BROWN, CONNOR, DUANE, KRUGER, LACHMAN, ONORATO, PARKER, SAMPSON, SCHNEIDERMAN, SMITH M, STAVISKY
MLTSPNSR
Rpld S14-106, rpld S14-114 subs 3 & 10, amd El L, generally; add S92-bb, St Fin L; amd S658, TaxL; amd SS1-c
& 1-n, add S1-m-1, Leg L
Enacts "campaign financing reform act of 2003" 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.
STATE OF NEW YORK
________________________________________________________________________
4535
2003-2004 Regular Sessions
IN SENATE
April 14, 2003
___________
Introduced by Sens. OPPENHEIMER, BROWN, CONNOR, DUANE, KRUGER, LACHMAN,
ONORATO, PARKER, SAMPSON, SCHNEIDERMAN, M. SMITH, STAVISKY -- read
twice and ordered printed, and when printed to be committed to the
Committee on Elections
AN ACT in relation to enacting the "campaign financing reform act of
2003"; 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 limita-
tions 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 communi-
cations; and to amend the legislative law, in relation to partic-
ipation 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 consti-
tuted 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
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 2003".
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
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD05092-01-3
S. 4535 2
1 ensure a truly democratic political system in which citizens irrespec-
2 tive of their income, status, or financial connections are enabled and
3 encouraged to compete for public office. The legislature further finds
4 that to achieve the attainment of the above-mentioned objectives a meas-
5 ure of public financing for all qualified candidates for state elective
6 offices is required.
7 Therefore, the legislature declares that it is in the public interest
8 and a valid public purpose to provide public funds for public financing
9 for all qualified candidates for state and local elective office.
10 § 3. The article heading of article 14 of the election law is amended
11 to read as follows:
12 CAMPAIGN RECEIPTS AND EXPENDITURES; PUBLIC FINANCING
13 § 4. Sections 14-100 through 14-130 of article 14 of the election law
14 are designated title I and a new title heading is added to read as
15 follows:
16 CAMPAIGN RECEIPTS AND EXPENDITURES
17 § 5. Article 14 of the election law is amended by adding two new
18 titles II and III to read as follows:
19 TITLE II
20 STATE PUBLIC FINANCING
21 Section 14-200. Definitions.
22 14-202. Eligibility.
23 14-204. Qualified campaign expenditures.
24 14-206. Optional public financing.
25 14-208. Contribution and receipt limitations.
26 14-210. Expenditure limitations.
27 14-212. Examinations and audits; repayments.
28 14-214. Penalties.
29 14-216. Civil penalties.
30 § 14-200. Definitions. As used in this title, unless another meaning
31 is clearly indicated:
32 1. The term "state board" shall mean the state board of elections.
33 2. The term "eligible candidate" shall mean a candidate for nomination
34 or election to any of the offices of governor, lieutenant governor,
35 comptroller, attorney general, member of the legislature, at-large dele-
36 gate to a constitutional convention or district delegate to a constitu-
37 tional convention who meets the requirements for eligibility in section
38 14-202 of this title.
39 3. The term "matchable contributions" shall mean that portion of the
40 aggregate contributions made after the effective date of this title by
41 natural persons resident in the state of New York to a candidate for
42 nomination or election to any of the offices covered by the provisions
43 of this title which do not exceed five hundred dollars, which have been
44 reported in full by the candidate's authorized committee to the state
45 board, including the contributor's full name and residential address
46 and, with respect to contributions of more than fifty dollars, the name
47 and address of the contributor's employer. "Matchable contributions"
48 shall be the net amount of any monetary contribution realized by a
49 candidate or designated committee after deducting the reasonable value
50 of any goods or services provided the contributor in connection with the
51 contribution, except that contributions from any person who has received
52 a payment or anything of value from such committee or from a person who
53 is an officer, director or employee of, or a person who has a ten
54 percent or greater ownership interest in any entity which has received
55 such a payment or thing of value shall not be matchable. A loan may not
56 be treated as a matchable contribution. For purposes of this subdivi-
S. 4535 3
1 sion, a "contributor" shall be deemed to include the spouse and uneman-
2 cipated children of any individual contributor.
3 4. The term "qualified campaign expenditure" shall mean an expenditure
4 for which public funds may be used.
5 5. The term "fund" shall mean the New York state election campaign
6 fund.
7 6. The term "threshold for eligibility" shall mean the amount of total
8 matchable contributions that the authorized committee of an otherwise
9 eligible candidate for election to statewide office or to the state
10 legislature must receive in order to qualify for optional public financ-
11 ing pursuant to this title.
12 § 14-202. Eligibility. 1. To be eligible for optional public financing
13 under this title, a candidate for nomination or election must:
14 (a) Meet all the requirements of this chapter and other provisions of
15 law to have his or her name on the ballot;
16 (b) Be a candidate for statewide office, the state legislature or
17 delegate to a constitutional convention at a primary, general or special
18 election and meet the threshold for eligibility set forth in subdivision
19 two of this section;
20 (c) Elect to participate in the public funding provisions of this
21 title not later than seven days after the last day to file designating
22 petitions for the office such candidate is seeking or, in the case of a
23 special election, not later than the last day to file nominating
24 petitions for such office;
25 (d) Agree to obtain and furnish to the state board any evidence it may
26 reasonably request relating to his or her campaign expenditures or
27 contributions and furnish such other proof of compliance with this title
28 as may be requested by the state board;
29 (e) Have a single authorized political committee which he or she
30 certifies as the authorized committee for the purposes of this title;
31 and
32 (f) Agree to identify accurately in all campaign materials the person
33 or entity that paid for such campaign material.
34 2. The threshold for eligibility for public funding for candidates in
35 a primary, general or special election for the following offices shall
36 be:
37 (a) Governor in a primary or general election. Not less than two
38 hundred twenty-five thousand dollars in matchable contributions includ-
39 ing at least one thousand such contributions in the amount of ten
40 dollars or more or half the expenditure limit, whichever is less.
41 (b) Lieutenant governor in a primary election and comptroller or
42 attorney general in a primary or general election. Not less than seven-
43 ty-five thousand dollars in matchable contributions including at least
44 five hundred such contributions of ten dollars or more or half the
45 expenditure limit, whichever is less.
46 (c) At-large delegate to a constitutional convention in a primary or
47 general election. Not less than seven thousand five hundred dollars in
48 matchable contributions including at least fifty such contributions of
49 ten dollars or more or half the expenditure limit, whichever is less.
50 (d) Members of the state senate in a primary, general or special
51 election. Not less than seven thousand five hundred dollars in matchable
52 contributions including at least twenty-five such contributions of ten
53 dollars or more from residents of the district in which the seat is to
54 be filled or half the expenditure limit, whichever is less.
55 (e) District delegate to a constitutional convention in a primary or
56 general election. Not less than two thousand five hundred dollars in
S. 4535 4
1 matchable contributions including at least twenty-five such contrib-
2 utions of ten dollars or more from residents of the district in which
3 the seat is to be filled or half the expenditure limit, whichever is
4 less.
5 (f) Members of the assembly in a primary, general or special election.
6 Not less than five thousand dollars in matchable contributions including
7 at least twenty-five such contributions of ten dollars or more from
8 residents of the district in which the seat is to be filled or half the
9 expenditure limit, whichever is less.
10 3. In order to be eligible to receive public funds in a primary
11 election a candidate must agree, that in the event such candidate is a
12 candidate for such office in the general election in such year, that
13 such candidate will be bound by the provisions of this title, including,
14 but not limited to, the receipt and expenditure limits of this title.
15 4. Candidates who are contested in a primary election and who do not
16 seek public funds shall not be eligible for public funds for the general
17 election in that year. The provisions of this subdivision shall not
18 apply to candidates for the office of lieutenant governor.
19 5. Candidates who are unopposed in a general or special election shall
20 not be eligible to receive public funds.
21 6. No candidate for election to an office in a primary, general or
22 special election who has qualified for public funds shall receive such
23 public funds unless at least one other candidate for such office in such
24 election also qualified to receive public funds or at least one other
25 candidate for such office in such election and such candidate's author-
26 ized committee have spent, or contracted or obligated to spend, or have
27 received in loans or contributions an amount exceeding ten percent of
28 the expenditure limit for such office in such election which is fixed by
29 this title for candidates who have elected to accept such public funds.
30 If a candidate for an office and the authorized committee of such candi-
31 date reaches the threshold to qualify to receive public funds, or spends
32 or contracts or obligates to spend, or receives in loans or contrib-
33 utions, an amount exceeding ten percent of the expenditure limit for
34 such office in such election at any time after the filing deadline for
35 the last report required to be filed before the first distribution of
36 public funds for such election, such candidate or committee must notify
37 the state board of that fact within forty-eight hours by express mail.
38 § 14-204. Qualified campaign expenditures. 1. Public funds provided
39 under the provisions of this title may only be used for expenditures by
40 any one committee authorized by the candidate to make expenditures on
41 such candidate's behalf, to further the candidate's nomination or
42 election during the calendar year in which the primary or general
43 election in which the candidate seeking nomination or election is held,
44 for services, materials, facilities or other things of value used during
45 that year or in the case of a special election for expenditures during
46 the period commencing three months before and ending one month after
47 such special election. The total of all expenditures made by the candi-
48 date and such candidate's authorized committee including all payments
49 received from the fund shall not exceed the expenditure limitations
50 established in section 14-210 of this title, except insofar as such
51 payments are made to repay loans used to pay campaign expenditures.
52 2. Such public funds may not be used for:
53 (a) An expenditure in violation of any law of the United States or of
54 this state;
55 (b) Payments or anything of value given or made to the candidate, a
56 relative of the candidate, or to a business entity in which any such
S. 4535 5
1 person has a ten percent or greater ownership interest or of which any
2 such person is an officer, director or employee;
3 (c) Payment in excess of the fair market value of services, materials,
4 facilities or other things of value received in exchange;
5 (d) Any expenditure made after the candidate, or the only remaining
6 opponent of the candidate, has been disqualified or had such candidate's
7 petitions declared invalid by a board of elections or a court of compe-
8 tent jurisdiction until and unless such finding is reversed by a higher
9 authority. This paragraph shall not apply to a candidate entitled to
10 expend public funds pursuant to the provisions of subdivision three of
11 section 14-206 of this title;
12 (e) Any expenditure made to challenge the validity of any petition of
13 designation or nomination or any certificate of nomination, acceptance,
14 authorization, declination or substitution;
15 (f) Expenditure for noncampaign related food, drink or entertainment;
16 and
17 (g) Gifts, except brochures, buttons, signs and other campaign materi-
18 al.
