Rpld S14-106, rpld S14-114 subs 3 & 10, amd El L, generally; add S92-y, St Fin L; amd S658, TaxL; amd SS1-c &
1-n, add S1-m-1, Leg L
Enacts "campaign financing reform act of 2000" to reform electoral campaign financing and to facilitate voter registration, provides for optional partial public financing of certain election campaigns in this state and for contribution limitations and local campaign finance disclosure applicable to candidates for the office of mayor, public advocate, comptroller and borough president in the city of New York; limits participation in fund raisers during a legislative session.
NEW YORK STATE ASSEMBLY MEMORANDUM IN SUPPORT OF LEGISLATION submitted in accordance with Assembly Rule III, Sec 1(f)
BILL NUMBER: A6940B
SPONSOR: Silver (MS) SUBJECT AND PURPOSE:
To provide optional public financing of campaigns for Statewide offices,
and State legislative offices; and to provide any locality with a popu-
lation over 100,000 with an option to request the legislation for public
financing of local campaigns.
SUMMARY OF DESCRIPTION OF PROVISIONS:
The bill amends Article 14 of the election law to add a new Title II
providing for public financing of primary and general election campaigns
for Statewide office and State Legislative office. It also adds a new
Title III to provide an option for localities to adopt public financing
for local races. The principal components of the public financing
system are outlined below.
1. To be eligible for public financing, a candidate for nomination or
election must satisfy the legal requirements for having his or her name
on the ballot, elect to participate in the public financing system, file
required statements and meet the threshold for eligibility.
The eligibility threshold in a primary or general election is as
follows:
Governor: Not less than $225,000 in matchable contributions, including
at least 1000 contributions in the amount of $10 or more.
Lt. Governor (primary only), Attorney Gen. & Comptroller: Not less than
$75,000 in matchable contributions, including at least 500 contributions
of $10 or more.
Senate: Not less than $7,500 in matchable contributions including at
least 25 contributions of $10 or more.
Assembly: Not less than $5,000 in matchable contributions, including at
least 25 contributions of $10 or more.
"Matchable contributions" consist of the net amount of contributions
after deduction of the value of any food, drink or entertainment
provided in exchange for the contribution. Only contributions from
persons who reside in New York State are matchable. Contributions from
persons who receive payments or things of value from a campaign or who
are associated with any entity which receives any such payment or thing
of value, are not matchable.
Contributions are matched at the rate of $1 for every $1 net contrib-
utions up to a maximum of $500 for any one contribution. If, however, a
candidate who does not elect to receive public funds spends more than
one-third of the expenditure limit for such office, or $250,000 of his
own money, a publicly funded candidate for such office may receive $2
for each $1 in matchable contribution.
Contributions received before the effective date of this act may be used
only to the extent that they do not exceed the contribution limits fixed
by this bill. If, however, a candidate who does not elect to receive
public funds spends more than one-third of the expenditure limit for
such office, or $250,000 of his/her own money, a publicly funded candi-
date for such office may use all contributions raised before the effec-
tive date of this act.
Candidates who do not elect to receive public funds cannot accept
contributions any earlier than one year before the first day to circu-
late designating petitions for that office.
To receive public funds for a primary election, a candidate must agree
to receive public funding for the general election. Candidates who are
unopposed in a primary election may not receive public funds unless
there is a contest in the primary for at least one other party for such
office, in which event they shall be allowed up to 50 cents for each $1
in matchable contributions. Candidates who are challenged in a primary
and who do not seek public funds are not eligible for public funds for
the general election, nor are candidates who are unopposed in a general
or special election.
Public funds may be used only for expenditures during the calendar year
of the primary or general election for services, material, facilities or
other things of value used in that year. They may not be used for
expenditures for non-campaign related food, drink or entertainment,
expenditures made to challenge an opponent's petitions, or payments to a
candidate or to a relative of the candidate or to any business entity of
which such a person is an officer or employee or has a ten percent or
greater ownership interest or for gifts.
2. Contribution Limits:
The following contribution limits apply to all contributions for offices
for which public funds are available.
Statewide: $4,000
Senate: $1,500
Assembly: $1,500
The bill adds the following limits on party contributions in general or
special elections to candidates for offices for which public funds are
available.
Candidates who have Candidates who have
opted to accept opted not to accept
PUBLIC FUNDS PUBLIC FUNDS
Gov. and Lt. Gov $700,000 $350,000
Att. Gen or Comp. $250,000 $125,000
State Sen. $50,000 $30,000
State Assem. $25,000 $15,000
If, however, a candidate who does not elect to receive public funds
spends more than one-third of the expenditure limit for such office, or
$250,000 of his own money, a publicly funded candidate for such office
may accept twice the contribution limit for the office from each
contributor.
Contribution limits will be adjusted to the nearest $100 every four
years to reflect changes in the cost of living.
Under current law, the contribution limits are as follows:
Statewide Office: 1/2 cent per enrolled voter for primary (approx.
$20,000) and 1/2 cent per registered for general election (approx.
$40,000)
Senate: $4,000 for a primary $6,250 for a general election
Assembly: $2,500 for a primary or a general election
Other Offices: (1) 5 cents per enrolled voter for primary (2) 5 cents
per registered voter up to $50,000 for general election
Candidates who have not opted to accept public funds and their commit-
tees may not accept contributions earlier than one year before the first
day for circulating designating petitions or later than the last day of
the calendar year when the election is held, except to the extent neces-
sary to satisfy a deficit.
3. Expenditure Limits:
The following expenditure limits apply to all candidates who receive
public funding.
GENERAL ELECTIONPRIMARY
Governor $7,000,000 75 cents per
enrolled voter or
$500,000, whichever
is more, but not to
exceed $2,500,000
Lt. Governor --- 75 cents per
enrolled voter or
$150,000, whichever
is more, but not to
exceed $1,250,000
Attorney General & $2,500,000 Same as Lt. Governor
Comptroller
State Senator $150,000 $1.75 per enrolled
voter or $30,000,
whichever is more,
but not to exceed
$150,000
Member of Assembly $75,000 $1.75 per enrolled
voter or $15,000,
whichever is more,
but not to exceed
$75,000
If a candidate who does not accept public funding spends more than one-
third the expenditure limit for such office, or $250,000 of his own
money, there shall be no expenditure limit for publicly funded candi-
dates for such office.
Expenditure limits will be adjusted to the nearest $1,000 every four
years to reflect changes in the cost of living.
4. Tax Check-Off:
The bill provides an income tax check-off provision of $3. Such monies
would be paid into a separate fund, known as the New York State election
campaign fund, in the joint custody of the Comptroller and the Commis-
sioner of Taxation and Finance, for payment to candidates on the audit
and warrant of the Comptroller on vouchers certified or approved by the
New York State Board of Elections. If, in any fiscal year, the state
election campaign fund lacks the money to pay all properly vouchered and
certified claims, the deficiency will be paid from the general fund upon
audit and warrant of the Comptroller. If the surplus in the fund, on
April first of the year following the election of a Governor, exceeds
twenty-five percent of the disbursements from the fund in the previous
four years, the excess shall revert to the general fund. The check off
will be adjusted every four years to the nearest fifty cents to reflect
changes in the cost of living.
5. Penalties:
The bill provides that failure to file a statement or record required by
Title II of Article 14 or implementing rules or regulations of the State
Board. If such failure to file is knowing and willful, it is punishable
as a class A misdemeanor.
The bill also punishes as a class A misdemeanor conduct by any person
who knowingly and willfully violates the public campaign financing
provisions or participates in contributions or expenditures which exceed
legal maximums, fails to furnish required information or furnishes false
information.
The bill provides that all prosecutions under this section shall be
instituted by the state board and conducted by the attorney general and
that the attorney general may delegate his prosecutorial authority to
the state board.
In addition, the bill provides that, if a candidate's aggregate expendi-
tures exceed the expenditure limitations, the candidate is liable for a
civil penalty in an amount equal to three times the amount of the
excess.
6. Public Financing of Local Offices:
The bill authorizes the legislative body of a county, city or town with
a population of more than 100,000 to request approval of public campaign
financing law for local elections. The request becomes effective upon
passage by both houses of the legislature and approval by the governor.
The legislature is required to act within sixty days after receipt of
the request. However, the bill provides that nothing in this section
shall be construed as limiting any authority which its locality had
prior to the enactment of the legislation.
7. Other changes in the Campaign Finance Laws:
The contribution limit for party committees is reduced from $76,500 to
$7,500.
EXISTING LAW:
Current law does not provide for public financing of any election
campaigns and in the absence of such public funding, it is unconstitu-
tional to limit aggregate campaign expenditures or personal expenditures
by a candidate. While the law limits the amount of individual contrib-
utions, the current formulas permit large contributions.
8. Albany Fundraiser Ban: The bill would prohibit fundraisers within 40
miles of the Capitol during the Albany legislative session. An exception
would be made for fundraisers held by candidates whose districts were
located within the 40-mile radius, provided such events were held on
non-session says.
EFFECTIVE DATE:
The year 2000 for the check-off.
The year 2002 for statewide elections.
The year 2002 for legislative elections.
Immediately for the other provisions.
LEGISLATIVE HISTORY: 1997-98 (A.4509-a), 1996-95 (A5051a), 1994
(A10866), 1993 (A7700), 1992 (A9354a), 1991 (A3079), 1990 (189c), 1989
(A189b), 1987-88 (A6809), 1985-86 (A3663), 1983-84 (A6969), 198 1-82
(A4764), 1979 (A7345)
ARGUMENTS IN SUPPORT: This public campaign-financing bill is similar
to legislation, which has been passed by the Assembly for many years. It
provides a comprehensive public financing scheme with effective limita-
tions on expenditures and contribution receipts.
Public campaign- financing will assist in assuring that campaigns are
free from impropriety, special privilege and unwarranted obligations, as
well as from the appearance of such evils. It also will relieve eligible
candidates of the onerous and time consuming burden of raising private
contributions and enable them to devote their time and efforts to a full
exposition of the issues, thereby benefiting the voters of the State.
FISCAL IMPLICATIONS: The amount which will be paid into the election
campaign fund from the tax check-off is estimated at approximately $7
million a year, which should be more than adequate to meet the cost of
this program which is estimated to be $25 million over a four year
campaign cycle.
STATE OF NEW YORK
________________________________________________________________________
6940--B
1999-2000 Regular Sessions
IN ASSEMBLY
March 15, 1999
___________
Introduced by M. of A. SILVER, KAUFMAN, PHEFFER, VITALIANO, WEINSTEIN,
SANDERS, EVE, GOTTFRIED, GRANNIS -- Multi-Sponsored by -- M. of A.
