motor vehicle driver's license, driver's license renewal or an identifi-
     8  cation card if such card is issued by the department of  motor  vehicles
     9  in its normal course of business.
    10    2.  The  department  of motor vehicles, with the approval of the state
    11  board of elections, shall design a form or forms which shall,  in  addi-
    12  tion  to eliciting such information as may be required by the department
    13  of motor vehicles for a driver's license, a driver's license renewal,  a
    14  change  of  address  notification or an identification card, serve as an
    15  application for registration and enrollment, or a registration  necessi-
    16  tated by a change of residence.  Only one signature shall be required to
    17  meet  the certification and attestation needs of the portion of the form
    18  pertaining to the application for a driver's license, a driver's license
    19  renewal, a change of address notification or an identification card, and
    20  the portion of the form pertaining to voter registration and enrollment.
    21  The cost of such forms shall be borne by the department of  motor  vehi-
    22  cles.
    23    3. The voter registration portion of such form shall:
    24    (a)  not  require  any  information  that  duplicates  the information
    25  required on the application for the driver  license  portion  and  shall
    26  require  only  such additional information as will enable election offi-
    27  cials to assess the applicant's eligibility to register to vote, prevent
    28  duplicate registration and to administer voter  registration  and  other
    29  parts of the election process;
    30    (b)  include  a  statement  of  the eligibility requirements for voter
    31  registration and shall require the applicant to attest  by  his  or  her
    32  signature  that  he  or  she  meets  those requirements under penalty of
    33  perjury unless such applicant declines such registration;
    34    (c) inform the applicant, in print  identical  to  that  used  in  the
    35  attestation section of the following:
    36    (i) voter eligibility requirements;
    37    (ii) penalties for submission of false registration application;
    38    (iii) that the office where applicant registers shall remain confiden-
    39  tial and the information be used only for voter registration purposes;
    40    (iv)  if the applicant declines to register, such applicant's declina-
    41  tion shall remain confidential and be used only for  voter  registration
    42  purposes;
    43    (d)  include  a box for the applicant to check to indicate whether the
    44  applicant would like to decline to  register  to  vote  along  with  the
    45  statement  in prominent type, "IF YOU DO NOT CHECK THIS BOX, YOU PROVIDE
    46  YOUR SIGNATURE ON THE SPACE PROVIDED BELOW, AND  YOU  ARE  AT  LEAST  18
    47  YEARS  OF  AGE OR OLDER, YOU WILL HAVE PERSONALLY APPLIED TO REGISTER TO
    48  VOTE AT THIS TIME.";
    49    (e) include a space for the applicant to indicate his or her choice of
    50  party enrollment, with a clear alternative provided for the applicant to
    51  decline to affiliate with any party;
    52    (f) include the statement, "If you would like help in filling out  the
    53  voter  registration  application  form,  we  will help you. The decision
    54  whether to seek or accept help is yours. You may fill out  the  applica-
    55  tion form in private.";

        S. 6411                            57                            A. 9011
 
     1    (g) include the statement, "If you believe that someone has interfered
     2  with  your  right to register or decline to register to vote, your right
     3  to privacy in deciding whether to register or in applying to register to
     4  vote, or your right to choose your own political party  or  other  poli-
     5  tical  preference,  you  may  file  a  complaint with the state board of
     6  elections (address and toll free telephone number).";
     7    (h) include a toll free number at the state board  of  elections  that
     8  can be called for answers to registration questions; and
     9    (i) include any other information that is necessary to comply with the
    10  requirements of the National Voter Registration Act.
    11    4. The department of motor vehicles shall transmit that portion of the
    12  form  which  constitutes  the  completed application for registration or
    13  change of address form to the appropriate board of elections  not  later
    14  than  ten days after receipt except that all such completed applications
    15  and forms received by the department between the thirtieth  and  twenty-
    16  fifth  day before an election shall be transmitted in such manner and at
    17  such time as to assure their receipt by  such  board  of  elections  not
    18  later  than  the  twentieth  day before such election.  All transmittals
    19  shall include original signatures.
    20    5. Completed application forms received by  the  department  of  motor
    21  vehicles  not  later  than  the twenty-fifth day before the next ensuing
    22  primary, general or special election and transmitted by such  department
    23  to  the  appropriate  board  of  elections so that they are received not
    24  later than the twentieth day before  such  election  shall  entitle  the
    25  applicant  to  vote  in such election provided the board determines that
    26  the applicant is otherwise qualified.
    27    6. Disclosure of voter registration information, including a  declina-
    28  tion  to  register,  by  the department of motor vehicles, its agents or
    29  employees, for other than voter registration purposes, shall  be  deemed
    30  an  unwarranted  invasion of personal privacy pursuant to the provisions
    31  of subdivision two of section eighty-nine of the public officers law and
    32  shall constitute a violation of this chapter.
    33    7. Application forms shall be processed by the board of  elections  in
    34  the  manner  prescribed by section 5-210 of this title or, if the appli-
    35  cant is already registered to vote from another address in  such  county
    36  or  city,  in  the manner prescribed by section 5-208 of this title. The
    37  board shall send the appropriate notice  of  approval  or  rejection  as
    38  required by either subdivision nine of such section 5-210 or subdivision
    39  five of such section 5-208.
    40    8. Strict neutrality with respect to a person's party enrollment shall
    41  be  maintained  and  all  persons  seeking  voter registration forms and
    42  information shall be advised that government  services  are  not  condi-
    43  tioned on being registered to vote.
    44    9.  No  statement shall be made nor any action taken to discourage the
    45  applicant from registering to vote.
    46    10. The department of motor vehicles shall provide to each person  who
    47  chooses  to  register  to  vote the same level of assistance provided to
    48  persons in connection with the  completion  of  the  agency's  requisite
    49  information, unless such person refuses such assistance.
    50    11.  The  state board shall adopt such rules and regulations as may be
    51  necessary to carry out the requirements of this section. The board shall
    52  also adopt such rules and regulations as may  be  necessary  to  require
    53  county  boards and the department of motor vehicles to provide the state
    54  board with such information and data as the  board  deems  necessary  to
    55  assess  compliance  with  this section and to compile such statistics as
    56  may be required by the federal elections commission.

        S. 6411                            58                            A. 9011
 
     1    12. The state board shall develop and  distribute  public  information
     2  and promotional materials relating to the purposes and implementation of
     3  this program.
     4    13.  The state board shall prepare and distribute to the department of
     5  motor vehicles written instructions as  to  the  implementation  of  the
     6  program  and shall be responsible for establishing training programs for
     7  employees of the department of motor vehicles involved in such program.
     8    14. The commissioner of motor vehicles shall take  all  actions  which
     9  are  necessary  and  proper  for the implementation of this section. The
    10  commissioner of motor vehicles shall designate  one  person  within  the
    11  agency  as the agency voter registration coordinator who will, under the
    12  direction of the state board of elections, be responsible for the  voter
    13  registration program in such agency.
    14    15. Notwithstanding subdivision six of section 5-210 of this title and
    15  any  other  law  to the contrary, an applicant who is less than eighteen
    16  years of age who improperly fails to decline to vote in accordance  with
    17  the  provisions  of this section shall not be guilty of any crime as the
    18  result of the applicant's failure to make such declination.
    19    § 2. Paragraph (a) of subdivision 2 of section 5-712 of  the  election
    20  law,  as  amended by chapter 200 of the laws of 1996, is amended to read
    21  as follows:
    22    (a) The board of elections shall also send a  confirmation  notice  to
    23  every  registered  voter  for  whom  it  receives  a notice of change of
    24  address to an address not in such city or county which is not signed  by
    25  the  voter.    Such  change of address notices shall include, but not be
    26  limited to, notices of change of address received pursuant  to  subdivi-
    27  sion eleven of section 5-211 and subdivision [six] four of section 5-212
    28  of  this  article,  notice  of  change of address from the United States
    29  Postal Service through the National Change of Address System or from any
    30  other agency of the federal government or any agency  of  any  state  or
    31  local  government  and  notice of a forwarding address on mail sent to a
    32  voter by the board of elections and returned by the postal service. Such
    33  confirmation notices shall be sent to such new address.
    34    § 3. Subdivision 5 of section 5-210 of the election law is amended  by
    35  adding a new paragraph (n) to read as follows:
    36    (n)  The  form  of application required by section 5-212 of this title
    37  shall be deemed to meet the requirements of this section.
    38    § 4. Subdivision 27 of section 1-104 of the election law is amended to
    39  read as follows:
    40    27. The term "personal application" means a signed writing  which  may
    41  be delivered by mailing [or], in person, or electronically.
    42    §  5.  Section  3-400  of  the election law is amended by adding a new
    43  subdivision 9 to read as follows:
    44    9.  Notwithstanding  any  inconsistent  provisions  of  this  article,
    45  election  inspectors or poll clerks, if any, at polling places for early
    46  voting, shall consist of either board of elections employees  who  shall
    47  be  appointed by the commissioners of such board or duly qualified indi-
    48  viduals, appointed in the manner set forth in this section. Appointments
    49  to the offices of election inspector or poll clerk in each polling place
    50  for early voting shall be equally divided between  the  major  political
    51  parties.  The  board  of  elections  shall  assign staff and provide the
    52  resources they require to ensure wait times at early voting sites do not
    53  exceed thirty minutes.
    54    § 6. Section 4-117 of the election law is  amended  by  adding  a  new
    55  subdivision 1-a to read as follows:

        S. 6411                            59                            A. 9011
 
     1    1-a.  The  notice  required  by  subdivision one of this section shall
     2  include the dates, hours and locations of early voting for  the  general
     3  and  primary  election.  The  board  of elections may satisfy the notice
     4  requirement of this subdivision by providing in the notice  instructions
     5  to  obtain  the  required early voting information from a website of the
     6  board of elections and providing a phone number to call for such  infor-
     7  mation.
     8    § 7. Subdivision 2 of section 8-100 of the election law, as amended by
     9  chapter 335 of the laws of 2000, is amended to read as follows:
    10    2. Polls shall be open for voting during the following hours: a prima-
    11  ry  election from twelve o'clock noon until nine o'clock in the evening,
    12  except in the city of New York and  the  counties  of  Nassau,  Suffolk,
    13  Westchester,  Rockland,  Orange,  Putnam  and  Erie, and in such city or
    14  county from six o'clock in the morning until nine o'clock in  the  even-
    15  ing;  the  general  election  from six o'clock in the morning until nine
    16  o'clock in the evening; a special election called by the governor pursu-
    17  ant to the public officers law, and, except  as  otherwise  provided  by
    18  law,  every  other  election, from six o'clock in the morning until nine
    19  o'clock in the evening; early voting  hours  shall  be  as  provided  in
    20  section 8-600 of this article.
    21    §  8. Subdivision 1 of section 8-102 of the election law is amended by
    22  adding a new paragraph (k) to read as follows:
    23    (k) Voting at each polling place for early voting shall  be  conducted
    24  in  a  manner  consistent  with the provisions of this article, with the
    25  exception of the tabulation and proclamation of election  results  which
    26  shall  be  completed according to subdivisions eight and nine of section
    27  8-600 of this article.
    28    § 9. Section 8-104 of the election law is  amended  by  adding  a  new
    29  subdivision 7 to read as follows:
    30    7.  This  section shall apply on all early voting days as provided for
    31  in section 8-600 of this article.
    32    § 10. Paragraph (b) of subdivision 2 of section 8-508 of the  election
    33  law,  as  amended by chapter 200 of the laws of 1996, is amended to read
    34  as follows:
    35    (b) The second section of such report shall be reserved for the  board
    36  of  inspectors to enter the name, address and registration serial number
    37  of each person who is challenged on the day of election or on any day in
    38  which there is early voting pursuant to section 8-600 of  this  article,
    39  together  with  the  reason  for the challenge.   If no voters are chal-
    40  lenged, the board of inspectors shall enter the  words  "No  Challenges"
    41  across  the  space reserved for such names. In lieu of preparing section
    42  two of the challenge report, the board of elections may provide, next to
    43  the name of each voter on the computer generated  registration  list,  a
    44  place  for the inspectors of election to record the information required
    45  to be entered in such section two, or provide at the end of such comput-
    46  er generated registration list, a place for the inspectors  of  election
    47  to enter such information.
    48    § 11. Article 8 of the election law is amended by adding a new title 6
    49  to read as follows:
    50                                  TITLE VI
    51                                EARLY VOTING
    52  Section 8-600. Early voting.
    53          8-602. State  board  of  elections;  powers and duties for early
    54                   voting.
    55    § 8-600. Early voting. 1. Beginning the thirteenth day  prior  to  any
    56  general, primary or special election for any public or party office, and

        S. 6411                            60                            A. 9011
 
     1  ending on and including the second day prior to such general, primary or
     2  special  election  for  such public or party office, persons duly regis-
     3  tered and eligible to vote at such election shall be permitted  to  vote
     4  as  provided  in this title.   The board of elections of each county and
     5  the city of New York shall establish procedures, subject to approval  of
     6  the state board of elections, to ensure that persons who vote during the
     7  early  voting  period shall not be permitted to vote subsequently in the
     8  same election.
     9    2. (a) The board of elections of each county or the city of  New  York
    10  shall  designate  polling  places for early voting in each county, which
    11  may include the offices of the board of elections, for persons  to  vote
    12  early  pursuant  to  this section. There shall be so designated at least
    13  one early voting polling place for every full increment of  fifty  thou-
    14  sand  registered voters in each county; provided, however, the number of
    15  early voting polling places in a county shall  not  be  required  to  be
    16  greater  than  seven, and a county with fewer than fifty thousand voters
    17  shall have at least one early voting polling place.
    18    (b) The board of elections of each county or the city of New York  may
    19  establish  additional  polling  places for early voting in excess of the
    20  minimum number required by  this  subdivision  for  the  convenience  of
    21  eligible voters wishing to vote during the early voting period.
    22    (c)  Notwithstanding  the  minimum  number  of early voting poll sites
    23  otherwise required by this  subdivision,  for  any  primary  or  special
    24  election,  upon  majority  vote of the board of elections, the number of
    25  early voting sites may be reduced if the board of  elections  reasonably
    26  determines  a  lesser number of sites is sufficient to meet the needs of
    27  early voters.
    28    (d) Polling places for early voting shall be located to ensure, to the
    29  extent practicable, that eligible voters have adequate equitable access,
    30  taking into consideration population density, travel time to the polling
    31  place, proximity to other  locations  or  commonly  used  transportation
    32  routes  and  such  other factors the board of elections of the county or
    33  the city of New York deems appropriate. The provisions of section  4-104
    34  of  this  chapter,  except  subdivisions  four and five of such section,
    35  shall apply to the designation of polling places for early voting except
    36  to the extent such provisions are inconsistent with this section.
    37    3. Any person permitted to vote early may do so at any  polling  place
    38  for early voting established pursuant to subdivision two of this section
    39  in the county where such voter is registered to vote. Provided, however,
    40  (i)  if it is impractical to provide each polling place for early voting
    41  all appropriate ballots for each election to be voted on in the  county,
    42  or  (ii)  if  permitting such persons to vote early at any polling place
    43  established for early voting would make it impractical  to  ensure  that
    44  such  voter  has  not  previously  voted early during such election, the
    45  board of elections may designate each polling  place  for  early  voting
    46  only  for  those voters registered to vote in a portion of the county to
    47  be served by such polling place for  early  voting,  provided  that  all
    48  voters  in  each  county  shall have one or more polling places at which
    49  they are eligible to vote  throughout  the  early  voting  period  on  a
    50  substantially equal basis.
    51    4.  (a)  Polls shall be open for early voting for at least eight hours
    52  between seven o'clock in the morning and eight o'clock  in  the  evening
    53  each week day during the early voting period.
    54    (b)  At  least  one  polling  place for early voting shall remain open
    55  until eight o'clock in the evening on at least two  week  days  in  each
    56  calendar  week  during  the early voting period.   If polling places for

        S. 6411                            61                            A. 9011
 
     1  early voting are limited to voters from certain areas pursuant to subdi-
     2  vision three of this section, polling  places  that  remain  open  until
     3  eight  o'clock shall be designated such that any person entitled to vote
     4  early  may  vote until eight o'clock in the evening on at least two week
     5  days during the early voting period.
     6    (c) Polls shall be open for early  voting  for  at  least  five  hours
     7  between  nine  o'clock  in the morning and six o'clock in the evening on
     8  each Saturday, Sunday and legal holiday during the early voting period.
     9    (d) Nothing in this section shall be construed to prohibit  any  board
    10  of  elections  from  establishing  a  greater number of hours for voting
    11  during the early voting period beyond the number of  hours  required  in
    12  this subdivision.
    13    (e) Early voting polling places and their hours of operation for early
    14  voting  at  a  general election shall be designated by May first of each
    15  year pursuant to subdivision one  of  section  4-104  of  this  chapter.
    16  Notwithstanding  the  provisions  of subdivision one of section 4-104 of
    17  this chapter requiring poll site designation by May first, early  voting
    18  polling  places  and  their  hours  of  operation for early voting for a
    19  primary or special election shall be made not later than forty-five days
    20  before such primary or special election.
    21    5. Each board of elections shall create a communication plan to inform
    22  eligible voters of the opportunity to vote early.  Such plan may utilize
    23  any and all media outlets, including social media, and shall  publicize:
    24  the  location and dates and hours of operation of all polling places for
    25  early voting; an indication of whether each polling place is  accessible
    26  to  voters with physical disabilities; a clear and unambiguous notice to
    27  voters that if they cast a ballot during the early  voting  period  they
    28  will  not  be  allowed  to  vote election day; and if polling places for
    29  early voting are limited to voters from certain areas pursuant to subdi-
    30  vision three of this section, the location of  the  polling  places  for
    31  early  voting  serving the voters of each particular city, town or other
    32  political subdivision.
    33    6. The form of paper ballots used in early voting  shall  comply  with
    34  the  provisions  of article seven of this chapter that are applicable to
    35  voting by paper ballot on election day and such ballot shall be cast  in
    36  the  same  manner  as  provided  for  in  section 8-312 of this article,
    37  provided, however, that ballots cast  during  the  early  voting  period
    38  shall be secured in the manner of voted ballots cast on election day and
    39  such ballots shall not be canvassed or examined until after the close of
    40  the  polls  on  election  day, and no unofficial tabulations of election
    41  results shall be printed or viewed in any manner until after  the  close
    42  of polls on election day.
    43    7.  Voters  casting ballots pursuant to this title shall be subject to
    44  challenge as provided in sections 8-500, 8-502 and 8-504 of  this  arti-
    45  cle.
    46    8. Notwithstanding any other provisions of this chapter, at the end of
    47  each  day  of  early voting, any early voting ballots that have not been
    48  scanned because a ballot scanner was not available or because the ballot
    49  has been abandoned by the voter at the ballot scanner shall be cast in a
    50  manner consistent with section 9-110 of this chapter,  except  that  any
    51  ballots that would otherwise be scanned at the close of the polls pursu-
    52  ant  to  such  section shall be scanned at the close of each day's early
    53  voting.
    54    9. The board of elections shall secure all ballots and  scanners  used
    55  for  early  voting from the beginning of the early voting period through
    56  the close of the polls of the election on election day. As soon  as  the

