Rpld S14-114 sub 1, 4, 5 & 10, S14-124 sub 3, amd El L, generally; add S92-y, St Fin L
Enacts New York state campaign finance reform act and makes other changes regarding election contributions and expenditures and defines covered elections.
STATE OF NEW YORK
________________________________________________________________________
8162
IN SENATE
June 13, 2000
___________
Introduced by Sen. GOODMAN -- read twice and ordered printed, and when
printed to be committed to the Committee on Rules
AN ACT to amend the election law and the state finance 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
22 restoring public confidence in the state's democratic processes and
23 developing a government that is accountable to all of the voters of the
24 state regardless of wealth or position. The legislature finds that New
25 York's current system of campaign finance, with its large contributions
26 to candidates for office and unlimited contributions to political party
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD17078-02-0
S. 8162 2
1 committees, has created the potential for and the appearance of
2 corruption. The legislature further finds that, whether or not this
3 system of large campaign contributions creates actual corruption, the
4 appearance of such corruption gives rise to a severe distrust in govern-
5 ment and a citizen apathy that undermine the democratic operation of the
6 political process.
7 The legislature also finds that the high cost of running for office in
8 New York discourages qualified candidates from running for office and
9 creates an electoral system in which those who are personally wealthy or
10 who have access to substantial wealth have an unfair advantage in the
11 electoral contest. The legislature further finds that the current system
12 forces those already in office to spend too much time raising money
13 rather than attending to the duties of their office and representing the
14 needs of their constituents regardless of their ability to contribute.
15 The legislature enacts the "New York state campaign finance reform
16 act" to reduce the possibility and appearance that wealthy interests
17 exercise undue influence over state officials; to increase the actual
18 and apparent responsiveness of elected officials to all voters; to
19 encourage qualified candidates to run for office regardless of wealth,
20 by lowering the financial barriers to running for office; and to reduce
21 the pressure on incumbents to spend large amounts of time raising money
22 for their campaigns.
23 The legislature finds that the New York state campaign finance reform
24 act's limitations on contributions from individuals and political
25 committees, and on contributions to and from political parties, further
26 the government's interest in reducing real and apparent corruption and
27 in restoring trust in government. The legislature finds that the
28 contribution levels are sufficiently high to allow candidates and poli-
29 tical parties to raise enough money to run effective campaigns. In addi-
30 tion, the legislature finds that graduated contribution limitations
31 reflect the campaign needs of candidates for different offices.
32 The legislature also finds that the system of voluntary expenditure
33 limitations combined with the system of voluntary public financing
34 furthers the government's interest in encouraging qualified candidates
35 to run for office regardless of their access to substantial wealth. The
36 legislature finds that the voluntary public funding program will enlarge
37 the public debate and increase participation in the democratic process.
38 In addition, the legislature finds that the voluntary expenditure limi-
39 tations and matching fund program reduce the burden on candidates and
40 officeholders to spend time raising money for their campaigns.
41 Therefore, the legislature declares that the "New York state campaign
42 finance reform act" furthers the important and valid government inter-
43 ests of reducing voter apathy, restoring confidence in government,
44 reducing the reality and appearance of corruption, and encouraging qual-
45 ified candidates to run for office, while reducing candidates' and
46 officeholders' fundraising burdens.
47 § 14-A-102. Definitions. For the purposes of this article, the follow-
48 ing terms shall have the following meanings:
49 1. "Authorized committee" shall mean a political committee that has
50 been authorized by one or more candidates to aid or take part in the
51 elections of such candidate or candidates and that has filed a statement
52 that such candidate or candidates have authorized such political commit-
53 tee pursuant to section 14-112 of this chapter.
54 2. "Contribution" has the same meaning as in subdivision nine of
55 section 14-100 of this chapter.
S. 8162 3
1 3. "Covered election" shall mean any primary, runoff primary, special,
2 or general election for nomination for election or election to the
3 office of governor, lieutenant governor, attorney general, comptroller,
4 member of the senate, or member of the assembly.
5 4. "Covered office" shall mean the office of governor, lieutenant
6 governor, attorney general, comptroller, member of the senate, or member
7 of the assembly.
8 5. "Fund" shall mean the New York state campaign finance fund.
9 6. "Independent expenditure" shall mean an expenditure made for the
10 purpose of expressly advocating the election or defeat of a clearly
11 identified candidate, if the expenditure is independent of the candidate
12 or his or her agents or political committee as defined in paragraph
13 three of subdivision nine of section 14-100 of this chapter. The term
14 "expenditure" does not include the costs of internal communication to
15 members of a membership organization, other than a political party, for
16 the purpose of supporting or opposing a candidate or candidates for
17 elective office, provided such payments are not used for the costs of
18 campaign material or activities used in connection with broadcasting,
19 cable casting, newspapers, magazines, billboards, or similar types of
20 general public communications. The term "expenditure" does not include
21 any news story, commentary, or editorial by a broadcasting station,
22 cable station, newspaper, or magazine unless the facility is owned or
23 controlled by a candidate, political party, or political committee.
24 7. "Intermediary" shall mean an individual, corporation, partnership,
25 political committee, employee organization, or other entity, which,
26 other than in the regular course of business as a postal, delivery, or
27 messenger service, delivers any contribution from another person or
28 entity to a candidate or authorized committee. "Intermediary" shall not
29 include spouses, domestic partners, parents, children, or siblings of
30 the person making such contribution.
31 8. "Matchable contribution" shall mean a contribution, contributions,
32 or a portion of a contribution or contributions, not greater than five
33 hundred dollars for all covered elections held in the same calendar
34 year, other than special elections, made by a natural person resident in
35 the state of New York to a participating candidate on or before December
36 thirty-first in the year of such election, that may be matched by public
37 funds in accordance with the provisions of this article. A loan may not
38 be treated as a matchable contribution. No contribution will qualify as
39 a matchable contribution until it has been reported in full by the
40 candidate's principal committee to the state board in accordance with
41 sections 14-102 and 14-104 of this chapter.