AUBRY, BEA, BOYLAND, BRENNAN, BRODSKY, CAHILL, CANESTRARI, CHRISTEN-
SEN, CLARK, M. COHEN, COLMAN, CONNELLY, COOK, CYMBROWITZ, DAVIS,
DENIS, DiNAPOLI, DINOWITZ, ENGLEBRIGHT, ESPAILLAT, FARRELL, GALEF,
GANTT, GLICK, GREEN, GREENE, GRIFFITH, HARENBERG, HIGGINS, HILL HOOP-
ER, HOCHBERG, HOYT, JACOBS, JOHN, KLEIN, LAFAYETTE, LENTOL, LUSTER,
MATUSOW, MAYERSOHN, McENENY, McLAUGHLIN, MILLMAN, MORELLE, NOLAN,
NORMAN, ORTIZ, PERRY, PRETLOW, RAMIREZ, RHODD-CUMMINGS, RIVERA, SCAR-
BOROUGH, SEDDIO, SIDIKMAN, STRINGER, SWEENEY, TOCCI, TONKO, TOWNS,
VANN, WEISENBERG, WEPRIN, WRIGHT -- read once and referred to the
Committee on Election Law -- recommitted to the Committee on Rules in
accordance with Assembly Rule 3, sec. 2 -- Rules Committee discharged,
bill amended, ordered reprinted as amended and recommitted to the
Committee on Rules -- again reported from said committee with amend-
ments, ordered reprinted as amended and recommitted to said committee
AN ACT to amend the election law, in relation to enacting the "campaign
financing reform act of 2000"; to amend the election law, the state
finance law and the tax law, in relation to providing for optional
partial public financing of certain election campaigns in this state
and for contribution limitations and local campaign finance disclosure
applicable to candidates for the office of mayor, public advocate,
comptroller and borough president in the city of New York; to amend
the election law, in relation to identification of the source of
certain political communications; and to amend the legislative law, in
relation to participation in fundraisers during a legislative session;
repealing section 14-106 of the election law relating to filing of a
copy of political advertisements and literature; repealing subdivision
3 of section 14-114 of the election law relating to excluding a party
or constituted committee supporting the candidate from the definition
of the term "contributor"; and repealing subdivision 10 of section
14-114 of the election law relating to prohibiting contributions to a
party or constituted committee which exceed sixty-two thousand five
hundred dollars per annum in the aggregate
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD08564-07-0
A. 6940--B 2
The People of the State of New York, represented in Senate and Assem-bly, do enact as follows:
1 Section 1. This act shall be known and may be cited as the "campaign
2 financing reform act of 2000".
3 § 2. Legislative findings and declaration. The legislature finds that
4 it is vitally important to democratic government in this state to
5 prevent corruption, special privileges, and favoritism in connection
6 with the financing and other operations of statewide political
7 campaigns, as well as the appearance of these abuses, and to create and
8 ensure a truly democratic political system in which citizens irrespec-
9 tive of their income, status, or financial connections are enabled and
10 encouraged to compete for public office. The legislature further finds
11 that to achieve the attainment of the above-mentioned objectives a meas-
12 ure of public financing for all qualified candidates for state elective
13 offices is required.
14 Therefore, the legislature declares that it is in the public interest
15 and a valid public purpose to provide public funds for public financing
16 for all qualified candidates for state and local elective office.
17 § 3. The article heading of article 14 of the election law is amended
18 to read as follows:
19 CAMPAIGN RECEIPTS AND EXPENDITURES; PUBLIC FINANCING
20 § 4. Sections 14-100 through 14-130 of article 14 of the election law
21 are designated title I and a new title heading is added to read as
22 follows:
23 CAMPAIGN RECEIPTS AND EXPENDITURES
24 § 5. Article 14 of the election law is amended by adding two new
25 titles II and III to read as follows:
26 TITLE II
27 STATE PUBLIC FINANCING
28 Section 14-200. Definitions.
29 14-202. Eligibility.
30 14-204. Qualified campaign expenditures.
31 14-206. Optional public financing.
32 14-208. Contribution and receipt limitations.
33 14-210. Expenditure limitations.
34 14-212. Examinations and audits; repayments.
35 14-214. Penalties.
36 14-216. Civil penalties.
37 § 14-200. Definitions. As used in this title, unless another meaning
38 is clearly indicated:
39 1. The term "state board" shall mean the state board of elections.
40 2. The term "eligible candidate" shall mean a candidate for nomination
41 or election to any of the offices of governor, lieutenant governor,
42 comptroller, attorney general, member of the legislature, at-large dele-
43 gate to a constitutional convention or district delegate to a constitu-
44 tional convention who meets the requirements for eligibility in section
45 14-202 of this title.
46 3. The term "matchable contributions" shall mean that portion of the
47 aggregate contributions made after the effective date of this title by
48 natural persons resident in the state of New York to a candidate for
49 nomination or election to any of the offices covered by the provisions
50 of this title which do not exceed five hundred dollars, which have been
51 reported in full by the candidate's authorized committee to the state
52 board, including the contributor's full name and residential address
53 and, with respect to contributions of more than fifty dollars, the name
A. 6940--B 3
1 and address of the contributor's employer. "Matchable contributions"
2 shall be the net amount of any monetary contribution realized by a
3 candidate or designated committee after deducting the reasonable value
4 of any goods or services provided the contributor in connection with the
5 contribution, except that contributions from any person who has received
6 a payment or anything of value from such committee or from a person who
7 is an officer, director or employee of, or a person who has a ten
8 percent or greater ownership interest in any entity which has received
9 such a payment or thing of value shall not be matchable. A loan may not
10 be treated as a matchable contribution. For purposes of this subdivi-
11 sion, a "contributor" shall be deemed to include the spouse and uneman-
12 cipated children of any individual contributor.
13 4. The term "qualified campaign expenditure" shall mean an expenditure
14 for which public funds may be used.
15 5. The term "fund" shall mean the New York state election campaign
16 fund.
17 6. The term "threshold for eligibility" shall mean the amount of total
18 matchable contributions that the authorized committee of an otherwise
19 eligible candidate for election to statewide office or to the state
20 legislature must receive in order to qualify for optional public financ-
21 ing pursuant to this title.
22 § 14-202. Eligibility. 1. To be eligible for optional public financing
23 under this title, a candidate for nomination or election must:
24 (a) Meet all the requirements of this chapter and other provisions of
25 law to have his or her name on the ballot;
26 (b) Be a candidate for statewide office, the state legislature or
27 delegate to a constitutional convention at a primary, general or special
28 election and meet the threshold for eligibility set forth in subdivision
29 two of this section;
30 (c) Elect to participate in the public funding provisions of this
31 title not later than seven days after the last day to file designating
32 petitions for the office such candidate is seeking or, in the case of a
33 special election, not later than the last day to file nominating
34 petitions for such office;
35 (d) Agree to obtain and furnish to the state board any evidence it may
36 reasonably request relating to his or her campaign expenditures or
37 contributions and furnish such other proof of compliance with this title
38 as may be requested by the state board;
39 (e) Have a single authorized political committee which he or she
40 certifies as the authorized committee for the purposes of this title;
41 and
42 (f) Agree to identify accurately in all campaign materials the person
43 or entity that paid for such campaign material.
44 2. The threshold for eligibility for public funding for candidates in
45 a primary, general or special election for the following offices shall
46 be:
47 (a) Governor in a primary or general election. Not less than two
48 hundred twenty-five thousand dollars in matchable contributions includ-
49 ing at least one thousand such contributions in the amount of ten
50 dollars or more or half the expenditure limit, whichever is less.
51 (b) Lieutenant governor in a primary election and comptroller or
52 attorney general in a primary or general election. Not less than seven-
53 ty-five thousand dollars in matchable contributions including at least
54 five hundred such contributions of ten dollars or more or half the
55 expenditure limit, whichever is less.
A. 6940--B 4
1 (c) At-large delegate to a constitutional convention in a primary or
2 general election. Not less than seven thousand five hundred dollars in
3 matchable contributions including at least fifty such contributions of
4 ten dollars or more or half the expenditure limit, whichever is less.
5 (d) Members of the state senate in a primary, general or special
6 election. Not less than seven thousand five hundred dollars in matchable
7 contributions including at least twenty-five such contributions of ten
8 dollars or more from residents of the district in which the seat is to
9 be filled or half the expenditure limit, whichever is less.
10 (e) District delegate to a constitutional convention in a primary or
11 general election. Not less than two thousand five hundred dollars in
12 matchable contributions including at least twenty-five such contrib-
13 utions of ten dollars or more from residents of the district in which
14 the seat is to be filled or half the expenditure limit, whichever is
15 less.
16 (f) Members of the assembly in a primary, general or special election.
17 Not less than five thousand dollars in matchable contributions including
18 at least twenty-five such contributions of ten dollars or more from
19 residents of the district in which the seat is to be filled or half the
20 expenditure limit, whichever is less.
21 3. In order to be eligible to receive public funds in a primary
22 election a candidate must agree, that in the event such candidate is a
23 candidate for such office in the general election in such year, that
24 such candidate will be bound by the provisions of this title, including,
25 but not limited to, the receipt and expenditure limits of this title.
26 4. Candidates who are contested in a primary election and who do not
27 seek public funds shall not be eligible for public funds for the general
28 election in that year. The provisions of this subdivision shall not
29 apply to candidates for the office of lieutenant governor.
30 5. Candidates who are unopposed in a general or special election shall
31 not be eligible to receive public funds.
32 6. No candidate for election to an office in a primary, general or
33 special election who has qualified for public funds shall receive such
34 public funds unless at least one other candidate for such office in such
35 election also qualified to receive public funds or at least one other
36 candidate for such office in such election and such candidate's author-
37 ized committee have spent, or contracted or obligated to spend, or have
38 received in loans or contributions an amount exceeding ten percent of
39 the expenditure limit for such office in such election which is fixed by
40 this title for candidates who have elected to accept such public funds.
41 If a candidate for an office and the authorized committee of such candi-
42 date reaches the threshold to qualify to receive public funds, or spends
43 or contracts or obligates to spend, or receives in loans or contrib-
44 utions, an amount exceeding ten percent of the expenditure limit for
45 such office in such election at any time after the filing deadline for
46 the last report required to be filed before the first distribution of
47 public funds for such election, such candidate or committee must notify
48 the state board of that fact within forty-eight hours by express mail.
49 § 14-204. Qualified campaign expenditures. 1. Public funds provided
50 under the provisions of this title may only be used for expenditures by
51 any one committee authorized by the candidate to make expenditures on
52 such candidate's behalf, to further the candidate's nomination or
53 election during the calendar year in which the primary or general
54 election in which the candidate seeking nomination or election is held,
55 for services, materials, facilities or other things of value used during
56 that year or in the case of a special election for expenditures during
A. 6940--B 5
1 the period commencing three months before and ending one month after
2 such special election. The total of all expenditures made by the candi-
3 date and such candidate's authorized committee including all payments
4 received from the fund shall not exceed the expenditure limitations
5 established in section 14-210 of this title, except insofar as such
6 payments are made to repay loans used to pay campaign expenditures.
7 2. Such public funds may not be used for:
8 (a) An expenditure in violation of any law of the United States or of
9 this state;
10 (b) Payments or anything of value given or made to the candidate, a
11 relative of the candidate, or to a business entity in which any such
12 person has a ten percent or greater ownership interest or of which any
13 such person is an officer, director or employee;
14 (c) Payment in excess of the fair market value of services, materials,
15 facilities or other things of value received in exchange;
16 (d) Any expenditure made after the candidate, or the only remaining
17 opponent of the candidate, has been disqualified or had such candidate's
18 petitions declared invalid by a board of elections or a court of compe-
19 tent jurisdiction until and unless such finding is reversed by a higher
20 authority. This paragraph shall not apply to a candidate entitled to
21 expend public funds pursuant to the provisions of subdivision three of
22 section 14-206 of this title;
23 (e) Any expenditure made to challenge the validity of any petition of
24 designation or nomination or any certificate of nomination, acceptance,
25 authorization, declination or substitution;
26 (f) Expenditure for noncampaign related food, drink or entertainment;
27 and
28 (g) Gifts, except brochures, buttons, signs and other campaign materi-
29 al.
30 § 14-206. Optional public financing. 1. Eligible candidates for nomi-
31 nation or election in primary, general and special elections may obtain
32 payment to authorized committees from public funds for qualified
33 campaign expenditures. No such public funds shall be paid to an author-
34 ized committee until the candidate has qualified as an eligible candi-
35 date and filed a sworn statement with the state board electing to
36 receive public funds and agreeing to abide by the requirements of this
37 title. Payments shall not exceed the amounts specified in this title,
38 and shall be made only in accordance with the provisions of this title.
39 Such payments may only be made to an eligible candidate's authorized
40 committee. No public funds shall be used except as reimbursement or
41 payment for qualified campaign expenditures actually and lawfully
42 incurred or to repay loans used to pay qualified campaign expenditures.