19 § 14-206. Optional public financing. 1. Eligible candidates for nomi-
20 nation or election in primary, general and special elections may obtain
21 payment to authorized committees from public funds for qualified
22 campaign expenditures. No such public funds shall be paid to an author-
23 ized committee until the candidate has qualified as an eligible candi-
24 date and filed a sworn statement with the state board electing to
25 receive public funds and agreeing to abide by the requirements of this
26 title. Payments shall not exceed the amounts specified in this title,
27 and shall be made only in accordance with the provisions of this title.
28 Such payments may only be made to an eligible candidate's authorized
29 committee. No public funds shall be used except as reimbursement or
30 payment for qualified campaign expenditures actually and lawfully
31 incurred or to repay loans used to pay qualified campaign expenditures.
32 2. (a) The authorized committee of each eligible candidate shall be
33 entitled to payment for qualified campaign expenditures not to exceed
34 one dollar for each one dollar of matchable contributions obtained and
35 reported to the state board in accordance with the provisions of this
36 title.
37 (b) However, if any candidate in any election for an office for which
38 public funds are available pursuant to the provisions of this title,
39 elects not to accept such public funds and either, such candidate
40 spends, or contracts or obligates to spend, or contributes to such
41 candidate's authorized committee an amount exceeding two hundred fifty
42 thousand dollars of such candidate's personal funds, or if such candi-
43 date and such candidate's authorized committee spend or contract or
44 obligate to spend, or receive in loans or contributions, an amount
45 exceeding one-third the expenditure limit for such office fixed by this
46 title for candidates who have elected to accept such public funds, then
47 the authorized committee of each eligible candidate for such office
48 shall be entitled to payment for qualified campaign expenditures not to
49 exceed two dollars for each such dollar of matchable contributions. If a
50 candidate who elects not to accept such public funds, spends, or
51 contracts or obligates to spend, or contributes to such candidate's
52 authorized committee an amount exceeding two hundred fifty thousand
53 dollars of such candidate's personal funds, or if such a candidate and
54 the authorized committee of such a candidate, spends or contracts or
55 obligates to spend, or receives in loans or contributions, an amount
56 exceeding one-third the expenditure limit for such office, such candi-
S. 4535 6
1 date or committee must notify the state board of the fact within forty-
2 eight hours by express mail.
3 3. No candidate for nomination for an office who is unopposed in a
4 primary election shall be entitled to payment from the fund for quali-
5 fied campaign expenditures, unless there is a contest in such primary
6 for the nomination of at least one other party for such office. Where
7 there is such a contest, the authorized committee of an unopposed candi-
8 date for nomination may receive one-half the payment provided in subdi-
9 vision two of this section, provided that such candidate otherwise qual-
10 ifies pursuant to the provisions of this title. Such payment can only be
11 expended for property, services or facilities used on or before the date
12 of such primary.
13 4. The total payments from the fund received by the authorized commit-
14 tee of any candidate, when added to the total of contributions received
15 by such candidate and such candidate's authorized committee, may not
16 exceed the amount which may be expended by such candidate pursuant to
17 the provisions of this title.
18 5. The state board shall promptly examine all reports of contributions
19 to determine that, on their face, they meet the requirements for matcha-
20 ble contributions, and shall keep a record of such contributions.
21 6. The state board shall promulgate regulations for the certification,
22 for approval of payment by the New York state election campaign fund
23 pursuant to section ninety-two-bb of the state finance law, of the sum
24 of public funds that such candidate has qualified to receive from the
25 election campaign fund. These regulations shall include the promulgation
26 and distribution of forms on which contributions and expenditures are to
27 be reported, the periods during which such reports must be filed and the
28 verification required. The state board shall endeavor to institute
29 procedures which will make possible payment by the election campaign
30 fund within four business days after receipt of the required forms and
31 verifications.
32 § 14-208. Contribution and receipt limitations. 1. The following
33 limitations apply to all contributions for those offices for which
34 public funds are available pursuant to the provisions of this title:
35 (a) In any primary or general election for a public office to be voted
36 on by the voters of the entire state, no contributor may make a contrib-
37 ution to any candidate or authorized committee, and no candidate or
38 authorized committee may accept any contribution from any contributor,
39 which, in the aggregate amount is greater than four thousand dollars
40 except that for the public office of delegate at-large to a constitu-
41 tional convention, such aggregate amount shall not be greater than one
42 thousand dollars. Candidates for governor and lieutenant governor in a
43 general election who have elected to participate in the optional public
44 financing provisions of this title may accept from one or more of the
45 party or constituted committees of all of the parties which have nomi-
46 nated them, an amount which, in the aggregate, does not exceed seven
47 hundred thousand dollars. Candidates for governor and lieutenant gover-
48 nor who have elected not to participate in such optional public financ-
49 ing may accept from such party or constituted committees an amount
50 which, in the aggregate does not exceed three hundred fifty thousand
51 dollars. A candidate for attorney general or comptroller in a general
52 election who has elected to participate in the optional public financing
53 provisions of this title may accept from one or more of the party or
54 constituted committees of all the parties which have nominated such
55 candidates, an amount which, in the aggregate, does not exceed two
56 hundred fifty thousand dollars. A candidate for attorney general or
S. 4535 7
1 comptroller who has elected not to participate in such optional public
2 financing may accept from such party or constituted committees an amount
3 which, in the aggregate, does not exceed one hundred twenty-five thou-
4 sand dollars. A candidate for delegate at-large to a constitutional
5 convention in a general election who has elected to participate in the
6 optional public financing provisions of this title may accept from one
7 or more of the party or constituted committees of all the parties which
8 have nominated him an amount which, in the aggregate, does not exceed
9 twenty-five thousand dollars. A candidate for delegate at-large to a
10 constitutional convention who has elected not to participate in such
11 optional public financing may accept from such party or constituted
12 committees an amount which, in the aggregate, does not exceed twelve
13 thousand five hundred dollars.
14 (b) In any primary, general or special election for member of the
15 state legislature, no contributor may make a contribution to any candi-
16 date or authorized committee, and no candidate or authorized committee
17 may accept any contribution from any contributor, which, in the aggre-
18 gate amount, is greater than one thousand five hundred dollars except
19 that a candidate for state senator in a general or special election who
20 has elected to participate in the optional public financing provisions
21 of this title or such candidate's authorized committee may accept from
22 one or more of the party or constituted committees of all of the parties
23 which have nominated such candidate, an amount which in the aggregate
24 does not exceed fifty thousand dollars. A candidate for state senator
25 who has elected not to participate in such optional public financing may
26 accept from such party or constituted committees an amount which, in the
27 aggregate, does not exceed thirty thousand dollars. Such a candidate for
28 member of the assembly who has elected to participate in such optional
29 public financing or such candidate's authorized committee may accept
30 from such party or constituted committees an amount which in the aggre-
31 gate does not exceed twenty-five thousand dollars. A candidate for
32 member of the assembly who has elected not to participate in such
33 optional public financing may accept from such party or constituted
34 committees an amount which, in the aggregate, does not exceed fifteen
35 thousand dollars.
36 (c) In any primary or general election for district delegate to a
37 constitutional convention, no contributor may make a contribution to any
38 candidate or authorized committee and no candidate or authorized commit-
39 tee may accept any contribution from any contributor which, in the
40 aggregate amount, is greater than five hundred dollars except that such
41 a candidate in a general election who has elected to participate in the
42 optional public financing provisions of this title or such candidate's
43 authorized committee may accept from one or more of the party or consti-
44 tuted committees of all the parties which have nominated such candidate,
45 an amount which, in the aggregate, does not exceed five thousand
46 dollars. A candidate for district delegate to a constitutional conven-
47 tion who has elected not to participate in such optional public financ-
48 ing may accept from such party or constituted committees an amount
49 which, in the aggregate, does not exceed two thousand five hundred
50 dollars.
51 (d) However, if any candidate in any election for any office for which
52 public funds are available pursuant to the provisions of this title,
53 elects not to accept such public funds and either, such candidate
54 spends, or contracts or obligates to spend, or contributes to such
55 candidate's authorized committee an amount exceeding two hundred fifty
56 thousand dollars of such candidate's personal funds, or if such candi-
S. 4535 8
1 date and such candidate's authorized committee spend or contract or
2 obligate to spend, or receive in loans or contributions, an amount
3 exceeding one-third the expenditure limit for such office fixed by this
4 title for candidates who have elected to accept such public funds,
5 contributors to those candidates for such office who have elected to
6 receive public funds shall be allowed to contribute and such candidates
7 or authorized committees shall be allowed to accept contributions from
8 any contributor, which, in the aggregate, are twice the amount which
9 would otherwise be allowed by paragraphs (a), (b) and (c) of this subdi-
10 vision, whichever is applicable. If a candidate who elects not to accept
11 such public funds, spends, or contracts or obligates to spend, or
12 contributes to his authorized committee an amount exceeding two hundred
13 fifty thousand dollars of his personal funds, or if such a candidate and
14 the authorized committee of such a candidate spends or contracts or
15 obligates to spend, or receives in loans or contributions, an amount
16 exceeding one-third the expenditure limit for such office, such candi-
17 date or committee must notify the state board of the fact within forty-
18 eight hours by express mail.
19 (e) At the beginning of the calendar year two thousand nine and each
20 fourth calendar year thereafter, the state board shall determine the
21 percentage difference between the most recent available monthly consumer
22 price index for all urban consumers published by the United States
23 bureau of labor statistics and such consumer price index published for
24 the same month four years previously. The amount of each contribution
25 limit fixed in this subdivision shall be adjusted by the amount of such
26 percentage difference to the closest one hundred dollars by the state
27 board which, not later than the first day of February in each such year,
28 shall issue a regulation setting forth the amount of each such contrib-
29 ution limit. Each contribution limit as so adjusted shall be the
30 contribution limit in effect for any election held before the next such
31 adjustment.