42 The following contributions are not matchable:
43 (a) in-kind contributions of property, goods, or services;
44 (b) contributions in the form of the purchase price paid for an item
45 with significant intrinsic and enduring value; and
46 (c) contributions in the form of the purchase price paid for or other-
47 wise induced by a chance to participate in a raffle, lottery, or a simi-
48 lar drawing for prizes.
49 9. "Nonparticipating candidate" shall mean any candidate for nomi-
50 nation for election or election to any covered office, who has not filed
51 a written certification pursuant to section 14-A-103 of this article,
52 stating his/her intention of complying with voluntary spending limits
53 and the other eligibility requirements specified in section 14-A-103 of
54 this article.
55 10. "Participating candidate" shall mean any candidate for nomination
56 for election or election to any covered office, who has filed a written
S. 8162 4
1 certification pursuant to section 14-A-103 of this article, stating his
2 or her intention of complying with voluntary spending limits and the
3 other eligibility requirements specified in section 14-A-103 of this
4 article. Unless a contrary intention appears, "participating candidate"
5 shall refer to the candidate and the candidate's principal committee as
6 defined herein.
7 11. "Political committee" shall mean any corporation aiding or promot-
8 ing or any committee, political club, or combination of two or more
9 persons operating or cooperating to aid or to promote the success or
10 defeat of a political party or principle, or to aid or to take part in
11 the election or defeat of a candidate for public office or to aid or to
12 take part in the election or defeat of a candidate for nomination at a
13 primary election or convention, including all proceedings prior to such
14 primary election or convention, or of a candidate for any party position
15 voted for at a primary election, or to aid or to promote the success or
16 defeat of the nomination by petition of an independent candidate for
17 public office; but nothing in this article shall apply to any committee
18 or organization for the discussion or advancement of political questions
19 or principles without connection with any vote. "Political committee"
20 shall include any party committee or constituted committee, as such
21 committees are defined in subdivisions two and three of section 14-100
22 of this chapter.
23 12. "Principal committee" shall mean the authorized committee desig-
24 nated by the candidate pursuant to subdivision six of section 14-A-103
25 of this article.
26 13. "Qualified campaign expenditure" shall mean an expenditure for
27 which public funds may be used in accordance with section 14-A-104 of
28 this article.
29 14. "State board" shall mean the state board of elections.
30 15. "Threshold for eligibility" shall mean the amount of matchable
31 contributions that a candidate and the authorized committees of the
32 candidate must receive in total in order for such candidate to become a
33 participating candidate and to qualify for optional public financing
34 under this article.
35 16. "Transfer" shall mean any exchange of funds or thing of value
36 between political committees authorized by the same candidate pursuant
37 to section 14-112 of this chapter.
38 § 14-A-103. Eligibility for optional public funding and other require-
39 ments. 1. To be eligible for optional public financing under this arti-
40 cle, a candidate for nomination for election or election shall:
41 (a) meet all the requirements of law to have his or her name on the
42 ballot;
43 (b) be a candidate for governor, lieutenant governor, attorney gener-
44 al, comptroller, member of the senate, or member of the assembly and
45 meet the threshold for eligibility set forth in subdivision two of this
46 section;
47 (c) choose to participate in the public funding provisions of this
48 article by filing a written certification in such form as may be
49 prescribed by the state board, which sets forth his or her acceptance of
50 and agreement to comply with the terms and conditions for the provision
51 of such funds.
52 (i) The deadline for filing such certification for a primary and
53 general election shall be the first day in June in the year of the
54 covered election, or the thirtieth day after a special election is held
55 to fill a vacancy for the office sought by the candidate, whichever is
56 later.
S. 8162 5
1 (ii) The deadline for filing such certification for a special election
2 to fill a vacancy shall be on the seventh day after the proclamation of
3 such special election.
4 (iii) A certification may be filed on or before the seventh day after
5 the occurrence of an extraordinary circumstance in an election, as
6 declared by the state board, following the receipt and review of a peti-
7 tion submitted by a candidate in such election. For purposes of this
8 paragraph, an "extraordinary circumstance" shall include the death of a
9 candidate in the election, the resignation or removal of the person
10 holding the office sought, or the submission to the state board of a
11 written declaration by an officeholder that terminates his or her
12 campaign for reelection.
13 (d) obtain and furnish to the state board any information it may
14 request relating to his or her campaign expenditures and contributions
15 and furnish such documentation and other proof of compliance with this
16 article as may be requested by the state board;
17 (e) notify the state board as to the existence of each authorized
18 committee authorized by such candidate, whether any such committee has
19 been authorized by any other candidate, and, if the candidate has
20 authorized more than one authorized committee, notify the state board as
21 to which authorized committee has been designated by the candidate as
22 the principal committee pursuant to subdivision six of this section;
23 (f) maintain such records of receipts and expenditures for a covered
24 election as required by the state board;
25 (g) not make expenditures from or use his or her personal funds or
26 property or the personal funds or property jointly held with his or her
27 spouse, domestic partner, or unemancipated children in connection with
28 his or her nomination for election or election except as a contribution
29 to his or her principal committee in an amount that does not exceed
30 three times the maximum contribution amount applicable pursuant to
31 section 14-A-105 of this article;
32 (h) not make expenditures, and his or her principal committee and any
33 other political committee authorized by such candidate shall not make
34 expenditures, that in the aggregate exceed the applicable expenditure
35 limitations set forth in section 14-A-107 of this article; and
36 (i) meet the threshold for eligibility set forth in subdivision two of
37 this section.