43 2. (a) The authorized committee of each eligible candidate shall be
44 entitled to payment for qualified campaign expenditures not to exceed
45 one dollar for each one dollar of matchable contributions obtained and
46 reported to the state board in accordance with the provisions of this
47 title.
48 (b) However, if any candidate in any election for an office for which
49 public funds are available pursuant to the provisions of this title,
50 elects not to accept such public funds and either, such candidate
51 spends, or contracts or obligates to spend, or contributes to such
52 candidate's authorized committee an amount exceeding two hundred fifty
53 thousand dollars of such candidate's personal funds, or if such candi-
54 date and such candidate's authorized committee spend or contract or
55 obligate to spend, or receive in loans or contributions, an amount
56 exceeding one-third the expenditure limit for such office fixed by this
A. 6940--B 6
1 title for candidates who have elected to accept such public funds, then
2 the authorized committee of each eligible candidate for such office
3 shall be entitled to payment for qualified campaign expenditures not to
4 exceed two dollars for each such dollar of matchable contributions. If a
5 candidate who elects not to accept such public funds, spends, or
6 contracts or obligates to spend, or contributes to such candidate's
7 authorized committee an amount exceeding two hundred fifty thousand
8 dollars of such candidate's personal funds, or if such a candidate and
9 the authorized committee of such a candidate, spends or contracts or
10 obligates to spend, or receives in loans or contributions, an amount
11 exceeding one-third the expenditure limit for such office, such candi-
12 date or committee must notify the state board of the fact within forty-
13 eight hours by express mail.
14 3. No candidate for nomination for an office who is unopposed in a
15 primary election shall be entitled to payment from the fund for quali-
16 fied campaign expenditures, unless there is a contest in such primary
17 for the nomination of at least one other party for such office. Where
18 there is such a contest, the authorized committee of an unopposed candi-
19 date for nomination may receive one-half the payment provided in subdi-
20 vision two of this section, provided that such candidate otherwise qual-
21 ifies pursuant to the provisions of this title. Such payment can only be
22 expended for property, services or facilities used on or before the date
23 of such primary.
24 4. The total payments from the fund received by the authorized commit-
25 tee of any candidate, when added to the total of contributions received
26 by such candidate and such candidate's authorized committee, may not
27 exceed the amount which may be expended by such candidate pursuant to
28 the provisions of this title.
29 5. The state board shall promptly examine all reports of contributions
30 to determine that, on their face, they meet the requirements for matcha-
31 ble contributions, and shall keep a record of such contributions.
32 6. The state board shall promulgate regulations for the certification,
33 for approval of payment by the New York state election campaign fund
34 pursuant to section ninety-two-x of the state finance law, of the sum of
35 public funds that such candidate has qualified to receive from the
36 election campaign fund. These regulations shall include the promulgation
37 and distribution of forms on which contributions and expenditures are to
38 be reported, the periods during which such reports must be filed and the
39 verification required. The state board shall endeavor to institute
40 procedures which will make possible payment by the election campaign
41 fund within four business days after receipt of the required forms and
42 verifications.
43 § 14-208. Contribution and receipt limitations. 1. The following
44 limitations apply to all contributions for those offices for which
45 public funds are available pursuant to the provisions of this title:
46 (a) In any primary or general election for a public office to be voted
47 on by the voters of the entire state, no contributor may make a contrib-
48 ution to any candidate or authorized committee, and no candidate or
49 authorized committee may accept any contribution from any contributor,
50 which, in the aggregate amount is greater than four thousand dollars
51 except that for the public office of delegate at-large to a constitu-
52 tional convention, such aggregate amount shall not be greater than one
53 thousand dollars. Candidates for governor and lieutenant governor in a
54 general election who have elected to participate in the optional public
55 financing provisions of this title may accept from one or more of the
56 party or constituted committees of all of the parties which have nomi-
A. 6940--B 7
1 nated them, an amount which, in the aggregate, does not exceed seven
2 hundred thousand dollars. Candidates for governor and lieutenant gover-
3 nor who have elected not to participate in such optional public financ-
4 ing may accept from such party or constituted committees an amount
5 which, in the aggregate does not exceed three hundred fifty thousand
6 dollars. A candidate for attorney general or comptroller in a general
7 election who has elected to participate in the optional public financing
8 provisions of this title may accept from one or more of the party or
9 constituted committees of all the parties which have nominated such
10 candidates, an amount which, in the aggregate, does not exceed two
11 hundred fifty thousand dollars. A candidate for attorney general or
12 comptroller who has elected not to participate in such optional public
13 financing may accept from such party or constituted committees an amount
14 which, in the aggregate, does not exceed one hundred twenty-five thou-
15 sand dollars. A candidate for delegate at-large to a constitutional
16 convention in a general election who has elected to participate in the
17 optional public financing provisions of this title may accept from one
18 or more of the party or constituted committees of all the parties which
19 have nominated him an amount which, in the aggregate, does not exceed
20 twenty-five thousand dollars. A candidate for delegate at-large to a
21 constitutional convention who has elected not to participate in such
22 optional public financing may accept from such party or constituted
23 committees an amount which, in the aggregate, does not exceed twelve
24 thousand five hundred dollars.
25 (b) In any primary, general or special election for member of the
26 state legislature, no contributor may make a contribution to any candi-
27 date or authorized committee, and no candidate or authorized committee
28 may accept any contribution from any contributor, which, in the aggre-
29 gate amount, is greater than one thousand five hundred dollars except
30 that a candidate for state senator in a general or special election who
31 has elected to participate in the optional public financing provisions
32 of this title or such candidate's authorized committee may accept from
33 one or more of the party or constituted committees of all of the parties
34 which have nominated such candidate, an amount which in the aggregate
35 does not exceed fifty thousand dollars. A candidate for state senator
36 who has elected not to participate in such optional public financing may
37 accept from such party or constituted committees an amount which, in the
38 aggregate, does not exceed thirty thousand dollars. Such a candidate for
39 member of the assembly who has elected to participate in such optional
40 public financing or such candidate's authorized committee may accept
41 from such party or constituted committees an amount which in the aggre-
42 gate does not exceed twenty-five thousand dollars. A candidate for
43 member of the assembly who has elected not to participate in such
44 optional public financing may accept from such party or constituted
45 committees an amount which, in the aggregate, does not exceed fifteen
46 thousand dollars.
47 (c) In any primary or general election for district delegate to a
48 constitutional convention, no contributor may make a contribution to any
49 candidate or authorized committee and no candidate or authorized commit-
50 tee may accept any contribution from any contributor which, in the
51 aggregate amount, is greater than five hundred dollars except that such
52 a candidate in a general election who has elected to participate in the
53 optional public financing provisions of this title or such candidate's
54 authorized committee may accept from one or more of the party or consti-
55 tuted committees of all the parties which have nominated such candidate,
56 an amount which, in the aggregate, does not exceed five thousand
A. 6940--B 8
1 dollars. A candidate for district delegate to a constitutional conven-
2 tion who has elected not to participate in such optional public financ-
3 ing may accept from such party or constituted committees an amount
4 which, in the aggregate, does not exceed two thousand five hundred
5 dollars.
6 (d) However, if any candidate in any election for any office for which
7 public funds are available pursuant to the provisions of this title,
8 elects not to accept such public funds and either, such candidate
9 spends, or contracts or obligates to spend, or contributes to such
10 candidate's authorized committee an amount exceeding two hundred fifty
11 thousand dollars of such candidate's personal funds, or if such candi-
12 date and such candidate's authorized committee spend or contract or
13 obligate to spend, or receive in loans or contributions, an amount
14 exceeding one-third the expenditure limit for such office fixed by this
15 title for candidates who have elected to accept such public funds,
16 contributors to those candidates for such office who have elected to
17 receive public funds shall be allowed to contribute and such candidates
18 or authorized committees shall be allowed to accept contributions from
19 any contributor, which, in the aggregate, are twice the amount which
20 would otherwise be allowed by paragraphs (a), (b) and (c) of this subdi-
21 vision, whichever is applicable. If a candidate who elects not to accept
22 such public funds, spends, or contracts or obligates to spend, or
23 contributes to his authorized committee an amount exceeding two hundred
24 fifty thousand dollars of his personal funds, or if such a candidate and
25 the authorized committee of such a candidate spends or contracts or
26 obligates to spend, or receives in loans or contributions, an amount
27 exceeding one-third the expenditure limit for such office, such candi-
28 date or committee must notify the state board of the fact within forty-
29 eight hours by express mail.
30 (e) At the beginning of the calendar year two thousand seven and each
31 fourth calendar year thereafter, the state board shall determine the
32 percentage difference between the most recent available monthly consumer
33 price index for all urban consumers published by the United States
34 bureau of labor statistics and such consumer price index published for
35 the same month four years previously. The amount of each contribution
36 limit fixed in this subdivision shall be adjusted by the amount of such
37 percentage difference to the closest one hundred dollars by the state
38 board which, not later than the first day of February in each such year,
39 shall issue a regulation setting forth the amount of each such contrib-
40 ution limit. Each contribution limit as so adjusted shall be the
41 contribution limit in effect for any election held before the next such
42 adjustment.
43 2. (a) Contributions received before the effective date of this title
44 may be expended only to the extent that they do not exceed the contrib-
45 ution limits imposed by this section. Interest earned on any such
46 contributions may be expended only to the extent that such interest was
47 earned on contributions which may be expended pursuant to the provisions
48 of this subdivision.
49 (b) However, if any candidate in any election for any office for which
50 public funds are available pursuant to the provisions of this title,
51 elects not to accept such public funds and such candidate spends, or
52 contracts or obligates to spend, or contributes to such candidate's
53 authorized committee an amount exceeding two hundred fifty thousand
54 dollars of such candidate's personal funds, or such candidate and such
55 candidate's authorized committee spend or contract or obligate to spend,
56 or receive in loans or contributions, an amount exceeding one-third the
A. 6940--B 9
1 expenditure limit for such office fixed by this title for candidates who
2 have elected to accept such public funds, candidates for such office who
3 have elected to receive public funds and the authorized committees of
4 such candidates shall be allowed to expend all contributions received
5 before the effective date of this title.
6 3. (a) A candidate for a public office for which public funds are
7 available pursuant to this title, or the authorized committee of such a
8 candidate who has not elected to participate in such public funding
9 provisions of this article, shall not accept any contributions any
10 earlier than one year before the first day to circulate designating
11 petitions for the office which such candidate is seeking, or any later
12 than the end of the calendar year in which the election occurs, except
13 that a candidate or authorized committee which has a deficit at the end
14 of such calendar year may, after such calendar year, accept contrib-
15 utions which do not exceed the amount of such deficit and the expenses
16 incurred in raising such contributions. Contributions to such a candi-
17 date or authorized committee which were received before the effective
18 date of this title may not be expended in any election for any such
19 office.
20 (b) A candidate for such an office to be filled at a special election,
21 or the authorized committee of such a candidate who has not elected to
22 participate in the public funding provisions of this title, shall not
23 accept any contributions any earlier than the date such office becomes
24 vacant or four months before such special election, whichever is earli-
25 er, or any later than two months after such election except that a
26 candidate or authorized committee which has a deficit two months after
27 such election may, after such date, accept contributions which do not
28 exceed the amount of such deficit and the expenses incurred in raising
29 such contributions.
30 4. Except for the limitations specifically set forth in this section,
31 such eligible candidates shall be subject to the provisions of section
32 14-114 of this article.
33 § 14-210. Expenditure limitations. 1. The following limitations apply
34 to all expenditures by eligible candidates and their authorized commit-
35 tees receiving public funds pursuant to the provisions of this title.