        S. 6411                            62                            A. 9011
 
     1  polls  of  the  election  are  closed  on  election day, and not before,
     2  inspectors or board of elections employees  shall  follow  all  relevant
     3  provisions  of  article  nine  of this chapter that are not inconsistent
     4  with this section, for canvassing, processing, recording, and announcing
     5  results  of  voting  at  polling  places  for early voting, and securing
     6  ballots, scanners, and other election materials.
     7    § 8-602. State board of elections; powers and duties for early voting.
     8  Any  rule  or  regulation  necessary  for  the  implementation  of   the
     9  provisions  of  this  title  shall  be promulgated by the state board of
    10  elections  provided  that  such  rules  and  regulations  shall  include
    11  provisions  to  ensure  that  ballots  cast early, by any method allowed
    12  under law, are counted and canvassed as if cast  on  election  day.  The
    13  state  board  of  elections  shall  promulgate any other rules and regu-
    14  lations necessary to ensure an efficient and fair early  voting  process
    15  that  respects  the  privacy  of the voter. Provided, further, that such
    16  rules and regulations shall require that the voting history  record  for
    17  each  voter  be  continually  updated  to reflect each instance of early
    18  voting by such voter.
    19    § 12. This act shall take effect on the first of January next succeed-
    20  ing the date on which it shall have become a law and shall apply to  any
    21  election  held  120  days  or  more  after  it  shall have taken effect;
    22  provided, however that sections one, two, three and  four  of  this  act
    23  shall take effect on April 1, 2017.
 
    24                                   PART G
 
    25    Section 1. The New York state comptroller, or his or her designee, the
    26  attorney  general  of the state of New York, or his or her designee, the
    27  chief information  officer  of  the  office  of  information  technology
    28  services,  or  his  or  her  designee  and  the  commissioner of general
    29  services, or his or her designee, are hereby directed to review, examine
    30  and make recommendations  concerning  the  feasibility  of  assigning  a
    31  single  identifying  code  to  contractors,  vendors and other payees to
    32  track such entities and expenditures. This group shall submit  a  report
    33  to  the  governor, temporary president of the senate, and the speaker of
    34  the assembly on or before January 1, 2017, of its findings and recommen-
    35  dations.
    36    § 2. This act shall take effect immediately.
 
    37                                   PART H
 
    38    Section 1. Subdivisions (b), (h) and (w) of section 1-c of the  legis-
    39  lative  law,  subdivisions (b) and (h) as added by chapter 2 of the laws
    40  of 1999 and subdivision (w) as added by section 8 of part A  of  chapter
    41  399  of the laws of 2011, are amended and a new subdivision (x) is added
    42  to read as follows:
    43    (b) The term "client" shall mean  every  person  or  organization  who
    44  retains,  employs  or  designates any person or organization to carry on
    45  lobbying activities or political consulting services on behalf  of  such
    46  client.
    47    (h) The term "compensation" shall mean any salary, fee, gift, payment,
    48  benefit,  loan, advance or any other thing of value paid, owed, given or
    49  promised to the lobbyist or  political  consultant  by  the  client  for
    50  lobbying  or  political  consulting  but shall not include contributions
    51  reportable pursuant to article fourteen of the election law.

        S. 6411                            63                            A. 9011
 
     1    (w) The term "reportable business relationship" shall mean a relation-
     2  ship in which compensation is paid by a lobbyist, political  consultant,
     3  or  by a client of a lobbyist or a political consultant, in exchange for
     4  any goods, services or anything of value, the total value of which is in
     5  excess  of one thousand dollars annually, to be performed or provided by
     6  or intended to be performed or provided by  (i)  any  statewide  elected
     7  official,  state  officer,  state employee, member of the legislature or
     8  legislative employee, or (ii) any entity in which the  lobbyist  or  the
     9  client  of a lobbyist or a political consultant or the client of a poli-
    10  tical consultant knows or has reason to know the statewide elected offi-
    11  cial, state officer, state employee, member of the legislature or legis-
    12  lative employee is a proprietor, partner, director, officer or  manager,
    13  or  owns or controls ten percent or more of the stock of such entity (or
    14  one percent in the case of a corporation whose stock is regularly traded
    15  on an established securities exchange).
    16    (x) The term "political consulting" means and includes  the  provision
    17  for  compensation,  to  any  elected  state  or local public official of
    18  advice, services or assistance in securing future state or local  public
    19  office  including,  but not limited to, campaign management, fundraising
    20  activities, public relations or media services, but shall exclude  legal
    21  work  directly  related  to  litigation  or  legal advice with regard to
    22  securing a place on the ballot, the petitioning process, the conduct  of
    23  an election or which involves this chapter.
    24    §  2.  Section 1-d of the legislative law, as amended by chapter 14 of
    25  the laws of 2007 and subdivision (h) as added by section 7 of part A  of
    26  chapter 399 of the laws of 2011, is amended to read as follows:
    27    §  1-d.  Lobby-related  and political consulting-related powers of the
    28  commission. In addition to any  other  powers  and  duties  provided  by
    29  section  ninety-four  of  the  executive law, the commission shall, with
    30  respect to its lobbying-related and political  consulting-related  func-
    31  tions only, have the power and duty to:
    32    (a) administer and enforce all the provisions of this article;
    33    (b) conduct a program of random audits subject to the terms and condi-
    34  tions  of  this  section.  Any  such program shall be carried out in the
    35  following manner:
    36    (i) The commission may randomly select reports or registration  state-
    37  ments  required  to  be  filed  by  lobbyists, political consultants, or
    38  clients pursuant to this article for audit. Any such selection shall  be
    39  done in a manner pursuant to which the identity of any particular lobby-
    40  ist,  political  consultant,  or  client  whose  statement  or report is
    41  selected for audit is unknown to the commission, its  staff  or  any  of
    42  their agents prior to selection.
    43    (ii)  The  commission  shall develop protocols for the conduct of such
    44  random audits. Such random audits may require the production  of  books,
    45  papers, records or memoranda relevant and material to the preparation of
    46  the  selected  statements or reports, for examination by the commission.
    47  Any such protocols shall ensure that similarly  situated  statements  or
    48  reports are audited in a uniform manner.
    49    (iii) The commission shall contract with an outside accounting entity,
    50  which shall monitor the process pursuant to which the commission selects
    51  statements  or reports for audit and carries out the provisions of para-
    52  graphs (i) and (ii) of this subdivision and certifies that such  process
    53  complies with the provisions of such paragraphs.
    54    (iv)  Upon  completion  of a random audit conducted in accordance with
    55  the provisions of paragraphs (i), (ii) and (iii)  of  this  subdivision,
    56  the  commission  shall  determine  whether  there is reasonable cause to

        S. 6411                            64                            A. 9011
 
     1  believe that any such statement or report is inaccurate  or  incomplete.
     2  Upon  a  determination that such reasonable cause exists, the commission
     3  may require the production  of  further  books,  records  or  memoranda,
     4  subpoena witnesses, compel their attendance and testimony and administer
     5  oaths  or  affirmations,  to  the  extent the commission determines such
     6  actions are necessary to obtain information  relevant  and  material  to
     7  investigating such inaccuracies or omissions;
     8    (c)  conduct hearings pursuant to article seven of the public officers
     9  law. Any hearing may be conducted as a video  conference  in  accordance
    10  with  the  provisions of subdivision four of section one hundred four of
    11  the public officers law;
    12    (d) prepare uniform forms for the statements and reports  required  by
    13  this article;
    14    (e)  meet at least once during each bi-monthly reporting period of the
    15  year as established by subdivision (a) of section one-h of this  article
    16  and  may  meet  at  such other times as the commission, or the chair and
    17  vice-chair jointly, shall determine;
    18    (f) issue advisory opinions to  those  under  its  jurisdiction.  Such
    19  advisory  opinions,  which  shall be published and made available to the
    20  public, shall not be binding upon such commission except with respect to
    21  the person to whom such opinion is rendered, provided, however,  that  a
    22  subsequent  modification  by such commission of such an advisory opinion
    23  shall operate prospectively only; and
    24    (g) submit by the first day of March next following the year for which
    25  such report is made to the governor and the members of  the  legislature
    26  an  annual  report summarizing the commission's work, listing the lobby-
    27  ists, political consultants, and clients required to  register  pursuant
    28  to  this  article and the expenses and compensation reported pursuant to
    29  this article and making recommendations with respect  to  this  article.
    30  The  commission  shall  make this report available free of charge to the
    31  public.
    32    (h) provide an online ethics training course  for  individuals  regis-
    33  tered  as  lobbyists and political consultants pursuant to section one-e
    34  of this article. The curriculum for the course shall include, but not be
    35  limited to, explanations and discussions of the statutes and regulations
    36  of New York concerning ethics in the public officers law,  the  election
    37  law,  the  legislative  law,  summaries of advisory opinions, underlying
    38  purposes and principles of the relevant laws, and examples of  practical
    39  application  of  these laws and principles. The commission shall prepare
    40  those methods and materials necessary to implement the curriculum.  Each
    41  individual  registered  as a lobbyist or a political consultant pursuant
    42  to section one-e of this article shall complete such training course  at
    43  least once in any three-year period during which he or she is registered
    44  as a lobbyist or a political consultant.
    45    §  3.  Section  1-e of the legislative law, as amended by section 1 of
    46  part S of chapter 62 of the laws of 2003, subdivisions (a)  and  (c)  as
    47  amended by chapter 1 of the laws of 2005, paragraph 1 of subdivision (c)
    48  as amended by chapter 14 of the laws of 2007 and paragraph 8 of subdivi-
    49  sion (c) as added by section 7-a of part A of chapter 399 of the laws of
    50  2011, is amended to read as follows:
    51    §  1-e. Statement of registration. (a) (1) Every lobbyist or political
    52  consultant shall annually file with the commission, on forms provided by
    53  the commission, a statement of  registration  for  each  calendar  year;
    54  provided,  however,  that  the  filing of such statement of registration
    55  shall not be required of any lobbyist or political consultant who (i) in
    56  any year does not expend, incur or receive an amount in  excess  of  two