38 2. (a) The threshold for eligibility for public funding for partic-
39 ipating candidates in a primary or general election shall be in the case
40 of:
41 (i) governor, not less than two hundred twenty-five thousand dollars
42 in matchable contributions, including at least one thousand matchable
43 contributions of ten dollars or more;
44 (ii) lieutenant governor, attorney general, and comptroller, not less
45 than seventy-five thousand dollars in matchable contributions, including
46 at least five hundred matchable contributions of ten dollars or more;
47 (iii) member of the state senate, not less than seven thousand five
48 hundred dollars in matchable contributions, including at least seventy-
49 five matchable contributions of ten dollars or more from residents of
50 the district in which the seat is to be filled; and
51 (iv) member of the general assembly, not less than four thousand
52 dollars in matchable contributions, including at least fifty matchable
53 contributions of ten dollars or more from residents of the district in
54 which the seat is to be filled.
55 (b) Any participating candidate meeting the threshold for eligibility
56 in a primary election for one of the foregoing offices shall be deemed
S. 8162 6
1 to have met the threshold for eligibility for such office in any other
2 election held in the same calendar year.
3 3. In order to be eligible to receive public funds in a primary
4 election for a covered office a participating candidate must agree that,
5 if he or she is a candidate for such office in any other election held
6 in the same calendar year, he or she will be bound in each such other
7 election by the eligibility requirements and all other provisions of
8 this article.
9 4. Except as provided in subdivision ten of this section, candidates
10 who are contested in a primary election for nomination for election to
11 office and who do not file a written certification pursuant to paragraph
12 (c) of subdivision one of this section shall not be eligible for public
13 funds for any election to such office held in the same calendar year
14 other than a special election to fill a vacancy.
15 5. Participating candidates who are unopposed in a covered election
16 shall not be eligible to receive public funds for such election.
17 6. Each participating candidate shall designate, not later than thirty
18 days after filing the written certification required pursuant to para-
19 graph (c) of subdivision one of this section, a single principal commit-
20 tee to receive public funds pursuant to this section.
21 7. Each political committee authorized by a participating candidate
22 that accepts contributions, loans, or other receipts or makes expendi-
23 tures or transfers in a covered election shall have the same treasurer.
24 8. No political committee authorized by a participating candidate for
25 a covered election may be authorized to aid or to take part in the
26 election of more than one candidate.
27 9. No candidate for election to an office in a primary, general, or
28 special election who has qualified for public funds shall receive such
29 public funds unless at least one other candidate for such office in such
30 election has also qualified to receive public funds or at least one
31 other candidate for such office in such election or such candidate's
32 authorized committee has spent, or has contracted or become obligated to
33 spend, or has received in loans or contributions an amount exceeding ten
34 percent of the expenditure limit for such office in such election, which
35 is fixed by section 14-A-106 of this article for candidates who have
36 elected to accept such public funds. If such other candidate or the
37 authorized committee of such candidate reaches the threshold to qualify
38 to receive public funds, or spends or contracts or obligates to spend,
39 or receives in loans or contributions, an amount exceeding ten percent
40 of the expenditure limit for such office in such election at any time
41 after the filing deadline for the last report required to be filed
42 before the first distribution of public funds for such election, such
43 candidate or committee must notify the state board of that fact within
44 forty-eight hours by express mail.
45 10. If a candidate for governor who participated in the public funding
46 program during the primary is joined on his or her party's ticket by a
47 candidate for lieutenant governor who did not participate in the public
48 funding program during the primary election, such candidates for gover-
49 nor and lieutenant governor shall be eligible to participate in the
50 public funding program as a ticket during the general election,
51 provided, however, that any expenditures made by the lieutenant governor
52 in the primary that exceed the amount specified in paragraph (a) of
53 subdivision one of section 14-A-107 of this article shall be deducted
54 from the expenditure limitation specified in paragraph (b) of subdivi-
55 sion one of section 14-A-107 of this article. Both candidates on a
56 ticket must participate in the general election in order to qualify for
S. 8162 7
1 public funding. If a candidate for governor who did not participate in
2 the public funding program during primary is joined on his or her
3 party's ticket by a candidate for lieutenant governor who did partic-
4 ipate, neither candidate shall be eligible to participate during the
5 general election.
6 § 14-A-104. Qualified campaign expenditures. 1. Public funds provided
7 under the provisions of this article may be used only for expenditures
8 by an authorized committee to further the participating candidate's
9 nomination for election or election, either in a special election to
10 fill a vacancy or during the calendar year in which the primary or
11 general election in which the candidate is seeking nomination for
12 election or election is held.
13 2. Such public funds may not be used for:
14 (a) an expenditure in violation of any law;
15 (b) payments made to the candidate or a spouse, domestic partner,
16 child, grandchild, parent, grandparent, brother, or sister of the candi-
17 date, or spouse or domestic partner of such child, grandchild, parent,
18 grandparent, brother, or sister, or to an entity in which the candidate
19 or any such person has a ten percent or greater ownership interest as
20 measured by income or assets;
21 (c) payments that exceed the fair market value of services, materials,
22 facilities, or other things of value received in exchange;
23 (d) (i) any expenditure made after the candidate has been finally
24 disqualified or has had his or her petitions finally declared invalid by
25 the state board or a court of competent jurisdiction, except that such
26 expenditures may be made:
27 (A) as otherwise permitted pursuant to subdivision nine of section
28 ninety-two-y of the state finance law, or
29 (B) for a different covered election, other than a special election to
30 fill a vacancy, held later in the same calendar year in which the candi-
31 date seeks election for the same office; provided, however, that public
32 funds originally received for a special election to fill a vacancy may
33 not be retained for expenditure in any other election;
34 (ii) any expenditure made after the only remaining opponent of the
35 candidate has been finally disqualified or has had his or her petitions
36 finally declared invalid by the state board or a court of competent
37 jurisdiction, except that such expenditures may be made for a different
38 covered election, other than a special election to fill a vacancy, held
39 later in the same calendar year in which the candidate seeks election
40 for the same office; provided, however, that public funds originally
41 received for a special election to fill a vacancy may not be retained
42 for expenditure in any other election;
43 (e) payments in cash;
44 (f) any contribution, transfer, or loan made to another candidate or
45 political committee;
46 (g) gifts, except brochures, buttons, signs, and other printed
47 campaign material;
48 (h) any expenditures to challenge or to defend the validity of
49 petitions of designation or nomination, or of certificates of nomi-
50 nation, acceptance, authorization, declination, or substitution, made
51 pursuant to subdivision five of section 14-A-107 of this article; or
52 (i) any expenditure that is not publicly reported or disclosed as
53 required by law.