32 2. (a) Contributions received before the effective date of this title
33 may be expended only to the extent that they do not exceed the contrib-
34 ution limits imposed by this section. Interest earned on any such
35 contributions may be expended only to the extent that such interest was
36 earned on contributions which may be expended pursuant to the provisions
37 of this subdivision.
38 (b) However, if any candidate in any election for any office for which
39 public funds are available pursuant to the provisions of this title,
40 elects not to accept such public funds and such candidate spends, or
41 contracts or obligates to spend, or contributes to such candidate's
42 authorized committee an amount exceeding two hundred fifty thousand
43 dollars of such candidate's personal funds, or such candidate and such
44 candidate's authorized committee spend or contract or obligate to spend,
45 or receive in loans or contributions, an amount exceeding one-third the
46 expenditure limit for such office fixed by this title for candidates who
47 have elected to accept such public funds, candidates for such office who
48 have elected to receive public funds and the authorized committees of
49 such candidates shall be allowed to expend all contributions received
50 before the effective date of this title.
51 3. (a) A candidate for a public office for which public funds are
52 available pursuant to this title, or the authorized committee of such a
53 candidate who has not elected to participate in such public funding
54 provisions of this article, shall not accept any contributions any
55 earlier than one year before the first day to circulate designating
56 petitions for the office which such candidate is seeking, or any later
S. 4535 9
1 than the end of the calendar year in which the election occurs, except
2 that a candidate or authorized committee which has a deficit at the end
3 of such calendar year may, after such calendar year, accept contrib-
4 utions which do not exceed the amount of such deficit and the expenses
5 incurred in raising such contributions. Contributions to such a candi-
6 date or authorized committee which were received before the effective
7 date of this title may not be expended in any election for any such
8 office.
9 (b) A candidate for such an office to be filled at a special election,
10 or the authorized committee of such a candidate who has not elected to
11 participate in the public funding provisions of this title, shall not
12 accept any contributions any earlier than the date such office becomes
13 vacant or four months before such special election, whichever is earli-
14 er, or any later than two months after such election except that a
15 candidate or authorized committee which has a deficit two months after
16 such election may, after such date, accept contributions which do not
17 exceed the amount of such deficit and the expenses incurred in raising
18 such contributions.
19 4. Except for the limitations specifically set forth in this section,
20 such eligible candidates shall be subject to the provisions of section
21 14-114 of this article.
22 § 14-210. Expenditure limitations. 1. The following limitations apply
23 to all expenditures by eligible candidates and their authorized commit-
24 tees receiving public funds pursuant to the provisions of this title.
25 2. (a) In any primary election, expenditures by eligible candidates
26 for statewide offices except the office of delegate at-large to a
27 constitutional convention and by their authorized committees shall not
28 exceed the sum of seventy-five cents for each voter enrolled in the
29 candidate's party in the state, expenditures by eligible candidates for
30 the state legislature and by their authorized committees shall not
31 exceed the sum of one dollar and seventy-five cents for each voter
32 enrolled in the candidate's party in the district in which such candi-
33 date is a candidate, expenditures by eligible candidates for delegate
34 at-large to a constitutional convention and by their authorized commit-
35 tees shall not exceed the sum of ten cents for each voter enrolled in
36 the candidate's party in the state and expenditures by eligible candi-
37 dates for district delegate to a constitutional convention and by their
38 authorized committees shall not exceed the sum of seventy-five cents for
39 each voter enrolled in the candidate's party in the district in which
40 such candidate is a candidate, as determined by the records of the
41 appropriate board or boards of election as of the last general election
42 preceding the primary election, or the following amounts, whichever is
43 greater:
44 Candidates for nomination to the office of:
45 Statewide office$500,000
46 Delegate at-large
47 to a constitutional
48 convention$75,000
49 Member of senate$30,000
50 District delegate
51 to a constitutional
52 convention$5,000
53 Member of assembly$15,000
54 However, such expenditures shall not exceed two million five hundred
55 thousand dollars in a primary election for governor, one million two
56 hundred fifty thousand dollars in a primary election for lieutenant
S. 4535 10
1 governor, comptroller or attorney general, one hundred twenty-five thou-
2 sand dollars in a primary election for delegate at-large to a constitu-
3 tional convention, one hundred fifty thousand dollars in a primary
4 election for member of the senate, thirty thousand dollars in a primary
5 election for district delegate to a constitutional convention and seven-
6 ty-five thousand dollars in a primary election for member of assembly.
7 (b) In any general or special election, expenditures by eligible
8 candidates for the following offices and by their authorized committees
9 shall not exceed the following amounts:
10 Candidates for election to the office of:
11 Governor and lieutenant governor (combined)$7,000,000
12 Attorney general$2,500,000
13 Comptroller$2,500,000
14 Delegate at-large
15 to a constitutional
16 convention$250,000
17 Member of senate$150,000
18 District delegate
19 to a constitutional
20 convention$30,000
21 Member of assembly$75,000
22 (c) However, if any candidate in any election for an office for which
23 public funds are available pursuant to the provisions of this title,
24 elects not to accept such public funds and either, such candidate
25 spends, or contracts or obligates to spend, or contributes to such
26 candidate's authorized committee an amount exceeding two hundred fifty
27 thousand dollars of such candidate's personal funds, or if such candi-
28 date and such candidate's authorized committee spend or contract or
29 obligate to spend, or receive in loans or contributions, an amount
30 exceeding one-third of the expenditure limit for such office fixed by
31 paragraph (a) or (b) of this subdivision, whichever is applicable, for
32 candidates who have elected to accept such public funds, there shall be
33 no expenditure limit for those candidates for such office who have
34 elected to receive public funds. If a candidate who elects not to accept
35 such public funds, spends or contracts or obligates to spend, or
36 contributes to such candidate's authorized committee an amount exceeding
37 two hundred fifty thousand dollars of such candidate's personal funds,
38 or if such a candidate and the authorized committee of such a candidate
39 spends or contracts or obligates to spend, or receives in loans or
40 contributions, an amount exceeding one-third of the expenditure limit
41 for such office, such candidate or committee must notify the state board
42 of that fact within forty-eight hours by express mail.
43 (d) Candidates for office who are unopposed in the primary election
44 may expend before the primary election, for services, materials or
45 facilities used on or before the date of such primary election, an
46 amount equal to half the sum such candidates would be entitled to spend
47 if their nomination was contested in such primary election provided that
48 there is a contest in such primary for the nomination of at least one
49 other party for such office.
50 (e) Expenditures for legal fees and expenses to defend the validity of
51 petitions of designation or nomination or certificates of nomination,
52 acceptance, authorization, declination or substitution, or to challenge
53 successfully, any such petition or certificate on grounds of fraud and
54 for expenses incurred to comply with the campaign finance reporting
55 requirements of this article shall not be subject to the expenditure
56 limits of this subdivision.
S. 4535 11
1 (f) Notwithstanding any expenditure limit in this subdivision, each
2 county committee of any party which nominates a candidate for statewide
3 office, including within the term county committee any of its subcommit-
4 tees, may expend in support of each such candidate for statewide office
5 of such party who has agreed to accept public financing, an amount which
6 shall not exceed the sum of two cents for each voter registered in such
7 county as determined by the records of the appropriate board of
8 elections as of the preceding general election.
9 (g) At the beginning of the calendar year two thousand nine and each
10 fourth calendar year thereafter, the state board shall determine the
11 percentage difference between the most recent available monthly consumer
12 price index for all urban consumers published by the United States
13 bureau of labor statistics and such consumer price index published four
14 years previously. The amount of each expenditure limit fixed in this
15 subdivision shall be adjusted by the amount of such percentage differ-
16 ence to the closest one thousand dollars by the state board which, not
17 later than the first day of February in each such year, shall issue a
18 regulation setting forth the amount of each such contribution limit.
19 Each contribution limit as so adjusted shall be the contribution limit
20 in effect for any election held before the next such adjustment.
21 3. In computing the aggregate amount expended for purposes of this
22 section, expenditures made by a committee in support of more than one
23 candidate shall be allocated among such candidates supported by the
24 committee in accordance with formulas promulgated by the state board or,
25 in the absence of such official formulas, in accordance with any formula
26 based upon reasonable standards. The statements filed by such committee
27 in accordance with this chapter shall set forth, in addition to the
28 other information required, the total amount expended by the committee
29 on behalf of all such candidates and the amount allocated to each candi-
30 date by dollar amount and percentage. Expenditures by a state or other
31 committee of a political party for activities which do not support or
32 oppose the election of any candidate or candidates by name or by clear
33 inference shall not be regarded as expenditures on behalf of or in oppo-
34 sition to a candidate.
35 § 14-212. Examinations and audits; repayments. 1. The state board
36 shall conduct a thorough examination and audit of the contributions and
37 qualified campaign expenses of the authorized committee of every eligi-
38 ble candidate who received payments pursuant to section 14-206 of this
39 title.
40 2. (a) If the state board determines that any portion of the payment
41 made to such authorized committee from the New York state election
42 campaign fund was in excess of the aggregate amount of payments to which
43 such eligible candidate was entitled pursuant to section 14-206 of this
44 title, it shall notify such committee and such committee shall pay to
45 the state board an amount equal to the amount of excess payments.
46 (b) If the state board determines that any amount of payment made to
47 an authorized committee of an eligible candidate from the New York state
48 election campaign fund was used for purposes other than to defray quali-
49 fied campaign expenses, it shall notify the said authorized committee of
50 the amount disqualified and the said authorized committee shall pay to
51 the state board an amount equal to such disqualified amount.
52 (c) If the total of contributions and payments from the New York state
53 election campaign fund received by any candidate and such candidate's
54 authorized committee, exceeds the campaign expenditures of such candi-
55 date and committee, such candidate and committee shall use such excess
56 funds to reimburse the fund for payments received by such committee from
S. 4535 12
1 the fund not later than ten days after all liabilities have been paid
2 and in any event, not later than March thirty-first of the year follow-
3 ing the year of the election for which such payments were intended. No
4 such excess funds shall be used for any other purpose, unless the total
5 amount due the New York state election campaign fund from such candidate
6 and committee has been repaid.
7 3. If a court of competent jurisdiction disqualifies a candidate whose
8 authorized committee has received public funds on the grounds that such
9 candidate committed fraudulent acts in order to obtain a place on the
10 ballot and such decision is not reversed by a higher court, such candi-
11 date and such candidate's authorized committee shall pay to the state
12 board an amount equal to the total of public funds received by such
13 authorized committee.