        S. 6411                            65                            A. 9011
 
     1  thousand  dollars  for  years prior to two thousand six and in excess of
     2  five thousand dollars in the year two thousand six and the years  there-
     3  after  of reportable compensation and expenses, as provided in paragraph
     4  five  of  subdivision  (b)  of  section  one-h  of this article, for the
     5  purposes of lobbying or political consulting  or  (ii)  is  an  officer,
     6  director,  trustee or employee of any public corporation, when acting in
     7  such official capacity; provided however, that nothing in  this  section
     8  shall  be  construed to relieve any public corporation of the obligation
     9  to file such statements and reports as required  by  this  article.  The
    10  amounts  expended,  incurred, or received of reportable compensation and
    11  expenses for  lobbying  or  political  consulting  activities  shall  be
    12  computed  cumulatively  for  all lobbying or political consulting activ-
    13  ities when determining whether the thresholds set forth in this  section
    14  have been met.
    15    (2) (i) Through calendar year two thousand three, such filing shall be
    16  completed  on  or  before  January  first by those persons who have been
    17  retained, employed or designated  as  lobbyist  on  or  before  December
    18  fifteenth  who  reasonably  anticipate that in the coming year they will
    19  expend, incur or receive combined reportable compensation  and  expenses
    20  in  an  amount  in  excess  of two thousand dollars; for those lobbyists
    21  retained, employed or designated after December fifteenth, and for those
    22  lobbyists who subsequent to their retainer,  employment  or  designation
    23  reasonably  anticipate  combined reportable compensation and expenses in
    24  excess of such amount, such filing must be completed within fifteen days
    25  thereafter, but in no event later than ten days after the actual  incur-
    26  ring or receiving of such reportable compensation and expenses.
    27    (ii)  For  calendar  year  two  thousand  four,  such filings shall be
    28  completed on or before January first by  those  persons  who  have  been
    29  retained,  employed  or  designated  as  lobbyist  on or before December
    30  fifteenth, two thousand three who  reasonably  anticipate  that  in  the
    31  coming  year  they  will  expend,  incur  or receive combined reportable
    32  compensation and expenses  in  an  amount  in  excess  of  two  thousand
    33  dollars;  for  those  lobbyists  retained,  employed or designated after
    34  December fifteenth, two thousand three,  and  for  those  lobbyists  who
    35  subsequent  to  their  retainer,  employment  or  designation reasonably
    36  anticipate combined reportable compensation and expenses  in  excess  of
    37  such amount, such filing must be completed within fifteen days thereaft-
    38  er,  but  in  no event later than ten days after the actual incurring or
    39  receiving of such reportable compensation and expenses.
    40    (3) Commencing calendar year two thousand five  and  thereafter  every
    41  lobbyist  shall,  and  commencing  calendar  year two thousand seventeen
    42  every political consultant shall, biennially file with  the  commission,
    43  on  forms  provided  by  the commission, a statement of registration for
    44  each biennial period beginning with the first year of the biennial cycle
    45  commencing calendar year two thousand five and thereafter for lobbyists,
    46  and two thousand seventeen for political consultants; provided, however,
    47  that the biennial filing of such statement of registration shall not  be
    48  required  of  any  lobbyist  or political consultant who (i) in any year
    49  prior to calendar year two  thousand  six  does  not  expend,  incur  or
    50  receive  an  amount  in  excess  of  two  thousand dollars of reportable
    51  compensation and expenses, as provided in paragraph five of  subdivision
    52  (b)  of  section  one-h of this article, for the purposes of lobbying or
    53  political consulting and commencing with calendar year two thousand  six
    54  does  not  expend, incur or receive an amount in excess of five thousand
    55  dollars of reportable compensation, as provided  in  paragraph  five  of
    56  subdivision  (b)  of  section  one-h of this article for the purposes of

        S. 6411                            66                            A. 9011
 
     1  lobbying or political consulting or (ii) is an officer, director,  trus-
     2  tee  or employee of any public corporation, when acting in such official
     3  capacity; provided however,  that  nothing  in  this  section  shall  be
     4  construed  to  relieve  any public corporation of the obligation to file
     5  such statements and reports as required by this article.
     6    (4) Such biennial filings shall be  completed  on  or  before  January
     7  first  of the first year of a biennial cycle commencing in calendar year
     8  two thousand five  and  thereafter,  by  those  persons  who  have  been
     9  retained, employed or designated as a lobbyist or a political consultant
    10  on  or  before  December fifteenth of the previous calendar year and who
    11  reasonably anticipate that in the coming year they will expend, incur or
    12  receive combined reportable compensation and expenses in  an  amount  in
    13  excess of two thousand dollars in years prior to calendar year two thou-
    14  sand  six  and five thousand dollars commencing in two thousand six; for
    15  those lobbyists or political consultants retained,  employed  or  desig-
    16  nated  after the previous December fifteenth, and for those lobbyists or
    17  political consultants who subsequent to their  retainer,  employment  or
    18  designation  reasonably  anticipate combined reportable compensation and
    19  expenses in excess of such amount, such filing must be completed  within
    20  fifteen  days  thereafter, but in no event later than ten days after the
    21  actual incurring  or  receiving  of  such  reportable  compensation  and
    22  expenses.
    23    (b)  (i)  Such  statements of registration shall be kept on file for a
    24  period of three years for those filing periods where  annual  statements
    25  are required, and shall be open to public inspection during such period;
    26  (ii)  Biennial  statements  of  registration shall be kept on file for a
    27  period of three biennial filing periods where  biennial  statements  are
    28  required, and shall be open to public inspection during such period.
    29    (c) Such statement of registration shall contain:
    30    (1)  the  name,  address and telephone number of the lobbyist or poli-
    31  tical consultant, and if the lobbyist  or  political  consultant  is  an
    32  organization  the  names, addresses and telephone numbers of any officer
    33  or employee of such lobbyist or political consultant who engages in  any
    34  lobbying  or  political  consulting  activities or who is employed in an
    35  organization's division that engages in lobbying or political consulting
    36  activities of the organization;
    37    (2) the name, address and telephone number of the client by whom or on
    38  whose behalf the lobbyist or political consultant is retained,  employed
    39  or designated;
    40    (3)  if  such lobbyist or political consultant is retained or employed
    41  pursuant to a written agreement of retainer or  employment,  a  copy  of
    42  such  shall also be attached and if such retainer or employment is oral,
    43  a statement of the substance thereof; such written retainer, or if it is
    44  oral, a statement of the substance thereof, and any  amendment  thereto,
    45  shall be retained for a period of three years;
    46    (4)  a  written  authorization from the client by whom the lobbyist or
    47  political consultant is authorized to lobby or consult for, unless  such
    48  lobbyist  or  political  consultant  has  filed  a  written agreement of
    49  retainer or employment pursuant to paragraph three of this subdivision;
    50    (5) the following information on which the lobbyist expects  to  lobby
    51  or  the  political  consultant intends to consult:  (i) a description of
    52  the general subject or subjects, (ii) the legislative  bill  numbers  of
    53  any bills, (iii) the numbers or subject matter (if there are no numbers)
    54  of  gubernatorial  executive  orders  or  executive orders issued by the
    55  chief executive officer of a municipality, (iv) the  subject  matter  of
    56  and  tribes  involved in tribal-state compacts, memoranda of understand-