54 § 14-A-105. Contribution limitations. 1. The following expenditures
55 by a political party committee are not considered contributions to or
S. 8162 8
1 expenditures on behalf of a candidate for the purpose of sections 14-A-
2 106 and 14-A-107 of this article:
3 (a) expenditures on behalf of candidates of that party generally with-
4 out referring to any of them specifically, by name or picture, in a
5 public, posted, or broadcast advertisement;
6 (b) expenditures for the preparation, display, mailing, or other
7 distribution of an official party sample ballot listing the names of
8 three of more individuals whose names are to appear on the ballot;
9 (c) expenditures for telephone calls mentioning the names of three or
10 more individuals whose names are to appear on the ballot and that do not
11 emphasize the candidacies of one or more of those individuals; or
12 (d) expenditures for party committee staff services that benefit three
13 or more candidates.
14 2. At the beginning of each fourth calendar year, commencing in two
15 thousand five, the state board shall determine the percentage of the
16 difference between the most recent available monthly consumer price
17 index for all urban consumers published by the United States bureau of
18 labor statistics and such consumer price index published for the same
19 month four years previously. The state board shall adjust the amount of
20 each contribution limit fixed in this subdivision by the amount of such
21 percentage difference to the closest one hundred dollars, and, not later
22 than the first day of February in each such year, shall issue a regu-
23 lation publishing the amount of each such contribution limit. Each
24 contribution limit as so adjusted shall be the contribution limit in
25 effect for any election held before the next such adjustment.
26 § 14-A-106. Optional public financing. Each participating candidate
27 for nomination for election or election in a covered election may obtain
28 payment to the authorized committee designated by such candidate pursu-
29 ant to subdivision six of section 14-A-103 of this article from public
30 funds for qualified campaign expenditures, in accordance with the
31 provisions of this article, and subject to appropriation.
32 1. No such public funds shall be paid to a principal committee unless
33 the state board determines that the participating candidate has met the
34 eligibility requirements of this article. Payment shall not exceed the
35 amounts specified in this article, and shall be made only in accordance
36 with the provisions of this article. Such payment may be made only to
37 the participating candidate's principal committee. No public funds shall
38 be used except as reimbursement or payment for qualified campaign
39 expenditures actually and lawfully incurred or to repay loans used to
40 pay qualified campaign expenditures.
41 2. If the threshold for eligibility is met, the participating candi-
42 date's principal committee shall receive payment for qualified campaign
43 expenditures of two dollars for each one dollar of matchable contrib-
44 utions, obtained and reported to the state board in accordance with the
45 provisions of this article, up to one thousand dollars in public funds
46 per contributor (or up to five hundred dollars in public funds per
47 contributor in the case of a special election).
48 3. A participating candidate seeking or obtaining nomination for
49 election by more than one party shall be deemed one candidate, and shall
50 not receive additional public funds or be authorized to accept contrib-
51 utions in excess of the maximum contribution level applicable pursuant
52 to subdivision one of section 14-114 of this chapter or make additional
53 expenditures by reason of such candidate seeking or obtaining nomination
54 for election by more than one party. Subdivision five of section
55 14-A-103 of this article shall not be applicable to such a candidate who
56 is opposed for the nomination of at least one party in a primary
S. 8162 9
1 election. The doubling of the expenditure limitations and qualification
2 for additional matching funds provided in subdivision four of section
3 14-A-107 of this article shall not be applicable to such a candidate who
4 is opposed for the nomination of at least one party solely by partic-
5 ipating candidates.
6 4. The state board shall make payment available within four business
7 days after receipt of reports of matchable contributions, or as soon
8 thereafter as is practicable, but not earlier than the earliest dates
9 for making such payments as provided in subdivisions six and seven of
10 section ninety-two-y of the state finance law.
11 5. Notwithstanding any other provision of this article, a participat-
12 ing candidate in an election with an additional day for voting held
13 pursuant to section 3-108 of this chapter or an election held pursuant
14 to court order, shall obtain payment for qualified campaign expenditures
15 in an amount equal to twenty-five cents for each one dollar of public
16 funds paid pursuant to this article to the candidate's principal commit-
17 tee for the preceding election. Except as provided by this subdivision,
18 no additional public funds shall be provided to any candidate for such
19 election or additional day for voting.
20 § 14-A-107. Voluntary expenditures limitations; additional financing
21 and limits. 1. The following limitations apply to all expenditures made
22 by a candidate and his or her authorized committees, considered togeth-
23 er, on or after the first day of January preceding the covered election
24 for which such candidate chooses to participate in the public funding
25 provisions of this article and to expenditures made at any time prior to
26 such date for services, materials, facilities, advertising or other
27 things of value received, rendered, published, distributed, or broadcast
28 on or after such date:
29 (a) The following limitations apply to all expenditures made by a
30 participating candidate and his or her authorized committees, considered
31 together, in the primary election:
32 (i) Governor: $4,500,000
33 (ii) Other statewide offices: $3,500,000
34 (iii) State senate: $150,000
35 (iv) State assembly: $50,000
36 (b) The following limitations apply to all expenditures made by a
37 participating candidate and his or her authorized committees, considered
38 together, in the general election:
39 (i) Governor: $10,000,000
40 (ii) Other statewide offices: $8,000,000
41 (iii) Except that in each general election, expenditures by a partic-
42 ipating candidate for lieutenant governor, who is running jointly with a
43 candidate for governor shall not exceed $1,000,000
44 (iv) State senate: $200,000
45 (v) State assembly: $150,000
46 (c) Upon applying for optional public financing pursuant to section
47 14-A-103 of this article, a participating candidate for the state assem-
48 bly or state senate in a one-party-dominant legislative district who is
49 qualified for public financing for the party primary election of the
50 dominant party may choose to reallocate a portion of the expenditure
51 limit for the general election period to the primary election period and
52 may receive matching funds up to the new limit. For the purpose of this
53 section, a one-party-dominant legislative district is a district in
54 which the number of registered voters registered in the party with the
55 highest number of registered voters exceeds the number of registered
56 voters registered to each of the other parties by an amount at least as
S. 8162 10
1 high as twenty-five percent of the total number of voters registered in
2 the district. Spending pursuant to this subdivision alone will not trig-
3 ger the provisions of paragraph (d) of subdivision four of this section,
4 which lift the expenditure limit for participating candidates in certain
5 situations.