14 4. All payments received by the state board pursuant to this section
15 shall be deposited in the New York state election campaign fund estab-
16 lished by section ninety-two-bb of the state finance law.
17 § 14-214. Penalties. 1. Any person who knowingly and willfully fails
18 to file a statement required to be filed by this title or the rules or
19 regulations of the state board in implementation thereof within five
20 days after the date provided for filing such statement, or any person
21 who knowingly and willfully violates any other provision of this title
22 shall be guilty of a class A misdemeanor, unless a greater penalty is
23 specifically prescribed in another applicable statute.
24 2. Any person who knowingly and willfully contributes or expends or
25 aids or participates in the contribution or expenditure of funds in an
26 amount exceeding an applicable maximum specified in this title, or who
27 knowingly and willfully accepts or aids or participates in the accept-
28 ance of a contribution in an amount exceeding an applicable maximum
29 specified in this title shall be guilty of a class A misdemeanor.
30 3. Any person who knowingly and willfully neglects or refuses to
31 furnish any information required or authorized by this title, or to
32 exhibit records, papers or documents authorized by this title to be
33 inspected or which are required to be exhibited, shall be guilty of a
34 class A misdemeanor.
35 4. Any person who knowingly and willfully expends or aids or partic-
36 ipates in the expenditure of funds for a purpose or in a manner which
37 violates the provisions of this title shall be guilty of a class A
38 misdemeanor.
39 5. Any person who knowingly and willfully fails to return or aids or
40 participates in the failure to return to the state board any funds
41 required to be returned to such board pursuant to the provisions of this
42 title shall be guilty of a class A misdemeanor.
43 6. Any person who furnishes any false, fictitious or fraudulent
44 evidence, books or information to the state board of elections under
45 this title or includes in any evidence, books, or information so
46 furnished any misrepresentation of a material fact, or falsifies or
47 conceals any evidence, books, or information relevant to any audit by
48 the state board of elections or knowingly and willfully violates any
49 other provision of this title shall be guilty of a class A misdemeanor.
50 7. The attorney general shall be primarily responsible for instituting
51 and conducting prosecutions under this section. In such cases the attor-
52 ney general or the attorney general's deputy shall exercise all the
53 powers and perform all the duties which the district attorney would
54 otherwise be authorized or required to exercise or perform; whenever any
55 such prosecution is instituted by the attorney general, the district
56 attorney shall only exercise such powers and perform such duties as are
S. 4535 13
1 required of the district attorney by the attorney general or the deputy
2 attorney general. Until and unless the attorney general exercises
3 authority under this section an otherwise authorized district attorney
4 may institute and conduct a prosecution under this section.
5 8. Whenever the attorney general is authorized under this chapter to
6 prosecute a criminal proceeding on behalf of the state board, the attor-
7 ney general shall have the discretion to delegate the authority to
8 initiate or conduct any such prosecution to the state board of
9 elections.
10 § 14-216. Civil penalties. 1. Any person who fails to file a statement
11 or record required to be filed by this title or the rules or regulations
12 of the state board in implementation thereof shall be subject to a civil
13 penalty, not in excess of one thousand dollars, to be recoverable in a
14 civil proceeding brought by the state board.
15 2. If the aggregate amount of expenditures by a candidate and such
16 candidate's authorized committee exceeds the expenditure limitations
17 contained in this title such candidate shall be liable for a civil
18 penalty in an amount equal to three times the sum by which such expendi-
19 tures exceed the permitted amount.
20 TITLE III
21 LOCAL OPTION PUBLIC FINANCING
22 Section 14-300. Public campaign financing in counties, cities or towns
23 by local option.
24 § 14-300. Public campaign financing in counties, cities or towns by
25 local option. 1. On the request of two-thirds of the total membership
26 of its legislative body or on the request of its chief executive officer
27 concurred in by a majority of such membership, of any county, city or
28 town which contains a population of more than one hundred thousand, made
29 to the state legislature, the legislature may enact a local public
30 campaign financing law for elections in such county, city or town.
31 2. Such local public campaign finance law shall include, but not be
32 limited to: which offices shall be included in public financing, the
33 amount of public financing for each office, contribution and expenditure
34 limits, and the method of funding public financing.
35 3. The forms of requests to be submitted to the legislature with
36 respect to the enactment of such special law and the manner of communi-
37 cation of such requests to the legislature shall be the same as those
38 prescribed pursuant to section fifty-five of the legislative law.
39 4. Such local public financing law shall not take effect unless
40 enacted into law by the legislature within sixty days after receipt of
41 the request described in subdivision one of this section from such coun-
42 ty, city or town. If the legislature is not in session at the time of
43 such receipt, or if it adjourns sine die less than sixty days after such
44 receipt, then such sixty-day period for enactment shall run from the
45 date the legislature reconvenes.
46 5. Nothing in this section shall be construed to diminish any existing
47 authority of a county, city or town.
48 § 6. Severability. If any clause, sentence, subdivision, paragraph,
49 section or part of title II or III of article 14 of the election law be
50 adjudged by any court of competent jurisdiction to be invalid, such
51 judgment shall not affect, impair or invalidate the remainder thereof,
52 but shall be confined in its operation to the clause, sentence, subdivi-
53 sion, paragraph, section or part thereof directly involved in the
54 controversy in which such judgment shall have been rendered.
55 § 7. Subdivisions 2, 3, 4, 5, 6, 7, 8, 9, 10 and 11 of section 14-100
56 of the election law, subdivisions 2, 3, 4, 5, 6, 8, 10 and 11 as redes-
S. 4535 14
1 ignated by chapter 9 of the laws of 1978 are renumbered subdivisions 4,
2 5, 6, 7, 8, 9, 10, 11, 12, and 13 and two new subdivisions 2 and 3 are
3 added to read as follows:
4 2. "authorized committee" means a political committee which has been
5 authorized by one or more candidates to act on their behalf.
6 3. "multi-candidate committee" means a political committee which has
7 been in existence for at least six months, has received contributions of
8 money from more than fifty persons, has made contributions of money to
9 at least five candidates in New York state, makes only monetary contrib-
10 utions and is not an authorized committee for any candidate.
11 § 8. Subdivision 9 of section 14-100 of the election law, as amended
12 by chapter 480 of the laws of 1987 and renumbered by section seven of
13 this act, is amended to read as follows:
14 9. "candidate" means an individual who seeks nomination for election,
15 or election, to any public office or party position to be voted for at a
16 caucus or a primary, general or special or New York city community
17 school district election or election for trustee of the Long Island
18 Power Authority, whether or not the public office or party position has
19 been specifically identified at such time and whether or not such indi-
20 vidual is nominated or elected, and, for purposes of this subdivision,
21 an individual shall be deemed to seek nomination for election, or
22 election, to an office or position, if he has (1) taken the action
23 necessary to qualify himself for nomination for election, or election,
24 or (2) received contributions or made expenditures, given his consent
25 for any other person to receive contributions or make expenditures, with
26 a view to bringing about his nomination for election, or election, to
27 any office or position at any time whether in the year in which such
28 contributions or expenditures are made or at any other time; and
29 § 9. The opening paragraph of paragraph 3 of subdivision 11 of section
30 14-100 of the election law, as amended by chapter 70 of the laws of 1983
31 and such subdivision as renumbered by section seven of this act, is
32 amended to read as follows:
33 any payment, by any person other than a candidate or a political
34 committee authorized by the candidate, made in connection with the nomi-
35 nation for election or election of any candidate, or any payment made to
36 promote the success or defeat of a political party or principle, or of
37 any ballot proposal including but not limited to compensation for the
38 personal services of any individual which are rendered in connection
39 with a candidate's election or nomination without charge; provided
40 however, that none of the foregoing shall be deemed a contribution if it
41 is made, taken or performed by a candidate or [his] the spouse of a
42 candidate except a candidate who has elected to accept public funds
43 pursuant to title II or title III of this article, or by a person or a
44 political committee independent of the candidate or his agents or
45 authorized political committees. For purposes of this article, the term
46 "independent of the candidate or his agents or authorized political
47 committees" shall mean that the candidate or his agents or authorized
48 political committees did not authorize, request, suggest, foster or
49 cooperate in any such activity; and provided further, that the term
50 contribution shall not include:
51 § 10. Subdivisions 1 and 3 of section 14-102 of the election law, as
52 amended by chapter 8 of the laws of 1978, subdivision 1 as redesignated
53 by chapter 9 of the laws of 1978 and subdivision 3 as renumbered by
54 chapter 70 of the laws of 1983, are amended to read as follows:
55 1. The treasurer of every political committee which, or any officer,
56 member or agent of any such committee who, in connection with any
S. 4535 15
1 election, receives or expends any money or other valuable thing or
2 incurs any liability to pay money or its equivalent and any entity or
3 person, other than a natural person, who or which makes contributions or
4 expenditures, or incurs liabilities, for political purposes which total
5 in excess of two thousand dollars in any calendar year shall file state-
6 ments sworn, or subscribed and bearing a form notice that false state-
7 ments made therein are punishable as a class A misdemeanor pursuant to
8 section 210.45 of the penal law, at the times prescribed by this article
9 setting forth all the receipts, contributions to and the expenditures by
10 and liabilities of the committee and all such contributions and expendi-
11 tures by, and liabilities of, such entity or person, and of its offi-
12 cers, members and agents in its behalf. Such statements shall include
13 the dollar amount of any receipt, contribution or transfer, or the fair
14 market value of any receipt, contribution or transfer, which is other
15 than of money, the name and address of the transferor, contributor or
16 person from whom received, the name and address of such person's employ-
17 er, the full name, residential address, occupation, employer, and busi-
18 ness address of each individual, corporation, partnership, political
19 committee, employee organization or other entity making, or which is the
20 intermediary for, such contribution, or any loan, guarantee, or other
21 security for such a loan and if the transferor, contributor or person is
22 a political committee; the name of and the political unit represented by
23 the committee, the date of its receipt, the dollar amount of every
24 expenditure, the name and address of the person to whom it was made or
25 the name of and the political unit represented by the committee to which
26 it was made and the date thereof, and shall state clearly the purpose of
27 such expenditure. If any one expenditure is made for more than one
28 purpose, or as payment for goods or services supplied by more than one
29 supplier, such statement shall set forth separately each such purpose or
30 supplier and the amount expended for each such purpose or for or to each
31 such supplier. Any statement reporting a loan shall have attached to it
32 a copy of the evidence of indebtedness. [Expenditures] Except for candi-
33 dates and committees who or which accept public financing pursuant to
34 the provisions of this article, expenditures in sums under fifty dollars
35 need not be specifically accounted for by separate items in said state-
36 ments, and receipts and contributions aggregating not more than ninety-
37 nine dollars, from any one contributor need not be specifically
38 accounted for by separate items in said statements, provided however,
39 that such expenditures, receipts and contributions shall be subject to
40 the other provisions of section 14-118 of this [article] title. If a
41 committee has made expenditures of money or other valuable things or
42 incurred liabilities totaling more than two thousand dollars each to
43 support or oppose more than one candidate in any calendar year, such
44 statements shall also set forth on a separate schedule, each of the
45 expenditures made, or liabilities incurred, with respect to each such
46 candidate. The board of elections shall annex a copy of each such sched-
47 ule to the statement required to be filed by such candidate pursuant to
48 the provisions of section 14-104 of this title.
