Makes provisions for the reform of the financing of campaigns for election to public office; modifies contribution limits, regulates independent expenditures, applies organization restrictions to labor unions, defines communications subject to regulation as political advertisement and literature, provides for reporting of non-monetary receipts, contributions or transfers, defines an "intermediary", makes provisions for filings with boards of elections, restricts fundraising within 25 miles of the Capitol during the legislative session, provides for the creation of an office of campaign finance enforcement officer, and increases penalties for violations.
STATE OF NEW YORK
________________________________________________________________________
5553
2001-2002 Regular Sessions
IN SENATE
June 15, 2001
___________
Introduced by COMMITTEE ON RULES -- (at request of the Governor) -- read
twice and ordered printed, and when printed to be committed to the
Committee on Rules
AN ACT to amend the election law, in relation to enacting campaign
finance reform in New York state and to repeal subdivision 3 of
section 14-124 of such law relating to exceptions to the contribution
and receipt limits of article 14 of such law
The People of the State of New York, represented in Senate and Assem-bly, do enact as follows:
1 Section 1. Subdivisions 1 and 10 of section 14-114 of the election
2 law, subdivision 1 as amended and subdivision 10 as added by chapter 79
3 of the laws of 1992, paragraphs a and b of subdivision 1 as amended by
4 chapter 659 of the laws of 1994, are amended to read as follows:
5 1. The following limitations apply to all contributions to candidates
6 for election to any public office or for nomination for any such office,
7 or for election to any party positions, and to all contributions to
8 political committees working directly or indirectly with any candidate
9 to aid or participate in such candidate's nomination or election, other
10 than any contributions to any party committee or constituted committee:
11 a. In any election for a public office to be voted on by the voters of
12 the entire state, or for nomination to any such office, no contributor
13 may make a contribution to any candidate or political committee, and no
14 candidate or political committee may accept any contribution from any
15 contributor, which is in the aggregate amount greater than: (i) in the
16 case of any nomination to public office, [the product of the total
17 number of enrolled voters in the candidate's party in the state, exclud-
18 ing voters in inactive status, multiplied by $.005, but such amount
19 shall be not less than four thousand dollars nor more than twelve thou-
20 sand dollars as increased or decreased by the cost of living adjustment
21 described in paragraph c of this subdivision] two thousand five hundred
22 dollars, and (ii) in the case of any election to a public office, [twen-
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD12059-02-1
S. 5553 2
1 ty-five] five thousand dollars [as increased or decreased by the cost of
2 living adjustment described in paragraph c of this subdivision];
3 provided however, that the maximum amount which may be so contributed or
4 accepted, in the aggregate, from any candidate's child, parent, grand-
5 parent, brother and sister, and the spouse of any such persons, shall
6 not exceed in the case of any nomination to public office an amount
7 equivalent to the product of the [number of enrolled voters in the
8 candidate's party in the state, excluding voters in inactive status,
9 multiplied by $.025, and in the case of any election for a public
10 office, an amount equivalent to the product of the number of registered
11 voters in the state excluding voters in inactive status, multiplied by
12 $.025] amount a contributor is authorized to contribute to a candidate
13 pursuant to this paragraph multiplied by five.