6 (d) The expenditure limitation in a run-off election, an additional
7 day for voting held pursuant to section 3-108 of this chapter, or an
8 election held pursuant to court order shall be one-half the amount of
9 the applicable limitation provided for an election for such office
10 pursuant to the provisions of paragraph (a) of this subdivision.
11 (e) Expenditures by participating candidates in a primary election
12 made prior to or on the date of such primary election shall be deemed to
13 have been made for such primary election. Campaign expenditures made
14 after the date of such election shall be deemed to have been made for
15 the general or runoff election. However, in the event that payments are
16 made or obligated but the goods or services are not used during the
17 period purchased, the payments shall be considered campaign expenditures
18 for the time period in which the goods or services are used. Payments
19 for goods and services used in both periods shall be prorated.
20 (f) At the beginning of each fourth calendar year, commencing in the
21 year two thousand one, the state board shall determine the percentage of
22 the 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 expenditure limit fixed in this section 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 expenditure limit as so adjusted shall be the expenditure limit in
31 effect for any election held before the next such adjustment.
32 2. (a) The following limitations apply to all expenditures made by a
33 candidate and his or her authorized committees in the calendar year
34 preceding the year of the election for which such candidate chooses to
35 participate in the public funding provisions of this article and to
36 expenditures made at any time prior to such date for services, materi-
37 als, facilities, advertising, or other things of value received,
38 rendered, published, distributed, or broadcast in such calendar year.
39 Such expenditures by a participating candidate for one of the following
40 offices and his or her authorized committees shall not exceed the
41 following amounts:
42 (i) Governor: $300,000
43 (ii) Other statewide offices: $250,000
44 (iii) State senate: $50,000
45 (iv) State assembly: $25,000
46 (b) The state board may adopt a regulation providing for expenditure
47 limitations for expenditures made in the two calendar years preceding
48 the calendar years specified in paragraph (a) of this subdivision.
49 3. If the expenditures made by a candidate and his or her authorized
50 committees subject to the expenditure limitation of subdivision two of
51 this section exceed the amount of the expenditure limitation applicable
52 under such subdivision, such candidate shall not be ineligible to
53 receive public funding for qualified campaign expenditures or be in
54 violation of this article by reason of exceeding such limitation unless
55 the amount by which such expenditures exceed such limitation is in
56 excess of the expenditure limitation that next applies to such candidate
S. 8162 11
1 pursuant to subdivision one of this section; provided that the amount of
2 the expenditure limitation that next applies to such candidate pursuant
3 to subdivision one of this section shall be reduced by the amount by
4 which the expenditure limitation applicable under subdivision two of
5 this section is exceeded. Nothing contained in this subdivision shall:
6 (a) increase or decrease the amount of public funds that may be
7 received pursuant to section 14-A-106 of this article by an authorized
8 committee of an eligible candidate;
9 (b) affect the expenditure limitation set forth in paragraph (d) of
10 subdivision one of this section; or
11 (c) affect the expenditure limitation set forth in paragraphs (a) and
12 (b) of subdivision one of this section for purposes of the application
13 of subdivision four of this section.
14 4. (a) If any candidate in a covered election chooses not to partic-
15 ipate in the public financing provisions of this article, and if the
16 state board has determined that such candidate and his or her authorized
17 committees considered together have spent or contracted or have obli-
18 gated to spend, or received in loans or contributions, or both, an
19 amount that, in the aggregate exceeds seventy-five percent of the
20 expenditure limit applicable to the participating candidate or candi-
21 dates for such office; or if the state board determines that the expend-
22 itures of any non-participating candidate aggregated with any independ-
23 ent expenditures in support of the non-participating candidate or in
24 opposition to any participating candidate running for the same office,
25 as reported to the state board under sections 14-102, 14-104 and 14-110
26 of this chapter, exceed the expenditure limit applicable to the partic-
27 ipating candidate by one-fourth of the applicable spending limit:
28 (i) such expenditure limit shall be doubled for the participating
29 candidate or candidates in such election for such office;
30 (ii) the principal committees of such participating candidates shall
31 receive payment for qualified campaign expenditures of four dollars for
32 each one dollar of matchable contributions, up to two thousand dollars
33 in public funds per contributor or up to one thousand dollars in public
34 funds per contributor in the case of a special election; and
35 (iii) the limitations for political party contributions to the partic-
36 ipating candidate shall be four times the limitations in subdivision
37 five of section 14-114 of this chapter.
38 (b) If the state board determines that the expenditures of any partic-
39 ipating candidate aggregated with any independent expenditures in
40 support of the participating candidate or in opposition to any non-par-
41 ticipating candidate running for the same office, as reported to the
42 state board under sections 14-102, 14-104 and 14-110 of this chapter,
43 exceed the expenditure limit applicable to the participating candidate
44 by one-fourth of the applicable spending limit, the provisions of para-
45 graph (a) of this subdivision shall not apply until the non-participat-
46 ing candidate's expenditures aggregated with independent expenditures in
47 favor of the non-participating candidate or in opposition to the partic-
48 ipating candidate exceed by one-half the applicable spending limit.