49 3. The state board of elections shall promulgate regulations with
50 respect to the accounting methods to be applied in complying with, and
51 in preparing the statements required by, the provisions of this article
52 and shall provide forms suitable for such statements. Such regulations
53 shall be drawn to assure such compliance and obtain the maximum possible
54 disclosure.
55 § 11. Subdivision 1 of section 14-104 of the election law, as amended
56 by chapter 430 of the laws of 1997, is amended to read as follows:
S. 4535 16
1 1. Any candidate for election to public office, or for nomination for
2 public office at a contested primary election or convention, or for
3 election to a party position at a primary election, shall file state-
4 ments sworn, or subscribed and bearing a form notice that false state-
5 ments made therein are punishable as a class A misdemeanor pursuant to
6 section 210.45 of the penal law, at the times prescribed by this article
7 setting forth the particulars specified by section 14-102 of this [arti-
8 cle] title, as to all moneys or other valuable things, paid, given,
9 expended or promised by him to aid his own nomination or election, or to
10 promote the success or defeat of a political party, or to aid or influ-
11 ence the nomination or election or the defeat of any other candidate to
12 be voted for at the election or primary election or at a convention,
13 including contributions to political committees, officers, members or
14 agents thereof, and transfers, receipts and contributions to him to be
15 used for any of the purposes above specified, or in lieu thereof, any
16 such candidate may file such a sworn statement at the first filing peri-
17 od, on a form prescribed by the state board of elections that such
18 candidate has made no such expenditures and does not intend to make any
19 such expenditures, except through a political committee authorized by
20 such candidate pursuant to this article. If the amounts paid, given,
21 expended or promised with respect to any other candidate exceed two
22 thousand dollars, such statements shall also set forth on a separate
23 schedule each such amount paid, given, expended or promised with respect
24 to each such candidate. The board of elections shall annex a copy of
25 each such schedule to the statement filed by such other candidate pursu-
26 ant to the provisions of this section. A committee authorized by such a
27 candidate may fulfill all of the filing requirements of this act on
28 behalf of such candidate.
29 § 12. The election law is amended by adding a new section 14-105 to
30 read as follows:
31 § 14-105. Local campaign finance disclosure. 1. In the city of New
32 York all the provisions of local law and any amendments thereto relating
33 to the reporting of campaign finance information on behalf of certain
34 candidates for the offices of mayor, public advocate, comptroller, and
35 borough president, shall apply to every candidate for any such office
36 and to every political committee that directly or indirectly aids or
37 takes part in a campaign for nomination or election of any candidate for
38 any such office.
39 2. Any candidate or political committee that is required to file a
40 statement or report with the board of elections in the city of New York,
41 pursuant to this article or regulations adopted pursuant thereto by the
42 state board of elections, shall also file, in accordance with subdivi-
43 sion one of this section, the statements and reports required by the
44 city agency responsible for executing and enforcing such local law, and
45 such city agency shall have the power to audit and examine the state-
46 ments and records of such candidates and political committees for the
47 purpose of verifying the completeness and accuracy of such statements
48 and reports. No candidate or political committee required to file a
49 statement or report with the board of elections in such city shall be
50 exempt from the additional filing requirements of this section, unless
51 the statement or report filed with the board of elections includes a
52 written statement, sworn to or affirmed by the candidate, that such
53 candidate is not a candidate for nomination or election to an office
54 enumerated in subdivision one of this section or, sworn to or affirmed
55 by the committee treasurer, that such committee is not directly or indi-
56 rectly aiding or taking part in any campaign of a candidate for any such
S. 4535 17
1 office. The city agency responsible for executing and enforcing such
2 local law shall promulgate such regulations as are necessary and appro-
3 priate for implementing the requirements of this section.
4 3. In addition to such penalties as may otherwise be provided by this
5 chapter or local law, any person who fails to file timely a legible,
6 true, and complete statement or report required by this section to be
7 filed with the city agency responsible for executing and enforcing the
8 local law described in subdivision one of this section, shall be subject
9 to a civil penalty in an amount not in excess of one hundred dollars, to
10 be recoverable in a special proceeding or civil action to be brought by
11 the city agency.
12 4. For purposes of this section, a political committee shall not be
13 subject to the filing requirements described in this section solely
14 because such committee makes a contribution to a candidate or another
15 political committee.
16 § 13. Section 14-106 of the election law is REPEALED and a new section
17 14-106 is added to read as follows:
18 § 14-106. Identification of the source of certain political communi-
19 cations. 1. Whenever any person makes an expenditure for the purpose of
20 financing, or otherwise publishes or distributes, communications
21 expressly advocating the election or defeat of a clearly identified
22 candidate or the approval or disapproval of a ballot proposal, such
23 communication:
24 (a) if paid for and authorized by a candidate, an authorized political
25 committee of a candidate, or its agents, shall clearly state that the
26 communication has been paid for by such candidate, authorized political
27 committee, or agent; or
28 (b) if paid for by other persons but authorized by a candidate, an
29 authorized political committee of a candidate, or its agents, shall
30 clearly state that the communication is paid for by such other persons
31 and authorized by such candidate, authorized political committee, or
32 agent; or
33 (c) if not authorized by a candidate, an authorized political commit-
34 tee of a candidate, or its agents, shall clearly state the name of the
35 person who paid for, or otherwise published or distributed, the communi-
36 cation and state that the communication is not authorized by any candi-
37 date or candidate's committee.
38 2. For purposes of this section, the following terms shall have the
39 following meanings:
40 (a) The term "clearly identified" means that:
41 (1) the name of the candidate involved appears;
42 (2) a photograph or drawing of the candidate appears; or
43 (3) the identity of the candidate is apparent by unambiguous refer-
44 ence.
45 (b) The term "communication" includes any advertisements, pamphlets,
46 circulars, flyers, brochures, letterheads, or other printed matter, and
47 radio or television broadcasts.
48 (c) The term "person" includes an individual, partnership, committee,
49 association, corporation, labor organization, or any other organization
50 or group of persons.
51 3. A violation of the provisions of this section shall constitute a
52 misdemeanor.
53 § 14. Subdivision 6 of section 14-108 of the election law, as amended
54 by chapter 323 of the laws of 1977 and as redesignated by chapter 9 of
55 the laws of 1978, is amended to read as follows:
S. 4535 18
1 6. A statement shall be deemed properly filed when deposited in an
2 established post-office within the prescribed time, duly stamped, certi-
3 fied and directed to the officer with whom or to the board with which
4 the statement is required to be filed, but in the event it is not
5 received, a duplicate of such statement shall be promptly filed upon
6 notice by such officer or such board of its non-receipt. All statements
7 required to be filed during the period of fifteen days before any
8 election, which are mailed, shall be sent by express mail.
9 § 15. Section 14-112 of the election law, as amended by chapter 930 of
10 the laws of 1981, is amended to read as follows:
11 § 14-112. Political committee authorization statement. Any political
12 committee aiding or taking part in the election or nomination of any
13 candidate, other than by making contributions, shall file, in the office
14 in which the statements of such committee are to be filed pursuant to
15 this article, either a sworn verified statement by the treasurer of such
16 committee and the candidate that [the] such candidate has authorized the
17 political committee to aid or take part in his election or a sworn veri-
18 fied statement by the treasurer of such committee that the candidate has
19 not authorized the committee to aid or take part in his election. No
20 candidate may authorize more than one committee for any one election. A
21 multi-candidate committee may not be an authorized committee.
22 § 16. Paragraph b of subdivision 1 of section 14-114 of the election
23 law, as amended by chapter 659 of the laws of 1994, is amended to read
24 as follows:
25 b. [In] Except as otherwise provided in subdivision nine of this
26 section, in any other election for party position or for election to a
27 public office or for nomination for any such office, no contributor may
28 make a contribution to any candidate or political committee and no
29 candidate or political committee may accept any contribution from any
30 contributor, which is in the aggregate amount greater than: (i) in the
31 case of any election for party position, or for nomination to public
32 office, the product of the total number of enrolled voters in the candi-
33 date's party in the district in which he is a candidate, excluding
34 voters in inactive status, multiplied by $.05, and (ii) in the case of
35 any election for a public office, the product of the total number of
36 registered voters in the district, excluding voters in inactive status,
37 multiplied by $.05, [however in the case of a nomination within the city
38 of New York for the office of mayor, public advocate or comptroller,
39 such amount shall be not less than four thousand dollars nor more than
40 twelve thousand dollars as increased or decreased by the cost of living
41 adjustment described in paragraph c of this subdivision; in the case of
42 an election within the city of New York for the office of mayor, public
43 advocate or comptroller, twenty-five thousand dollars as increased or
44 decreased by the cost of living adjustment described in paragraph c of
45 this subdivision; in the case of a nomination for state senator, four
46 thousand dollars as increased or decreased by the cost of living adjust-
47 ment described in paragraph c of this subdivision;] or in the case of an
48 election for state senator, six thousand two hundred fifty dollars as
49 increased or decreased by the cost of living adjustment described in
50 paragraph c of this subdivision; in the case of an election or nomi-
51 nation for a member of the assembly, twenty-five hundred dollars as
52 increased or decreased by the cost of living adjustment described in
53 paragraph c of this subdivision; but in no event shall any such maximum
54 exceed fifty thousand dollars or be less than one thousand dollars;
55 provided however, that the maximum amount which may be so contributed or
56 accepted, in the aggregate, from any candidate's child, parent, grand-
S. 4535 19
1 parent, brother and sister, and the spouse of any such persons, shall
2 not exceed in the case of any election for party position or nomination
3 for public office an amount equivalent to the number of enrolled voters
4 in the candidate's party in the district in which he is a candidate,
5 excluding voters in inactive status, multiplied by $.25 and in the case
6 of any election to public office, an amount equivalent to the number of
7 registered voters in the district, excluding voters in inactive status,
8 multiplied by $.25; or twelve hundred fifty dollars, whichever is great-
9 er, or in the case of a nomination or election of a state senator, twen-
10 ty thousand dollars, whichever is greater, or in the case of a nomi-
11 nation or election of a member of the assembly twelve thousand five
12 hundred dollars, whichever is greater, but in no event shall any such
13 maximum exceed one hundred thousand dollars.