14 b. In any other election for party position or for election to a
15 public office or for nomination for any such office, no contributor may
16 make a contribution to any candidate or political committee and no
17 candidate or political committee may accept any contribution from any
18 contributor, which is in the aggregate amount greater than: (i) in the
19 case of any election for party position, or for nomination to public
20 office, the product of the total number of enrolled voters in the candi-
21 date's party in the district in which he is a candidate, excluding
22 voters in inactive status, multiplied by [$.05] $.01, and (ii) in the
23 case of any election for a public office, the product of the total
24 number of registered voters in the district, excluding voters in inac-
25 tive status, multiplied by [$.05] $.01, however in the case of a nomi-
26 nation within the city of New York for the office of mayor, public advo-
27 cate or comptroller, such amount shall be [not less than four thousand
28 dollars nor more than twelve thousand dollars as increased or decreased
29 by the cost of living adjustment described in paragraph c of this subdi-
30 vision] two thousand five hundred dollars; in the case of an election
31 within the city of New York for the office of mayor, public advocate or
32 comptroller, [twenty-five] five thousand dollars [as increased or
33 decreased by the cost of living adjustment described in paragraph c of
34 this subdivision]; in the case of a nomination for state senator, [four
35 thousand] one thousand five hundred dollars [as increased or decreased
36 by the cost of living adjustment described in paragraph c of this subdi-
37 vision]; in the case of an election for state senator, [six] two thou-
38 sand [two] five hundred [fifty] dollars [as increased or decreased by
39 the cost of living adjustment described in paragraph c of this subdivi-
40 sion]; in the case of an election or nomination for a member of the
41 assembly, [twenty-five hundred] one thousand dollars [as increased or
42 decreased by the cost of living adjustment described in paragraph c of
43 this subdivision]; but in no event shall any such maximum exceed [fifty]
44 five thousand dollars or be less than [one thousand] five hundred
45 dollars; provided however, that the maximum amount which may be so
46 contributed or accepted, in the aggregate, from any candidate's child,
47 parent, grandparent, brother and sister, and the spouse of any such
48 persons, shall not exceed in the case of any election for party position
49 or nomination for public office [an amount equivalent to the number of
50 enrolled voters in the candidate's party in the district in which he is
51 a candidate, excluding voters in inactive status, multiplied by $.25 and
52 in the case of] or any election to public office, an amount equivalent
53 to [the number of registered voters in the district, excluding voters in
54 inactive status, multiplied by $.25; or twelve hundred fifty dollars,
55 whichever is greater, or in the case of a nomination or election of a
56 state senator, twenty thousand dollars, whichever is greater, or in the
S. 5553 3
1 case of a nomination or election of a member of the assembly twelve
2 thousand five hundred dollars, whichever is greater, but in no event
3 shall any such maximum exceed one hundred thousand dollars] the product
4 of the amount a contributor is authorized to contribute to a candidate
5 pursuant to this paragraph multiplied by five.
6 [c. At the beginning of each fourth calendar year, commencing in nine-
7 teen hundred ninety-five, the state board shall determine the percentage
8 of the difference between the most recent available monthly consumer
9 price index for all urban consumers published by the United States
10 bureau of labor statistics and such consumer price index published for
11 the same month four years previously. The amount of each contribution
12 limit fixed in this subdivision shall be adjusted by the amount of such
13 percentage difference to the closest one hundred dollars by the state
14 board which, not later than the first day of February in each such year,
15 shall issue a regulation publishing the amount of each such contribution
16 limit. Each contribution limit as so adjusted shall be the contribution
17 limit in effect for any election held before the next such adjustment.]
18 10. [a.] No contributor may make a contribution to a party or consti-
19 tuted committee and no such committee may accept a contribution from any
20 contributor which, in the aggregate, is greater than [sixty-two] fifty
21 thousand five hundred dollars per annum.
22 [b. At the beginning of each fourth calendar year, commencing in nine-
23 teen hundred ninety-five, the state board shall determine the percentage
24 of the difference between the most recent available monthly consumer
25 price index for all urban consumers published by the United States
26 bureau of labor statistics and such consumer price index published for
27 the same month four years previously. The amount of such contribution
28 limit fixed in paragraph a of this subdivision shall be adjusted by the
29 amount of such percentage difference to the closest one hundred dollars
30 by the state board which, not later than the first day of February in
31 each such year, shall issue a regulation publishing the amount of such
32 contribution limit. Such contribution limit as so adjusted shall be the
33 contribution limit in effect for any election held before the next such
34 adjustment.]
35 § 2. The election law is amended by adding a new section 14-115 to
36 read as follows:
37 § 14-115. Independent expenditures. 1. As used in this article:
38 a. "Independent expenditure" shall mean an expenditure made by any
39 person or political committee made in connection with a communication
40 that advocates the election or defeat of a candidate in any election,
41 and such expenditure has not been authorized, requested, fostered,
42 aided, assisted, or suggested by any candidate in such election or their
43 agents or authorized political committees.
44 b. "Late independent expenditure" shall mean an independent expendi-
45 ture that totals in the aggregate one thousand dollars or more and is
46 made prior to the date of the election but after the closing date of the
47 last statement required to be filed pursuant to section 14-102 of this
48 article prior to the election.
49 c. "Self-funded expenditures" shall mean the expenditures made by a
50 candidate or his or her spouse in connection with the nomination or
51 election of such candidate.
52 d. "Late self-funded expenditure" shall mean a self-funded expenditure
53 that totals in the aggregate one thousand dollars or more and is made
54 prior to the date of the election but after the closing date of the last
55 statement required to be filed pursuant to section 14-102 of this arti-
56 cle prior to the election.