        S. 6411                            67                            A. 9011
 
     1  ing, or any other state-tribal agreements and any state actions  related
     2  to class III gaming as provided in 25 U.S.C. § 2701, (v) the rule, regu-
     3  lation,  and  ratemaking  numbers  of  any rules, regulations, rates, or
     4  municipal ordinances and resolutions, or proposed rules, regulations, or
     5  rates,  or  municipal  ordinances and resolutions, [and] (vi) the titles
     6  and any identifying numbers of any procurement contracts and other docu-
     7  ments disseminated by a state agency, either house of the state legisla-
     8  ture, the unified court system, municipal agency  or  local  legislative
     9  body in connection with a governmental procurement, and (vii) the issues
    10  and/or campaigns for which work is contemplated;
    11    (6)  the  name of the person, organization, or legislative body before
    12  which the lobbyist is lobbying or expects to lobby or the  name  of  the
    13  elected official for whom the political consultant intends to consult;
    14    (7)  if  the lobbyist or political consultant is retained, employed or
    15  designated by more than one client, a separate statement of registration
    16  shall be required for each such client.
    17    (8) (i) the name and public office address of  any  statewide  elected
    18  official, state officer or employee, member of the legislature or legis-
    19  lative  employee and entity with whom the lobbyist or political consult-
    20  ant has a reportable business relationship;
    21    (ii) a description of the general subject or subjects  of  the  trans-
    22  actions  between  the  lobbyist [or], lobbyists, political consultant or
    23  political consultants and the statewide elected official, state  officer
    24  or employee, member of the legislature or legislative employee and enti-
    25  ty; and
    26    (iii)  the  compensation,  including  expenses, to be paid and paid by
    27  virtue of the business relationship.
    28    (d) Any amendment to the information filed by the  lobbyist  or  poli-
    29  tical  consultant  in  the  original  statement of registration shall be
    30  submitted to the commission on forms supplied by the  commission  within
    31  ten  days  after  such  amendment,  however,  this shall not require the
    32  lobbyist or political consultant to amend the entire registration form.
    33    (e) (i) The first statement of registration  filed  annually  by  each
    34  lobbyist or political consultant for calendar years through two thousand
    35  three shall be accompanied by a registration fee of fifty dollars except
    36  that  no  registration  fee shall be required of a public corporation. A
    37  fee of fifty dollars shall be required for any subsequent  statement  of
    38  registration filed by a lobbyist or political consultant during the same
    39  calendar  year;  (ii) The first statement of registration filed annually
    40  by each lobbyist or political consultant for calendar year two  thousand
    41  four  shall  be accompanied by a registration fee of one hundred dollars
    42  except that no registration fee shall be required from any  lobbyist  or
    43  political  consultant  who in any year does not expend, incur or receive
    44  an amount in excess of five thousand dollars of reportable  compensation
    45  and  expenses,  as  provided  in  paragraph  five  of subdivision (b) of
    46  section one-h of this article, for the purposes of  lobbying,  political
    47  consulting  or  of  a  public  corporation. A fee of one hundred dollars
    48  shall be required for any subsequent statement of registration filed  by
    49  a  lobbyist  or  a  political  consultant during the same calendar year;
    50  (iii) The first statement  of  registration  filed  biennially  by  each
    51  lobbyist  or  political  consultant  for the first biennial registration
    52  requirements for calendar years two thousand five and two  thousand  six
    53  and  thereafter,  shall  be  accompanied  by  a  registration fee of two
    54  hundred dollars except that no registration fee shall be  required  from
    55  any  lobbyist  or  political consultant who in any year does not expend,
    56  incur or receive an amount in excess of five thousand dollars of report-

        S. 6411                            68                            A. 9011
 
     1  able compensation and expenses, as provided in paragraph five of  subdi-
     2  vision  (b) of section one-h of this article, for the purposes of lobby-
     3  ing, political consulting or of a  public  corporation.  A  fee  of  two
     4  hundred dollars shall be required for any subsequent statement of regis-
     5  tration  filed  by  a lobbyist or a political consultant during the same
     6  biennial period; (iv) The statement of registration filed after the  due
     7  date  of  a biennial registration shall be accompanied by a registration
     8  fee that is prorated to one hundred dollars for any  registration  filed
     9  after  January first of the second calendar year covered by the biennial
    10  reporting requirement. In  addition  to  the  fees  authorized  by  this
    11  section,  the commission may impose a fee for late filing of a registra-
    12  tion statement required  by  this  section  not  to  exceed  twenty-five
    13  dollars  for  each  day that the statement required to be filed is late,
    14  except that if the lobbyist or political consultant making a late filing
    15  has not previously been required by statute to file  such  a  statement,
    16  the  fee  for late filing shall not exceed ten dollars for each day that
    17  the statement required to be filed is late.
    18    § 4. Section 1-g of the legislative law, as added by chapter 2 of  the
    19  laws of 1999, is amended to read as follows:
    20    §  1-g.  Termination  of retainer, employment or designation. Upon the
    21  termination of a lobbyist's or political consultant's retainer,  employ-
    22  ment  or  designation,  such  lobbyist  or  political consultant and the
    23  client on whose behalf such service has been rendered  shall  both  give
    24  written  notice  to the commission within thirty days after the lobbyist
    25  or political consultant ceases the activity that required such  lobbyist
    26  or  political  consultant  to file a statement of registration; however,
    27  such lobbyist or political consultant shall nevertheless comply with the
    28  bi-monthly reporting requirements up  to  the  date  such  activity  has
    29  ceased as required by this article and both such parties shall each file
    30  the  semi-annual  report  required by section one-j of this article. The
    31  commission shall enter notice of such  termination  in  the  appropriate
    32  monthly registration docket required by section one-f of this article.
    33    §  5. Section 1-h of the legislative law, as added by chapter 2 of the
    34  laws of 1999, subdivision (a) and paragraph  3  of  subdivision  (b)  as
    35  amended  by  chapter 14 of the laws of 2007, and paragraph 4 of subdivi-
    36  sion (c) as added by section 1 of part B of chapter 399 of the  laws  of
    37  2011, is amended to read as follows:
    38    §  1-h.  Bi-monthly reports of certain lobbyists or political consult-
    39  ants. (a) Any lobbyist or political consultant required to file a state-
    40  ment of registration pursuant to section one-e of this  article  who  in
    41  any  lobbying  or  political consulting year reasonably anticipates that
    42  during the year such lobbyist or political consultant will expend, incur
    43  or receive combined reportable compensation and expenses in an amount in
    44  excess of five thousand dollars, as provided in paragraph five of subdi-
    45  vision (b) of this section, for the purpose  of  lobbying  or  political
    46  consulting,  shall file with the commission a bi-monthly written report,
    47  on forms supplied by the commission, by the fifteenth day next  succeed-
    48  ing  the  end of the reporting period in which the lobbyist or political
    49  consultant was first required to file a statement of registration.  Such
    50  reporting  periods  shall be the period of January first to the last day
    51  of February, March first to April thirtieth, May first to  June  thirti-
    52  eth, July first to August thirty-first, September first to October thir-
    53  ty-first and November first to December thirty-first.
    54    (b) Such bi-monthly report shall contain:
    55    (1)  the  name,  address and telephone number of the lobbyist or poli-
    56  tical consultant;

        S. 6411                            69                            A. 9011
 
     1    (2) the name, address and telephone number of the client by whom or on
     2  whose behalf the lobbyist or political consultant is retained,  employed
     3  or designated;
     4    (3) the following information on which the lobbyist has lobbied or the
     5  political  consultant  has  consulted:  (i) a description of the general
     6  subject or subjects, (ii) the legislative bill  numbers  of  any  bills,
     7  (iii)  the numbers or subject matter (if there are no numbers) of guber-
     8  natorial executive orders or executive orders issued by the chief execu-
     9  tive officer of a municipality, (iv) the subject matter  of  and  tribes
    10  involved  in  tribal-state  compacts, memoranda of understanding, or any
    11  other state-tribal agreements and any state actions related to class III
    12  gaming as provided in 25 U.S.C. § 2701, (v) the  rule,  regulation,  and
    13  ratemaking  or  municipal  ordinance or resolution numbers of any rules,
    14  regulations, or rates or ordinance or proposed  rules,  regulations,  or
    15  rates  or  municipal  ordinances or resolutions, and (vi) the titles and
    16  any identifying numbers of any procurement contracts and other documents
    17  disseminated by a state agency, either house of the  state  legislature,
    18  the  unified court system, municipal agency or local legislative body in
    19  connection with a governmental procurement;
    20    (4) the name of the person, organization, or legislative  body  before
    21  which   the  lobbyist  has  lobbied  or  the  political  consultant  has
    22  consulted;
    23    (5) (i) the compensation paid or owed to  the  lobbyist  or  political
    24  consultant,  and  any  expenses  expended,  received  or incurred by the
    25  lobbyist or political consultant for the purpose of  lobbying  or  poli-
    26  tical consulting.
    27    (ii)  expenses required to be reported pursuant to subparagraph (i) of
    28  this paragraph shall be listed in the aggregate if seventy-five  dollars
    29  or  less  and  if  more than seventy-five dollars such expenses shall be
    30  detailed as to amount, to whom paid, and for  what  purpose;  and  where
    31  such  expense  is  more  than  seventy-five dollars on behalf of any one
    32  person, the name of such person shall be listed.
    33    (iii) for the purposes of this paragraph, expenses shall not include:
    34    (A) personal sustenance, lodging  and  travel  disbursements  of  such
    35  lobbyist or political consultant;
    36    (B)  expenses, not in excess of five hundred dollars in any one calen-
    37  dar year, directly incurred for the printing or other means  of  reprod-
    38  uction or mailing of letters, memoranda or other written communications.
    39    (iv)  expenses  paid  or  incurred for salaries other than that of the
    40  lobbyist or political consultant shall be listed in the aggregate.
    41    (v) expenses of more than fifty dollars shall  be  paid  by  check  or
    42  substantiated  by receipts and such checks and receipts shall be kept on
    43  file by the lobbyist or political  consultant  for  a  period  of  three
    44  years.
    45    (c)  (1) All such bi-monthly reports shall be subject to review by the
    46  commission.
    47    (2) Such bi-monthly reports shall be kept on file for three years  and
    48  shall be open to public inspection during such time.
    49    (3)  In  addition  to  the filing fees authorized by this article, the
    50  commission may impose a fee for  late  filing  of  a  bi-monthly  report
    51  required  by this section not to exceed twenty-five dollars for each day
    52  that the report required to be filed is late, except that if the  lobby-
    53  ist or political consultant making a late filing has not previously been
    54  required by statute to file such a report, the fee for late filing shall
    55  not exceed ten dollars for each day that the report required to be filed
    56  is late.