49 (c) If the state board determines that the expenditures of one partic-
50 ipating candidate aggregated with independent expenditures in support of
51 such participating candidate or in opposition to another participating
52 candidate running in the same election exceed by one-half the applicable
53 expenditure limit and exceed the expenditures of the other participating
54 candidate aggregated with independent expenditures in support of the
55 other participating candidate or in opposition to such participating
56 candidate, the board shall lift the spending limit applicable to such
S. 8162 12
1 other candidate in accordance with subparagraph (i) of paragraph (a) of
2 this subdivision. If the participating candidate who has exceeded the
3 expenditure limitation exceed the limitation pursuant to the provisions
4 of paragraph (c) of subdivision one of this section, this provision
5 shall not apply.
6 (d) If the state board determines that there have been substantial
7 unreported expenditures for mass media advertising in support of or
8 opposition to a candidate in a covered election, the state board may
9 double the expenditure limit as it applies to any participating candi-
10 date who has been opposed by such expenditures or whose opponent has
11 been supported by such expenditures.
12 5. Expenditures made for the purpose of complying with the provisions
13 of this article or this chapter, including legal fees, accounting fees,
14 the cost of record creation and retention, and other necessary compli-
15 ance expenditures, and expenses to challenge or to defend the validity
16 of petitions of designation or nomination or certificates of nomination,
17 acceptance, authorization, declination, or substitution shall not be
18 limited by the expenditure limitations of this section.
19 § 14-A-108. Reporting requirements for independent expenditures. 1.
20 Any person or persons, including political committees and entities, who
21 make independent expenditures relative to a covered election that
22 exceed, in the aggregate, one thousand dollars, shall file reports with
23 the state board indicating the amount of each expenditure and identify-
24 ing the office and the candidate or groups of candidates whose election
25 or defeat is being advocated.
26 (a) The report shall include a statement by the person or persons who
27 made the independent expenditure affirming that the expenditure is inde-
28 pendent and involved no cooperation or coordination with a candidate or
29 political party.
30 (b) Any person or persons making an independent expenditure shall file
31 the required report within seven days of making the expenditure.
32 (c) Notwithstanding the time for filing specified in paragraph (b) of
33 this subdivision, for any such expenditures made less than thirty days
34 before a covered election, the person or persons making the independent
35 expenditure shall file the report within forty-eight hours, except for
36 expenditures made or obligated in the seven days before the election, in
37 which case, the report shall be filed within twenty-four hours.
38 2. Any person, persons, or groups who make independent expenditures
39 that exceed, in the aggregate, three thousand dollars, must disclose the
40 full name, residential address, occupation, employer, and business
41 address of each contributor who makes contributions in the aggregate of
42 more than two hundred dollars, unless such group also qualifies as a
43 political committee and is making proper disclosure under section 14-102
44 of this chapter.
45 § 14-A-109. Examinations and audits. 1. The state board shall conduct
46 a thorough examination and audit of the contributions and qualified
47 campaign expenditures of the authorized committee of every candidate in
48 a covered election who received payments pursuant to section 14-A-106 of
49 this article.
50 2. (a) If the state board determines that any portion of the payment
51 made to such authorized committee from the New York state campaign
52 finance fund exceeded the aggregate amount of payments to which such
53 eligible candidate was entitled under section 14-A-106 of this article,
54 it shall notify such committee, and such committee shall pay to the
55 state board an amount equal to the amount of excess payments within
56 fourteen days of such notice.
S. 8162 13
1 (b) If the state board determines that any amount of payment made to
2 an authorized committee of an eligible candidate from the New York state
3 campaign finance fund was used for purposes other than to defray quali-
4 fied campaign expenses, it shall notify such authorized committee of the
5 amount disqualified, and such authorized committee shall pay to the
6 state board an amount equal to the such disqualified amount within four-
7 teen days of such notice.
8 (c) If the total of contributions and payments from the New York state
9 campaign finance fund received by any candidate and such candidate's
10 authorized committee exceeds the campaign expenditures of such candi-
11 date's authorized committee, such candidate and committee shall use such
12 excess funds to reimburse the fund for payments received by such commit-
13 tee from the fund not later than ten days after all liabilities have
14 been paid and in any event, not later than March thirty-first of the
15 year following the year of the election for which such payments were
16 intended. No such excess funds shall be used for any other purpose,
17 unless the total amount due the New York state campaign finance fund
18 from such candidate and committee has been repaid.
19 3. If a court of competent jurisdiction disqualifies a candidate whose
20 authorized committee has received public funds on the grounds that such
21 candidate committed illegal acts in order to obtain a place on the
22 ballot and such decision is not reversed by a higher court, such candi-
23 date and such candidate's authorized committee shall pay to the state
24 board an amount equal to the total of public funds received by such
25 authorized committee within fourteen days of a final order.
26 4. All payments received by the state board pursuant to this section
27 shall be deposited in the New York state campaign finance fund estab-
28 lished by section ninety-two-y of the state finance law.
29 § 14-A-110. Reports from the state board. 1. The state board shall
30 review and evaluate the effect of this article upon the conduct of
31 election campaigns in the state and shall submit a report to the gover-
32 nor, the senate, and the assembly on or before September first, two
33 thousand one, and every fourth year thereafter, and at any other time
34 upon the request of the governor, the senate, or the assembly and at
35 such other times as the state board deems appropriate, containing:
36 (a) the number and names of candidates qualifying for and choosing to
37 receive public funds pursuant to this article, and of candidates failing
38 to qualify or otherwise not choosing to receive such funds, in each
39 election during the four preceding calendar years;
40 (b) the amount of public funds provided to the authorized committees
41 of each candidate pursuant to this article and the contributions
42 received and expenditures made by each such candidate and the authorized
43 committees of such candidate, in each election during the four preceding
44 calendar years;
45 (c) recommendations as to whether the provisions of this article
46 governing maximum contribution amounts, thresholds for eligibility, and
47 expenditure limitations should be amended, and setting forth the amount
48 of, and reasons for, any amendments it recommends;
49 (d) analysis of the effect of this article on political campaigns,
50 including its effect on the sources and amounts of private financing and
51 the level of campaign expenditures;
52 (e) a review of the procedures utilized in providing public funds to
53 candidates; and
54 (f) such recommendations for changes in this article as it deems
55 appropriate and the reasons for those recommended changes.