S. 5553 4
1 2. a. Independent expenditures by a political committee shall be
2 included in the statements of campaign receipts, contributions, trans-
3 fers, and expenditures required pursuant to section 14-102 of this arti-
4 cle and shall clearly identify the candidate whose election or defeat is
5 advocated through expenditure.
6 b. A person or political committee that makes a late independent
7 expenditure or late self-funded expenditure shall report the late inde-
8 pendent expenditure or late self-funded expenditure by facsimile trans-
9 mission, telegram, guaranteed overnight mail through the United States
10 postal service or personal delivery within twenty-four hours of the time
11 it is made to the state board of elections and to every other candidate
12 running for the same office. A late independent expenditure or late
13 self-funded expenditure shall be reported on subsequent filings pursuant
14 to paragraph a of this subdivision and section 14-102 of this article
15 without regard to the reports required to be filed pursuant to this
16 paragraph. A person or political committee that makes a late independent
17 expenditure or late self-funded expenditure shall include the name of
18 the person or political committee making the expenditure, a clear iden-
19 tification of the candidate or candidates whose election or defeat is
20 advocated by the expenditure, the amount of the expenditure, and a
21 description of the goods or services for which the expenditure was made.
22 3. a. If the sum of the aggregate amount of independent expenditures
23 against a candidate or in support of his opponents plus the aggregate
24 amount of self-funded expenditures against the candidate or for his
25 opponents exceeds one million dollars in any statewide election, as
26 certified by the campaign finance enforcement officer established pursu-
27 ant to section 3-105 of this chapter, then the contribution limits
28 applicable to that candidate pursuant to paragraph a of subdivision one
29 of section 14-114 of this article shall be increased by a factor of two.
30 If such sum exceeds two million dollars, then the contribution limits
31 applicable to that candidate pursuant to paragraph a of subdivision one
32 of section 14-114 of this article shall be increased by a factor of
33 three. If such sum exceeds four million dollars, then the contribution
34 limits applicable to that candidate pursuant to paragraph a of subdivi-
35 sion one of section 14-114 of this article shall be increased by a
36 factor of four.
37 b. If the sum of the aggregate amount of independent expenditures
38 against a candidate or in support of his opponents plus the aggregate
39 amount of self-funded expenditures against the candidate or for his
40 opponents exceeds five hundred thousand dollars in any non-statewide
41 election, as certified by the campaign finance enforcement officer
42 established pursuant to section 3-105 of this chapter, then the contrib-
43 ution limits applicable to that candidate pursuant to paragraph b of
44 subdivision one of section 14-114 of this article shall be increased by
45 a factor of two. If such sum exceeds one million dollars, then the
46 contribution limits applicable to that candidate pursuant to paragraph b
47 of subdivision one of section 14-114 of this article shall be increased
48 by a factor of three. If such sum exceeds two million dollars, then the
49 contribution limits applicable to that candidate pursuant to paragraph b
50 of subdivision one of section 14-114 of this article shall be increased
51 by a factor of four.
52 c. Notwithstanding any provision of law to the contrary, application
53 of the provisions of paragraphs a and b of this subdivision shall not
54 result in contribution limits applicable to a candidate that exceed the
55 contribution limits that would have applied to such candidate under the
S. 5553 5
1 law in effect immediately prior to the effective date of this subdivi-
2 sion.
3 § 3. Section 14-116 of the election law, subdivision 1 as redesignated
4 by chapter 9 of the laws of 1978 and subdivision 2 as amended by chapter
5 260 of the laws of 1981, is amended to read as follows:
6 § 14-116. Political contributions by certain organizations. 1. No
7 corporation [or], joint-stock association, or labor union doing business
8 in this state, except a corporation or association organized or main-
9 tained for political purposes only, shall directly or indirectly pay or
10 use or offer, consent or agree to pay or use any money or property for
11 or in aid of any political party, committee or organization, or for, or
12 in aid of, any corporation, joint-stock, labor union, or other associ-
13 ation organized or maintained for political purposes, or for, or in aid
14 of, any candidate for political office or for nomination for such
15 office, or for any political purpose whatever, or for the reimbursement
16 or indemnification of any person for moneys or property so used. Any
17 officer, director, stock-holder, attorney or agent of any corporation
18 [or], joint-stock association, or labor union which violates any of the
19 provisions of this section, who participates in, aids, abets or advises
20 or consents to any such violations, and any person who solicits or know-
21 ingly receives any money or property in violation of this section, shall
22 be guilty of a misdemeanor. For the purposes of this subdivision, all
23 the component groups of a controlled group of corporations within the
24 meaning of section one thousand five hundred sixty-three of the internal
25 revenue code shall be deemed to be one corporation.
