Add Art 14-A SS14-A-100 - 14-A-110, amd SS3-102, 14-102, 14-104, 14-108, 14-114, 14-116 & 14-126,rpld S14-114
subs 1, 4, 5 & 10, S14-124 sub 3, El L; add S92-y, St Fin L; add S1-m-1, amd S1-n,Leg L
Enacts the New York state campaign finance reform act and makes other changes regarding election contributions and expenditures and defines covered elections as candidates seeking statewide and elective offices; lowers contribution limits; requires more frequent reporting requirements; enhances penalties for violations.
STATE OF NEW YORK
________________________________________________________________________
5231--A
2001-2002 Regular Sessions
IN SENATE
May 3, 2001
___________
Introduced by Sen. GOODMAN -- read twice and ordered printed, and when
printed to be committed to the Committee on Elections -- committee
discharged, bill amended, ordered reprinted as amended and recommitted
to said committee
AN ACT to amend the election law, the state finance law and the legisla-
tive law, in relation to enacting the "New York state campaign finance
reform act" and to repeal certain provisions of the election law
relating thereto
The People of the State of New York, represented in Senate and Assem-bly, do enact as follows:
1 Section 1. The election law is amended by adding a new article 14-A to
2 read as follows:
3 ARTICLE 14-A
4 NEW YORK STATE CAMPAIGN FINANCE REFORM ACT
5 Section 14-A-100. Short title.
6 14-A-101. Legislative intent and findings.
7 14-A-102. Definitions.
8 14-A-103. Eligibility for optional public funding and other
9 requirements.
10 14-A-104. Qualified campaign expenditures.
11 14-A-105. Contribution limitations.
12 14-A-106. Optional public financing.
13 14-A-107. Voluntary expenditures limitations; additional financ-
14 ing and limits.
15 14-A-108. Reporting requirements for independent expenditures.
16 14-A-109. Examinations and audits.
17 14-A-110. Reports from the state board.
18 § 14-A-100. Short title. This article shall be known and may be cited
19 as the "New York state campaign finance reform act".
20 § 14-A-101. Legislative intent and findings. The legislature finds
21 that reform of New York State's campaign finance system is crucial to
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD06165-06-1
S. 5231--A 2
1 restoring public confidence in the state's democratic processes and
2 developing a government that is accountable to all of the voters of the
3 state regardless of wealth or position. The legislature finds that New
4 York's current system of campaign finance, with its large contributions
5 to candidates for office and unlimited contributions to political party
6 committees, has created the potential for and the appearance of
7 corruption. The legislature further finds that, whether or not this
8 system of large campaign contributions creates actual corruption, the
9 appearance of such corruption gives rise to a severe distrust in govern-
10 ment and a citizen apathy that undermine the democratic operation of the
11 political process.
12 The legislature also finds that the high cost of running for office in
13 New York discourages qualified candidates from running for office and
14 creates an electoral system in which those who are personally wealthy or
15 who have access to substantial wealth have an unfair advantage in the
16 electoral contest. The legislature further finds that the current system
17 forces those already in office to spend too much time raising money
18 rather than attending to the duties of their office and representing the
19 needs of their constituents regardless of their ability to contribute.
20 The legislature enacts the "New York state campaign finance reform
21 act" to reduce the possibility and appearance that wealthy interests
22 exercise undue influence over state officials; to increase the actual
23 and apparent responsiveness of elected officials to all voters; to
24 encourage qualified candidates to run for office regardless of wealth,
25 by lowering the financial barriers to running for office; and to reduce
26 the pressure on incumbents to spend large amounts of time raising money
27 for their campaigns.
28 The legislature finds that the New York state campaign finance reform
29 act's limitations on contributions from individuals and political
30 committees, and on contributions to and from political parties, further
31 the government's interest in reducing real and apparent corruption and
32 in restoring trust in government. The legislature finds that the
33 contribution levels are sufficiently high to allow candidates and poli-
34 tical parties to raise enough money to run effective campaigns. In addi-
35 tion, the legislature finds that graduated contribution limitations
36 reflect the campaign needs of candidates for different offices.
37 The legislature also finds that the system of voluntary expenditure
38 limitations combined with the system of voluntary public financing
39 furthers the government's interest in encouraging qualified candidates
40 to run for office regardless of their access to substantial wealth. The
41 legislature finds that the voluntary public funding program will enlarge
42 the public debate and increase participation in the democratic process.
43 In addition, the legislature finds that the voluntary expenditure limi-
44 tations and matching fund program reduce the burden on candidates and
45 officeholders to spend time raising money for their campaigns.
46 Therefore, the legislature declares that the "New York state campaign
47 finance reform act" furthers the important and valid government inter-
48 ests of reducing voter apathy, restoring confidence in government,
49 reducing the reality and appearance of corruption, and encouraging qual-
50 ified candidates to run for office, while reducing candidates' and
51 officeholders' fundraising burdens.
52 § 14-A-102. Definitions. For the purposes of this article, the follow-
53 ing terms shall have the following meanings:
54 1. "Authorized committee" shall mean a political committee that has
55 been authorized by one or more candidates to aid or take part in the
56 elections of such candidate or candidates and that has filed a statement
S. 5231--A 3
1 that such candidate or candidates have authorized such political commit-
2 tee pursuant to section 14-112 of this chapter.
3 2. "Contribution" has the same meaning as in subdivision nine of
4 section 14-100 of this chapter.
5 3. "Covered election" shall mean any primary, runoff primary, special,
6 or general election for nomination for election or election to the
7 office of governor, lieutenant governor, attorney general, comptroller,
8 member of the senate, or member of the assembly.
9 4. "Covered office" shall mean the office of governor, lieutenant
10 governor, attorney general, comptroller, member of the senate, or member
11 of the assembly.
12 5. "Fund" shall mean the New York state campaign finance fund.
13 6. "Independent expenditure" shall mean an expenditure made for the
14 purpose of expressly advocating the election or defeat of a clearly
15 identified candidate, if the expenditure is independent of the candidate
16 or his or her agents or political committee as defined in paragraph
17 three of subdivision nine of section 14-100 of this chapter. The term
18 "expenditure" does not include the costs of internal communication to
19 members of a membership organization, other than a political party, for
20 the purpose of supporting or opposing a candidate or candidates for
21 elective office, provided such payments are not used for the costs of
22 campaign material or activities used in connection with broadcasting,
23 cable casting, newspapers, magazines, billboards, or similar types of
24 general public communications. The term "expenditure" does not include
25 any news story, commentary, or editorial by a broadcasting station,
26 cable station, newspaper, or magazine unless the facility is owned or
27 controlled by a candidate, political party, or political committee.
28 7. "Intermediary" shall mean an individual, corporation, partnership,
29 political committee, employee organization, or other entity, which,
30 other than in the regular course of business as a postal, delivery, or
31 messenger service, delivers any contribution from another person or
32 entity to a candidate or authorized committee. "Intermediary" shall not
33 include spouses, domestic partners, parents, children, or siblings of
34 the person making such contribution.
35 8. "Matchable contribution" shall mean a contribution, contributions,
36 or a portion of a contribution or contributions, not greater than five
37 hundred dollars for all covered elections held in the same calendar
38 year, other than special elections, made by a natural person resident in
39 the state of New York to a participating candidate on or before December
40 thirty-first in the year of such election, that may be matched by public
41 funds in accordance with the provisions of this article. A loan may not
42 be treated as a matchable contribution. No contribution will qualify as
43 a matchable contribution until it has been reported in full by the
44 candidate's principal committee to the state board in accordance with
45 sections 14-102 and 14-104 of this chapter.
46 The following contributions are not matchable:
47 (a) in-kind contributions of property, goods, or services;
48 (b) contributions in the form of the purchase price paid for an item
49 with significant intrinsic and enduring value; and
50 (c) contributions in the form of the purchase price paid for or other-
51 wise induced by a chance to participate in a raffle, lottery, or a simi-
52 lar drawing for prizes.
53 9. "Nonparticipating candidate" shall mean any candidate for nomi-
54 nation for election or election to any covered office, who has not filed
55 a written certification pursuant to section 14-A-103 of this article,
56 stating his/her intention of complying with voluntary spending limits
S. 5231--A 4
1 and the other eligibility requirements specified in section 14-A-103 of
2 this article.