36 2. (a) In any primary election, expenditures by eligible candidates
37 for statewide offices except the office of delegate at-large to a
38 constitutional convention and by their authorized committees shall not
39 exceed the sum of seventy-five cents for each voter enrolled in the
40 candidate's party in the state, expenditures by eligible candidates for
41 the state legislature and by their authorized committees shall not
42 exceed the sum of one dollar and seventy-five cents for each voter
43 enrolled in the candidate's party in the district in which such candi-
44 date is a candidate, expenditures by eligible candidates for delegate at
45 large to a constitutional convention and by their authorized committees
46 shall not exceed the sum of ten cents for each voter enrolled in the
47 candidate's party in the state and expenditures by eligible candidates
48 for district delegate to a constitutional convention and by their
49 authorized committees shall not exceed the sum of seventy-five cents for
50 each voter enrolled in the candidate's party in the district in which
51 such candidate is a candidate, as determined by the records of the
52 appropriate board or boards of election as of the last general election
53 preceding the primary election, or the following amounts, whichever is
54 greater:
55 Candidates for nomination to the office of:
56 Statewide office$500,000
A. 6940--B 10
1 Delegate at-large
2 to a constitutional
3 convention$75,000
4 Member of senate$30,000
5 District delegate
6 to a constitutional
7 convention$5,000
8 Member of assembly$15,000
9 However, such expenditures shall not exceed two million five hundred
10 thousand dollars in a primary election for governor, one million two
11 hundred fifty thousand dollars in a primary election for lieutenant
12 governor, comptroller or attorney general, one hundred twenty-five thou-
13 sand dollars in a primary election for delegate at-large to a constitu-
14 tional convention, one hundred fifty thousand dollars in a primary
15 election for member of the senate, thirty thousand dollars in a primary
16 election for district delegate to a constitutional convention and seven-
17 ty-five thousand dollars in a primary election for member of assembly.
18 (b) In any general or special election, expenditures by eligible
19 candidates for the following offices and by their authorized committees
20 shall not exceed the following amounts:
21 Candidates for election to the office of:
22 Governor and lieutenant governor (combined)$7,000,000
23 Attorney general$2,500,000
24 Comptroller$2,500,000
25 Delegate at-large
26 to a constitutional
27 convention$250,000
28 Member of senate$150,000
29 District delegate
30 to a constitutional
31 convention$30,000
32 Member of assembly$75,000
33 (c) However, if any candidate in any election for an office for which
34 public funds are available pursuant to the provisions of this title,
35 elects not to accept such public funds and either, such candidate
36 spends, or contracts or obligates to spend, or contributes to such
37 candidate's authorized committee an amount exceeding two hundred fifty
38 thousand dollars of such candidate's personal funds, or if such candi-
39 date and such candidate's authorized committee spend or contract or
40 obligate to spend, or receive in loans or contributions, an amount
41 exceeding one-third of the expenditure limit for such office fixed by
42 paragraph (a) or (b) of this subdivision, whichever is applicable, for
43 candidates who have elected to accept such public funds, there shall be
44 no expenditure limit for those candidates for such office who have
45 elected to receive public funds. If a candidate who elects not to accept
46 such public funds, spends or contracts or obligates to spend, or
47 contributes to such candidate's authorized committee an amount exceeding
48 two hundred fifty thousand dollars of such candidate's personal funds,
49 or if such a candidate and the authorized committee of such a candidate
50 spends or contracts or obligates to spend, or receives in loans or
51 contributions, an amount exceeding one-third of the expenditure limit
52 for such office, such candidate or committee must notify the state board
53 of that fact within forty-eight hours by express mail.
54 (d) Candidates for office who are unopposed in the primary election
55 may expend before the primary election, for services, materials or
56 facilities used on or before the date of such primary election, an
A. 6940--B 11
1 amount equal to half the sum such candidates would be entitled to spend
2 if their nomination was contested in such primary election provided that
3 there is a contest in such primary for the nomination of at least one
4 other party for such office.
5 (e) Expenditures for legal fees and expenses to defend the validity of
6 petitions of designation or nomination or certificates of nomination,
7 acceptance, authorization, declination or substitution, or to challenge
8 successfully, any such petition or certificate on grounds of fraud and
9 for expenses incurred to comply with the campaign finance reporting
10 requirements of this article shall not be subject to the expenditure
11 limits of this subdivision.
12 (f) Notwithstanding any expenditure limit in this subdivision, each
13 county committee of any party which nominates a candidate for statewide
14 office, including within the term county committee any of its subcommit-
15 tees, may expend in support of each such candidate for statewide office
16 of such party who has agreed to accept public financing, an amount which
17 shall not exceed the sum of two cents for each voter registered in such
18 county as determined by the records of the appropriate board of
19 elections as of the preceding general election.
20 (g) At the beginning of the calendar year two thousand seven and each
21 fourth calendar year thereafter, the state board shall determine the
22 percentage difference between the most recent available monthly consumer
23 price index for all urban consumers published by the United States
24 bureau of labor statistics and such consumer price index published four
25 years previously. The amount of each expenditure limit fixed in this
26 subdivision shall be adjusted by the amount of such percentage differ-
27 ence to the closest one thousand dollars by the state board which, not
28 later than the first day of February in each such year, shall issue a
29 regulation setting forth the amount of each such contribution limit.
30 Each contribution limit as so adjusted shall be the contribution limit
31 in effect for any election held before the next such adjustment.
32 3. In computing the aggregate amount expended for purposes of this
33 section, expenditures made by a committee in support of more than one
34 candidate shall be allocated among such candidates supported by the
35 committee in accordance with formulas promulgated by the state board or,
36 in the absence of such official formulas, in accordance with any formula
37 based upon reasonable standards. The statements filed by such committee
38 in accordance with this chapter shall set forth, in addition to the
39 other information required, the total amount expended by the committee
40 on behalf of all such candidates and the amount allocated to each candi-
41 date by dollar amount and percentage. Expenditures by a state or other
42 committee of a political party for activities which do not support or
43 oppose the election of any candidate or candidates by name or by clear
44 inference shall not be regarded as expenditures on behalf of or in oppo-
45 sition to a candidate.
46 § 14-212. Examinations and audits; repayments. 1. The state board
47 shall conduct a thorough examination and audit of the contributions and
48 qualified campaign expenses of the authorized committee of every eligi-
49 ble candidate who received payments pursuant to section 14-206 of this
50 title.
51 2. (a) If the state board determines that any portion of the payment
52 made to such authorized committee from the New York state election
53 campaign fund was in excess of the aggregate amount of payments to which
54 such eligible candidate was entitled pursuant to section 14-206 of this
55 title, it shall notify such committee and such committee shall pay to
56 the state board an amount equal to the amount of excess payments.
A. 6940--B 12
1 (b) If the state board determines that any amount of payment made to
2 an authorized committee of an eligible candidate from the New York state
3 election campaign fund was used for purposes other than to defray quali-
4 fied campaign expenses, it shall notify the said authorized committee of
5 the amount disqualified and the said authorized committee shall pay to
6 the state board an amount equal to such disqualified amount.
7 (c) If the total of contributions and payments from the New York state
8 election campaign fund received by any candidate and such candidate's
9 authorized committee, exceeds the campaign expenditures of such candi-
10 date and committee, such candidate and committee shall use such excess
11 funds to reimburse the fund for payments received by such committee from
12 the fund not later than ten days after all liabilities have been paid
13 and in any event, not later than March thirty-first of the year follow-
14 ing the year of the election for which such payments were intended. No
15 such excess funds shall be used for any other purpose, unless the total
16 amount due the New York state election campaign fund from such candidate
17 and committee has been repaid.
18 3. If a court of competent jurisdiction disqualifies a candidate whose
19 authorized committee has received public funds on the grounds that such
20 candidate committed fraudulent acts in order to obtain a place on the
21 ballot and such decision is not reversed by a higher court, such candi-
22 date and such candidate's authorized committee shall pay to the state
23 board an amount equal to the total of public funds received by such
24 authorized committee.
25 4. All payments received by the state board pursuant to this section
26 shall be deposited in the New York state election campaign fund estab-
27 lished by section ninety-two-y of the state finance law.
28 § 14-214. Penalties. 1. Any person who knowingly and willfully fails
29 to file a statement required to be filed by this title or the rules or
30 regulations of the state board in implementation thereof within five
31 days after the date provided for filing such statement, or any person
32 who knowingly and willfully violates any other provision of this title
33 shall be guilty of a class A misdemeanor, unless a greater penalty is
34 specifically prescribed in another applicable statute.
35 2. Any person who knowingly and willfully contributes or expends or
36 aids or participates in the contribution or expenditure of funds in an
37 amount exceeding an applicable maximum specified in this title, or who
38 knowingly and willfully accepts or aids or participates in the accept-
39 ance of a contribution in an amount exceeding an applicable maximum
40 specified in this title shall be guilty of a class A misdemeanor.
41 3. Any person who knowingly and willfully neglects or refuses to
42 furnish any information required or authorized by this title, or to
43 exhibit records, papers or documents authorized by this title to be
44 inspected or which are required to be exhibited, shall be guilty of a
45 class A misdemeanor.
46 4. Any person who knowingly and willfully expends or aids or partic-
47 ipates in the expenditure of funds for a purpose or in a manner which
48 violates the provisions of this title shall be guilty of a class A
49 misdemeanor.
50 5. Any person who knowingly and willfully fails to return or aids or
51 participates in the failure to return to the state board any funds
52 required to be returned to such board pursuant to the provisions of this
53 title shall be guilty of a class A misdemeanor.
54 6. Any person who furnishes any false, fictitious or fraudulent
55 evidence, books or information to the state board of elections under
56 this title or includes in any evidence, books, or information so
A. 6940--B 13
1 furnished any misrepresentation of a material fact, or falsifies or
2 conceals any evidence, books, or information relevant to any audit by
3 the state board of elections or knowingly and willfully violates any
4 other provision of this title shall be guilty of a class A misdemeanor.
5 7. The attorney general shall be primarily responsible for instituting
6 and conducting prosecutions under this section. In such cases the attor-
7 ney general or the attorney general's deputy shall exercise all the
8 powers and perform all the duties which the district attorney would
9 otherwise be authorized or required to exercise or perform; whenever any
10 such prosecution is instituted by the attorney general, the district
11 attorney shall only exercise such powers and perform such duties as are
12 required of the district attorney by the attorney general or the deputy
13 attorney general. Until and unless the attorney general exercises
14 authority under this section an otherwise authorized district attorney
15 may institute and conduct a prosecution under this section.
16 8. Whenever the attorney general is authorized under this chapter to
17 prosecute a criminal proceeding on behalf of the state board, the attor-
18 ney general shall have the discretion to delegate the authority to
19 initiate or conduct any such prosecution to the state board of
20 elections.
21 § 14-216. Civil penalties. 1. Any person who fails to file a statement
22 or record required to be filed by this title or the rules or regulations
23 of the state board in implementation thereof shall be subject to a civil
24 penalty, not in excess of one thousand dollars, to be recoverable in a
25 civil proceeding brought by the state board.
26 2. If the aggregate amount of expenditures by a candidate and such
27 candidate's authorized committee exceeds the expenditure limitations
28 contained in this title such candidate shall be liable for a civil
29 penalty in an amount equal to three times the sum by which such expendi-
30 tures exceed the permitted amount.
31 TITLE III
32 LOCAL OPTION PUBLIC FINANCING
33 Section 14-300. Public campaign financing in counties, cities or towns
34 by local option.
35 § 14-300. Public campaign financing in counties, cities or towns by
36 local option. 1. On the request of two-thirds of the total membership
37 of its legislative body or on the request of its chief executive officer
38 concurred in by a majority of such membership, of any county, city or
39 town which contains a population of more than one hundred thousand, made
40 to the state legislature, the legislature may enact a local public
41 campaign financing law for elections in such county, city or town.