26 2. Notwithstanding the provisions of subdivision one of this section,
27 any corporation, labor union, or an organization financially supported
28 in whole or in part, by [such] a corporation or labor union may make
29 expenditures, including contributions, not otherwise prohibited by law,
30 for political purposes, in an amount not to exceed five thousand dollars
31 in the aggregate in any calendar year; provided that no public utility
32 shall use revenues received from the rendition of public service within
33 the state for contributions for political purposes unless such cost is
34 charged to the shareholders of such a public service corporation.
35 § 4. Subdivision 3 of section 14-124 of the election law is REPEALED.
36 § 5. Section 14-106 of the election law, as amended by chapter 8 of
37 the laws of 1978, is amended to read as follows:
38 § 14-106. Political advertisements and literature. 1. The statements
39 required to be filed under the provisions of this article next succeed-
40 ing a primary, general or special election shall be accompanied by a
41 facsimile or copy of all advertisements, pamphlets, circulars, flyers,
42 brochures, letterheads and other printed matter purchased or produced
43 and a schedule of all radio or television time, and scripts used there-
44 in, purchased in connection with such election by or under the authority
45 of the person filing the statement or the committee or the person on
46 whose behalf it is filed, as the case may be. Such facsimiles, copies,
47 schedules and scripts shall be preserved by the officer with whom or the
48 board with which it is required to be filed for a period of one year
49 from the date of filing thereof.
50 2. Notwithstanding any other provision of law to the contrary, for
51 purposes of this article, a communication shall be deemed to advocate
52 the election or defeat of a candidate in an election if it:
53 a. refers to or shows one or more clearly identified candidates in a
54 paid advertisement within six months preceding the date of an election
55 of the candidate; or
S. 5553 6
1 b. contains a phrase such as "vote for", "elect", "re-elect",
2 "support", "cast your ballot for", "(name of candidate) for (office)",
3 "(name of candidate) in (year)", "vote against", "defeat", "reject", or
4 a campaign slogan or other words that in context can have no reasonable
5 meaning other than to advocate the election or defeat of one or more
6 clearly identified candidates.
7 § 6. Subdivision 3 of section 14-102 of the election law, as amended
8 by chapter 8 of the laws of 1978 and as renumbered by chapter 70 of the
9 laws of 1983, is amended to read as follows:
10 3. The state board of elections shall promulgate regulations with
11 respect to the accounting methods to be applied in preparing the state-
12 ments required by the provisions of this article and shall provide forms
13 suitable for such statements. In relation to receipts, contributions,
14 or transfers which are other than money, the state board of elections
15 shall prepare forms which shall minimally provide the following informa-
16 tion regarding campaign phone bank operations and campaign literature
17 production and distribution:
18 a. the name and address of the transferor or contributor;
19 b. the fair market value of the non-money receipt, contribution or
20 transfer;
21 c. the dates that such campaign phone bank operation or campaign
22 literature production and distribution activity occurred; and
23 d. the name and address of the location where such campaign phone bank
24 operation and campaign literature production and distribution activity
25 occurred.
26 § 7. Section 14-100 of the election law is amended by adding a new
27 subdivision 12 to read as follows:
28 12. "intermediary" means an individual, corporation, partnership,
29 political committee, employee organization, or other entity which, other
30 than in the regular course of business as a postal, delivery, or messen-
31 ger service, delivers any contribution from another person or entity to
32 a candidate or an authorized committee. "Intermediary" shall not
33 include spouses, parents, children, or siblings of the person making
34 such contribution.