3 10. "Participating candidate" shall mean any candidate for nomination
4 for election or election to any covered office, who has filed a written
5 certification pursuant to section 14-A-103 of this article, stating his
6 or her intention of complying with voluntary spending limits and the
7 other eligibility requirements specified in section 14-A-103 of this
8 article. Unless a contrary intention appears, "participating candidate"
9 shall refer to the candidate and the candidate's principal committee as
10 defined herein.
11 11. "Political committee" shall mean any corporation aiding or promot-
12 ing or any committee, political club, or combination of two or more
13 persons operating or cooperating to aid or to promote the success or
14 defeat of a political party or principle, or to aid or to take part in
15 the election or defeat of a candidate for public office or to aid or to
16 take part in the election or defeat of a candidate for nomination at a
17 primary election or convention, including all proceedings prior to such
18 primary election or convention, or of a candidate for any party position
19 voted for at a primary election, or to aid or to promote the success or
20 defeat of the nomination by petition of an independent candidate for
21 public office; but nothing in this article shall apply to any committee
22 or organization for the discussion or advancement of political questions
23 or principles without connection with any vote. "Political committee"
24 shall include any party committee or constituted committee, as such
25 committees are defined in subdivisions two and three of section 14-100
26 of this chapter.
27 12. "Principal committee" shall mean the authorized committee desig-
28 nated by the candidate pursuant to subdivision six of section 14-A-103
29 of this article.
30 13. "Qualified campaign expenditure" shall mean an expenditure for
31 which public funds may be used in accordance with section 14-A-104 of
32 this article.
33 14. "State board" shall mean the state board of elections.
34 15. "Threshold for eligibility" shall mean the amount of matchable
35 contributions that a candidate and the authorized committees of the
36 candidate must receive in total in order for such candidate to become a
37 participating candidate and to qualify for optional public financing
38 under this article.
39 16. "Transfer" shall mean any exchange of funds or thing of value
40 between political committees authorized by the same candidate pursuant
41 to section 14-112 of this chapter.
42 § 14-A-103. Eligibility for optional public funding and other require-
43 ments. 1. To be eligible for optional public financing under this arti-
44 cle, a candidate for nomination for election or election shall:
45 (a) meet all the requirements of law to have his or her name on the
46 ballot;
47 (b) be a candidate for governor, lieutenant governor, attorney gener-
48 al, comptroller, member of the senate, or member of the assembly and
49 meet the threshold for eligibility set forth in subdivision two of this
50 section;
51 (c) choose to participate in the public funding provisions of this
52 article by filing a written certification in such form as may be
53 prescribed by the state board, which sets forth his or her acceptance of
54 and agreement to comply with the terms and conditions for the provision
55 of such funds.
S. 5231--A 5
1 (i) The deadline for filing such certification for a primary and
2 general election shall be the first day in June in the year of the
3 covered election, or the thirtieth day after a special election is held
4 to fill a vacancy for the office sought by the candidate, whichever is
5 later.
6 (ii) The deadline for filing such certification for a special election
7 to fill a vacancy shall be on the seventh day after the proclamation of
8 such special election.
9 (iii) A certification may be filed on or before the seventh day after
10 the occurrence of an extraordinary circumstance in an election, as
11 declared by the state board, following the receipt and review of a peti-
12 tion submitted by a candidate in such election. For purposes of this
13 paragraph, an "extraordinary circumstance" shall include the death of a
14 candidate in the election, the resignation or removal of the person
15 holding the office sought, or the submission to the state board of a
16 written declaration by an officeholder that terminates his or her
17 campaign for reelection.
18 (d) obtain and furnish to the state board any information it may
19 request relating to his or her campaign expenditures and contributions
20 and furnish such documentation and other proof of compliance with this
21 article as may be requested by the state board;
22 (e) notify the state board as to the existence of each authorized
23 committee authorized by such candidate, whether any such committee has
24 been authorized by any other candidate, and, if the candidate has
25 authorized more than one authorized committee, notify the state board as
26 to which authorized committee has been designated by the candidate as
27 the principal committee pursuant to subdivision six of this section;
28 (f) maintain such records of receipts and expenditures for a covered
29 election as required by the state board;
30 (g) not make expenditures from or use his or her personal funds or
31 property or the personal funds or property jointly held with his or her
32 spouse, domestic partner, or unemancipated children in connection with
33 his or her nomination for election or election except as a contribution
34 to his or her principal committee in an amount that does not exceed
35 three times the maximum contribution amount applicable pursuant to
36 section 14-A-105 of this article;
37 (h) not make expenditures, and his or her principal committee and any
38 other political committee authorized by such candidate shall not make
39 expenditures, that in the aggregate exceed the applicable expenditure
40 limitations set forth in section 14-A-107 of this article; and
41 (i) meet the threshold for eligibility set forth in subdivision two of
42 this section.
43 2. (a) The threshold for eligibility for public funding for partic-
44 ipating candidates in a primary or general election shall be in the case
45 of:
46 (i) governor, not less than two hundred twenty-five thousand dollars
47 in matchable contributions, including at least one thousand matchable
48 contributions of ten dollars or more;
49 (ii) lieutenant governor, attorney general, and comptroller, not less
50 than seventy-five thousand dollars in matchable contributions, including
51 at least five hundred matchable contributions of ten dollars or more;
52 (iii) member of the state senate, not less than seven thousand five
53 hundred dollars in matchable contributions, including at least seventy-
54 five matchable contributions of ten dollars or more from residents of
55 the district in which the seat is to be filled; and
S. 5231--A 6
1 (iv) member of the general assembly, not less than four thousand
2 dollars in matchable contributions, including at least fifty matchable
3 contributions of ten dollars or more from residents of the district in
4 which the seat is to be filled.
5 (b) Any participating candidate meeting the threshold for eligibility
6 in a primary election for one of the foregoing offices shall be deemed
7 to have met the threshold for eligibility for such office in any other
8 election held in the same calendar year.
9 3. In order to be eligible to receive public funds in a primary
10 election for a covered office a participating candidate must agree that,
11 if he or she is a candidate for such office in any other election held
12 in the same calendar year, he or she will be bound in each such other
13 election by the eligibility requirements and all other provisions of
14 this article.
15 4. Except as provided in subdivision ten of this section, candidates
16 who are contested in a primary election for nomination for election to
17 office and who do not file a written certification pursuant to paragraph
18 (c) of subdivision one of this section shall not be eligible for public
19 funds for any election to such office held in the same calendar year
20 other than a special election to fill a vacancy.
21 5. Participating candidates who are unopposed in a covered election
22 shall not be eligible to receive public funds for such election.
23 6. Each participating candidate shall designate, not later than thirty
24 days after filing the written certification required pursuant to para-
25 graph (c) of subdivision one of this section, a single principal commit-
26 tee to receive public funds pursuant to this section.
27 7. Each political committee authorized by a participating candidate
28 that accepts contributions, loans, or other receipts or makes expendi-
29 tures or transfers in a covered election shall have the same treasurer.
30 8. No political committee authorized by a participating candidate for
31 a covered election may be authorized to aid or to take part in the
32 election of more than one candidate.
33 9. No candidate for election to an office in a primary, general, or
34 special election who has qualified for public funds shall receive such
35 public funds unless at least one other candidate for such office in such
36 election has also qualified to receive public funds or at least one
37 other candidate for such office in such election or such candidate's
38 authorized committee has spent, or has contracted or become obligated to
39 spend, or has received in loans or contributions an amount exceeding ten
40 percent of the expenditure limit for such office in such election, which
41 is fixed by section 14-A-106 of this article for candidates who have
42 elected to accept such public funds. If such other candidate or the
43 authorized committee of such candidate reaches the threshold to qualify
44 to receive public funds, or spends or contracts or obligates to spend,
45 or receives in loans or contributions, an amount exceeding ten percent
46 of the expenditure limit for such office in such election at any time
47 after the filing deadline for the last report required to be filed
48 before the first distribution of public funds for such election, such
49 candidate or committee must notify the state board of that fact within
50 forty-eight hours by express mail.