42 2. Such local public campaign finance law shall include, but not be
43 limited to: which offices shall be included in public financing, the
44 amount of public financing for each office, contribution and expenditure
45 limits, and the method of funding public financing.
46 3. The forms of requests to be submitted to the legislature with
47 respect to the enactment of such special law and the manner of communi-
48 cation of such requests to the legislature shall be the same as those
49 prescribed pursuant to section fifty-five of the legislative law.
50 4. Such local public financing law shall not take effect unless
51 enacted into law by the legislature within sixty days after receipt of
52 the request described in subdivision one of this section from such coun-
53 ty, city or town. If the legislature is not in session at the time of
54 such receipt, or if it adjourns sine die less than sixty days after such
55 receipt, then such sixty-day period for enactment shall run from the
56 date the legislature reconvenes.
A. 6940--B 14
1 5. Nothing in this section shall be construed to diminish any existing
2 authority of a county, city or town.
3 § 6. Severability. If any clause, sentence, subdivision, paragraph,
4 section or part of title II or III of article 14 of the election law be
5 adjudged by any court of competent jurisdiction to be invalid, such
6 judgment shall not affect, impair or invalidate the remainder thereof,
7 but shall be confined in its operation to the clause, sentence, subdivi-
8 sion, paragraph, section or part thereof directly involved in the
9 controversy in which such judgment shall have been rendered.
10 § 7. Subdivisions 2 through 11 of section 14-100 of the election law,
11 subdivisions 2, 3, 4, 5, 6, 8, 10 and 11 as redesignated by chapter 9 of
12 the laws of 1978 are renumbered subdivisions 4 through 13 and two new
13 subdivisions 2 and 3 are added to read as follows:
14 2. "authorized committee" means a political committee which has been
15 authorized by one or more candidates to act on their behalf.
16 3. "multi-candidate committee" means a political committee which has
17 been in existence for at least six months, has received contributions of
18 money from more than fifty persons, has made contributions of money to
19 at least five candidates in New York state, makes only monetary contrib-
20 utions and is not an authorized committee for any candidate.
21 § 8. Subdivision 9 of section 14-100 of the election law, as amended
22 by chapter 480 of the laws of 1987 and renumbered by section seven of
23 this act, is amended to read as follows:
24 9. "candidate" means an individual who seeks nomination for election,
25 or election, to any public office or party position to be voted for at a
26 caucus or a primary, general or special or New York city community
27 school district election or election for trustee of the Long Island
28 Power Authority, whether or not the public office or party position has
29 been specifically identified at such time and whether or not such indi-
30 vidual is nominated or elected, and, for purposes of this subdivision,
31 an individual shall be deemed to seek nomination for election, or
32 election, to an office or position, if he has (1) taken the action
33 necessary to qualify himself for nomination for election, or election,
34 or (2) received contributions or made expenditures, given his consent
35 for any other person to receive contributions or make expenditures, with
36 a view to bringing about his nomination for election, or election, to
37 any office or position at any time whether in the year in which such
38 contributions or expenditures are made or at any other time; and
39 § 9. The opening paragraph of paragraph 3 of subdivision 11 of section
40 14-100 of the election law, as amended by chapter 70 of the laws of 1983
41 and such subdivision as renumbered by section seven of this act, is
42 amended to read as follows:
43 any payment, by any person other than a candidate or a political
44 committee authorized by the candidate, made in connection with the nomi-
45 nation for election or election of any candidate, or any payment made to
46 promote the success or defeat of a political party or principle, or of
47 any ballot proposal including but not limited to compensation for the
48 personal services of any individual which are rendered in connection
49 with a candidate's election or nomination without charge; provided
50 however, that none of the foregoing shall be deemed a contribution if it
51 is made, taken or performed by a candidate or [his] the spouse of a
52 candidate except a candidate who has elected to accept public funds
53 pursuant to title II or title III of this article, or by a person or a
54 political committee independent of the candidate or his agents or
55 authorized political committees. For purposes of this article, the term
56 "independent of the candidate or his agents or authorized political
A. 6940--B 15
1 committees" shall mean that the candidate or his agents or authorized
2 political committees did not authorize, request, suggest, foster or
3 cooperate in any such activity; and provided further, that the term
4 contribution shall not include:
5 § 10. Subdivisions 1 and 3 of section 14-102 of the election law, as
6 amended by chapter 8 of the laws of 1978, subdivision 1 as redesignated
7 by chapter 9 of the laws of 1978 and subdivision 3 as renumbered by
8 chapter 70 of the laws of 1983, are amended to read as follows:
9 1. The treasurer of every political committee which, or any officer,
10 member or agent of any such committee who, in connection with any
11 election, receives or expends any money or other valuable thing or
12 incurs any liability to pay money or its equivalent and any entity or
13 person, other than a natural person, who or which makes contributions or
14 expenditures, or incurs liabilities, for political purposes which total
15 in excess of two thousand dollars in any calendar year shall file state-
16 ments sworn, or subscribed and bearing a form notice that false state-
17 ments made therein are punishable as a class A misdemeanor pursuant to
18 section 210.45 of the penal law, at the times prescribed by this article
19 setting forth all the receipts, contributions to and the expenditures by
20 and liabilities of the committee and all such contributions and expendi-
21 tures by, and liabilities of, such entity or person, and of its offi-
22 cers, members and agents in its behalf. Such statements shall include
23 the dollar amount of any receipt, contribution or transfer, or the fair
24 market value of any receipt, contribution or transfer, which is other
25 than of money, the name and address of the transferor, contributor or
26 person from whom received, the name and address of such person's employ-
27 er, the full name, residential address, occupation, employer, and busi-
28 ness address of each individual, corporation, partnership, political
29 committee, employee organization or other entity making, or which is the
30 intermediary for, such contribution, or any loan, guarantee, or other
31 security for such a loan and if the transferor, contributor or person is
32 a political committee; the name of and the political unit represented by
33 the committee, the date of its receipt, the dollar amount of every
34 expenditure, the name and address of the person to whom it was made or
35 the name of and the political unit represented by the committee to which
36 it was made and the date thereof, and shall state clearly the purpose of
37 such expenditure. If any one expenditure is made for more than one
38 purpose, or as payment for goods or services supplied by more than one
39 supplier, such statement shall set forth separately each such purpose or
40 supplier and the amount expended for each such purpose or for or to each
41 such supplier. Any statement reporting a loan shall have attached to it
42 a copy of the evidence of indebtedness. [Expenditures] Except for candi-
43 dates and committees who or which accept public financing pursuant to
44 the provisions of this article, expenditures in sums under fifty dollars
45 need not be specifically accounted for by separate items in said state-
46 ments, and receipts and contributions aggregating not more than ninety-
47 nine dollars, from any one contributor need not be specifically
48 accounted for by separate items in said statements, provided however,
49 that such expenditures, receipts and contributions shall be subject to
50 the other provisions of section 14-118 of this article. If a committee
51 has made expenditures of money or other valuable things or incurred
52 liabilities totaling more than two thousand dollars each to support or
53 oppose more than one candidate in any calendar year, such statements
54 shall also set forth on a separate schedule, each of the expenditures
55 made, or liabilities incurred, with respect to each such candidate. The
56 board of elections shall annex a copy of each such schedule to the
A. 6940--B 16
1 statement required to be filed by such candidate pursuant to the
2 provisions of section 14-104 of this title.
3 3. The state board of elections shall promulgate regulations with
4 respect to the accounting methods to be applied in complying with, and
5 in preparing the statements required by, the provisions of this article
6 and shall provide forms suitable for such statements. Such regulations
7 shall be drawn to assure such compliance and obtain the maximum possible
8 disclosure.
9 § 11. Subdivision 1 of section 14-104 of the election law, as amended
10 by chapter 430 of the laws of 1997, is amended to read as follows:
11 1. Any candidate for election to public office, or for nomination for
12 public office at a contested primary election or convention, or for
13 election to a party position at a primary election, shall file state-
14 ments sworn, or subscribed and bearing a form notice that false state-
15 ments made therein are punishable as a class A misdemeanor pursuant to
16 section 210.45 of the penal law, at the times prescribed by this article
17 setting forth the particulars specified by section 14-102 of this arti-
18 cle, as to all moneys or other valuable things, paid, given, expended or
19 promised by him to aid his own nomination or election, or to promote the
20 success or defeat of a political party, or to aid or influence the nomi-
21 nation or election or the defeat of any other candidate to be voted for
22 at the election or primary election or at a convention, including
23 contributions to political committees, officers, members or agents ther-
24 eof, and transfers, receipts and contributions to him to be used for any
25 of the purposes above specified, or in lieu thereof, any such candidate
26 may file such a sworn statement at the first filing period, on a form
27 prescribed by the state board of elections that such candidate has made
28 no such expenditures and does not intend to make any such expenditures,
29 except through a political committee authorized by such candidate pursu-
30 ant to this article. If the amounts paid, given, expended or promised
31 with respect to any other candidate exceed two thousand dollars, such
32 statements shall also set forth on a separate schedule each such amount
33 paid, given, expended or promised with respect to each such candidate.
34 The board of elections shall annex a copy of each such schedule to the
35 statement filed by such other candidate pursuant to the provisions of
36 this section. A committee authorized by such a candidate may fulfill all
37 of the filing requirements of this act on behalf of such candidate.
38 § 12. The election law is amended by adding a new section 14-105 to
39 read as follows:
40 § 14-105. Local campaign finance disclosure. 1. In the city of New
41 York all the provisions of local law and any amendments thereto relating
42 to the reporting of campaign finance information on behalf of certain
43 candidates for the offices of mayor, public advocate, comptroller, and
44 borough president, shall apply to every candidate for any such office
45 and to every political committee that directly or indirectly aids or
46 takes part in a campaign for nomination or election of any candidate for
47 any such office.
48 2. Any candidate or political committee that is required to file a
49 statement or report with the board of elections in the city of New York,
50 pursuant to this article or regulations adopted pursuant thereto by the
51 state board of elections, shall also file, in accordance with subdivi-
52 sion one of this section, the statements and reports required by the
53 city agency responsible for executing and enforcing such local law, and
54 such city agency shall have the power to audit and examine the state-
55 ments and records of such candidates and political committees for the
56 purpose of verifying the completeness and accuracy of such statements
A. 6940--B 17
1 and reports. No candidate or political committee required to file a
2 statement or report with the board of elections in such city shall be
3 exempt from the additional filing requirements of this section, unless
4 the statement or report filed with the board of elections includes a
5 written statement, sworn to or affirmed by the candidate, that such
6 candidate is not a candidate for nomination or election to an office
7 enumerated in subdivision one of this section or, sworn to or affirmed
8 by the committee treasurer, that such committee is not directly or indi-
9 rectly aiding or taking part in any campaign of a candidate for any such
10 office. The city agency responsible for executing and enforcing such
11 local law shall promulgate such regulations as are necessary and appro-
12 priate for implementing the requirements of this section.
13 3. In addition to such penalties as may otherwise be provided by this
14 chapter or local law, any person who fails to file timely a legible,
15 true, and complete statement or report required by this section to be
16 filed with the city agency responsible for executing and enforcing the
17 local law described in subdivision one of this section, shall be subject
18 to a civil penalty in an amount not in excess of one hundred dollars, to
19 be recoverable in a special proceeding or civil action to be brought by
20 the city agency.
21 4. For purposes of this section, a political committee shall not be
22 subject to the filing requirements described in this section solely
23 because such committee makes a contribution to a candidate or another
24 political committee.