35 § 8. Subdivision 1 of section 14-102 of the election law, as amended
36 by chapter 8 of the laws of 1978 and as redesignated by chapter 9 of the
37 laws of 1978, is amended to read as follows:
38 1. The treasurer of every political committee which, or any officer,
39 member or agent of any such committee who, in connection with any
40 election, receives or expends any money or other valuable thing or
41 incurs any liability to pay money or its equivalent shall file state-
42 ments sworn, or subscribed and bearing a form notice that false state-
43 ments made therein are punishable as a class A misdemeanor pursuant to
44 section 210.45 of the penal law, at the times prescribed by this article
45 setting forth all the receipts, contributions to and the expenditures by
46 and liabilities of the committee, and of its officers, members and
47 agents in its behalf. Such statements shall include the dollar amount of
48 any receipt, contribution or transfer, or the fair market value of any
49 receipt, contribution or transfer, which is other than of money, the
50 name [and], address, occupation, employer, and business address of the
51 transferor, contributor, intermediary, or person from whom received, and
52 if the transferor, contributor, intermediary, or person is a political
53 committee; the name of and the political unit represented by the commit-
54 tee, the date of its receipt, the dollar amount of every expenditure,
55 the name and address of the person to whom it was made or the name of
56 and the political unit represented by the committee to which it was made
S. 5553 7
1 and the date thereof, and shall state clearly the purpose of such
2 expenditure. Any statement reporting a loan shall have attached to it a
3 copy of the evidence of indebtedness. Expenditures in sums under fifty
4 dollars need not be specifically accounted for by separate items in said
5 statements, and receipts and contributions aggregating not more than
6 ninety-nine dollars, from any one contributor need not be specifically
7 accounted for by separate items in said statements, provided however,
8 that such expenditures, receipts and contributions shall be subject to
9 the other provisions of section 14-118 of this article.
10 § 9. Subdivision 1 of section 14-108 of the election law, as amended
11 by chapter 955 of the laws of 1983, is amended to read as follows:
12 1. The statements required by this article shall be filed at such
13 times as the state board of elections, by rule or regulation, shall
14 specify; provided, however, that in no event shall the board provide for
15 fewer than [three] four filings in the aggregate in connection with any
16 primary, general or special election, or in connection with a question
17 to be voted on and [two] three of said filings shall be before any such
18 election, including one such filing not less than thirty days nor more
19 than forty-five days prior to such election and one such filing not less
20 than [eleven] fifteen days nor more than [fifteen] thirty days prior to
21 such election and one such filing not less than eight days nor more than
22 twelve days. In addition, the board shall provide that every political
23 committee which has filed a statement of treasurer and depository shall
24 make at least one filing every six months between the time such state-
25 ment of treasurer and depository is filed and the time such committee
26 goes out of business. If any candidate or committee shall be required by
27 the provisions of this section, or by rule or regulation hereunder, to
28 effect two filings within a period of five days, the state board of
29 elections may, by rule or regulation, waive the requirement of filing
30 the earlier of such statements. If a statement filed by a candidate or
31 committee after the election to which it pertains is not a final state-
32 ment showing satisfaction of all liabilities and disposition of all
33 assets, such candidate or committee shall file such additional state-
34 ments as the board shall, by rule or regulation provide until such a
35 final statement is filed.
36 § 10. Subdivision 6 of section 14-108 of the election law, as amended
37 by chapter 323 of the laws of 1977 and as redesignated by chapter 9 of
38 the laws of 1978, is amended to read as follows:
39 6. A statement shall be deemed properly filed when deposited in an
40 established post-office within the prescribed time, duly stamped, certi-
41 fied and directed to the officer with whom or to the board with which
42 the statement is required to be filed, but in the event it is not
43 received, a duplicate of such statement shall be promptly filed upon
44 notice by such officer or such board of its non-receipt. All statements
45 required to be filed during the period of fifteen days before any
46 election, which are mailed, shall be sent by guaranteed overnight mail
47 through the United States postal service, or some other overnight mail
48 service.
49 § 11. Paragraph (a) of subdivision 9-A of section 3-102 of the
50 election law, as added by chapter 430 of the laws of 1997, is amended to
51 read as follows:
52 (a) develop an electronic reporting system to process the statements
53 of campaign receipts, contributions, transfers and expenditures required
54 to be filed with [the state] any board of elections pursuant to the
55 provisions of sections 14-102 and 14-104 of this chapter;
S. 5553 8
1 § 12. Subdivision 4 of section 14-102 of the election law, as added by
2 chapter 430 of the laws of 1997, is amended and a new subdivision 5 is
3 added to read as follows:
4 4. Any committee which is required to file statements with [the state]
5 any board of elections pursuant to this article and which raises or
6 spends or expects to raise or spend more than one thousand dollars in
7 any calendar year shall file all such statements pursuant to the elec-
8 tronic reporting system prescribed by the state board of elections as
9 set forth in subdivision nine-A of section 3-102 of this chapter.
10 Notwithstanding the provisions of this subdivision, upon the filing of a
11 sworn statement by the treasurer of a political committee which states
12 that such political committee does not have access to the technology
13 necessary to comply with the electronic filing requirements of subdivi-
14 sion nine-A of section 3-102 of this chapter and that filing by such
15 means would constitute a substantial hardship for such political commit-
16 tee, the state board of elections may issue an exemption from the elec-
17 tronic filing requirements of this article.