51 10. If a candidate for governor who participated in the public funding
52 program during the primary is joined on his or her party's ticket by a
53 candidate for lieutenant governor who did not participate in the public
54 funding program during the primary election, such candidates for gover-
55 nor and lieutenant governor shall be eligible to participate in the
56 public funding program as a ticket during the general election,
S. 5231--A 7
1 provided, however, that any expenditures made by the lieutenant governor
2 in the primary that exceed the amount specified in paragraph (a) of
3 subdivision one of section 14-A-107 of this article shall be deducted
4 from the expenditure limitation specified in paragraph (b) of subdivi-
5 sion one of section 14-A-107 of this article. Both candidates on a
6 ticket must participate in the general election in order to qualify for
7 public funding. If a candidate for governor who did not participate in
8 the public funding program during primary is joined on his or her
9 party's ticket by a candidate for lieutenant governor who did partic-
10 ipate, neither candidate shall be eligible to participate during the
11 general election.
12 § 14-A-104. Qualified campaign expenditures. 1. Public funds provided
13 under the provisions of this article may be used only for expenditures
14 by an authorized committee to further the participating candidate's
15 nomination for election or election, either in a special election to
16 fill a vacancy or during the calendar year in which the primary or
17 general election in which the candidate is seeking nomination for
18 election or election is held.
19 2. Such public funds may not be used for:
20 (a) an expenditure in violation of any law;
21 (b) payments made to the candidate or a spouse, domestic partner,
22 child, grandchild, parent, grandparent, brother, or sister of the candi-
23 date, or spouse or domestic partner of such child, grandchild, parent,
24 grandparent, brother, or sister, or to an entity in which the candidate
25 or any such person has a ten percent or greater ownership interest as
26 measured by income or assets;
27 (c) payments that exceed the fair market value of services, materials,
28 facilities, or other things of value received in exchange;
29 (d) (i) any expenditure made after the candidate has been finally
30 disqualified or has had his or her petitions finally declared invalid by
31 the state board or a court of competent jurisdiction, except that such
32 expenditures may be made:
33 (A) as otherwise permitted pursuant to subdivision nine of section
34 ninety-two-y of the state finance law, or
35 (B) for a different covered election, other than a special election to
36 fill a vacancy, held later in the same calendar year in which the candi-
37 date seeks election for the same office; provided, however, that public
38 funds originally received for a special election to fill a vacancy may
39 not be retained for expenditure in any other election;
40 (ii) any expenditure made after the only remaining opponent of the
41 candidate has been finally disqualified or has had his or her petitions
42 finally declared invalid by the state board or a court of competent
43 jurisdiction, except that such expenditures may be made for a different
44 covered election, other than a special election to fill a vacancy, held
45 later in the same calendar year in which the candidate seeks election
46 for the same office; provided, however, that public funds originally
47 received for a special election to fill a vacancy may not be retained
48 for expenditure in any other election;
49 (e) payments in cash;
50 (f) any contribution, transfer, or loan made to another candidate or
51 political committee;
52 (g) gifts, except brochures, buttons, signs, and other printed
53 campaign material;
54 (h) any expenditures to challenge or to defend the validity of
55 petitions of designation or nomination, or of certificates of nomi-
S. 5231--A 8
1 nation, acceptance, authorization, declination, or substitution, made
2 pursuant to subdivision five of section 14-A-107 of this article; or
3 (i) any expenditure that is not publicly reported or disclosed as
4 required by law.
5 § 14-A-105. Contribution limitations. 1. The following expenditures
6 by a political party committee are not considered contributions to or
7 expenditures on behalf of a candidate for the purpose of sections 14-A-
8 106 and 14-A-107 of this article:
9 (a) expenditures on behalf of candidates of that party generally with-
10 out referring to any of them specifically, by name or picture, in a
11 public, posted, or broadcast advertisement;
12 (b) expenditures for the preparation, display, mailing, or other
13 distribution of an official party sample ballot listing the names of
14 three of more individuals whose names are to appear on the ballot;
15 (c) expenditures for telephone calls mentioning the names of three or
16 more individuals whose names are to appear on the ballot and that do not
17 emphasize the candidacies of one or more of those individuals; or
18 (d) expenditures for party committee staff services that benefit three
19 or more candidates.
20 2. At the beginning of each fourth calendar year, commencing in two
21 thousand six, the state board shall determine the percentage of the
22 difference between the most recent available monthly consumer price
23 index for all urban consumers published by the United States bureau of
24 labor statistics and such consumer price index published for the same
25 month four years previously. The state board shall adjust the amount of
26 each contribution limit fixed in this subdivision by the amount of such
27 percentage difference to the closest one hundred dollars, and, not later
28 than the first day of February in each such year, shall issue a regu-
29 lation publishing the amount of each such contribution limit. Each
30 contribution limit as so adjusted shall be the contribution limit in
31 effect for any election held before the next such adjustment.
32 § 14-A-106. Optional public financing. Each participating candidate
33 for nomination for election or election in a covered election may obtain
34 payment to the authorized committee designated by such candidate pursu-
35 ant to subdivision six of section 14-A-103 of this article from public
36 funds for qualified campaign expenditures, in accordance with the
37 provisions of this article, and subject to appropriation.
38 1. No such public funds shall be paid to a principal committee unless
39 the state board determines that the participating candidate has met the
40 eligibility requirements of this article. Payment shall not exceed the
41 amounts specified in this article, and shall be made only in accordance
42 with the provisions of this article. Such payment may be made only to
43 the participating candidate's principal committee. No public funds shall
44 be used except as reimbursement or payment for qualified campaign
45 expenditures actually and lawfully incurred or to repay loans used to
46 pay qualified campaign expenditures.
47 2. If the threshold for eligibility is met, the participating candi-
48 date's principal committee shall receive payment for qualified campaign
49 expenditures of four dollars for each one dollar of matchable contrib-
50 utions, obtained and reported to the state board in accordance with the
51 provisions of this article, up to two thousand dollars in public funds
52 per contributor (or up to five hundred dollars in public funds per
53 contributor in the case of a special election).
54 3. A participating candidate seeking or obtaining nomination for
55 election by more than one party shall be deemed one candidate, and shall
56 not receive additional public funds or be authorized to accept contrib-
S. 5231--A 9
1 utions in excess of the maximum contribution level applicable pursuant
2 to subdivision one of section 14-114 of this chapter or make additional
3 expenditures by reason of such candidate seeking or obtaining nomination
4 for election by more than one party. Subdivision five of section
5 14-A-103 of this article shall not be applicable to such a candidate who
6 is opposed for the nomination of at least one party in a primary
7 election. The doubling of the expenditure limitations and qualification
8 for additional matching funds provided in subdivision four of section
9 14-A-107 of this article shall not be applicable to such a candidate who
10 is opposed for the nomination of at least one party solely by partic-
11 ipating candidates.
12 4. The state board shall make payment available within four business
13 days after receipt of reports of matchable contributions, or as soon
14 thereafter as is practicable, but not earlier than the earliest dates
15 for making such payments as provided in subdivisions six and seven of
16 section ninety-two-y of the state finance law.
17 5. Notwithstanding any other provision of this article, a participat-
18 ing candidate in an election with an additional day for voting held
19 pursuant to section 3-108 of this chapter or an election held pursuant
20 to court order, shall obtain payment for qualified campaign expenditures
21 in an amount equal to twenty-five cents for each one dollar of public
22 funds paid pursuant to this article to the candidate's principal commit-
23 tee for the preceding election. Except as provided by this subdivision,
24 no additional public funds shall be provided to any candidate for such
25 election or additional day for voting.