        S. 6411                            70                            A. 9011
 
     1    (4)  Any  lobbyist  or  political  consultant  registered  pursuant to
     2  section one-e of this article whose lobbying or consulting  activity  is
     3  performed on its own behalf and not pursuant to retention by a client:
     4    (i)  that has spent over fifty thousand dollars for reportable compen-
     5  sation and expenses for lobbying or political consulting  either  during
     6  the  calendar year, or during the twelve-month period, prior to the date
     7  of this bi-monthly report, and
     8    (ii) at least three percent of whose  total  expenditures  during  the
     9  same period were devoted to lobbying or political consulting in New York
    10  shall  report to the commission the names of each source of funding over
    11  five thousand dollars from a single source that were used  to  fund  the
    12  lobbying or consulting activities reported and the amounts received from
    13  each identified source of funding.
    14    This disclosure shall not require disclosure of the sources of funding
    15  whose  disclosure,  in  the determination of the commission based upon a
    16  review of the relevant facts presented  by  the  reporting  lobbyist  or
    17  political  consultant, may cause harm, threats, harassment, or reprisals
    18  to the source or to individuals or property affiliated with the  source.
    19  The  reporting  lobbyist  or political consultant may appeal the commis-
    20  sion's determination and such appeal shall be heard by a judicial  hear-
    21  ing  officer  who  is independent and not affiliated with or employed by
    22  the commission, pursuant to regulations promulgated by  the  commission.
    23  The  reporting lobbyist or political consultant shall not be required to
    24  disclose the sources of funding that are  the  subject  of  such  appeal
    25  pending final judgment on appeal.
    26    The disclosure shall not apply to:
    27    (i)  any  corporation  registered  pursuant  to article seven-A of the
    28  executive law that is qualified as an exempt organization by the  United
    29  States Department of the Treasury under I.R.C. § 501(c)(3);
    30    (ii)  any  corporation  registered  pursuant to article seven-A of the
    31  executive law that is qualified as an exempt organization by the  United
    32  States  Department  of  the  Treasury under I.R.C. § 501(c)(4) and whose
    33  primary activities concern any area of public concern determined by  the
    34  commission  to  create a substantial likelihood that application of this
    35  disclosure requirement would  lead  to  harm,  threats,  harassment,  or
    36  reprisals  to  a  source of funding or to individuals or property affil-
    37  iated with such source, including but not limited to the area  of  civil
    38  rights  and  civil liberties and any other area of public concern deter-
    39  mined pursuant to regulations promulgated by the commission  to  form  a
    40  proper  basis  for exemption on this basis from this disclosure require-
    41  ment; or
    42    (iii) any governmental entity.
    43    The joint commission on public ethics shall promulgate regulations  to
    44  implement these requirements.
    45    §  6.  Section  1-j of the legislative law, as amended by chapter 1 of
    46  the laws of 2005, subdivision (a) as amended by chapter 14 of  the  laws
    47  of  2007, paragraph 6 of subdivision (b) as added by section 7-b of part
    48  A and paragraph 4 of subdivision (c) as added by section 2 of part B  of
    49  chapter 399 of the laws of 2011, is amended to read as follows:
    50    §  1-j. Semi-annual reports. (a) Semi-annual reports shall be filed by
    51  any client retaining, employing or designating a lobbyist  or  lobbyists
    52  or political consultant or consultants, whether or not any such lobbyist
    53  or  political  consultant  was  required to file a bi-monthly report, if
    54  such client reasonably anticipates that during the year such client will
    55  expend or incur an amount in excess of five thousand dollars of combined
    56  reportable compensation and expenses, as provided in paragraph  five  of

        S. 6411                            71                            A. 9011
 
     1  subdivision  (c)  of this section, for the purposes of lobbying or poli-
     2  tical consulting.
     3    (b)  Such report shall be filed with the commission, on forms supplied
     4  by the commission, by the fifteenth day of July of the year and  by  the
     5  fifteenth  day  of January next following the year for which such report
     6  is made and shall contain:
     7    (1) the name, address and telephone number of the client;
     8    (2) the name, address and telephone number of each lobbyist  or  poli-
     9  tical consultant retained, employed or designated by such client;
    10    (3)  the  following  information  on  which each lobbyist or political
    11  consultant retained, employed or designated by such client  has  lobbied
    12  or  consulted, and on which such client has lobbied or required consult-
    13  ing: (i) a description of the general  subject  or  subjects,  (ii)  the
    14  legislative  bill  numbers  of  any  bills, (iii) the numbers or subject
    15  matter (if there are no numbers) of gubernatorial  executive  orders  or
    16  executive  orders  issued  by  the  chief executive officer of a munici-
    17  pality, (iv) the subject matter of and tribes involved  in  tribal-state
    18  compacts,  memoranda  of understanding, or any other state-tribal agree-
    19  ments and any state actions related to class III gaming as  provided  in
    20  25  U.S.C.  2701,  (v) the rule, regulation, and ratemaking or municipal
    21  resolution or ordinance numbers of any rules, regulations, or rates,  or
    22  municipal  resolutions  or ordinances or proposed rules, regulations, or
    23  rates, or municipal ordinances or resolutions and (vi)  the  titles  and
    24  any identifying numbers of any procurement contracts and other documents
    25  disseminated  by  a state agency, either house of the state legislature,
    26  the unified court system, municipal agency or local legislative body  in
    27  connection with a governmental procurement;
    28    (4)  the  name of the person, organization, or legislative body before
    29  which such client has lobbied or consulted;
    30    (5) (i) the compensation paid or owed to each such lobbyist  or  poli-
    31  tical consultant, and any other expenses paid or incurred by such client
    32  for the purpose of lobbying or political consulting.
    33    (ii) any expenses required to be reported pursuant to subparagraph (i)
    34  of  this  paragraph  shall  be  listed  in the aggregate if seventy-five
    35  dollars or less and if more  than  seventy-five  dollars  such  expenses
    36  shall  be detailed as to amount, to whom paid, and for what purpose; and
    37  where such expenses are more than seventy-five dollars on behalf of  any
    38  one person, the name of such person shall be listed.
    39    (iii) for the purposes of this paragraph, expenses shall not include:
    40    (A)  personal  sustenance,  lodging  and  travel disbursements of such
    41  lobbyist or political consultant and client;
    42    (B) expenses, not in excess of five hundred dollars, directly incurred
    43  for the printing or other means of reproduction or mailing  of  letters,
    44  memoranda or other written communications.
    45    (iv)  expenses  paid  or  incurred for salaries other than that of the
    46  lobbyist or political consultant shall be listed in the aggregate.
    47    (v) expenses of more than fifty dollars  must  be  paid  by  check  or
    48  substantiated  by receipts and such checks and receipts shall be kept on
    49  file by such client for a period of three years.
    50    (6) (i) the name and public office address of  any  statewide  elected
    51  official, state officer or employee, member of the legislature or legis-
    52  lative  employee  and entity with whom the client of a lobbyist or poli-
    53  tical consultant has a reportable business relationship;
    54    (ii) a description of the general subject or subjects  of  the  trans-
    55  actions between the client of a lobbyist or political consultant and the

        S. 6411                            72                            A. 9011
 
     1  statewide  elected  official,  state  officer or employee, member of the
     2  legislature or legislative employee and entity; and
     3    (iii)  the  compensation,  including  expenses, to be paid and paid by
     4  virtue of the business relationship.
     5    (c) (1) All such semi-annual reports shall be subject to review by the
     6  commission.
     7    (2) Such semi-annual reports shall be kept on file  for  a  period  of
     8  three years and shall be open to public inspection during such period.
     9    (3) Each semi-annual report filed by a client pursuant to this section
    10  shall  be  accompanied  by a filing fee of fifty dollars. In addition to
    11  the filing fees authorized by this article, the commission may impose  a
    12  fee for late filing of a semi-annual report required by this section not
    13  to  exceed  twenty-five dollars for each day that the report required to
    14  be filed is late, except that if the client making a late filing has not
    15  previously been required by statute to file  an  annual  or  semi-annual
    16  report,  the  fee  for late filing shall not exceed ten dollars for each
    17  day that the report required to be filed is late.
    18    (4) Any client of a lobbyist or political consultant that is  required
    19  to file a semi-annual report and:
    20    (i)  that has spent over fifty thousand dollars for reportable compen-
    21  sation and expenses for lobbying or political consulting  either  during
    22  the  calendar year, or during the twelve-month period, prior to the date
    23  of this semi-annual report, and
    24    (ii) at least three percent of whose  total  expenditures  during  the
    25  same period were devoted to lobbying or political consulting in New York
    26  shall  report to the commission the names of each source of funding over
    27  five thousand dollars from a single source that were used  to  fund  the
    28  lobbying  or  political  consulting  activities reported and the amounts
    29  received from each identified source of funding.
    30    This disclosure shall not require disclosure of the sources of funding
    31  whose disclosure, in the determination of the commission  based  upon  a
    32  review of the relevant facts presented by the reporting client or lobby-
    33  ist  or  political  consultant,  may cause harm, threats, harassment, or
    34  reprisals to the source or to individuals or  property  affiliated  with
    35  the  source.  The  reporting lobbyist or political consultant may appeal
    36  the commission's determination and such appeal shall be heard by a judi-
    37  cial hearing officer who is  independent  and  not  affiliated  with  or
    38  employed  by  the commission, pursuant to regulations promulgated by the
    39  commission. The reporting lobbyist or political consultant shall not  be
    40  required to disclose the sources of funding that are the subject of such
    41  appeal pending final judgment on appeal.  The disclosure shall not apply
    42  to:
    43    (i)  any  corporation  registered  pursuant  to article seven-A of the
    44  executive law that is qualified as an exempt organization by the  United
    45  States Department of the Treasury under I.R.C. § 501(c)(3);
    46    (ii)  any  corporation  registered  pursuant to article seven-A of the
    47  executive law that is qualified as an exempt organization by the  United
    48  States  Department  of  the  Treasury under I.R.C. § 501(c)(4) and whose
    49  primary activities concern any area of public concern determined by  the
    50  commission  to  create a substantial likelihood that application of this
    51  disclosure requirement would  lead  to  harm,  threats,  harassment,  or
    52  reprisals  to  a  source of funding or to individuals or property affil-
    53  iated with such source, including but not limited to the area  of  civil
    54  rights  and  civil liberties and any other area of public concern deter-
    55  mined pursuant to regulations promulgated by the commission  to  form  a