18 5. Any committee which is required to file statements pursuant to this
19 article with county boards of elections shall file in paper format to
20 the county board of elections or in electronic format on self-executing
21 diskettes if the legislative body of any county provides, by local law,
22 an electronic filing system and shall file such statements by electronic
23 reporting process on self-executing diskettes to the state board of
24 elections.
25 § 13. Subdivision 2 of section 14-104 of the election law, as added by
26 chapter 430 of the laws of 1997, is amended and a new subdivision 3 is
27 added to read as follows:
28 2. Statements filed by any political committee authorized by a candi-
29 date pursuant to this article which is required to file such statements
30 with [the state] any board of elections and which raises or spends or
31 expects to raise or spend more than one thousand dollars in any calendar
32 year shall file all such statements pursuant to the electronic reporting
33 system prescribed by the state board of elections as set forth in subdi-
34 vision nine-A of section 3-102 of this chapter. Notwithstanding the
35 provisions of this subdivision, upon the filing of a sworn statement by
36 the treasurer of a political committee authorized by a candidate pursu-
37 ant to this article which states that such committee does not have
38 access to the technology necessary to comply with the electronic filing
39 requirements of subdivision nine-A of section 3-102 of this chapter and
40 that filing by such means would constitute a substantial hardship for
41 such committee, the state board of elections may issue an exemption from
42 the electronic filing requirements of this article.
43 3. Any committee which is required to file statements pursuant to this
44 article with county boards of elections shall file in paper format to
45 the county board of elections or in electronic format on self-executing
46 diskettes if the legislative body of any county provides, by local law,
47 an electronic filing system and shall file such statements by electronic
48 reporting process on self-executing diskettes to the state board of
49 elections.
50 § 14. The election law is amended by adding a new section 14-132 to
51 read as follows:
52 § 14-132. Fundraising during legislative session. 1. As used in this
53 article, "legislative session" shall mean the period beginning on the
54 Wednesday succeeding the first Monday of January and ending on the later
55 of: a. the thirtieth day of June, or b. the day on which the legislature
56 has taken final action on all of the appropriation bills submitted by
S. 5553 9
1 the governor pursuant to article seven of the state constitution, there-
2 by enacting a state budget that provides sufficient appropriation
3 authority for the ongoing operation and support of state government and
4 local assistance for the ensuing fiscal year.
5 2. Except as otherwise provided in this section, a statewide elected
6 official, member of the state senate, member of the state assembly, or a
7 candidate therefor shall not hold, participate in, or attend a function
8 designed to solicit funds that are subject to the reporting requirements
9 of this article in or within twenty-five miles of the New York state
10 capitol during the legislative session.
11 3. This section shall not apply to members of the legislature, or
12 candidates therefor, whose districts are located, in whole or part, in
13 or within twenty-five miles of the New York state capitol; provided,
14 however, that any such fundraising function shall take place within the
15 district of the legislator or candidate therefor and shall be solely for
16 benefit of the legislator or candidate or the authorized political
17 committee of such legislator or candidate and no other elected official,
18 political committee, or candidate for elected office.
19 § 15. The election law is amended by adding a new section 3-105 to
20 read as follows:
21 § 3-105. Campaign finance enforcement officer. 1. There shall be
22 created within the state board of elections the office of campaign
23 finance enforcement officer. The campaign finance enforcement officer
24 shall be appointed by the governor with the advice and consent of the
25 senate pursuant to the provisions of subdivision two of this section.
26 The term of office of the campaign finance enforcement officer shall be
27 five years, and he or she shall be removed by the governor only for good
28 cause. The salary of the campaign finance enforcement officer shall be
29 determined by the governor at the time of appointment and shall not be
30 diminished or increased during the term of office.
31 2. a. Upon the occurrence of a vacancy or anticipated vacancy in the
32 office of the campaign finance enforcement officer, a temporary commis-
33 sion on nomination shall be established. The commission shall consist of
34 twelve members appointed by the governor, two of whom shall be appointed
35 on the recommendation of the attorney general, two of whom shall be
36 appointed on the recommendation of the state comptroller, and one each
37 upon the recommendation of the speaker of the assembly, the temporary
38 president of the senate, the minority leader of the senate, and minority
39 leader of the assembly. Of the four members appointed by the governor
40 without prior recommendation, no more than two shall be enrolled in the
41 same political party. The two members appointed on the recommendation of
42 the attorney general and the two members appointed on the recommendation
43 of the state comptroller shall each be enrolled in a different political
44 party. If an official fails to submit a recommendation to the governor
45 within thirty days after written notification of a vacancy or antic-
46 ipated vacancy, the governor may appoint a member to the commission
47 without such recommendation. No member of the commission shall hold or
48 have held any judicial office or hold any elected public office for
49 which he receives compensation during his period of service. No member
50 of the commission shall hold any office in any political party. The
51 governor shall designate one of the members to serve as chair. Each
52 member of the commission shall be entitled to receive his actual and
53 necessary expenses incurred in the discharge of his duties. Ten members
54 of the commission shall constitute a quorum.