26 § 14-A-107. Voluntary expenditures limitations; additional financing
27 and limits. 1. The following limitations apply to all expenditures made
28 by a candidate and his or her authorized committees, considered togeth-
29 er, on or after the first day of January preceding the covered election
30 for which such candidate chooses to participate in the public funding
31 provisions of this article and to expenditures made at any time prior to
32 such date for services, materials, facilities, advertising or other
33 things of value received, rendered, published, distributed, or broadcast
34 on or after such date:
35 (a) The following limitations apply to all expenditures made by a
36 participating candidate and his or her authorized committees, considered
37 together, in the primary election:
38 (i) Governor: $4,500,000
39 (ii) Other statewide offices: $3,500,000
40 (iii) State senate: $150,000
41 (iv) State assembly: $50,000
42 (b) The following limitations apply to all expenditures made by a
43 participating candidate and his or her authorized committees, considered
44 together, in the general election:
45 (i) Governor: $10,000,000
46 (ii) Other statewide offices: $8,000,000
47 (iii) Except that in each general election, expenditures by a partic-
48 ipating candidate for lieutenant governor, who is running jointly with a
49 candidate for governor shall not exceed $1,000,000
50 (iv) State senate: $200,000
51 (v) State assembly: $150,000
52 (c) Upon applying for optional public financing pursuant to section
53 14-A-103 of this article, a participating candidate for the state assem-
54 bly or state senate in a one-party-dominant legislative district who is
55 qualified for public financing for the party primary election of the
56 dominant party may choose to reallocate a portion of the expenditure
S. 5231--A 10
1 limit for the general election period to the primary election period and
2 may receive matching funds up to the new limit. For the purpose of this
3 section, a one-party-dominant legislative district is a district in
4 which the number of registered voters registered in the party with the
5 highest number of registered voters exceeds the number of registered
6 voters registered to each of the other parties by an amount at least as
7 high as twenty-five percent of the total number of voters registered in
8 the district. Spending pursuant to this subdivision alone will not trig-
9 ger the provisions of paragraph (d) of subdivision four of this section,
10 which lift the expenditure limit for participating candidates in certain
11 situations.
12 (d) The expenditure limitation in a run-off election, an additional
13 day for voting held pursuant to section 3-108 of this chapter, or an
14 election held pursuant to court order shall be one-half the amount of
15 the applicable limitation provided for an election for such office
16 pursuant to the provisions of paragraph (a) of this subdivision.
17 (e) Expenditures by participating candidates in a primary election
18 made prior to or on the date of such primary election shall be deemed to
19 have been made for such primary election. Campaign expenditures made
20 after the date of such election shall be deemed to have been made for
21 the general or runoff election. However, in the event that payments are
22 made or obligated but the goods or services are not used during the
23 period purchased, the payments shall be considered campaign expenditures
24 for the time period in which the goods or services are used. Payments
25 for goods and services used in both periods shall be prorated.
26 (f) At the beginning of each fourth calendar year, commencing in the
27 year two thousand two, the state board shall determine the percentage of
28 the difference between the most recent available monthly consumer price
29 index for all urban consumers published by the United States bureau of
30 labor statistics and such consumer price index published for the same
31 month four years previously. The state board shall adjust the amount of
32 each expenditure limit fixed in this section by the amount of such
33 percentage difference to the closest one hundred dollars, and not later
34 than the first day of February in each such year, shall issue a regu-
35 lation publishing the amount of each such contribution limit. Each
36 expenditure limit as so adjusted shall be the expenditure limit in
37 effect for any election held before the next such adjustment.
38 2. (a) The following limitations apply to all expenditures made by a
39 candidate and his or her authorized committees in the calendar year
40 preceding the year of the election for which such candidate chooses to
41 participate in the public funding provisions of this article and to
42 expenditures made at any time prior to such date for services, materi-
43 als, facilities, advertising, or other things of value received,
44 rendered, published, distributed, or broadcast in such calendar year.
45 Such expenditures by a participating candidate for one of the following
46 offices and his or her authorized committees shall not exceed the
47 following amounts:
48 (i) Governor: $300,000
49 (ii) Other statewide offices: $250,000
50 (iii) State senate: $50,000
51 (iv) State assembly: $25,000
52 (b) The state board may adopt a regulation providing for expenditure
53 limitations for expenditures made in the two calendar years preceding
54 the calendar years specified in paragraph (a) of this subdivision.
55 3. If the expenditures made by a candidate and his or her authorized
56 committees subject to the expenditure limitation of subdivision two of
S. 5231--A 11
1 this section exceed the amount of the expenditure limitation applicable
2 under such subdivision, such candidate shall not be ineligible to
3 receive public funding for qualified campaign expenditures or be in
4 violation of this article by reason of exceeding such limitation unless
5 the amount by which such expenditures exceed such limitation is in
6 excess of the expenditure limitation that next applies to such candidate
7 pursuant to subdivision one of this section; provided that the amount of
8 the expenditure limitation that next applies to such candidate pursuant
9 to subdivision one of this section shall be reduced by the amount by
10 which the expenditure limitation applicable under subdivision two of
11 this section is exceeded. Nothing contained in this subdivision shall:
12 (a) increase or decrease the amount of public funds that may be
13 received pursuant to section 14-A-106 of this article by an authorized
14 committee of an eligible candidate;
15 (b) affect the expenditure limitation set forth in paragraph (d) of
16 subdivision one of this section; or
17 (c) affect the expenditure limitation set forth in paragraphs (a) and
18 (b) of subdivision one of this section for purposes of the application
19 of subdivision four of this section.
20 4. (a) If any candidate in a covered election chooses not to partic-
21 ipate in the public financing provisions of this article, and if the
22 state board has determined that such candidate and his or her authorized
23 committees considered together have spent or contracted or have obli-
24 gated to spend, or received in loans or contributions, or both, an
25 amount that, in the aggregate exceeds seventy-five percent of the
26 expenditure limit applicable to the participating candidate or candi-
27 dates for such office; or if the state board determines that the expend-
28 itures of any non-participating candidate aggregated with any independ-
29 ent expenditures in support of the non-participating candidate or in
30 opposition to any participating candidate running for the same office,
31 as reported to the state board under sections 14-102, 14-104 and 14-110
32 of this chapter, exceed the expenditure limit applicable to the partic-
33 ipating candidate by one-fourth of the applicable spending limit:
34 (i) such expenditure limit shall be doubled for the participating
35 candidate or candidates in such election for such office;
36 (ii) the principal committees of such participating candidates shall
37 receive payment for qualified campaign expenditures of four dollars for
38 each one dollar of matchable contributions, up to two thousand dollars
39 in public funds per contributor or up to one thousand dollars in public
40 funds per contributor in the case of a special election; and
41 (iii) the limitations for political party contributions to the partic-
42 ipating candidate shall be four times the limitations in subdivision
43 five of section 14-114 of this chapter.
44 (b) If the state board determines that the expenditures of any partic-
45 ipating candidate aggregated with any independent expenditures in
46 support of the participating candidate or in opposition to any non-par-
47 ticipating candidate running for the same office, as reported to the
48 state board under sections 14-102, 14-104 and 14-110 of this chapter,
49 exceed the expenditure limit applicable to the participating candidate
50 by one-fourth of the applicable spending limit, the provisions of para-
51 graph (a) of this subdivision shall not apply until the non-participat-
52 ing candidate's expenditures aggregated with independent expenditures in
53 favor of the non-participating candidate or in opposition to the partic-
54 ipating candidate exceed by one-half the applicable spending limit.
55 (c) If the state board determines that the expenditures of one partic-
56 ipating candidate aggregated with independent expenditures in support of
S. 5231--A 12
1 such participating candidate or in opposition to another participating
2 candidate running in the same election exceed by one-half the applicable
3 expenditure limit and exceed the expenditures of the other participating
4 candidate aggregated with independent expenditures in support of the
5 other participating candidate or in opposition to such participating
6 candidate, the board shall lift the spending limit applicable to such
7 other candidate in accordance with subparagraph (i) of paragraph (a) of
8 this subdivision. If the participating candidate who has exceeded the
9 expenditure limitation exceed the limitation pursuant to the provisions
10 of paragraph (c) of subdivision one of this section, this provision
11 shall not apply.
12 (d) If the state board determines that there have been substantial
13 unreported expenditures for mass media advertising in support of or
14 opposition to a candidate in a covered election, the state board may
15 double the expenditure limit as it applies to any participating candi-
16 date who has been opposed by such expenditures or whose opponent has
17 been supported by such expenditures.
18 5. Expenditures made for the purpose of complying with the provisions
19 of this article or this chapter, including legal fees, accounting fees,
20 the cost of record creation and retention, and other necessary compli-
21 ance expenditures, and expenses to challenge or to defend the validity
22 of petitions of designation or nomination or certificates of nomination,
23 acceptance, authorization, declination, or substitution shall not be
24 limited by the expenditure limitations of this section.
25 § 14-A-108. Reporting requirements for independent expenditures. 1.