S. 8162 14
1 2. The state board shall make the reports required by this section
2 available to the public at all times on the internet free of charge
3 within two weeks of the submission of such reports to the governor, the
4 senate, and the assembly.
5 § 2. Subdivision 9-A of section 3-102 of the election law, as added by
6 chapter 430 of the laws of 1997, is amended to read as follows:
7 9-A. In addition to the enforcement powers, and any other powers and
8 duties specified by law, the state board of elections shall have the
9 power and duty to:
10 (a) develop an electronic reporting system to process the statements
11 of campaign receipts, contributions, transfers and expenditures required
12 to be filed with the state board of elections pursuant to the provisions
13 of sections 14-102 and 14-104 of this chapter;
14 (b) prescribe the information required in the form for each statement
15 to be filed;
16 (c) establish a training program on the electronic reporting process
17 and make it available to any such candidate or committee;
18 (d) make the electronic reporting process available to any such candi-
19 date or committee which is required to file or which agrees to file such
20 statements by such electronic reporting process on self-executing disk-
21 ettes;
22 (e) cause all information contained in such a statement filed with the
23 state board of elections which is not on such electronic reporting
24 system to be entered into such system as soon as practicable but in no
25 event later than ten business days after its receipt by the state board
26 of elections; and
27 (f) make all data from electronic reporting process filed with the
28 board, either on paper or electronically, available at all times on the
29 internet within forty-eight hours of filing, free of charge, in an easi-
30 ly understood format that allows the public to browse, search, or down-
31 load the data by each of the reporting categories required by sections
32 14-102 and 14-104 of this chapter including, but not limited to: name of
33 each candidate or committee; office sought by each candidate; name of
34 each contributor and intermediary; business and residential address of
35 each contributor and intermediary; employer of each contributor and
36 intermediary, business occupation of each contributor and intermediary;
37 in the event that the contributor or intermediary is a political commit-
38 tee, the name of and the political unit represented by the committee;
39 date of each contribution; and amount of each contribution.
40 § 3. Section 14-102 of the election law, as amended by chapter 8 of
41 the laws of 1978, subdivision 1 as designated by chapter 9 of the laws
42 of 1978, subdivision 2 as added by subdivision 3 as renumbered by chap-
43 ter 70 of the laws of 1983 and subdivision 4 as added by chapter 430 of
44 the laws of 1997, is amended to read as follows:
45 § 14-102. Statements of campaign receipts, contributions, transfers
46 and expenditures to and by political committees. 1. The treasurer of
47 every political committee which, or any officer, member or agent of any
48 such committee who, in connection with any election, receives or expends
49 any money or other valuable thing or incurs any liability to pay money
50 or its equivalent shall file statements sworn, or subscribed and bearing
51 a form notice that false statements made therein are punishable as a
52 class A misdemeanor pursuant to section 210.45 of the penal law, at the
53 times prescribed by this article setting forth all the receipts,
54 contributions to and the expenditures by and liabilities of the commit-
55 tee, and of its officers, members and agents in its behalf. Such state-
56 ments shall include the dollar amount of any receipt, contribution or
S. 8162 15
1 transfer, or the fair market value of any receipt, contribution or
2 transfer, which is other than of money, the full name, residential
3 address, occupation, employer, and business address of the transferor,
4 contributor or person from whom received and any intermediary, and if
5 the transferor, contributor, intermediary, or person is a political
6 committee; the name of and the political unit represented by the commit-
7 tee, the date of its receipt, the dollar amount of every expenditure,
8 the name and address of the person to whom it was made or the name of
9 and the political unit represented by the committee to which it was made
10 and the date thereof, and shall state clearly the purpose of such
11 expenditure and whether or not the expenditure was intended to support
12 or oppose any candidate for nomination or election. If any committee has
13 made expenditures to support or oppose more than one candidate in any
14 calendar year, such statements shall include, on a separate schedule,
15 each of the expenditures made, or liabilities incurred, with respect to
16 each such candidate. The state board shall annex a copy of each such
17 schedule to the statement required to be filed by the candidate under
18 the provisions of section 14-104 of this article and shall include the
19 schedule on any electronic postings of the candidate's statement. Any
20 statement reporting a loan shall have attached to it a copy of the
21 evidence of indebtedness. Expenditures in sums under fifty dollars need
22 not be specifically accounted for by separate items in said statements[,
23 and receipts]. Receipts and contributions aggregating not more than
24 ninety-nine dollars, from any one contributor for all elections held in
25 a single calendar year or for a special election, need not be specif-
26 ically accounted for by separate items in said statements, provided
27 however, that contributions which are not itemized shall not be matcha-
28 ble, and that such expenditures, receipts and contributions shall be
29 subject to the other provisions of section 14-118 of this article.
30 2. Notwithstanding the provisions of subdivision one hereof, if the
31 expenditures made and liabilities incurred in any calendar year by any
32 political committee for the purpose of aiding or promoting the success
33 or defeat of one or more ballot proposals are less than five thousand
34 dollars and less than fifty percent of all the expenditures made and
35 liabilities incurred by such committee in such year, then such committee
36 shall be required to report only those contributions which are made to
37 such committee exclusively for the purpose of aiding or promoting the
38 success or defeat of such proposal or proposals, but such committee
39 shall be required to report all expenditures made and liabilities
40 incurred for such purposes. Nothing contained in this subdivision shall
41 be construed to relieve any political committee aiding or promoting the
42 success or defeat of a candidate from any of the reporting requirements
43 imposed by this article.