14 § 17. Subdivision 1 of section 14-114 of the election law, as amended
15 by chapter 79 of the laws of 1992, paragraph a as amended by chapter 659
16 of the laws of 1994 and paragraph b as amended by section sixteen of
17 this act, is amended to read as follows:
18 1. [The] Except for the specific limitations set forth in section
19 14-208 of this article with respect to candidates for those public
20 offices for which public funds are available pursuant to title II of
21 this article, the following limitations apply to all contributions to
22 candidates for election to any public office or for nomination for any
23 such office, or for election to any party positions, and to all contrib-
24 utions to political committees working directly or indirectly with any
25 candidate to aid or participate in such candidate's nomination or
26 election[, other than any contributions to any party committee or
27 constituted committee:].
28 a. [In any election for a public office to be voted on by the voters
29 of the entire state, or for nomination to any such office, no contribu-
30 tor may make a contribution to any candidate or political committee, and
31 no candidate or political committee may accept any contribution from any
32 contributor, which is in the aggregate amount greater than: (i) in the
33 case of any nomination to public office, the product of the total number
34 of enrolled voters in the candidate's party in the state, excluding
35 voters in inactive status, multiplied by $.005, but such amount shall be
36 not less than four thousand dollars nor more than twelve thousand
37 dollars as increased or decreased by the cost of living adjustment
38 described in paragraph c of this subdivision, and (ii) in the case of
39 any election to a public office, twenty-five thousand dollars as
40 increased or decreased by the cost of living adjustment described in
41 paragraph c of this subdivision; provided however, that the maximum
42 amount which may be so contributed or accepted, in the aggregate, from
43 any candidate's child, parent, grandparent, brother and sister, and the
44 spouse of any such persons, shall not exceed in the case of any nomi-
45 nation to public office an amount equivalent to the product of the
46 number of enrolled voters in the candidate's party in the state, exclud-
47 ing voters in inactive status, multiplied by $.025, and in the case of
48 any election for a public office, an amount equivalent to the product of
49 the number of registered voters in the state excluding voters in inac-
50 tive status, multiplied by $.025.
51 b.] Except as otherwise provided in subdivision nine of this section,
52 in any [other] election for party position or for election to a public
53 office or for nomination for any such office, other than a statewide
54 office, no contributor may make a contribution to any candidate or
55 [political] authorized committee and no candidate or [political] author-
56 ized committee may accept any contribution from any contributor, which
S. 4535 20
1 is in the aggregate amount greater than: (i) in the case of any election
2 for party position, or for nomination to public office, the product of
3 the total number of enrolled voters in the candidate's party in the
4 district in which he is a candidate, excluding voters in inactive
5 status, multiplied by $.05, and (ii) in the case of any election for a
6 public office, the product of the total number of registered voters in
7 the district, excluding voters in inactive status, multiplied by $.05,
8 [or in the case of an election for state senator, six thousand two
9 hundred fifty dollars as increased or decreased by the cost of living
10 adjustment described in paragraph c of this subdivision; in the case of
11 an election or nomination for a member of the assembly, twenty-five
12 hundred dollars as increased or decreased by the cost of living adjust-
13 ment described in paragraph c of this subdivision;] but in no event
14 shall any such maximum exceed [fifty] five thousand dollars or be less
15 than one thousand dollars[; provided however, that the maximum amount
16 which may be so contributed or accepted, in the aggregate, from any
17 candidate's child, parent, grandparent, brother and sister, and the
18 spouse of any such persons, shall not exceed in the case of any election
19 for party position or nomination for public office an amount equivalent
20 to the number of enrolled voters in the candidate's party in the
21 district in which he is a candidate, excluding voters in inactive
22 status, multiplied by $.25 and in the case of any election to public
23 office, an amount equivalent to the number of registered voters in the
24 district, excluding voters in inactive status, multiplied by $.25; or
25 twelve hundred fifty dollars, whichever is greater, or in the case of a
26 nomination or election of a state senator, twenty thousand dollars,
27 whichever is greater, or in the case of a nomination or election of a
28 member of the assembly twelve thousand five hundred dollars, whichever
29 is greater, but in no event shall any such maximum exceed one hundred
30 thousand dollars].
31 b. No contributor may make a contribution to a multi-candidate commit-
32 tee or to a political committee, other than a party, constituted or
33 authorized committee, and no such committee may accept any contribution
34 from any contributor which, in the aggregate, is greater than two thou-
35 sand dollars per annum.
36 c. [At the beginning of each fourth calendar year, commencing in nine-
37 teen hundred ninety-five, the state board shall determine the percent-
38 age of the difference between the most recent available monthly consumer
39 price index for all urban consumers published by the United States
40 bureau of labor statistics and such consumer price index published for
41 the same month four years previously. The amount of each contribution
42 limit fixed in this subdivision shall be adjusted by the amount of such
43 percentage difference to the closest one hundred dollars by the state
44 board which, not later than the first day of February in each such year,
45 shall issue a regulation publishing the amount of each such contribution
46 limit. Each contribution limit as so adjusted shall be the contribution
47 limit in effect for any election held before the next such adjustment]
48 No contributor may make a contribution to a party or constituted commit-
49 tee and no such committee may accept a contribution from any contributor
50 which, in the aggregate is greater than seven thousand five hundred
51 dollars per annum.
52 § 18. Subdivision 3 of section 14-114 of the election law is REPEALED.
53 § 19. Subdivisions 4 and 8 of section 14-114 of the election law, as
54 amended by chapter 8 of the laws of 1978 and as redesignated by chapter
55 9 of the laws of 1978, are amended to read as follows:
S. 4535 21
1 4. For purposes of this section, a portion of every contribution to a
2 party or constituted committee, expended as other than non-candidate
3 expenditures, and a portion of every contribution to a political commit-
4 tee authorized to support more than one candidate, shall be deemed
5 contributed to every candidate supported by such committee. That portion
6 shall be determined by allocating the contributions received by the
7 committee among all the candidates supported by the committee in accord-
8 ance with any formula based upon reasonable standards established by the
9 committee. The statements filed by such committee in accordance with
10 this article shall set forth, in addition to the other information
11 required to be set forth, the total amount received by the committee
12 from each contributor on behalf of all such candidates and the amount of
13 each such contribution allocated to each candidate by dollar amount and
14 percentage. Nothing in this subdivision shall require allocating
15 contributions expended on non-candidate expenditures to candidates.
16 8. Except as may otherwise be provided for a candidate [and his fami-
17 ly], no [person] contributor, except a party, constituted or multi-can-
18 didate committee, may contribute, loan or guarantee in excess of [one
19 hundred] fifty thousand dollars within the state in connection with the
20 nomination or election of persons to state and local public offices and
21 party positions within the state of New York in any one calendar year.
22 For the purposes of this subdivision "loan" or "guarantee" shall mean a
23 loan or guarantee which is not repaid or discharged in the calendar year
24 in which it is made.
25 § 20. Section 14-114 of the election law is amended by adding a new
26 subdivision 9 to read as follows:
27 9. a. In the city of New York, a contribution limitation established
28 by local law for certain candidates for the offices of mayor, public
29 advocate, comptroller, or borough president in such city, shall apply to
30 contributions to every candidate for such office, so that no contributor
31 may make a contribution to any candidate for such office or to any poli-
32 tical committee working directly or indirectly with any candidate for
33 any such office to aid or participate in such candidate's nomination or
34 election, and no such candidate or political committee may accept any
35 contribution from any contributor, which is in the aggregate amount,
36 greater than the amount of the contribution limitation applicable to
37 certain candidates for such offices pursuant to such local law. In addi-
38 tion to such penalties as may be provided by provisions of this chapter
39 or local law, any violation of the contribution limitation made applica-
40 ble pursuant to this paragraph shall be subject to the penalties
41 provided in paragraph b of this subdivision.
42 b. In addition to such penalties as may otherwise be provided by this
43 chapter or local law, any person who knowingly and willfully contrib-
44 utes, accepts or aids or participates in the acceptance of a contrib-
45 ution in an amount exceeding the contribution limitation made applicable
46 by paragraph a of this subdivision or any person who knowingly and will-
47 fully violates any other provision of this subdivision shall be guilty
48 of a class A misdemeanor.
49 c. For purposes of this subdivision, a political committee shall not
50 be deemed to be aiding or taking part in the campaign for nomination or
51 election of a candidate for any of the offices enumerated in paragraph a
52 of this subdivision solely because such committee makes a contribution
53 or transfer to such a candidate or to a committee that aids or takes
54 part in the campaign for nomination or election of such a candidate.
55 § 21. Subdivision 10 of section 14-114 of the election law is
56 REPEALED.
S. 4535 22
1 § 22. Subdivision 2 of section 14-116 of the election law, as amended
2 by chapter 260 of the laws of 1981, is amended to read as follows:
3 2. Notwithstanding the provisions of subdivision one of this section,
4 any corporation or an organization financially supported in whole or in
5 part, by such corporation may make expenditures, including contrib-
6 utions, not otherwise prohibited by law, for political purposes, in an
7 amount not to exceed five thousand dollars in the aggregate in any
8 calendar year; provided that no public utility shall use revenues
9 received from the rendition of public service within the state for
10 contributions for political purposes unless such cost is charged to the
11 shareholders of such a public service corporation. For the purposes of
12 this subdivision, all the component members of a controlled group of
13 corporations within the meaning of section one thousand five hundred
14 sixty-three of the Internal Revenue Code of the United States shall be
15 deemed to be one corporation.