26 Any person or persons, including political committees and entities, who
27 make independent expenditures relative to a covered election that
28 exceed, in the aggregate, one thousand dollars, shall file reports with
29 the state board indicating the amount of each expenditure and identify-
30 ing the office and the candidate or groups of candidates whose election
31 or defeat is being advocated.
32 (a) The report shall include a statement by the person or persons who
33 made the independent expenditure affirming that the expenditure is inde-
34 pendent and involved no cooperation or coordination with a candidate or
35 political party.
36 (b) Any person or persons making an independent expenditure shall file
37 the required report within seven days of making the expenditure.
38 (c) Notwithstanding the time for filing specified in paragraph (b) of
39 this subdivision, for any such expenditures made less than thirty days
40 before a covered election, the person or persons making the independent
41 expenditure shall file the report within forty-eight hours, except for
42 expenditures made or obligated in the seven days before the election, in
43 which case, the report shall be filed within twenty-four hours.
44 2. Any person, persons, or groups who make independent expenditures
45 that exceed, in the aggregate, three thousand dollars, must disclose the
46 full name, residential address, occupation, employer, and business
47 address of each contributor who makes contributions in the aggregate of
48 more than two hundred dollars, unless such group also qualifies as a
49 political committee and is making proper disclosure under section 14-102
50 of this chapter.
51 § 14-A-109. Examinations and audits. 1. The state board shall conduct
52 a thorough examination and audit of the contributions and qualified
53 campaign expenditures of the authorized committee of every candidate in
54 a covered election who received payments pursuant to section 14-A-106 of
55 this article.
S. 5231--A 13
1 2. (a) If the state board determines that any portion of the payment
2 made to such authorized committee from the New York state campaign
3 finance fund exceeded the aggregate amount of payments to which such
4 eligible candidate was entitled under section 14-A-106 of this article,
5 it shall notify such committee, and such committee shall pay to the
6 state board an amount equal to the amount of excess payments within
7 fourteen days of such notice.
8 (b) If the state board determines that any amount of payment made to
9 an authorized committee of an eligible candidate from the New York state
10 campaign finance fund was used for purposes other than to defray quali-
11 fied campaign expenses, it shall notify such authorized committee of the
12 amount disqualified, and such authorized committee shall pay to the
13 state board an amount equal to the such disqualified amount within four-
14 teen days of such notice.
15 (c) If the total of contributions and payments from the New York state
16 campaign finance fund received by any candidate and such candidate's
17 authorized committee exceeds the campaign expenditures of such candi-
18 date's authorized committee, such candidate and committee shall use such
19 excess funds to reimburse the fund for payments received by such commit-
20 tee from the fund not later than ten days after all liabilities have
21 been paid and in any event, not later than March thirty-first of the
22 year following the year of the election for which such payments were
23 intended. No such excess funds shall be used for any other purpose,
24 unless the total amount due the New York state campaign finance fund
25 from such candidate and committee has been repaid.
26 3. If a court of competent jurisdiction disqualifies a candidate whose
27 authorized committee has received public funds on the grounds that such
28 candidate committed illegal acts in order to obtain a place on the
29 ballot and such decision is not reversed by a higher court, such candi-
30 date and such candidate's authorized committee shall pay to the state
31 board an amount equal to the total of public funds received by such
32 authorized committee within fourteen days of a final order.
33 4. All payments received by the state board pursuant to this section
34 shall be deposited in the New York state campaign finance fund estab-
35 lished by section ninety-two-y of the state finance law.
36 § 14-A-110. Reports from the state board. 1. The state board shall
37 review and evaluate the effect of this article upon the conduct of
38 election campaigns in the state and shall submit a report to the gover-
39 nor, the senate, and the assembly on or before September first, two
40 thousand two, and every fourth year thereafter, and at any other time
41 upon the request of the governor, the senate, or the assembly and at
42 such other times as the state board deems appropriate, containing:
43 (a) the number and names of candidates qualifying for and choosing to
44 receive public funds pursuant to this article, and of candidates failing
45 to qualify or otherwise not choosing to receive such funds, in each
46 election during the four preceding calendar years;
47 (b) the amount of public funds provided to the authorized committees
48 of each candidate pursuant to this article and the contributions
49 received and expenditures made by each such candidate and the authorized
50 committees of such candidate, in each election during the four preceding
51 calendar years;
52 (c) recommendations as to whether the provisions of this article
53 governing maximum contribution amounts, thresholds for eligibility, and
54 expenditure limitations should be amended, and setting forth the amount
55 of, and reasons for, any amendments it recommends;
S. 5231--A 14
1 (d) analysis of the effect of this article on political campaigns,
2 including its effect on the sources and amounts of private financing and
3 the level of campaign expenditures;
4 (e) a review of the procedures utilized in providing public funds to
5 candidates; and
6 (f) such recommendations for changes in this article as it deems
7 appropriate and the reasons for those recommended changes.
8 2. The state board shall make the reports required by this section
9 available to the public at all times on the internet free of charge
10 within two weeks of the submission of such reports to the governor, the
11 senate, and the assembly.
12 § 2. Subdivision 9-A of section 3-102 of the election law, as added by
13 chapter 430 of the laws of 1997, is amended to read as follows:
14 9-A. In addition to the enforcement powers, and any other powers and
15 duties specified by law, the state board of elections shall have the
16 power and duty to:
17 (a) develop an electronic reporting system to process the statements
18 of campaign receipts, contributions, transfers and expenditures required
19 to be filed with the state board of elections pursuant to the provisions
20 of sections 14-102 and 14-104 of this chapter;
21 (b) prescribe the information required in the form for each statement
22 to be filed;
23 (c) establish a training program on the electronic reporting process
24 and make it available to any such candidate or committee;
25 (d) make the electronic reporting process available to any such candi-
26 date or committee which is required to file or which agrees to file such
27 statements by such electronic reporting process on self-executing disk-
28 ettes;
29 (e) cause all information contained in such a statement filed with the
30 state board of elections which is not on such electronic reporting
31 system to be entered into such system as soon as practicable but in no
32 event later than ten business days after its receipt by the state board
33 of elections; and
34 (f) make all data from electronic reporting process filed with the
35 board, either on paper or electronically, available at all times on the
36 internet within forty-eight hours of filing, free of charge, in an easi-
37 ly understood format that allows the public to browse, search, or down-
38 load the data by each of the reporting categories required by sections
39 14-102 and 14-104 of this chapter including, but not limited to: name of
40 each candidate or committee; office sought by each candidate; name of
41 each contributor and intermediary; business and residential address of
42 each contributor and intermediary; employer of each contributor and
43 intermediary, business occupation of each contributor and intermediary;
44 in the event that the contributor or intermediary is a political commit-
45 tee, the name of and the political unit represented by the committee;
46 date of each contribution; and amount of each contribution.
47 § 3. Section 14-102 of the election law, as amended by chapter 8 of
48 the laws of 1978, subdivision 1 as redesignated by chapter 9 of the laws
49 of 1978, subdivision 2 as added and subdivision 3 as renumbered by chap-
50 ter 70 of the laws of 1983 and subdivision 4 as added by chapter 430 of
51 the laws of 1997, is amended to read as follows:
52 § 14-102. Statements of campaign receipts, contributions, transfers
53 and expenditures to and by political committees. 1. The treasurer of
54 every political committee which, or any officer, member or agent of any
55 such committee who, in connection with any election, receives or expends
56 any money or other valuable thing or incurs any liability to pay money
S. 5231--A 15
1 or its equivalent shall file statements sworn, or subscribed and bearing
2 a form notice that false statements made therein are punishable as a
3 class A misdemeanor pursuant to section 210.45 of the penal law, at the
4 times prescribed by this article setting forth all the receipts,
5 contributions to and the expenditures by and liabilities of the commit-
6 tee, and of its officers, members and agents in its behalf. Such state-
7 ments shall include the dollar amount of any receipt, contribution or
8 transfer, or the fair market value of any receipt, contribution or
9 transfer, which is other than of money, the full name, residential
10 address, occupation, employer, and business address of the transferor,
11 contributor or person from whom received and any intermediary, and if
12 the transferor, contributor, intermediary, or person is a political
13 committee; the name of and the political unit represented by the commit-
14 tee, the date of its receipt, the dollar amount of every expenditure,
15 the name and address of the person to whom it was made or the name of
16 and the political unit represented by the committee to which it was made
17 and the date thereof, and shall state clearly the purpose of such
18 expenditure and whether or not the expenditure was intended to support
19 or oppose any candidate for nomination or election. If any committee has
20 made expenditures to support or oppose more than one candidate in any
21 calendar year, such statements shall include, on a separate schedule,
22 each of the expenditures made, or liabilities incurred, with respect to
23 each such candidate. The state board shall annex a copy of each such
24 schedule to the statement required to be filed by the candidate under
25 the provisions of section 14-104 of this article and shall include the
26 schedule on any electronic postings of the candidate's statement. Any
27 statement reporting a loan shall have attached to it a copy of the
28 evidence of indebtedness. Expenditures in sums under fifty dollars need
29 not be specifically accounted for by separate items in said statements[,
30 and receipts]. Receipts and contributions aggregating not more than
31 ninety-nine dollars, from any one contributor for all elections held in
32 a single calendar year or for a special election, need not be specif-
33 ically accounted for by separate items in said statements, provided
34 however, that contributions which are not itemized shall not be matcha-
35 ble, and that such expenditures, receipts and contributions shall be
36 subject to the other provisions of section 14-118 of this article.