        S. 6411                            73                            A. 9011
 
     1  proper  basis  for exemption on this basis from this disclosure require-
     2  ment; or
     3    (iii) any governmental entity.
     4    The  joint commission on public ethics shall promulgate regulations to
     5  implement these requirements.
     6    § 7. The opening paragraph of subdivision (a) of section  1-k  of  the
     7  legislative law, as amended by chapter 1 of the laws of 2005, is amended
     8  to read as follows:
     9    No  client shall retain or employ any lobbyist or political consultant
    10  for compensation, the rate or amount of which compensation in  whole  or
    11  part is contingent or dependent upon:
    12    §  8.  Section  1-l of the legislative law , as added by chapter 14 of
    13  the laws of 2007, is amended to read as follows:
    14    § 1-l. Reports of lobbying or political consulting for the purpose  of
    15  involving  disbursement  of public monies. (a) Any lobbyist or political
    16  consultant required to file a  statement  of  registration  pursuant  to
    17  section one-e of this article who in any lobbying year reasonably antic-
    18  ipates  that during the year they will expend, incur or receive combined
    19  reportable compensation and expenses in an  amount  in  excess  of  five
    20  thousand  dollars  shall  file with the commission, on forms supplied by
    21  the commission, a report of any attempts to influence a determination by
    22  a public official, or by a person or entity working in cooperation  with
    23  a  public  official, with respect to the solicitation, award or adminis-
    24  tration of a grant, loan, or agreement  involving  the  disbursement  of
    25  public monies in excess of fifteen thousand dollars other than a govern-
    26  mental procurement as defined in section one-c of this article.
    27    (b)  Such public monies lobbying or political consulting reports shall
    28  contain:
    29    (i) the name, address and telephone number of the  lobbyist  or  poli-
    30  tical  consultant  and the individuals employed by the lobbyist or poli-
    31  tical consultant engaged in such public monies lobbying activities;
    32    (ii) the name, address and telephone number of the client by  whom  or
    33  on  whose  behalf  the  lobbyist  or  political  consultant is retained,
    34  employed or  designated  on  whose  behalf  the  lobbyist  or  political
    35  consultant has engaged in lobbying reportable under this paragraph;
    36    (iii)  a  description  of  the grant, loan, or agreement involving the
    37  disbursement of public monies on which the lobbyist has lobbied or poli-
    38  tical consultant has consulted;
    39    (iv) the name of the person, organization, or legislative body  before
    40  which  the  lobbyist  or political consultant has engaged in lobbying or
    41  consulting reportable under this paragraph; and
    42    (v) the compensation  paid  or  owed  to  the  lobbyist  or  political
    43  consultant,  and  any  expenses  expended,  received  or incurred by the
    44  lobbyist or consultant for the purpose of lobbying reportable under this
    45  paragraph.
    46    (c) Public monies lobbying or consulting reports required pursuant  to
    47  this  section  shall be filed in accordance with the schedule applicable
    48  to the filing of bi-monthly reports pursuant to section  one-h  of  this
    49  article  and  shall  be  filed  not  later  than  the fifteenth day next
    50  succeeding the end of such reporting period.
    51    (d) In addition to any other fees  authorized  by  this  section,  the
    52  commission may impose a fee for late filing of a report required by this
    53  subdivision  not  to  exceed  twenty-five  dollars for each day that the
    54  report required to be filed is late, except  that  if  the  lobbyist  or
    55  consultant  making  a  late  filing  has not previously been required by

        S. 6411                            74                            A. 9011
 
     1  statute to file such a report, the fee for late filing shall not  exceed
     2  ten dollars for each day that the report required to be filed is late.
     3    (e) All reports filed pursuant to this subdivision shall be subject to
     4  review  by the commission. Such reports shall be kept in electronic form
     5  by the commission and shall be available for public inspection.
     6    § 9.  Section 1-o of the legislative law, as added by  chapter  14  of
     7  the laws of 2007, is amended to read as follows:
     8    §  1-o.  Penalties. (a) (i) Any lobbyist, political consultant, public
     9  corporation, or client who knowingly and wilfully fails to file timely a
    10  report or statement required by this section or knowingly  and  wilfully
    11  files false information or knowingly and wilfully violates section one-m
    12  of this article shall be guilty of a class A misdemeanor; and
    13    (ii) any lobbyist, political consultant, public corporation, or client
    14  who  knowingly  and  wilfully fails to file timely a report or statement
    15  required by this section or knowingly and wilfully files false  informa-
    16  tion  or  knowingly and wilfully violates section one-m of this article,
    17  after having previously been convicted in the preceding  five  years  of
    18  the crime described in paragraph (i) of this subdivision, shall be guil-
    19  ty  of  a class E felony. Any lobbyist or political consultant convicted
    20  of or pleading guilty to a felony under the provisions of  this  section
    21  may  be  barred  from acting as a lobbyist or political consultant for a
    22  period of one year from the date of the conviction. For the purposes  of
    23  this  subdivision,  the chief administrative officer of any organization
    24  required to file a statement or report shall be the  person  responsible
    25  for  making and filing such statement or report unless some other person
    26  prior to the due date thereof has been duly designated to make and  file
    27  such statement or report.
    28    (b)(i) A lobbyist, political consultant, public corporation, or client
    29  who  knowingly  and  wilfully fails to file a statement or report within
    30  the time required for the filing of such report or knowingly and wilful-
    31  ly violates section one-m of this article shall be subject  to  a  civil
    32  penalty  for  each such failure or violation, in an amount not to exceed
    33  the greater of twenty-five thousand dollars or three  times  the  amount
    34  the   person  failed  to  report  properly  or  unlawfully  contributed,
    35  expended, gave or received, to be assessed by the commission.
    36    (ii) A lobbyist, political consultant, public corporation,  or  client
    37  who  knowingly  and  wilfully files a false statement or report shall be
    38  subject to a civil penalty, in an amount not to exceed  the  greater  of
    39  fifty  thousand  dollars  or  five times the amount the person failed to
    40  report properly, to be assessed by the commission.
    41    (iii)(A) A lobbyist, political consultant or client who knowingly  and
    42  wilfully  violates the provisions of subdivision one of section one-n of
    43  this article shall be subject to a civil penalty not to exceed ten thou-
    44  sand dollars for an initial violation.
    45    (B) If, after a lobbyist, political  consultant  or  client  has  been
    46  found to have violated subdivision one of section one-n of this article,
    47  a  lobbyist,  political  consultant  or  client  knowingly  and wilfully
    48  violates the provisions of subdivision one  of  section  one-n  of  this
    49  article  within  four  years  of  such  finding, the lobbyist, political
    50  consultant or client shall be subject to a civil penalty not  to  exceed
    51  twenty-five thousand dollars.
    52    (iv)  Any  lobbyist, political consultant or client that knowingly and
    53  wilfully fails to file a statement or report within  the  time  required
    54  for  the  filing  of  such  report, knowingly and wilfully files a false
    55  statement or report, or knowingly and wilfully violates section one-m of
    56  this article, after having been found by the commission to  have  [know-

        S. 6411                            75                            A. 9011

     1  ing]  knowingly  and wilfully committed such conduct or violation in the
     2  preceding five years, may be subject to a determination that the  lobby-
     3  ist,  political  consultant  or  client  is  prohibited from engaging in
     4  lobbying  activities, as that term is defined in paragraph (v) of subdi-
     5  vision (c) of section one-c of this article, for a period of one year.
     6    (v) Any lobbyist, political consultant or client  that  knowingly  and
     7  wilfully engages in lobbying or political consulting activities, as that
     8  term  is defined in paragraph (v) of subdivision (c) of section one-c of
     9  this article, during the period in which they are prohibited from engag-
    10  ing in lobbying or political consulting  activities,  as  that  term  is
    11  defined  in  paragraph  (v)  of subdivision (c) of section one-c of this
    12  article pursuant to this subdivision, may be subject to a  determination
    13  that  the  lobbyist,  political  consultant or client is prohibited from
    14  engaging in lobbying or political consulting activities, as that term is
    15  defined in paragraph (v) of subdivision (c) of  section  one-c  of  this
    16  article,  for  a  period  of up to four years, and shall be subject to a
    17  civil penalty not to exceed fifty thousand dollars, plus a civil penalty
    18  in an amount equal to five times the value of any gift, compensation  or
    19  benefit received as a result of the violation.
    20    (vi)  A  lobbyist, political consultant, public corporation, or client
    21  who knowingly and wilfully fails to retain  their  records  pursuant  to
    22  paragraph  three  of  subdivision  (c) of section one-e of this article,
    23  subparagraph (v) of paragraph five of subdivision (b) of  section  one-h
    24  of  this  article, or paragraph five of subdivision (b) of section one-j
    25  of this article shall be subject to a civil penalty in an amount of  two
    26  thousand dollars per violation to be assessed by the commission.
    27    (c)(i) Any assessment or order to debar shall be determined only after
    28  a  hearing  at  which  the  party  shall  be entitled to appear, present
    29  evidence and be heard. Any assessment or order to debar pursuant to this
    30  section may only be imposed after the commission sends by certified  and
    31  first-class  mail  written notice of intent to assess a penalty or order
    32  to debar and the basis for the penalty or order to debar. Any assessment
    33  may be recovered in an action brought by the attorney general.
    34    (ii) In assessing any fine or penalty pursuant to  this  section,  the
    35  commission shall consider: (A) as a mitigating factor that the lobbyist,
    36  political  consultant,  public  corporation or client has not previously
    37  been required to register, and (B) as an  aggravating  factor  that  the
    38  lobbyist,  political  consultant,  public  corporation or client has had
    39  fines or penalties assessed against  it  in  the  past.  The  amount  of
    40  compensation expended, incurred or received shall be a factor to consid-
    41  er in determining a proportionate penalty.
    42    (iii) Any lobbyist, political consultant, public corporation or client
    43  who  receives  a  notice of intent to assess a penalty for knowingly and
    44  wilfully failing to file a report or statement pursuant  to  subdivision
    45  (b)  of  this  section and who has never previously received a notice of
    46  intent to assess a penalty for failing to file  a  report  or  statement
    47  required  under  this section shall be granted fifteen days within which
    48  to file the statement of registration or report without being subject to
    49  the fine or penalty set forth in subdivision (b) of this  section.  Upon
    50  the  failure  of such lobbyist, political consultant, public corporation
    51  or client to file within such fifteen day period, such  lobbyist,  poli-
    52  tical  consultant,  public  corporation  or client shall be subject to a
    53  fine or penalty pursuant to subdivision (b) of this section.
    54    (d) All moneys recovered by the attorney general or  received  by  the
    55  commission  from  the  assessment  of civil penalties authorized by this
    56  section shall be deposited to the general fund.