16 § 23. Subdivision 1 of section 14-118 of the election law, as amended
17 by chapter 70 of the laws of 1983, is amended to read as follows:
18 1. Every political committee shall have a treasurer and a depository,
19 and shall cause the treasurer to keep detailed, bound accounts of all
20 receipts, transfers, loans, liabilities, contributions and expenditures,
21 made by the committee or any of its officers, members or agents acting
22 under its authority or in its behalf. All such accounts shall be
23 retained by a treasurer for a period of five years from the date of the
24 filing of the final statement with respect to the election, primary
25 election or convention to which they pertain. No officer, member or
26 agent of any political committee shall receive any receipt, transfer or
27 contribution, or make any expenditure or incur any liability until the
28 committee shall have chosen a treasurer and depository and filed their
29 names in accordance with this subdivision. There shall be filed in the
30 office in which the committee is required to file its statements under
31 section 14-110 of this [article] title, within five days after the
32 choice of a treasurer and depository, a statement giving the name and
33 address of the treasurer chosen, the name and address of any person
34 authorized to sign checks by such treasurer, the name and address of the
35 depository chosen and the candidate or candidates or ballot proposal or
36 proposals the success or defeat of which the committee is to aid or take
37 part; provided, however, that such statement shall not be required of a
38 constituted committee and provided further that a political committee
39 which makes no expenditures, to aid or take part in the election or
40 defeat of a candidate, other than in the form of contributions, shall
41 not be required to list the candidates being supported or opposed by
42 such committee. Such a statement from any committee other than a party
43 or authorized committee also shall clearly identify the economic or
44 other special interest, if identifiable, of a majority of its contribu-
45 tors, and if a majority of its contributors share a common employer,
46 shall identify the employer. If the economic or other special interest
47 or common employer are not identifiable, such statement of a multi-can-
48 didate committee shall clearly identify the economic or other special
49 interest, if identifiable, of a majority of its organizers, and if a
50 majority of its organizers share a common employer, shall identify the
51 employer, and if organized, controlled or maintained by an individual,
52 shall identify that individual. Such statement shall be signed by the
53 treasurer and all other persons authorized to sign checks. Any change in
54 the information required in any statement shall be reported, in an
55 amended statement filed in the same manner and in the same office as an
56 original statement filed under this section, within two days after it
S. 4535 23
1 occurs. Only a banking organization authorized to do business in this
2 state may be designated a depository hereunder.
3 § 24. Subdivisions 3 and 4 of section 14-124 of the election law,
4 subdivision 3 as amended by chapter 71 of the laws of 1988 and subdivi-
5 sion 4 as amended by chapter 70 of the laws of 1983, are amended to read
6 as follows:
7 3. The contribution and receipt limits of section 14-114 of this
8 [article] title shall not apply to monies received and expenditures made
9 by a party committee or constituted committee to maintain a permanent
10 headquarters and staff and carry on ordinary activities which are not
11 for the express purpose of promoting the candidacy of specific candi-
12 dates.
13 4. No candidate and no political committee taking part solely in his
14 campaign and authorized to do so by him in accordance with this article
15 and no committee involved solely in promoting the success or defeat of a
16 ballot proposal shall be required to file a statement required by
17 sections 14-102 and 14-104 of this [article] title if at the close of
18 the reporting period for which such statement would be required neither
19 the aggregate receipts nor the aggregate expenditures by and on behalf
20 of such candidate or to promote the success or defeat of such proposal,
21 by such candidate or such political committee or committees exceed [one]
22 two thousand dollars and such candidate or such committee files, on the
23 filing date otherwise provided, a statement, sworn or subscribed and
24 bearing a form notice that false statements made therein are punishable
25 as a class A misdemeanor pursuant to section 210.45 of the penal law,
26 stating that each of such aggregate receipts and aggregate expenditures
27 does not exceed [one] two thousand dollars.
28 § 25. Subdivision 1 of section 14-126 of the election law, as amended
29 by chapter 128 of the laws of 1994, is amended to read as follows:
30 1. a. Any committee which fails to file within the time required, any
31 statement of receipts and expenditures required by this article to be
32 filed within forty-five days of an election shall be subject to a civil
33 penalty of twenty-five dollars per day for each day between the day each
34 such statement was required to be filed and the day of such election or
35 the day such statement is filed, whichever is earlier, multiplied by a
36 number obtained by dividing the total amount of money received or money
37 expended by such committee, whichever is greater, by ten thousand. If
38 any such committee defaults on paying any such penalty, such penalty
39 shall be assessed against the candidate or candidates who authorized
40 such committee or if such committee is not an authorized committee
41 against the treasurer thereof.
42 b. Any person who fails to file within the time required, a report of
43 a contribution in excess of one thousand dollars received after the
44 filing of the last report required to be filed before an election shall
45 be subject to a civil penalty of twenty-five dollars per day for each
46 day between the day each such statement was required to be filed and the
47 day of such election or the day such statement is filed, whichever is
48 earlier, multiplied by the number of such contributions which were
49 required to be so reported in each statement.
50 c. Any person who [fails to file a statement required to be filed by]
51 violates any other provision of this article shall be subject to a civil
52 penalty, not in excess of [five hundred] one thousand dollars[, to] for
53 a first offense and not in excess of five thousand dollars for any
54 subsequent offense.
55 d. Such penalties shall be recoverable in a special proceeding or
56 civil action to be brought by the state board of elections or other
S. 4535 24
1 board of elections pursuant to subdivision four of section 3-104 of this
2 chapter.
3 § 26. The election law is amended by adding a new section 16-103 to
4 read as follows:
5 § 16-103. Proceedings as to public financing. 1. The determination of
6 eligibility pursuant to section 14-202 of this chapter and any question
7 or issue relating to payments for qualified campaign expenditures pursu-
8 ant to section 14-206 of this chapter may be contested in a proceeding
9 instituted in the supreme court, Albany county, by any aggrieved candi-
10 date.
11 2. A proceeding with respect to such a determination of eligibility or
12 payment for qualified campaign expenditures pursuant to section 14-206
13 of this chapter shall be instituted within seven days after such deter-
14 mination was made. The state board shall be made a party to any such
15 proceeding.
16 3. The state board is authorized to institute a special proceeding or
17 civil action in supreme court, Albany county, to seek recovery of any
18 amounts determined to be payable to the state board as a result of an
19 examination and audit made pursuant to titles II and III of article
20 fourteen of this chapter.
21 § 27. The election law is amended by adding a new section 4-113 to
22 read as follows:
23 § 4-113. Notice to the state board of elections of candidates for the
24 legislature. 1. Each board of elections with which are filed petitions
25 designating candidates for member of the legislature shall, not later
26 than one week after the last day to file such petitions, send notice to
27 the state board of elections of such information about each such peti-
28 tion as the state board shall require.
29 2. Each such county board of elections shall, not later than the day
30 after the last day to file a petition or certificate of nomination for a
31 general or special election or a certificate of acceptance, declination
32 or substitution for a general, primary or special election for any such
33 office, send to the state board of elections such information about each
34 such petition or certificate as the state board shall require.
35 3. If any such county board of elections should disqualify any such
36 candidate or rule the petition or certificate designating or nominating
37 any such candidate invalid, it shall forthwith notify the state board of
38 elections of such decision.
39 4. If any such county board of elections shall be notified of a deci-
40 sion of a court of competent jurisdiction disqualifying any such candi-
41 date or declaring any such petition invalid or reversing any such deci-
42 sion by such board of elections or another court, such board of
43 elections shall forthwith notify the state board of elections of such
44 decision.
45 5. The state board of elections may prescribe forms for the notices
46 required by this section and shall prescribe the manner in which such
47 notices shall be given.
48 § 28. The state finance law is amended by adding a new section 92-bb
49 to read as follows:
50 § 92-bb. New York state election campaign fund. 1. There is hereby
51 established in the joint custody of the state comptroller and the
52 commissioner of taxation and finance a fund to be known as the New York
53 state election campaign fund.
54 2. Such fund shall consist of all revenues received from the New York
55 state election campaign fund check-off pursuant to subsection (f) of
56 section six hundred fifty-eight of the tax law, from the general fund,
S. 4535 25
1 and from all other moneys credited or transferred thereto from any other
2 fund or source pursuant to law.
3 3. Moneys of the fund, following appropriation by the legislature, may
4 be expended for the purposes of making payments to candidates pursuant
5 to title II of article fourteen of the election law. Moneys shall be
6 paid out of the fund on the audit and warrant of the state comptroller
7 on vouchers certified or approved by the state board of elections, or
8 its duly designated representative, in the manner prescribed by law, not
9 more than four working days after such voucher is received by the state
10 comptroller.
11 4. Notwithstanding any provision of law to the contrary, if, in any
12 state fiscal year, the state election campaign fund lacks the amount of
13 money to pay all claims vouchered by eligible candidates and certified
14 or approved by the state board of elections, any such deficiency shall
15 be paid, upon audit and warrant of the comptroller, from funds deposited
16 in the general fund of the state not more than four working days after
17 such voucher is received by the comptroller.
18 5. Commencing in two thousand five, if the surplus in the fund on
19 April first of the year after a year in which a governor is elected
20 exceeds twenty-five percent of the disbursements from the fund over the
21 previous four years, the excess shall revert to the general fund of the
22 state.
23 6. No moneys shall be paid to candidates in a primary election any
24 earlier than two weeks after the last day to file designating petitions
25 for such primary election.
26 7. No moneys shall be paid to candidates in a general election any
27 earlier than the day after the day of the primary election held to nomi-
28 nate candidates for such election.
29 8. No moneys shall be paid to candidates in a special election any
30 earlier than the day after the last day to file certificates of party
31 nomination for such special election.
32 9. No moneys shall be paid to any candidate who has been disqualified
33 or whose designating petitions have been declared invalid by the appro-
34 priate board of elections or a court of competent jurisdiction until and
35 unless such finding is reversed by a higher authority. No payment from
36 the fund in the possession of such a candidate or such candidate's
37 authorized committee on the date of such disqualification or invali-
38 dation may thereafter be expended for any purpose except the payment of
39 liabilities incurred before such date. All such moneys shall be repaid
40 to the fund.