37 2. Notwithstanding the provisions of subdivision one hereof, if the
38 expenditures made and liabilities incurred in any calendar year by any
39 political committee for the purpose of aiding or promoting the success
40 or defeat of one or more ballot proposals are less than five thousand
41 dollars and less than fifty percent of all the expenditures made and
42 liabilities incurred by such committee in such year, then such committee
43 shall be required to report only those contributions which are made to
44 such committee exclusively for the purpose of aiding or promoting the
45 success or defeat of such proposal or proposals, but such committee
46 shall be required to report all expenditures made and liabilities
47 incurred for such purposes. Nothing contained in this subdivision shall
48 be construed to relieve any political committee aiding or promoting the
49 success or defeat of a candidate from any of the reporting requirements
50 imposed by this article.
51 3. The state board of elections shall promulgate regulations with
52 respect to the accounting methods to be applied in preparing the state-
53 ments required by the provisions of this article and shall provide forms
54 suitable for such statements. Such regulations shall be written to
55 assure compliance and to obtain the maximum possible disclosure, in an
56 easily accessible format.
S. 5231--A 16
1 4. Any committee which is required to file statements with the state
2 board of elections pursuant to this article and which raises or spends
3 or expects to raise or spend more than one thousand dollars in any
4 calendar year shall file all such statements pursuant to the electronic
5 reporting system prescribed by the state board of elections as set forth
6 in subdivision nine-A of section 3-102 of this chapter. Notwithstanding
7 the provisions of this subdivision, upon the filing of a sworn statement
8 by the treasurer of a political committee which states that such poli-
9 tical committee does not have access to the technology necessary to
10 comply with the electronic filing requirements of subdivision nine-A of
11 section 3-102 of this chapter and that filing by such means would
12 constitute a substantial hardship for such political committee, the
13 state board of elections may issue [an] a one-time exemption from the
14 electronic filing requirements of this article.
15 § 4. Section 14-104 of the election law, as amended by chapter 430 of
16 the laws of 1997, is amended to read as follows:
17 § 14-104. Statements of campaign receipts, contributions, transfers
18 and expenditures by and to candidates. 1. Any candidate for election to
19 public office, or for nomination for public office at a contested prima-
20 ry election or convention, or for election to a party position at a
21 primary election, shall file statements sworn, or subscribed and bearing
22 a form notice that false statements made therein are punishable as a
23 class A misdemeanor pursuant to section 210.45 of the penal law, at the
24 times prescribed by this article setting forth the particulars specified
25 by section 14-102 of this article, as to all moneys or other valuable
26 things, paid, given, expended or promised by him to aid his own nomi-
27 nation or election, or to promote the success or defeat of a political
28 party, or to aid or influence the nomination or election or the defeat
29 of any other candidate to be voted for at the election or primary
30 election or at a convention, including contributions to political
31 committees, officers, members or agents thereof, and transfers, receipts
32 and contributions to him to be used for any of the purposes above speci-
33 fied, or in lieu thereof, any such candidate may file such a sworn
34 statement at the first filing period, on a form prescribed by the state
35 board of elections that such candidate has made no such expenditures and
36 does not intend to make any such expenditures, except through a poli-
37 tical committee authorized by such candidate pursuant to this article. A
38 committee authorized by such a candidate may fulfill all of the filing
39 requirements of this act on behalf of such candidate.
40 2. Statements filed by any political committee authorized by a candi-
41 date pursuant to this article which is required to file such statements
42 with the state board of elections and which raises or spends or expects
43 to raise or spend more than one thousand dollars in any calendar year
44 shall file all such statements pursuant to the electronic reporting
45 system prescribed by the state board of elections as set forth in subdi-
46 vision nine-A of section 3-102 of this chapter. Notwithstanding the
47 provisions of this subdivision, upon the filing of a sworn statement by
48 the treasurer of a political committee authorized by a candidate pursu-
49 ant to this article which states that such committee does not have
50 access to the technology necessary to comply with the electronic filing
51 requirements of subdivision nine-A of section 3-102 of this chapter and
52 that filing by such means would constitute a substantial hardship for
53 such committee, the state board of elections may issue [an] a one-time
54 exemption from the electronic filing requirements of this article.
55 § 5. Section 14-108 of the election law, subdivision 1 as amended by
56 chapter 955 of the laws of 1983, subdivision 2 as amended by chapter 109
S. 5231--A 17
1 of the laws of 1997, subdivision 5 as amended and subdivision 7 as added
2 by chapter 146 of the laws of 1994, subdivision 6 as amended by chapter
3 323 of the laws of 1977, subdivisions 3, 4 and 6 as redesignated by
4 chapter 9 of the laws of 1978, is amended to read as follows:
5 § 14-108. Time for filing statements. 1. a. The statements required by
6 this article shall be filed at such times as the state board of
7 elections, by rule or regulation, shall specify; provided, however, that
8 in no event shall the board provide for fewer than [three] four filings
9 in the aggregate in connection with any primary, general or special
10 election, or in connection with a question to be voted on and [two]
11 three of said filings shall be before any such election, including one
12 such filing not less than thirty days nor more than forty-five days
13 prior to such election [and], one such filing not less than [eleven]
14 fifteen days nor more than [fifteen] twenty-five days prior to such
15 election, and one such filing not less than eight days nor more than ten
16 days prior to such election. In addition, the board shall provide that
17 every political committee which has filed a statement of treasurer and
18 depository shall make at least one filing every six months between the
19 time such statement of treasurer and depository is filed and the time
20 such committee goes out of business. If any candidate or committee shall
21 be required by the provisions of this section, or by rule or regulation
22 hereunder, to effect two filings within a period of five days, the state
23 board of elections may, by rule or regulation, waive the requirement of
24 filing the earlier of such statements. If a statement filed by a candi-
25 date or committee after the election to which it pertains is not a final
26 statement showing satisfaction of all liabilities and disposition of all
27 assets, such candidate or committee shall file such additional state-
28 ments as the board shall, by rule or regulation provide until such a
29 final statement is filed.
30 b. Any candidate in a covered election who is not a participating
31 candidate under section 14-A-103 of this chapter, who is opposed by a
32 participating candidate, and who, along with his or her authorized
33 committee, receives contributions and loans, spends, or obligates to
34 spend, an amount which in the aggregate exceeds seventy-five percent of
35 the voluntary expenditure limitations of section 14-A-106 of this chap-
36 ter that apply to a candidate in the same election shall file a state-
37 ment required by this article within forty-eight hours. After this
38 filing, the candidate shall comply with an expedited reporting schedule
39 that the state board shall establish by rule. In addition to filing the
40 statement with the state board, the candidate shall notify each opposing
41 candidate by overnight mail or fax. The state board shall provide forms
42 to facilitate compliance with this subdivision.
43 2. Each statement shall cover the period up to and including the
44 fourth day next preceding the day specified for the filing thereof;
45 provided, however, that any contribution [or], loan, or expenditure in
46 excess of one thousand dollars, if received or made after the close of
47 the period to be covered in the last statement filed before any primary,
48 general or special election but before such election, shall be reported,
49 in the same manner as other contributions, within twenty-four hours
50 after receipt.