25 § 13. Section 14-106 of the election law is REPEALED and a new section
26 14-106 is added to read as follows:
27 § 14-106. Identification of the source of certain political communi-
28 cations. 1. Whenever any person makes an expenditure for the purpose of
29 financing, or otherwise publishes or distributes, communications
30 expressly advocating the election or defeat of a clearly identified
31 candidate or the approval or disapproval of a ballot proposal, such
32 communication:
33 (a) if paid for and authorized by a candidate, an authorized political
34 committee of a candidate, or its agents, shall clearly state that the
35 communication has been paid for by such candidate, authorized political
36 committee, or agent; or
37 (b) if paid for by other persons but authorized by a candidate, an
38 authorized political committee of a candidate, or its agents, shall
39 clearly state that the communication is paid for by such other persons
40 and authorized by such candidate, authorized political committee, or
41 agent; or
42 (c) if not authorized by a candidate, an authorized political commit-
43 tee of a candidate, or its agents, shall clearly state the name of the
44 person who paid for, or otherwise published or distributed, the communi-
45 cation and state that the communication is not authorized by any candi-
46 date or candidate's committee.
47 2. For purposes of this section, the following terms shall have the
48 following meanings:
49 (a) The term "clearly identified" means that:
50 (1) the name of the candidate involved appears;
51 (2) a photograph or drawing of the candidate appears; or
52 (3) the identity of the candidate is apparent by unambiguous refer-
53 ence.
54 (b) The term "communication" includes any advertisements, pamphlets,
55 circulars, flyers, brochures, letterheads, or other printed matter, and
56 radio or television broadcasts.
A. 6940--B 18
1 (c) The term "person" includes an individual, partnership, committee,
2 association, corporation, labor organization, or any other organization
3 or group of persons.
4 3. A violation of the provisions of this section shall constitute a
5 misdemeanor.
6 § 14. Subdivision 6 of section 14-108 of the election law, as amended
7 by chapter 323 of the laws of 1977 and as redesignated by chapter 9 of
8 the laws of 1978, is amended to read as follows:
9 6. A statement shall be deemed properly filed when deposited in an
10 established post-office within the prescribed time, duly stamped, certi-
11 fied and directed to the officer with whom or to the board with which
12 the statement is required to be filed, but in the event it is not
13 received, a duplicate of such statement shall be promptly filed upon
14 notice by such officer or such board of its non-receipt. All statements
15 required to be filed during the period of fifteen days before any
16 election, which are mailed, shall be sent by express mail.
17 § 15. Section 14-112 of the election law, as amended by chapter 930 of
18 the laws of 1981, is amended to read as follows:
19 § 14-112. Political committee authorization statement. Any political
20 committee aiding or taking part in the election or nomination of any
21 candidate, other than by making contributions, shall file, in the office
22 in which the statements of such committee are to be filed pursuant to
23 this article, either a sworn verified statement by the treasurer of such
24 committee and the candidate that [the] such candidate has authorized the
25 political committee to aid or take part in his election or a sworn veri-
26 fied statement by the treasurer of such committee that the candidate has
27 not authorized the committee to aid or take part in his election. No
28 candidate may authorize more than one committee for any one election. A
29 multi-candidate committee may not be an authorized committee.
30 § 16. Paragraph b of subdivision 1 of section 14-114 of the election
31 law, as amended by chapter 659 of the laws of 1994, is amended to read
32 as follows:
33 b. [In] Except as otherwise provided in subdivision nine of this
34 section, in any other election for party position or for election to a
35 public office or for nomination for any such office, no contributor may
36 make a contribution to any candidate or political committee and no
37 candidate or political committee may accept any contribution from any
38 contributor, which is in the aggregate amount greater than: (i) in the
39 case of any election for party position, or for nomination to public
40 office, the product of the total number of enrolled voters in the candi-
41 date's party in the district in which he is a candidate, excluding
42 voters in inactive status, multiplied by $.05, and (ii) in the case of
43 any election for a public office, the product of the total number of
44 registered voters in the district, excluding voters in inactive status,
45 multiplied by $.05, [however in the case of a nomination within the city
46 of New York for the office of mayor, public advocate or comptroller,
47 such amount shall be not less than four thousand dollars nor more than
48 twelve thousand dollars as increased or decreased by the cost of living
49 adjustment described in paragraph c of this subdivision; in the case of
50 an election within the city of New York for the office of mayor, public
51 advocate or comptroller, twenty-five thousand dollars as increased or
52 decreased by the cost of living adjustment described in paragraph c of
53 this subdivision; in the case of a nomination for state senator, four
54 thousand dollars as increased or decreased by the cost of living adjust-
55 ment described in paragraph c of this subdivision;] or in the case of an
56 election for state senator, six thousand two hundred fifty dollars as
A. 6940--B 19
1 increased or decreased by the cost of living adjustment described in
2 paragraph c of this subdivision; in the case of an election or nomi-
3 nation for a member of the assembly, twenty-five hundred dollars as
4 increased or decreased by the cost of living adjustment described in
5 paragraph c of this subdivision; but in no event shall any such maximum
6 exceed fifty thousand dollars or be less than one thousand dollars;
7 provided however, that the maximum amount which may be so contributed or
8 accepted, in the aggregate, from any candidate's child, parent, grand-
9 parent, brother and sister, and the spouse of any such persons, shall
10 not exceed in the case of any election for party position or nomination
11 for public office an amount equivalent to the number of enrolled voters
12 in the candidate's party in the district in which he is a candidate,
13 excluding voters in inactive status, multiplied by $.25 and in the case
14 of any election to public office, an amount equivalent to the number of
15 registered voters in the district, excluding voters in inactive status,
16 multiplied by $.25; or twelve hundred fifty dollars, whichever is great-
17 er, or in the case of a nomination or election of a state senator, twen-
18 ty thousand dollars, whichever is greater, or in the case of a nomi-
19 nation or election of a member of the assembly twelve thousand five
20 hundred dollars, whichever is greater, but in no event shall any such
21 maximum exceed one hundred thousand dollars.
22 § 17. Subdivision 1 of section 14-114 of the election law, as amended
23 by chapter 79 of the laws of 1992, paragraph a as amended by chapter 659
24 of the laws of 1994 and paragraph b as amended by section sixteen of
25 this act, is amended to read as follows:
26 1. [The] Except for the specific limitations set forth in section
27 14-208 of this article with respect to candidates for those public
28 offices for which public funds are available pursuant to title II of
29 this article, the following limitations apply to all contributions to
30 candidates for election to any public office or for nomination for any
31 such office, or for election to any party positions, and to all contrib-
32 utions to political committees working directly or indirectly with any
33 candidate to aid or participate in such candidate's nomination or
34 election[, other than any contributions to any party committee or
35 constituted committee:].
36 a. [In any election for a public office to be voted on by the voters
37 of the entire state, or for nomination to any such office, no contribu-
38 tor may make a contribution to any candidate or political committee, and
39 no candidate or political committee may accept any contribution from any
40 contributor, which is in the aggregate amount greater than: (i) in the
41 case of any nomination to public office, the product of the total number
42 of enrolled voters in the candidate's party in the state, excluding
43 voters in inactive status, multiplied by $.005, but such amount shall be
44 not less than four thousand dollars nor more than twelve thousand
45 dollars as increased or decreased by the cost of living adjustment
46 described in paragraph c of this subdivision, and (ii) in the case of
47 any election to a public office, twenty-five thousand dollars as
48 increased or decreased by the cost of living adjustment described in
49 paragraph c of this subdivision; provided however, that the maximum
50 amount which may be so contributed or accepted, in the aggregate, from
51 any candidate's child, parent, grandparent, brother and sister, and the
52 spouse of any such persons, shall not exceed in the case of any nomi-
53 nation to public office an amount equivalent to the product of the
54 number of enrolled voters in the candidate's party in the state, exclud-
55 ing voters in inactive status, multiplied by $.025, and in the case of
56 any election for a public office, an amount equivalent to the product of
A. 6940--B 20
1 the number of registered voters in the state excluding voters in inac-
2 tive status, multiplied by $.025.
3 b.] Except as otherwise provided in subdivision nine of this section,
4 in any [other] election for party position or for election to a public
5 office or for nomination for any such office, other than a statewide
6 office, no contributor may make a contribution to any candidate or
7 [political] authorized committee and no candidate or [political] author-
8 ized committee may accept any contribution from any contributor, which
9 is in the aggregate amount greater than: (i) in the case of any election
10 for party position, or for nomination to public office, the product of
11 the total number of enrolled voters in the candidate's party in the
12 district in which he is a candidate, excluding voters in inactive
13 status, multiplied by $.05, and (ii) in the case of any election for a
14 public office, the product of the total number of registered voters in
15 the district, excluding voters in inactive status, multiplied by $.05,
16 [or in the case of an election for state senator, six thousand two
17 hundred fifty dollars as increased or decreased by the cost of living
18 adjustment described in paragraph c of this subdivision; in the case of
19 an election or nomination for a member of the assembly, twenty-five
20 hundred dollars as increased or decreased by the cost of living adjust-
21 ment described in paragraph c of this subdivision;] but in no event
22 shall any such maximum exceed [fifty] five thousand dollars or be less
23 than one thousand dollars[; provided however, that the maximum amount
24 which may be so contributed or accepted, in the aggregate, from any
25 candidate's child, parent, grandparent, brother and sister, and the
26 spouse of any such persons, shall not exceed in the case of any election
27 for party position or nomination for public office an amount equivalent
28 to the number of enrolled voters in the candidate's party in the
29 district in which he is a candidate, excluding voters in inactive
30 status, multiplied by $.25 and in the case of any election to public
31 office, an amount equivalent to the number of registered voters in the
32 district, excluding voters in inactive status, multiplied by $.25; or
33 twelve hundred fifty dollars, whichever is greater, or in the case of a
34 nomination or election of a state senator, twenty thousand dollars,
35 whichever is greater, or in the case of a nomination or election of a
36 member of the assembly twelve thousand five hundred dollars, whichever
37 is greater, but in no event shall any such maximum exceed one hundred
38 thousand dollars].
39 b. No contributor may make a contribution to a multi-candidate commit-
40 tee or to a political committee, other than a party, constituted or
41 authorized committee, and no such committee may accept any contribution
42 from any contributor which, in the aggregate, is greater than two thou-
43 sand dollars per annum.
44 c. [At the beginning of each fourth calendar year, commencing in nine-
45 teen hundred ninety-five, the state board shall determine the percent-
46 age of the difference between the most recent available monthly consumer
47 price index for all urban consumers published by the United States
48 bureau of labor statistics and such consumer price index published for
49 the same month four years previously. The amount of each contribution
50 limit fixed in this subdivision shall be adjusted by the amount of such
51 percentage difference to the closest one hundred dollars by the state
52 board which, not later than the first day of February in each such year,
53 shall issue a regulation publishing the amount of each such contribution
54 limit. Each contribution limit as so adjusted shall be the contribution
55 limit in effect for any election held before the next such adjustment]
56 No contributor may make a contribution to a party or constituted commit-
A. 6940--B 21
1 tee and no such committee may accept a contribution from any contributor
2 which, in the aggregate is greater than seven thousand five hundred
3 dollars per annum.
4 § 18. Subdivision 3 of section 14-114 of the election law is REPEALED.
5 § 19. Subdivisions 4 and 8 of section 14-114 of the election law, as
6 amended by chapter 8 of the laws of 1978 and as redesignated by chapter
7 9 of the laws of 1978, are amended to read as follows:
8 4. For purposes of this section, a portion of every contribution to a
9 party or constituted committee, expended as other than non-candidate
10 expenditures, and a portion of every contribution to a political commit-
11 tee authorized to support more than one candidate, shall be deemed
12 contributed to every candidate supported by such committee. That portion
13 shall be determined by allocating the contributions received by the
14 committee among all the candidates supported by the committee in accord-
15 ance with any formula based upon reasonable standards established by the
16 committee. The statements filed by such committee in accordance with
17 this article shall set forth, in addition to the other information
18 required to be set forth, the total amount received by the committee
19 from each contributor on behalf of all such candidates and the amount of
20 each such contribution allocated to each candidate by dollar amount and
21 percentage. Nothing in this subdivision shall require allocating
22 contributions expended on non-candidate expenditures to candidates.