        S. 6411                            76                            A. 9011
 
     1    § 10. Section 1-r of the legislative law, as added by chapter 2 of the
     2  laws of 1999 and as relettered by chapter 1 of  the  laws  of  2005,  is
     3  amended to read as follows:
     4    §  1-r.  Publication of statement on lobbying and political consulting
     5  regulations. The commission shall publish a statement  on  lobbying  and
     6  political  consulting regulations setting forth the requirements of this
     7  article in a clear and brief manner. Such  statement  shall  contain  an
     8  explanation  of  the registration and filing requirements and the penal-
     9  ties for violation thereof, together with such other information as  the
    10  commission  shall  determine, and copies thereof shall be made available
    11  to the public at convenient locations throughout the state.
    12    § 11. Section 1-s of the legislative law, as added by chapter 2 of the
    13  laws of 1999 and as relettered by chapter 1 of  the  laws  of  2005,  is
    14  amended to read as follows:
    15    §  1-s.  Public  access to records; format of records and reports. The
    16  commission shall make  information  furnished  by  lobbyists,  political
    17  consultants,  and  clients  available  to  the public for inspection and
    18  copying in electronic and paper  formats.  Access  to  such  information
    19  shall  also  be  made  available  for  remote computer users through the
    20  internet network.
    21    § 12. The section heading, the opening paragraph  of  subdivision  (a)
    22  and  subdivisions  (c) and (d) of section 1-t of the legislative law, as
    23  added by chapter 1 of the laws of 2005, are amended to read as follows:
    24    Advisory council on procurement lobbying and political consulting.
    25    There is hereby established an advisory council on procurement  lobby-
    26  ing  and  political  consulting. The council shall be composed of eleven
    27  members as follows:
    28    (c) The council shall provide advice to the commission with respect to
    29  the implementation of the provisions of this article as such  provisions
    30  pertain to procurement lobbying and political consulting.
    31    (d)  The council shall annually report to the legislature any problems
    32  in the  implementation  of  the  provisions  of  this  article  as  such
    33  provisions  pertain  to  procurement  lobbying and political consulting.
    34  The council shall include in  the  report  any  recommended  changes  to
    35  increase the effectiveness of that implementation.
    36    §  13. Section 14-100 of the election law is amended by adding two new
    37  subdivisions 15 and 16 to read as follows:
    38    15.   "political consulting" means  and  includes  the  provision  for
    39  compensation,  to  any elected state or local public official of advice,
    40  services or assistance in securing future state or local  public  office
    41  including,  but  not limited to, campaign management, fundraising activ-
    42  ities, public relations or media services, but shall exclude legal  work
    43  directly related to litigation or legal advice with regard to securing a
    44  place on the ballot, the petitioning process, the conduct of an election
    45  or which involves this chapter.
    46    16.  "compensation"  means  any  salary,  fee, gift, payment, benefit,
    47  loan, advance or any other thing of value paid, owed, given or promised,
    48  but shall not include contributions reportable pursuant to this article.
    49    § 14. Subdivision 1 of section 14-102 of the election law, as  amended
    50  by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the
    51  laws of 1978, is amended to read as follows:
    52    1.  The  treasurer of every political committee which, or any officer,
    53  member or agent of any  such  committee  who,  in  connection  with  any
    54  election,  receives  or  expends  any  money  or other valuable thing or
    55  incurs any liability to pay money or its equivalent  shall  file  state-
    56  ments  sworn,  or subscribed and bearing a form notice that false state-

        S. 6411                            77                            A. 9011
 
     1  ments made therein are punishable as a class A misdemeanor  pursuant  to
     2  section 210.45 of the penal law, at the times prescribed by this article
     3  setting forth all the receipts, contributions to and the expenditures by
     4  and  liabilities  of  the  committee,  and  of its officers, members and
     5  agents in its behalf. Such statements shall include the dollar amount of
     6  any receipt, contribution or transfer, or the fair market value  of  any
     7  receipt,  contribution  or  transfer,  which is other than of money, the
     8  name and address of the transferor,  contributor  or  person  from  whom
     9  received,  and  if  the transferor, contributor or person is a political
    10  committee; the name of and the political unit represented by the commit-
    11  tee, the date of its receipt, the dollar amount  of  every  expenditure,
    12  the  name  and  address of the person to whom it was made or the name of
    13  and the political unit represented by the committee to which it was made
    14  and the date thereof, and  shall  state  clearly  the  purpose  of  such
    15  expenditure.    Furthermore, such statements shall include a list of all
    16  persons and organizations which provided political consulting  services,
    17  and  the  fair  market  value of and the actual amount paid to each such
    18  person and  organization  for  the  provision  of  political  consulting
    19  services.  Any  statement  reporting  a loan shall have attached to it a
    20  copy of the evidence of indebtedness. Expenditures in sums  under  fifty
    21  dollars need not be specifically accounted for by separate items in said
    22  statements,  and  receipts  and  contributions aggregating not more than
    23  ninety-nine dollars, from any one contributor need not  be  specifically
    24  accounted  for  by  separate items in said statements, provided however,
    25  that such expenditures, receipts and contributions shall be  subject  to
    26  the other provisions of section 14-118 of this article.
    27    §  15. Subdivision 1 of section 14-104 of the election law, as amended
    28  by chapter 430 of the laws of 1997, is amended to read as follows:
    29    1. Any candidate for election to public office, or for nomination  for
    30  public  office  at  a  contested  primary election or convention, or for
    31  election to a party position at a primary election,  shall  file  state-
    32  ments  sworn,  or subscribed and bearing a form notice that false state-
    33  ments made therein are punishable as a class A misdemeanor  pursuant  to
    34  section 210.45 of the penal law, at the times prescribed by this article
    35  setting  forth the particulars specified by section 14-102 of this arti-
    36  cle, as to all moneys or other valuable things, paid, given, expended or
    37  promised by him or her to aid his or her own nomination or election,  or
    38  to  promote  the  success  or  defeat of a political party, or to aid or
    39  influence the nomination or election or the defeat of any  other  candi-
    40  date to be voted for at the election or primary election or at a conven-
    41  tion, including contributions to political committees, officers, members
    42  or  agents  thereof, and transfers, receipts and contributions to him to
    43  be used for any of the purposes above specified, or in lieu thereof, any
    44  such candidate may file such a sworn statement at the first filing peri-
    45  od, on a form prescribed by the  state  board  of  elections  that  such
    46  candidate  has made no such expenditures and does not intend to make any
    47  such expenditures, except through a political  committee  authorized  by
    48  such  candidate  pursuant to this article.  Furthermore, such statements
    49  shall include a list of all persons  and  organizations  which  provided
    50  political  consulting  services,  and  the  fair market value of and the
    51  actual amount  paid  to  each  such  person  and  organization  for  the
    52  provision  of  political  consulting services. A committee authorized by
    53  such a candidate may fulfill all of the filing requirements of this  act
    54  on behalf of such candidate.
    55    §  16. Subparagraph (O) of paragraph (x) of subdivision (c) of section
    56  1-c of the legislative law is REPEALED.

        S. 6411                            78                            A. 9011
 
     1    § 17. Subdivision (u)  of  section  1-c  of  the  legislative  law  is
     2  REPEALED.
     3    §  18.  This act shall take effect on the thirtieth day after it shall
     4  have become a law.
     5    § 2. Severability clause. If any clause, sentence, paragraph, subdivi-
     6  sion, section or part of this act shall be  adjudged  by  any  court  of
     7  competent  jurisdiction  to  be invalid, such judgment shall not affect,
     8  impair, or invalidate the remainder thereof, but shall  be  confined  in
     9  its  operation  to the clause, sentence, paragraph, subdivision, section
    10  or part thereof directly involved in the controversy in which such judg-
    11  ment shall have been rendered. It is hereby declared to be the intent of
    12  the legislature that this act would  have  been  enacted  even  if  such
    13  invalid provisions had not been included herein.
    14    §  3.  This  act shall take effect immediately provided, however, that
    15  the applicable effective date of Parts A through H of this act shall  be
    16  as specifically set forth in the last section of such Parts.
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