51 3. Each statement shall be preserved by the officer with whom or the
52 board with which it is required to be filed for a period of five years
53 from the date of filing thereof.
54 4. Each statement shall constitute a part of the public records of
55 such officer or board and shall be open to public inspection.
S. 5231--A 18
1 5. The state board of elections or other board of elections, as the
2 case may be, shall not later than ten days after the last day to file
3 any such statement notify each person required to file any such state-
4 ment which has not been received by such board by such tenth day in
5 accordance with this article of such person's failure to file such
6 statement timely. Such notice shall be in writing and mailed to the last
7 known residence or business address of such person by certified mail,
8 return receipt requested. Failure to file within five days of receipt of
9 such notice shall constitute prima facie evidence of a willful failure
10 to file. If the person required to file such statement is a treasurer
11 who has stated that the committee has been authorized by one or more
12 candidates, a copy of such notice shall be sent to each such candidate
13 by first class mail. A copy of any such notice sent by a board of
14 elections other than the state board of elections shall be sent by such
15 other board to the state board.
16 6. A statement shall be deemed properly filed when deposited in an
17 established post-office within the prescribed time, duly stamped, certi-
18 fied and directed to the officer with whom or to the board with which
19 the statement is required to be filed, but in the event it is not
20 received, a duplicate of such statement shall be promptly filed upon
21 notice by such officer or such board of its non-receipt. All statements
22 to be filed in the thirty days before any election, which are mailed,
23 shall be sent guaranteed overnight mail.
24 7. On the twentieth day following the date by which such statements
25 were required to be filed, the state board of elections shall prepare
26 and make available for public inspection and distribution a list of
27 those persons and committees from whom it has not yet received such
28 statement.
29 § 6. Subdivision 1 of section 14-114 of the election law is REPEALED
30 and a new subdivision 1 is added to read as follows:
31 1. The following limitations apply to all contributions to candidates
32 in any covered election and to all contributions to authorized commit-
33 tees, other than any contributions from any party committee or consti-
34 tuted committee:
35 a. In any covered election for a public office to be voted on by the
36 voters of the entire state, no contributor may make a contribution or
37 contributions to any candidate or authorized committee, and no candidate
38 or authorized committee may accept any contribution or contributions
39 from any contributor, that are in the aggregate greater than five thou-
40 sand dollars.
41 b. In any covered election for member of the state senate, no contrib-
42 utor may make a contribution or contributions to any candidate or
43 authorized committee and no candidate or authorized committee may accept
44 any contribution or contributions from any contributor, that are in the
45 aggregate greater than four thousand dollars.
46 c. In any covered election for member of the state assembly, no
47 contributor may make a contribution or contributions to any candidate or
48 authorized committee and no candidate or authorized committee may accept
49 any contribution or contributions from any contributor, that are in the
50 aggregate greater than two thousand five hundred dollars.
51 d. In any covered election, however, the aggregate contributions made
52 by the contributor, the contributor's spouse, and minor children to a
53 candidate or the candidate's authorized committee shall not exceed an
54 amount equal to the amount permitted in paragraphs a, b and c of this
55 subdivision multiplied by two.
S. 5231--A 19
1 § 7. Subdivisions 4 and 5 of section 14-114 of the election law are
2 REPEALED and three new subdivisions 4, 5 and 5-a are added to read as
3 follows:
4 4. In all covered elections, other than the general election for
5 covered offices, the contribution limitations specified in subdivision
6 one of this section apply to the contributions made by political party
7 committees and constituted committees to candidates and their authorized
8 committees.
9 5. In any general election for a covered office, the following limita-
10 tions apply to all contributions made by political party committees and
11 constituted committees to any candidate or authorized committee, except
12 as provided in paragraph (a) of subdivision four of section 14-A-107 of
13 this chapter:
14 (a) governor and lieutenant governor: no more than one hundred thou-
15 sand dollars, in the aggregate, from all political party committees and
16 constituted committees;
17 (b) attorney general or comptroller: no more than one hundred thousand
18 dollars, in the aggregate, from all political party committees and
19 constituted committees;
20 (c) member of the senate: no more than fifty thousand dollars, in the
21 aggregate, from all political party committees and constituted commit-
22 tees; and
23 (d) member of the assembly: no more than twenty-five thousand dollars,
24 in the aggregate, from all political party committees and constituted
25 committees.
26 5-a. Any expenditures by a political party committee or a constituted
27 committee on behalf of a nominee or in opposition to any candidate for
28 the same office as the nominee shall be considered coordinated with the
29 nominee and counted toward the aggregate contribution limitation.
30 § 8. Subdivision 8 of section 14-114 of the election law, as amended
31 by chapter 8 and redesignated by chapter 9 of the laws of 1978, is
32 amended to read as follows:
33 8. Except as may otherwise be provided for a candidate [and his fami-
34 ly], no person may contribute, loan or guarantee in excess of [one
35 hundred] fifty thousand dollars within the state in connection with the
36 nomination or election of persons to state and local public offices and
37 party positions within the state of New York in any one calendar year.
38 For the purposes of this subdivision "loan" or "guarantee" shall mean a
39 loan or guarantee which is not repaid or discharged in the calendar year
40 in which it is made.
41 § 9. Subdivision 10 of section 14-114 of the election law is REPEALED
42 and a new subdivision 10 is added to read as follows:
43 10. No contributor may make a contribution or contributions to a party
44 committee or constituted committee and no party committee or constituted
45 committee may accept a contribution or contributions from any contribu-
46 tor that, in the aggregate, is greater than twenty thousand dollars per
47 calendar year.
48 § 10. Section 14-116 of the election law is amended by adding a new
49 subdivision 3 to read as follows:
50 3. For the purposes of this section, all the component groups of a
51 controlled group of corporations within the meaning of section 1563 of
52 the Internal Revenue Code of the United States shall be deemed to be one
53 corporation.
54 § 11. Subdivision 3 of section 14-124 of the election law is REPEALED.
55 § 12. Section 14-126 of the election law, as amended by chapter 8 of
56 the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
S. 5231--A 20
1 1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the
2 laws of 1978, is amended to read as follows:
3 § 14-126. Violations; penalties. 1. Any person who fails to file a
4 statement required to be filed by this article or the rules or regu-
5 lations of the state board implementing this article shall be subject to
6 a civil penalty, not in excess of [five hundred] one thousand dollars,
7 to be recoverable in a special proceeding or civil action to be brought
8 by the state board of elections or other board of elections.
9 2. Any person who knowingly and willfully fails to file a statement
10 required to be filed by this article or the rules or regulations of the
11 state board implementing this article within [ten] five days after the
12 date provided for filing such statement, or any person who knowingly and
13 willfully violates any other provision of this article shall be guilty
14 of a class A misdemeanor or subject to civil penalty of an amount not
15 less than one thousand dollars, unless a greater penalty is specifically
16 prescribed in another applicable statute.
17 3. Any person who knowingly and willfully contributes, expends,
18 accepts or aids or participates in the acceptance of a contribution, or
19 expenditure of funds in an amount exceeding an applicable maximum speci-
20 fied in this article or who knowingly and willfully violates the
21 provisions of section one-m-one of the legislative law shall be guilty
22 of a class A misdemeanor or subject to a civil penalty of an amount not
23 less than one thousand dollars.
24 4. Any person who shall, acting on behalf of a candidate or political
25 committee, knowingly and willfully solicit, organize or coordinate the
26 formation of activities of one or more unauthorized committees, make
27 expenditures in connection with the nomination for election or election
28 of any candidate, or solicit any person to make any such expenditures,
29 for the purpose of evading the contribution limitations of this article,
30 shall be guilty of a class E felony.
31 5. Any person who knowingly and willfully neglects or refuses to
32 furnish any information required or authorized by this article, or to
33 exhibit records, papers, or documents authorized by this article to be
34 inspected or which are required to be exhibited, shall be guilty of a
35 class A misdemeanor or subject to a civil penalty of an amount not less
36 than one thousand dollars.
37 6. Any person who knowingly and willfully expends or aids or partic-
38 ipates in the expenditure of funds for a purpose or in a manner which
39 violates the provisions of this article shall be guilty of a class A
40 misdemeanor or subject to a civil penalty of an amount not less than one
41 thousand dollars.