41 § 29. Section 658 of the tax law is amended by adding a new subsection
42 (f) to read as follows:
43 (f) New York state election campaign fund check-off. (1) For each
44 taxable year beginning on and after January first, two thousand three,
45 every individual whose New York state income tax liability for the taxa-
46 ble year for which the return is filed is three dollars or more may
47 designate on such return that three dollars be paid into the New York
48 state election campaign fund established by section ninety-two-bb of the
49 state finance law. Where a husband and wife file a joint return and have
50 a New York state income tax liability for the taxable year for which the
51 return is filed of six dollars or more, or file separate returns on a
52 single form, each such taxpayer may make separate designations on such
53 return of three dollars to be paid into the New York state election
54 campaign fund.
55 (2) The commissioner shall transfer to the New York state election
56 campaign fund, established pursuant to section ninety-two-bb of the
S. 4535 26
1 state finance law, an amount equal to three dollars multiplied by the
2 number of designations.
3 (3) For purposes of this subsection, the income tax liability of an
4 individual for any taxable year is the amount of tax imposed under this
5 article reduced by the sum of the credits (as shown in his or her
6 return) allowable under this article.
7 (4) The department shall include a place on every personal income tax
8 return form to be filed by an individual for a tax year beginning on or
9 after January first, two thousand three, immediately above the certif-
10 ication under which the taxpayer is required to sign such form, for such
11 taxpayer to make the designations described in paragraph one of this
12 subsection. Such return form shall contain a concise explanation of the
13 purpose of such optional designations.
14 (5) At the beginning of the calendar year two thousand ten and each
15 fourth calendar year thereafter, the commissioner shall determine the
16 percentage difference between the most recent available monthly consumer
17 price index for all urban consumers published by the United States
18 bureau of labor statistics and such consumer price index published for
19 the same month four years previously. The commissioner shall adjust the
20 amount which may be designated by each taxpayer pursuant to this
21 subsection by the amount of such percentage difference to the closest
22 fifty cents.
23 § 30. Section 1-c of the legislative law is amended by adding six new
24 subdivisions (m), (n), (o), (p), (q) and (r) to read as follows:
25 (m) The term "fundraiser" shall mean an event or function at which or
26 in connection with which funds are solicited for or on behalf of (i) a
27 governor, lieutenant governor, comptroller, attorney general, member or
28 members of the state legislature, or a candidate for any of the forego-
29 ing offices; (ii) a political committee organized to support or oppose
30 the election of any such person or persons; (iii) a political action
31 committee formed by or on behalf of any such person or persons; (iv) a
32 state committee or a subcommittee of such state committee provided that
33 the term "fundraiser" when applied to an event or function held by a
34 state committee or subcommittee thereof shall not include such an event
35 or function at which funds are raised exclusively to support or oppose a
36 candidate or candidates for federal elective office, or a political
37 committee authorized by such a candidate or candidates, where such funds
38 are not used for any other purpose; or (v) any lobbyist or client poli-
39 tical action committee, where such an event or function is held for the
40 explicit purpose of raising funds for or on behalf of any of the forego-
41 ing entities.
42 (n) The term "candidate" shall mean a candidate as defined by subdivi-
43 sion seven of section 14-100 of the election law.
44 (o) The term "state committee" shall have the same meaning as provided
45 by the provisions of the election law.
46 (p) The term "political committee" shall have the same meaning as
47 provided by subdivision one of section 14-100 of the election law.
48 (q) The term "lobbyist or client political action committee" shall
49 mean a political action committee organized to support the activities of
50 a lobbyist or client provided, however, that the term "lobbyist or
51 client political action committee" as used in this article, shall not
52 include a fundraising event or function hosted by such a committee to
53 raise funds for the committee's general use where such an event or func-
54 tion is not targeted to benefit any of the specific persons or entities
55 described in subdivision (m) of this section.
S. 4535 27
1 (r) The term "legislative session" shall mean the period beginning on
2 the Wednesday succeeding the first Monday of January and ending on the
3 later of (i) the thirtieth day of June or (ii) two weeks after the day
4 on which the legislature has taken final action on all of the appropri-
5 ation bills submitted by the governor pursuant to article seven of the
6 state constitution, thereby enacting a state budget that provides suffi-
7 cient appropriation authority for the ongoing operation and support of
8 state government and local assistance for the ensuing fiscal year.
9 § 31. The legislative law is amended by adding a new section 1-m-1 to
10 read as follows:
11 § 1-m-1. Participation in fundraisers during a legislative session.
12 (a) Except as otherwise provided in this section, no person or entity
13 shall hold, participate in, contribute to, purchase a ticket for, or
14 attend any fundraiser within forty miles of the New York state capitol
15 during the legislative session.
16 (b) This section shall not apply to fundraisers within the district of
17 members of the legislature or candidates therefor whose districts are
18 located in whole or in part within forty miles of the New York state
19 capitol, provided, however that such fundraisers shall be solely for the
20 benefit of the legislator or the candidate or the authorized political
21 committee of such legislator or candidate and no other elected official,
22 political committee or candidate for elected office and further provided
23 that such fundraisers shall not be held on any day when a quorum of
24 either house of the legislature is in attendance of a session of their
25 respective house.
26 § 32. Subdivisions (a) and (b) of section 1-n of the legislative law,
27 as added by chapter 2 of the laws of 1999, are amended to read as
28 follows:
29 (a) (i) Any lobbyist, public corporation, or client who knowingly and
30 wilfully fails to file timely a report or statement required by this
31 article or knowingly and wilfully files false information or knowingly
32 and wilfully violates section one-m or one-m-one of this article shall
33 be guilty of a class A misdemeanor; and (ii) any lobbyist, public corpo-
34 ration, or client who knowingly and wilfully fails to file timely a
35 report or statement required by this article or knowingly and wilfully
36 files false information or knowingly and wilfully violates section one-m
37 or one-m-one of this article, after having previously been convicted in
38 the preceding five years of the crime described in paragraph (i) of this
39 subdivision, shall be guilty of a class E felony. For the purposes of
40 this subdivision, the chief administrative officer of any organization
41 required to file a statement or report shall be the person responsible
42 for making and filing such statement or report unless some other person
43 prior to the due date thereof has been duly designated to make and file
44 such statement or report.
45 (b) A lobbyist, public corporation, or client who knowingly and
46 wilfully fails to file a statement or report within the time required
47 for the filing of such report or knowingly and wilfully violates section
48 one-m or one-m-one of this article shall be subject to a civil penalty,
49 in an amount not to exceed twenty-five thousand dollars, to be assessed
50 by the commission. Such assessment may only be imposed after the
51 commission sends by certified and first-class mail written notice of the
52 intent to assess a penalty and the basis for the penalty. The amount of
53 such assessment shall be determined only after a hearing at which the
54 party shall be entitled to appear, present evidence and be heard. Such
55 assessment may be recovered in an action brought by the attorney gener-
56 al.
S. 4535 28
1 § 33. Subdivision 3 of section 14-126 of the election law, as amended
2 by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the
3 laws of 1978, is amended to read as follows:
4 3. Any person who knowingly and willfully contributes, accepts or aids
5 or participates in the acceptance of a contribution in an amount exceed-
6 ing an applicable maximum specified in this article or who knowingly and
7 willfully violates the provisions of section one-m-one of the legisla-
8 tive law shall be guilty of a misdemeanor.
9 § 34. Campaign finance review panel. 1. There is hereby created and
10 established the "campaign finance review panel". The panel shall consist
11 of the commissioner of taxation and finance, the director of the divi-
12 sion of the budget, the state comptroller and the two members of the
13 state board of elections who rotate as chairman of the board. The
14 commissioner of taxation and finance shall be chairman.
15 2. The panel is empowered and it shall be its duty to monitor and
16 review the implementation of the campaign financing reform act of 2003.
17 The panel shall report to the governor and the legislature on March 31,
18 2005 and on March 31, 2006. The report shall include: (a) the number of
19 candidates qualifying and opting for public financing, the amounts
20 expended for this purpose in the preceding fiscal year and a projection
21 of the number of candidates likely to qualify and opt for public financ-
22 ing and their expenditures in future elections; (b) an analysis of the
23 effect of the campaign financing reform act of 2003 on political
24 campaigns, including its effect on the sources and amounts of private
25 financing, the level of campaign expenditures, voter participation, the
26 number of candidates and the candidate's ability to campaign effectively
27 for public office; (c) a review of the procedures utilized in providing
28 public funds to candidates; and (d) such recommended changes in the
29 campaign financing reform act of 2003 as it deems appropriate.
30 § 35. This act shall take effect immediately, except:
31 a. The provisions of title II of article 14 of the election law, as
32 added by section five of this act, and the amendments to subdivision 11
33 of section 14-100 of the election law made by section nine of this act,
34 shall first apply in elections held for state legislative offices in
35 2004, shall first apply in elections held for statewide offices in 2004,
36 shall apply to the first election for delegates to a state constitu-
37 tional convention held after the effective date of this act, and there-
38 after shall apply in elections for all such offices; provided further
39 and except that:
40 The amendments to subdivision 1 of section 14-114 of the election law
41 made by section seventeen of this act, sections eighteen and twenty-one
42 of this act, and section 4-113 of the election law, as added by section
43 twenty-seven of this act, shall take effect December 1, 2003.
44 b. Section 14-105 of the election law, as added by section twelve of
45 this act, shall take effect June 1, 2004.
46 c. The amendment to section 14-104 of the election law made by section
47 eleven of this act shall take effect December 1, 2003.
48 d. Section 14-106 of the election law, as added by section thirteen of
49 this act, shall take effect on the first of January next succeeding the
50 date on which this act shall have become a law, provided however, that
51 effective immediately, the addition, amendment and/or repeal of any
52 rules or regulations necessary for the implementation of such section
53 14-106 on its effective date is authorized and directed to be made and
54 completed on or before such effective date.
S. 4535 29
1 e. The amendments to sections 1-c and 1-n of the legislative law, made
2 by sections thirty and thirty-two of this act, shall not affect the
3 repeal of such sections and shall be deemed repealed therewith.
4 f. Section 1-m-l of the legislative law, as added by section thirty-
5 one of this act shall be repealed on the same date as article 1-A of the
6 legislative law as provided by chapter 2 of the laws of 1999.