55 b. The temporary commission on nomination shall consider and evaluate
56 the qualifications of candidates for appointment to the office of
S. 5553 10
1 campaign finance enforcement officer and shall recommend to the governor
2 at least four persons and no more than seven persons who by their char-
3 acter, temperament, professional aptitude and experience are well quali-
4 fied to hold such office. A recommendation to the governor shall require
5 the concurrence of eight members of the commission. The recommendations
6 to the governor shall be transmitted to the governor in a single written
7 report which shall be released to the public by the commission at the
8 time it is submitted to the governor. The report shall be in writing,
9 signed only by the chairman, and shall include the commission's findings
10 relating to the character, temperament, professional aptitude, experi-
11 ence, qualifications and fitness for office of each candidate who is
12 recommended to the governor. No person shall be recommended to the
13 governor who has not consented to be a candidate, who has not been
14 personally interviewed by a quorum of the membership of the commission,
15 and who has not filed a financial statement with the commission, on a
16 form to be prescribed by the state ethics commission. The financial
17 statement shall consist of a sworn statement of the person's assets,
18 liabilities and sources of income, and any other relevant financial
19 information which the ethics commission may require. The commission
20 shall transmit to the governor the financial statement filed by each
21 person who is recommended. The governor shall make available to the
22 public the financial statement filed by the person who is appointed to
23 fill a vacancy. The financial statements filed by all other persons
24 recommended to the governor, but not appointed by him, shall be confi-
25 dential.
26 c. The commission shall make its recommendations to the governor no
27 later than sixty days after it is constituted. The governor shall make
28 his appointment from among those persons recommended to him by the
29 commission within thirty days after receipt of the commission's recom-
30 mendations. The senate shall confirm or reject such appointment no later
31 than thirty days after receipt of the nomination from the governor. A
32 vacancy shall be deemed to occur upon the rejection by the senate of
33 such an appointment. If the senate is not in session to give its advice
34 and consent to an appointment to fill such vacancy, the governor shall
35 make an interim appointment from among those persons recommended to him
36 by the commission. An interim appointment shall continue until the
37 senate shall pass upon the governor's selection.
38 3. The campaign finance enforcement officer shall have jurisdiction
39 of, and have primary responsibility for, the execution and enforcement
40 of the provisions of article fourteen of this chapter and shall have all
41 of the powers set forth in subdivisions three, four, five, six, and
42 seven of section 3-102 of this article. The campaign finance enforcement
43 officer shall also have the power and the duty to review, aggregate and
44 issue certifications of independent expenditures and self-funded candi-
45 date expenditures pursuant to section 14-115 of this chapter.
46 4. The campaign finance enforcement officer shall annually submit to
47 the state board of elections a budget request for the operation of the
48 office. If the board disapproves any portion of such request and the
49 director of the division of the budget determines such disapproval to be
50 unreasonable, such director shall withhold from payments due such board,
51 the amount so determined to be unreasonable and transfer such amount to
52 the office of the campaign finance enforcement officer. Within the
53 limits of funds available therefor, the campaign finance enforcement
54 officer may appoint staff members and fix their compensation as neces-
55 sary to effectuate the purposes of this section.
S. 5553 11
1 5. Whenever the campaign finance enforcement officer shall determine,
2 on his or her own initiative or upon complaint, or otherwise, that there
3 is reasonable cause to believe a violation of article fourteen of this
4 chapter or a regulation promulgated thereunder has occurred, the
5 campaign finance enforcement officer shall expeditiously make an inves-
6 tigation. The campaign finance enforcement officer may request, and
7 shall receive, the assistance of the state police in any investigation.
8 6. If, after an investigation, the campaign finance enforcement offi-
9 cer finds reasonable cause to believe that a violation warranting crimi-
10 nal prosecution has taken place, the campaign finance enforcement offi-
11 cer shall forthwith refer the matter to the district attorney of the
12 appropriate county and shall make available to such district attorney
13 all relevant papers, documents, testimony, and findings relevant to its
14 investigation.