42 7. Any person who knowingly and willfully fails to return or aids or
43 participates in the failure to return to the board any funds required to
44 be returned to the state board under the provisions of this article
45 shall be guilty of a class A misdemeanor or subject to a civil penalty
46 of an amount not less than one thousand dollars.
47 8. If the aggregate amount of expenditures by a participating candi-
48 date and the candidate's authorized committee exceeds the expenditure
49 limitations contained in section 14-A-107 of this chapter, such candi-
50 date shall be liable for a civil penalty in an amount equal to three
51 times the sum by which such expenditures exceed the permitted amount in
52 addition to any other penalties to which such candidate may be liable.
53 9. Any person who knowingly and willfully furnishes false, fictitious,
54 or fraudulent evidence, books, or information to the state board under
55 this article or includes in any evidence, books, or information so
56 furnished any misrepresentation of a material fact, or falsifies or
S. 5231--A 21
1 conceals any evidence, books, or information relevant to any audit by
2 the state board or knowingly and willfully violates any other provision
3 of this article shall be guilty of a class A misdemeanor or subject to a
4 civil penalty of an amount not less than one thousand dollars.
5 10. The attorney general shall be primarily responsible for institut-
6 ing and conducting prosecutions under this section. In such cases, the
7 attorney general or the attorney general's deputy shall exercise all the
8 power and perform all the duties which the district attorney would
9 otherwise be authorized or required to exercise or perform; whenever any
10 such prosecution is instituted by the attorney general, the district
11 attorney shall exercise only such powers and perform such duties as are
12 required of the district attorney by the attorney general or the deputy
13 attorney general. Until and unless the attorney general exercises
14 authority under this section, an otherwise authorized district attorney
15 may institute and conduct a prosecution under this section.
16 11. Whenever the attorney general is authorized under this article to
17 prosecute a criminal proceeding on behalf of the state board, the attor-
18 ney general shall have the discretion to delegate the authority to
19 initiate or to conduct any such prosecution to the state board.
20 § 13. The state finance law is amended by adding a new section 92-y to
21 read as follows:
22 § 92-y. New York state campaign finance fund. 1. There is hereby
23 established a fund to be known as the New York state campaign finance
24 fund. It shall be held in the joint custody of the state comptroller and
25 the commissioner of taxation and finance.
26 2. Such fund shall consist of revenues appropriated from the general
27 fund and from all other moneys credited or transferred thereto from any
28 other fund or source pursuant to law.
29 3. Moneys of the fund, following appropriation by the legislature, may
30 be expended for purposes of making payments to candidates pursuant to
31 article fourteen-A of the election law. Moneys shall be paid out of the
32 fund on the audit and warrant of the state comptroller on vouchers
33 certified or approved by the state board of elections, or its duly
34 designated representative, in the manner prescribed by law, not more
35 than four working days after such voucher is received by the state comp-
36 troller.
37 4. Notwithstanding any provision of the law to the contrary, if, in
38 any state fiscal year, the New York state campaign finance fund lacks
39 the amount of money required to pay all funds certified by the state
40 board of elections as due to eligible candidates, any such deficiency
41 shall be paid, upon the audit and warrant of the comptroller, from funds
42 deposited in the general fund of the state not more than four working
43 days after such voucher is received by the state comptroller.
44 5. Commencing in the year two thousand three, if the surplus in the
45 fund on April first, of the year after a year in which a governor is
46 elected exceeds twenty-five percent of the disbursements from the fund
47 over the previous four years, the excess shall revert to the general
48 fund of the state.
49 6. No moneys shall be paid to candidates in a primary election any
50 earlier than two weeks after the last day to file designating petitions
51 for such primary election.
52 7. No moneys shall be paid to candidates in a general election any
53 earlier than the day after the primary election held to nominate candi-
54 dates for such election.
S. 5231--A 22
1 8. No moneys shall be paid to any candidate in a special election any
2 earlier than the last day to file certificates of party nomination for
3 such special election.
4 9. No moneys shall be paid to any candidate who has been disqualified
5 or whose designating petitions have been declared invalid by the appro-
6 priate board of elections or a court of competent jurisdiction until and
7 unless such finding is reversed by a higher authority. No payment from
8 the fund in the possession of such a candidate or such a candidate's
9 authorized committee on the date of such disqualification or invali-
10 dation may thereafter be expended for any purpose except the payment of
11 liabilities incurred before that date. All such moneys shall be returned
12 to the fund.
13 10. As soon as practicable in the year two thousand two and in time
14 for inclusion in the governor's proposed budget and at such other times
15 as the state board of elections shall deem necessary, the state board
16 shall submit its estimate of the amount of public funds which will be
17 necessary to provide candidates sufficient financing for elections in
18 the next year in which covered elections are scheduled and for covered
19 elections to fill vacancies and a reserve for contingencies. Such esti-
20 mates shall be submitted in such manner and at such times as to assure
21 that such amounts as shall be necessary may be appropriated in full by
22 the beginning of the fiscal year prior to that in which elections are
23 scheduled pursuant to this chapter and that additional amounts may be
24 appropriated as necessary.
25 § 14. The legislative law is amended by adding a new section 1-m-1 to
26 read as follows:
27 § 1-m-1. Certain functions prohibited in Albany, Rensselaer, Schenec-
28 tady and Saratoga counties. Notwithstanding any provision of law to the
29 contrary, no person or entity shall hold, participate in, or attend a
30 function designed to solicit funds that are subject to the reporting
31 requirements of article fourteen of the election law in the county of
32 Albany, Rensselaer, Schenectady or Saratoga during the period of time
33 commencing on January first and concluding on the later of either June
34 thirtieth or the date on which the legislature has taken final action on
35 all of the appropriation bills submitted by the governor pursuant to
36 article seven of the state constitution, thereby enacting a state budget
37 that provides sufficient appropriation authority for the ongoing opera-
38 tion and support of state government and local assistance for the ensu-
39 ing fiscal year. The foregoing shall not apply to a statewide elected
40 official, state officer or employee, member of the legislature, who
41 represents or holds office in the county of Albany, Rensselaer, Schenec-
42 tady or Saratoga.
43 § 15. Subdivisions (a) and (b) of section 1-n of the legislative law,
44 as added by chapter 2 of the laws of 1999, are amended to read as
45 follows:
46 (a) (i) Any lobbyist, public corporation, or client who knowingly and
47 wilfully fails to file timely a report or statement required by this
48 article or knowingly and wilfully files false information or knowingly
49 and wilfully violates section one-m or one-m-one of this article shall
50 be guilty of a class A misdemeanor; and (ii) any lobbyist, public corpo-
51 ration, or client who knowingly and wilfully fails to file timely a
52 report or statement required by this article or knowingly and wilfully
53 files false information or knowingly and wilfully violates section one-m
54 or one-m-one of this article, after having previously been convicted in
55 the preceding five years of the crime described in paragraph (i) of this
56 subdivision, shall be guilty of a class E felony. For the purposes of
S. 5231--A 23
1 this subdivision, the chief administrative officer of any organization
2 required to file a statement or report shall be the person responsible
3 for making and filing such statement or report unless some other person
4 prior to the due date thereof has been duly designated to make and file
5 such statement or report.
6 (b) A lobbyist, public corporation, or client who knowingly and
7 wilfully fails to file a statement or report within the time required
8 for the filing of such report or knowingly and wilfully violates section
9 one-m or one-m-one of this article shall be subject to a civil penalty,
10 in an amount not to exceed twenty-five thousand dollars, to be assessed
11 by the commission. Such assessment may only be imposed after the
12 commission sends by certified and first-class mail written notice of the
13 intent to assess a penalty and the basis for the penalty. The amount of
14 such assessment shall be determined only after a hearing at which the
15 party shall be entitled to appear, present evidence and be heard. Such
16 assessment may be recovered in an action brought by the attorney gener-
17 al.
18 § 16. This act shall take effect January 1, 2002; provided that the
19 addition of section 1-m-1 of the legislative law by section fourteen of
20 this act and the amendment to section 1-n of the legislative law made by
21 section fifteen of this act shall not affect the repeal of such
22 provisions and shall be deemed repealed therewith.