23 8. Except as may otherwise be provided for a candidate [and his fami-
24 ly], no [person] contributor, except a party, constituted or multi-can-
25 didate committee, may contribute, loan or guarantee in excess of [one
26 hundred] fifty thousand dollars within the state in connection with the
27 nomination or election of persons to state and local public offices and
28 party positions within the state of New York in any one calendar year.
29 For the purposes of this subdivision "loan" or "guarantee" shall mean a
30 loan or guarantee which is not repaid or discharged in the calendar year
31 in which it is made.
32 § 20. Section 14-114 of the election law is amended by adding a new
33 subdivision 9 to read as follows:
34 9. a. In the city of New York, a contribution limitation established
35 by local law for certain candidates for the offices of mayor, public
36 advocate, comptroller, or borough president in such city, shall apply to
37 contributions to every candidate for such office, so that no contributor
38 may make a contribution to any candidate for such office or to any poli-
39 tical committee working directly or indirectly with any candidate for
40 any such office to aid or participate in such candidate's nomination or
41 election, and no such candidate or political committee may accept any
42 contribution from any contributor, which is in the aggregate amount,
43 greater than the amount of the contribution limitation applicable to
44 certain candidates for such offices pursuant to such local law. In addi-
45 tion to such penalties as may be provided by provisions of this chapter
46 or local law, any violation of the contribution limitation made applica-
47 ble pursuant to this paragraph shall be subject to the penalties
48 provided in paragraph b of this subdivision.
49 b. In addition to such penalties as may otherwise be provided by this
50 chapter or local law, any person who knowingly and willfully contrib-
51 utes, accepts or aids or participates in the acceptance of a contrib-
52 ution in an amount exceeding the contribution limitation made applicable
53 by paragraph a of this subdivision or any person who knowingly and will-
54 fully violates any other provision of this subdivision shall be guilty
55 of a class A misdemeanor.
A. 6940--B 22
1 c. For purposes of this subdivision, a political committee shall not
2 be deemed to be aiding or taking part in the campaign for nomination or
3 election of a candidate for any of the offices enumerated in paragraph a
4 of this subdivision solely because such committee makes a contribution
5 or transfer to such a candidate or to a committee that aids or takes
6 part in the campaign for nomination or election of such a candidate.
7 § 21. Subdivision 10 of section 14-114 of the election law is
8 REPEALED.
9 § 22. Subdivision 2 of section 14-116 of the election law, as amended
10 by chapter 260 of the laws of 1981, is amended to read as follows:
11 2. Notwithstanding the provisions of subdivision one of this section,
12 any corporation or an organization financially supported in whole or in
13 part, by such corporation may make expenditures, including contrib-
14 utions, not otherwise prohibited by law, for political purposes, in an
15 amount not to exceed five thousand dollars in the aggregate in any
16 calendar year; provided that no public utility shall use revenues
17 received from the rendition of public service within the state for
18 contributions for political purposes unless such cost is charged to the
19 shareholders of such a public service corporation. For the purposes of
20 this subdivision, all the component members of a controlled group of
21 corporations within the meaning of section one thousand five hundred
22 sixty-three of the Internal Revenue Code of the United States shall be
23 deemed to be one corporation.
24 § 23. Subdivision 1 of section 14-118 of the election law, as amended
25 by chapter 70 of the laws of 1983, is amended to read as follows:
26 1. Every political committee shall have a treasurer and a depository,
27 and shall cause the treasurer to keep detailed, bound accounts of all
28 receipts, transfers, loans, liabilities, contributions and expenditures,
29 made by the committee or any of its officers, members or agents acting
30 under its authority or in its behalf. All such accounts shall be
31 retained by a treasurer for a period of five years from the date of the
32 filing of the final statement with respect to the election, primary
33 election or convention to which they pertain. No officer, member or
34 agent of any political committee shall receive any receipt, transfer or
35 contribution, or make any expenditure or incur any liability until the
36 committee shall have chosen a treasurer and depository and filed their
37 names in accordance with this subdivision. There shall be filed in the
38 office in which the committee is required to file its statements under
39 section 14-110 of this article, within five days after the choice of a
40 treasurer and depository, a statement giving the name and address of the
41 treasurer chosen, the name and address of any person authorized to sign
42 checks by such treasurer, the name and address of the depository chosen
43 and the candidate or candidates or ballot proposal or proposals the
44 success or defeat of which the committee is to aid or take part;
45 provided, however, that such statement shall not be required of a
46 constituted committee and provided further that a political committee
47 which makes no expenditures, to aid or take part in the election or
48 defeat of a candidate, other than in the form of contributions, shall
49 not be required to list the candidates being supported or opposed by
50 such committee. Such a statement from any committee other than a party
51 or authorized committee also shall clearly identify the economic or
52 other special interest, if identifiable, of a majority of its contribu-
53 tors, and if a majority of its contributors share a common employer,
54 shall identify the employer. If the economic or other special interest
55 or common employer are not identifiable, such statement of a multi-can-
56 didate committee shall clearly identify the economic or other special
A. 6940--B 23
1 interest, if identifiable, of a majority of its organizers, and if a
2 majority of its organizers share a common employer, shall identify the
3 employer, and if organized, controlled or maintained by an individual,
4 shall identify that individual. Such statement shall be signed by the
5 treasurer and all other persons authorized to sign checks. Any change in
6 the information required in any statement shall be reported, in an
7 amended statement filed in the same manner and in the same office as an
8 original statement filed under this section, within two days after it
9 occurs. Only a banking organization authorized to do business in this
10 state may be designated a depository hereunder.
11 § 24. Subdivisions 3 and 4 of section 14-124 of the election law,
12 subdivision 3 as amended by chapter 71 of the laws of 1988 and subdivi-
13 sion 4 as amended by chapter 70 of the laws of 1983, are amended to read
14 as follows:
15 3. The contribution and receipt limits of section 14-114 of this arti-
16 cle shall not apply to monies received and expenditures made by a party
17 committee or constituted committee to maintain a permanent headquarters
18 and staff and carry on ordinary activities which are not for the express
19 purpose of promoting the candidacy of specific candidates.
20 4. No candidate and no political committee taking part solely in his
21 campaign and authorized to do so by him in accordance with this article
22 and no committee involved solely in promoting the success or defeat of a
23 ballot proposal shall be required to file a statement required by
24 sections 14-102 and 14-104 of this article if at the close of the
25 reporting period for which such statement would be required neither the
26 aggregate receipts nor the aggregate expenditures by and on behalf of
27 such candidate or to promote the success or defeat of such proposal, by
28 such candidate or such political committee or committees exceed [one]
29 two thousand dollars and such candidate or such committee files, on the
30 filing date otherwise provided, a statement, sworn or subscribed and
31 bearing a form notice that false statements made therein are punishable
32 as a class A misdemeanor pursuant to section 210.45 of the penal law,
33 stating that each of such aggregate receipts and aggregate expenditures
34 does not exceed [one] two thousand dollars.
35 § 25. Subdivision 1 of section 14-126 of the election law, as amended
36 by chapter 128 of the laws of 1994, is amended to read as follows:
37 1. a. Any committee which fails to file within the time required, any
38 statement of receipts and expenditures required by this article to be
39 filed within forty-five days of an election shall be subject to a civil
40 penalty of twenty-five dollars per day for each day between the day each
41 such statement was required to be filed and the day of such election or
42 the day such statement is filed, whichever is earlier, multiplied by a
43 number obtained by dividing the total amount of money received or money
44 expended by such committee, whichever is greater, by ten thousand. If
45 any such committee defaults on paying any such penalty, such penalty
46 shall be assessed against the candidate or candidates who authorized
47 such committee or if such committee is not an authorized committee
48 against the treasurer thereof.
49 b. Any person who fails to file within the time required, a report of
50 a contribution in excess of one thousand dollars received after the
51 filing of the last report required to be filed before an election shall
52 be subject to a civil penalty of twenty-five dollars per day for each
53 day between the day each such statement was required to be filed and the
54 day of such election or the day such statement is filed, whichever is
55 earlier, multiplied by the number of such contributions which were
56 required to be so reported in each statement.
A. 6940--B 24
1 c. Any person who [fails to file a statement required to be filed by]
2 violates any other provision of this article shall be subject to a civil
3 penalty, not in excess of [five hundred] one thousand dollars[, to] for
4 a first offense and not in excess of five thousand dollars for any
5 subsequent offense.
6 d. Such penalties shall be recoverable in a special proceeding or
7 civil action to be brought by the state board of elections or other
8 board of elections pursuant to subdivision four of section 3-104 of this
9 chapter.
10 § 26. The election law is amended by adding a new section 16-103 to
11 read as follows:
12 § 16-103. Proceedings as to public financing. 1. The determination of
13 eligibility pursuant to section 14-202 of this chapter and any question
14 or issue relating to payments for qualified campaign expenditures pursu-
15 ant to section 14-206 of this chapter may be contested in a proceeding
16 instituted in the supreme court, Albany county, by any aggrieved candi-
17 date.
18 2. A proceeding with respect to such a determination of eligibility or
19 payment for qualified campaign expenditures pursuant to section 14-206
20 of this chapter shall be instituted within seven days after such deter-
21 mination was made. The state board shall be made a party to any such
22 proceeding.
23 3. The state board is authorized to institute a special proceeding or
24 civil action in supreme court, Albany county, to seek recovery of any
25 amounts determined to be payable to the state board as a result of an
26 examination and audit made pursuant to titles II and III of article
27 fourteen of this chapter.
28 § 27. The election law is amended by adding a new section 4-113 to
29 read as follows:
30 § 4-113. Notice to the state board of elections of candidates for the
31 legislature. 1. Each board of elections with which are filed petitions
32 designating candidates for member of the legislature shall, not later
33 than one week after the last day to file such petitions, send notice to
34 the state board of elections of such information about each such peti-
35 tion as the state board shall require.
36 2. Each such county board of elections shall, not later than the day
37 after the last day to file a petition or certificate of nomination for a
38 general or special election or a certificate of acceptance, declination
39 or substitution for a general, primary or special election for any such
40 office, send to the state board of elections such information about each
41 such petition or certificate as the state board shall require.
42 3. If any such county board of elections should disqualify any such
43 candidate or rule the petition or certificate designating or nominating
44 any such candidate invalid, it shall forthwith notify the state board of
45 elections of such decision.
46 4. If any such county board of elections shall be notified of a deci-
47 sion of a court of competent jurisdiction disqualifying any such candi-
48 date or declaring any such petition invalid or reversing any such deci-
49 sion by such board of elections or another court, such board of
50 elections shall forthwith notify the state board of elections of such
51 decision.
52 5. The state board of elections may prescribe forms for the notices
53 required by this section and shall prescribe the manner in which such
54 notices shall be given.
55 § 28. The state finance law is amended by adding a new section 92-y to
56 read as follows:
A. 6940--B 25
1 § 92-y. New York state election campaign fund. 1. There is hereby
2 established in the joint custody of the state comptroller and the
3 commissioner of taxation and finance a fund to be known as the New York
4 state election campaign fund.
5 2. Such fund shall consist of all revenues received from the New York
6 state election campaign fund check-off pursuant to subsection (f) of
7 section six hundred fifty-eight of the tax law, from the general fund,
8 and from all other moneys credited or transferred thereto from any other
9 fund or source pursuant to law.