15 7. If, after an investigation, the campaign finance enforcement offi-
16 cer finds reasonable cause to believe a violation of article fourteen of
17 this chapter has taken place, the campaign finance enforcement officer
18 may commence a judicial proceeding seeking civil penalties pursuant to
19 section 14-126 of this chapter.
20 8. To effectuate the purposes of this section, the campaign finance
21 enforcement officer may request from any department, board, bureau,
22 commission, office, or other agency of the state, or of any of its poli-
23 tical subdivisions, such cooperation, assistance, services, and data as
24 will enable him or her to carry out his or her functions, powers and
25 duties hereunder, and they are authorized and directed to provide said
26 cooperation, assistance, services, and data.
27 9. Nothing in this section shall be construed as limiting any existing
28 powers of the state board of elections.
29 § 16. Section 14-126 of the election law, as amended by chapter 8 of
30 the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
31 1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the
32 laws of 1978, is amended to read as follows:
33 § 14-126. Violations; penalties. 1. Any person who [fails to file a
34 statement required to be filed by] violates any of the provisions of
35 this article shall be subject to a civil penalty, not in excess of [five
36 hundred] five thousand dollars, to be recoverable in a special proceed-
37 ing or civil action to be brought by the campaign finance enforcement
38 officer, state board of elections, or other board of elections.
39 2. Any person who knowingly and willfully fails to file a statement
40 required to be filed by this article within ten days after the date
41 provided for filing such statement or any person who knowingly and will-
42 fully violates any other provision of this article shall be guilty of a
43 [misdemeanor] class E felony.
44 3. Any person who knowingly and willfully contributes, accepts or aids
45 or participates in the acceptance of a contribution in an amount exceed-
46 ing an applicable maximum specified in this article shall be guilty of a
47 [misdemeanor] class E felony.
48 4. Any person who shall, acting on behalf of a candidate or political
49 committee, knowingly and willfully solicit, organize or coordinate the
50 formation of activities of one or more unauthorized committees, make
51 expenditures in connection with the nomination for election or election
52 of any candidate, or solicit any person to make any such expenditures,
53 for the purpose of evading the contribution limitations of this article,
54 shall be guilty of a class [E] D felony.
55 § 17. If any item, clause, sentence, subparagraph, subdivision,
56 section or other part of this act, or the application thereof to any
S. 5553 12
1 person or circumstances shall be held to be invalid, such holding shall
2 not affect, impair or invalidate the remainder of this act, or the
3 application of such section or part of a section held invalid, to any
4 other person or circumstances, but shall be confined in its operation to
5 the item, clause, sentence, subparagraph, subdivision, section or other
6 part of this act directly involved in such holding, or to the person and
7 circumstances therein involved.
8 § 18. This act shall take effect July 1, 2001, except:
9 a. the amendments to subdivisions 1 and 10 of section 14-114 of the
10 election law made by section one of this act shall apply to contrib-
11 utions made on or after the effective date of this act, and any contrib-
12 utions that were made prior to the effective date of this act shall be
13 deemed lawful, provided that such contributions were within the applica-
14 ble contribution limits at the time the contributions were made, and,
15 provided, further, that any contributions that were made before the
16 effective date of this act that exceed the contribution limits estab-
17 lished pursuant to section one of this act shall be deemed to have met
18 the contributions limits in effect on or after the effective date of
19 this act;
20 b. the amendments to section 14-116 of the election law made by
21 section three of this act shall apply to contributions made on or after
22 the effective date of this act, and any contributions that were made
23 prior to the effective date of this act shall be deemed lawful, provided
24 that such contributions were within the applicable contribution limits
25 at the time the contributions were made, and, provided, further, that
26 any contributions that were made before the effective date of this act
27 that exceed the contribution limits established pursuant to section
28 three of this act shall be deemed to have met the contributions limits
29 in effect on or after the effective date of this act;
30 c. sections eleven, twelve and thirteen of this act shall take effect
31 on January 1, 2002; and
32 d. section fifteen of this act shall take effect on April 1, 2002,
33 provided that the temporary commission on nomination established pursu-
34 ant to subdivision 2 of section 3-105 of the election law, as added by
35 section fifteen of this act, shall be created on or before January 1,
36 2002 to fill the anticipated vacancy in the office of campaign finance
37 enforcement officer caused by the effectiveness of section 3-105 creat-
38 ing the new office of campaign enforcement officer.