10 3. Moneys of the fund, following appropriation by the legislature, may
11 be expended for the purposes of making payments to candidates pursuant
12 to title II of article fourteen of the election law. Moneys shall be
13 paid out of the fund on the audit and warrant of the state comptroller
14 on vouchers certified or approved by the state board of elections, or
15 its duly designated representative, in the manner prescribed by law, not
16 more than four working days after such voucher is received by the state
17 comptroller.
18 4. Notwithstanding any provision of law to the contrary, if, in any
19 state fiscal year, the state election campaign fund lacks the amount of
20 money to pay all claims vouchered by eligible candidates and certified
21 or approved by the state board of elections, any such deficiency shall
22 be paid, upon audit and warrant of the comptroller, from funds deposited
23 in the general fund of the state not more than four working days after
24 such voucher is received by the comptroller.
25 5. Commencing in two thousand three, if the surplus in the fund on
26 April first of the year after a year in which a governor is elected
27 exceeds twenty-five percent of the disbursements from the fund over the
28 previous four years, the excess shall revert to the general fund of the
29 state.
30 6. No moneys shall be paid to candidates in a primary election any
31 earlier than two weeks after the last day to file designating petitions
32 for such primary election.
33 7. No moneys shall be paid to candidates in a general election any
34 earlier than the day after the day of the primary election held to nomi-
35 nate candidates for such election.
36 8. No moneys shall be paid to candidates in a special election any
37 earlier than the day after the last day to file certificates of party
38 nomination for such special election.
39 9. No moneys shall be paid to any candidate who has been disqualified
40 or whose designating petitions have been declared invalid by the appro-
41 priate board of elections or a court of competent jurisdiction until and
42 unless such finding is reversed by a higher authority. No payment from
43 the fund in the possession of such a candidate or such candidate's
44 authorized committee on the date of such disqualification or invali-
45 dation may thereafter be expended for any purpose except the payment of
46 liabilities incurred before such date. All such moneys shall be repaid
47 to the fund.
48 § 29. Section 658 of the tax law is amended by adding a new subsection
49 (f) to read as follows:
50 (f) New York state election campaign fund check-off. (1) For each
51 taxable year beginning on and after January first, two thousand, every
52 individual whose New York state income tax liability for the taxable
53 year for which the return is filed is three dollars or more may desig-
54 nate on such return that three dollars be paid into the New York state
55 election campaign fund established by section ninety-two-y of the state
56 finance law. Where a husband and wife file a joint return and have a New
A. 6940--B 26
1 York state income tax liability for the taxable year for which the
2 return is filed of six dollars or more, or file separate returns on a
3 single form, each such taxpayer may make separate designations on such
4 return of three dollars to be paid into the New York state election
5 campaign fund.
6 (2) The commissioner shall transfer to the New York state election
7 campaign fund, established pursuant to section ninety-two-y of the state
8 finance law, an amount equal to three 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, immediately above the certification
17 under which the taxpayer is required to sign such form, for such taxpay-
18 er to make the designations described in paragraph one of this
19 subsection. Such return form shall contain a concise explanation of the
20 purpose of such optional designations.
21 (5) At the beginning of the calendar year two thousand seven and each
22 fourth calendar year thereafter, the commissioner shall determine the
23 percentage difference between the most recent available monthly consumer
24 price index for all urban consumers published by the United States
25 bureau of labor statistics and such consumer price index published for
26 the same month four years previously. The commissioner shall adjust the
27 amount which may be designated by each taxpayer pursuant to this
28 subsection by the amount of such percentage difference to the closest
29 fifty cents.
30 § 30. Section 1-c of the legislative law is amended by adding six new
31 subdivisions (m), (n), (o), (p), (q) and (r) to read as follows:
32 (m) The term "fundraiser" shall mean an event or function at which or
33 in connection with which funds are solicited for or on behalf of (i) a
34 governor, lieutenant governor, comptroller, attorney general, member or
35 members of the state legislature, or a candidate for any of the forego-
36 ing offices; (ii) a political committee organized to support or oppose
37 the election of any such person or persons; (iii) a political action
38 committee formed by or on behalf of any such person or persons; (iv) a
39 state committee or a subcommittee of such state committee provided that
40 the term "fundraiser" when applied to an event or function held by a
41 state committee or subcommittee thereof shall not include such an event
42 or function at which funds are raised exclusively to support or oppose a
43 candidate or candidates for federal elective office, or a political
44 committee authorized by such a candidate or candidates, where such funds
45 are not used for any other purpose; or (v) any lobbyist or client poli-
46 tical action committee, where such an event or function is held for the
47 explicit purpose of raising funds for or on behalf of any of the forego-
48 ing entities.
49 (n) The term "candidate" shall mean a candidate as defined by subdivi-
50 sion seven of section 14-100 of the election law.
51 (o) The term "state committee" shall have the same meaning as provided
52 by the provisions of the election law.
53 (p) The term "political committee" shall have the same meaning as
54 provided by subdivision one of section 14-100 of the election law.
55 (q) The term "lobbyist or client political action committee" shall
56 mean a political action committee organized to support the activities of
A. 6940--B 27
1 a lobbyist or client provided, however, that the term "lobbyist or
2 client political action committee" as used in this article, shall not
3 include a fundraising event or function hosted by such a committee to
4 raise funds for the committee's general use where such an event or func-
5 tion is not targeted to benefit any of the specific persons or entities
6 described in subdivision (m) of this section.
7 (r) The term "legislative session" shall mean the period beginning on
8 the Wednesday succeeding the first Monday of January and ending on the
9 later of (i) the thirtieth day of June or (ii) two weeks after the day
10 on which the legislature has taken final action on all of the appropri-
11 ation bills submitted by the governor pursuant to article seven of the
12 state constitution, thereby enacting a state budget that provides suffi-
13 cient appropriation authority for the ongoing operation and support of
14 state government and local assistance for the ensuing fiscal year.
15 § 31. The legislative law is amended by adding a new section 1-m-1 to
16 read as follows:
17 § 1-m-1. Participation in fundraisers during a legislative session.
18 (a) Except as otherwise provided in this section, no person or entity
19 shall hold, participate in, contribute to, purchase a ticket for, or
20 attend any fundraiser within forty miles of the New York state capitol
21 during the legislative session.
22 (b) This section shall not apply to fundraisers within the district of
23 members of the legislature or candidates therefor whose districts are
24 located in whole or in part within forty miles of the New York state
25 capitol, provided, however that such fundraisers shall be solely for the
26 benefit of the legislator or the candidate or the authorized political
27 committee of such legislator or candidate and no other elected official,
28 political committee or candidate for elected office and further provided
29 that such fundraisers shall not be held on any day when a quorum of
30 either house of the legislature is in attendance of a session of their
31 respective house.
32 § 32. Subdivisions (a) and (b) of section 1-n of the legislative law,
33 as added by chapter 2 of the laws of 1999, is amended to read as
34 follows:
35 (a) (i) Any lobbyist, public corporation, or client who knowingly and
36 wilfully fails to file timely a report or statement required by this
37 article or knowingly and wilfully files false information or knowingly
38 and wilfully violates section one-m or one-m-one of this article shall
39 be guilty of a class A misdemeanor; and (ii) any lobbyist, public corpo-
40 ration, or client who knowingly and wilfully fails to file timely a
41 report or statement required by this article or knowingly and wilfully
42 files false information or knowingly and wilfully violates section one-m
43 or one-m-one of this article, after having previously been convicted in
44 the preceding five years of the crime described in paragraph (i) of this
45 subdivision, shall be guilty of a class E felony. For the purposes of
46 this subdivision, the chief administrative officer of any organization
47 required to file a statement or report shall be the person responsible
48 for making and filing such statement or report unless some other person
49 prior to the due date thereof has been duly designated to make and file
50 such statement or report.
51 (b) A lobbyist, public corporation, or client who knowingly and
52 wilfully fails to file a statement or report within the time required
53 for the filing of such report or knowingly and wilfully violates section
54 one-m or one-m-one of this article shall be subject to a civil penalty,
55 in an amount not to exceed twenty-five thousand dollars, to be assessed
56 by the commission. Such assessment may only be imposed after the
A. 6940--B 28
1 commission sends by certified and first-class mail written notice of the
2 intent to assess a penalty and the basis for the penalty. The amount of
3 such assessment shall be determined only after a hearing at which the
4 party shall be entitled to appear, present evidence and be heard. Such
5 assessment may be recovered in an action brought by the attorney gener-
6 al.
7 § 33. Subdivision 3 of section 14-126 of the election law, as amended
8 by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the
9 laws of 1978, is amended to read as follows:
10 3. Any person who knowingly and willfully contributes, accepts or aids
11 or participates in the acceptance of a contribution in an amount exceed-
12 ing an applicable maximum specified in this article or who knowingly and
13 willfully violates the provisions of section one-m-one of the legisla-
14 tive law shall be guilty of a misdemeanor.
15 § 34. Campaign finance review panel. 1. There is hereby created and
16 established the "campaign finance review panel". The panel shall consist
17 of the commissioner of taxation and finance, the director of the divi-
18 sion of the budget, the state comptroller and the two members of the
19 state board of elections who rotate as chairman of the board. The
20 commissioner of taxation and finance shall be chairman.
21 2. The panel is empowered and it shall be its duty to monitor and
22 review the implementation of the campaign financing reform act of 2000.
23 The panel shall report to the governor and the legislature on March 31,
24 2002 and on March 31, 2003. The report shall include: (a) the number of
25 candidates qualifying and opting for public financing, the amounts
26 expended for this purpose in the preceding fiscal year and a projection
27 of the number of candidates likely to qualify and opt for public financ-
28 ing and their expenditures in future elections; (b) an analysis of the
29 effect of the campaign financing reform act of 2000 on political
30 campaigns, including its effect on the sources and amounts of private
31 financing, the level of campaign expenditures, voter participation, the
32 number of candidates and the candidate's ability to campaign effectively
33 for public office; (c) a review of the procedures utilized in providing
34 public funds to candidates; and (d) such recommended changes in the
35 campaign financing reform act of 2000 as it deems appropriate.
36 § 35. This act shall take effect immediately, except:
37 a. The provisions of title II of article 14 of the election law, as
38 added by section five of this act, and the amendments to subdivision 11
39 of section 14-100 of the election law made by section nine of this act,
40 shall first apply in elections held for state legislative offices in
41 2002, shall first apply in elections held for statewide offices in 2002,
42 shall apply to the first election for delegates to a state constitu-
43 tional convention held after the effective date of this act, and there-
44 after shall apply in elections for all such offices; provided further
45 and except that:
46 The amendments to subdivision 1 of section 14-114 of the election law
47 made by section seventeen of this act, sections eighteen and twenty-one
48 of this act, and section 4-113 of the election law, as added by section
49 twenty-seven of this act, shall take effect December 1, 2000.
50 b. Section 14-105 of the election law, as added by section twelve of
51 this act, shall take effect June 1, 2001.
52 c. The amendment to section 14-104 of the election law made by section
53 eleven of this act shall take effect December 1, 2000.
54 d. Section 14-106 of the election law, as added by section thirteen of
55 this act, shall take effect on the first day of January next succeeding
56 the date on which this act shall have become a law, provided however,
A. 6940--B 29
1 that effective immediately, the addition, amendment and/or repeal of any
2 rules or regulations necessary for the implementation of such section
3 14-106 on its effective date is authorized and directed to be made and
4 completed on or before such effective date.
5 e. The amendment to section 1-c of the legislative law made by section
6 thirty of this act shall not affect the repeal of such section and shall
7 be deemed repealed therewith.
8 f. The amendments to sections 1-m-l and 1-n of the legislative law
9 made by sections thirty-one and thirty-two of this act shall be repealed
10 on the same date as article 1-A of the legislative law as provided by
11 chapter 2 of the laws of 1999.