44 3. The state board of elections shall promulgate regulations with
45 respect to the accounting methods to be applied in preparing the state-
46 ments required by the provisions of this article and shall provide forms
47 suitable for such statements. Such regulations shall be written to
48 assure compliance and to obtain the maximum possible disclosure, in an
49 easily accessible format.
50 4. Any committee which is required to file statements with the state
51 board of elections pursuant to this article and which raises or spends
52 or expects to raise or spend more than one thousand dollars in any
53 calendar year shall file all such statements pursuant to the electronic
54 reporting system prescribed by the state board of elections as set forth
55 in subdivision nine-A of section 3-102 of this chapter. Notwithstanding
56 the provisions of this subdivision, upon the filing of a sworn statement
S. 8162 16
1 by the treasurer of a political committee which states that such poli-
2 tical committee does not have access to the technology necessary to
3 comply with the electronic filing requirements of subdivision nine-A of
4 section 3-102 of this chapter and that filing by such means would
5 constitute a substantial hardship for such political committee, the
6 state board of elections may issue [an] a one-time exemption from the
7 electronic filing requirements of this article.
8 § 4. Section 14-104 of the election law, as amended by chapter 430 of
9 the laws of 1997, is amended to read as follows:
10 § 14-104. Statements of campaign receipts, contributions, transfers
11 and expenditures by and to candidates. 1. Any candidate for election to
12 public office, or for nomination for public office at a contested prima-
13 ry election or convention, or for election to a party position at a
14 primary election, shall file statements sworn, or subscribed and bearing
15 a form notice that false statements made therein are punishable as a
16 class A misdemeanor pursuant to section 210.45 of the penal law, at the
17 times prescribed by this article setting forth the particulars specified
18 by section 14-102 of this article, as to all moneys or other valuable
19 things, paid, given, expended or promised by him to aid his own nomi-
20 nation or election, or to promote the success or defeat of a political
21 party, or to aid or influence the nomination or election or the defeat
22 of any other candidate to be voted for at the election or primary
23 election or at a convention, including contributions to political
24 committees, officers, members or agents thereof, and transfers, receipts
25 and contributions to him to be used for any of the purposes above speci-
26 fied, or in lieu thereof, any such candidate may file such a sworn
27 statement at the first filing period, on a form prescribed by the state
28 board of elections that such candidate has made no such expenditures and
29 does not intend to make any such expenditures, except through a poli-
30 tical committee authorized by such candidate pursuant to this article. A
31 committee authorized by such a candidate may fulfill all of the filing
32 requirements of this act on behalf of such candidate.
33 2. Statements filed by any political committee authorized by a candi-
34 date pursuant to this article which is required to file such statements
35 with the state board of elections and which raises or spends or expects
36 to raise or spend more than one thousand dollars in any calendar year
37 shall file all such statements pursuant to the electronic reporting
38 system prescribed by the state board of elections as set forth in subdi-
39 vision nine-A of section 3-102 of this chapter. Notwithstanding the
40 provisions of this subdivision, upon the filing of a sworn statement by
41 the treasurer of a political committee authorized by a candidate pursu-
42 ant to this article which states that such committee does not have
43 access to the technology necessary to comply with the electronic filing
44 requirements of subdivision nine-A of section 3-102 of this chapter and
45 that filing by such means would constitute a substantial hardship for
46 such committee, the state board of elections may issue [an] a one-time
47 exemption from the electronic filing requirements of this article.
48 § 5. Section 14-108 of the election law, as added by chapter 233 of
49 the laws of 1976, subdivision 1 as amended by chapter 955 of the laws of
50 1983, subdivision 2 as amended by chapter 109 of the laws of 1997,
51 subdivision 5 as amended and subdivision 7 as added by chapter 146 of
52 the laws of 1994, subdivision 6 as amended by chapter 323 of the laws of
53 1977, subdivisions 3, 4 and 6 as redesignated by chapter 9 of the laws
54 of 1978, is amended to read as follows:
55 § 14-108. Time for filing statements. 1. a. The statements required by
56 this article shall be filed at such times as the state board of
S. 8162 17
1 elections, by rule or regulation, shall specify; provided, however, that
2 in no event shall the board provide for fewer than [three] four filings
3 in the aggregate in connection with any primary, general or special
4 election, or in connection with a question to be voted on and [two]
5 three of said filings shall be before any such election, including one
6 such filing not less than thirty days nor more than forty-five days
7 prior to such election [and], one such filing not less than [eleven]
8 fifteen days nor more than [fifteen] twenty-five days prior to such
9 election, and one such filing not less than eight days nor more than ten
10 days prior to such election. In addition, the board shall provide that
11 every political committee which has filed a statement of treasurer and
12 depository shall make at least one filing every six months between the
13 time such statement of treasurer and depository is filed and the time
14 such committee goes out of business. If any candidate or committee shall
15 be required by the provisions of this section, or by rule or regulation
16 hereunder, to effect two filings within a period of five days, the state
17 board of elections may, by rule or regulation, waive the requirement of
18 filing the earlier of such statements. If a statement filed by a candi-
19 date or committee after the election to which it pertains is not a final
20 statement showing satisfaction of all liabilities and disposition of all
21 assets, such candidate or committee shall file such additional state-
22 ments as the board shall, by rule or regulation provide until such a
23 final statement is filed.
24 b. Any candidate in a covered election who is not a participating
25 candidate under section 14-A-103 of this chapter, who is opposed by a
26 participating candidate, and who, along with his or her authorized
27 committee, receives contributions and loans, spends, or obligates to
28 spend, an amount which in the aggregate exceeds seventy-five percent of
29 the voluntary expenditure limitations of section 14-A-106 of this chap-
30 ter that apply to a candidate in the same election shall file a state-
31 ment required by this article within forty-eight hours. After this
32 filing, the candidate shall comply with an expedited reporting schedule
33 that the state board shall establish by rule. In addition to filing the
34 statement with the state board, the candidate shall notify each opposing
35 candidate by overnight mail or fax. The state board shall provide forms
36 to facilitate compliance with this subdivision.
37 2. Each statement shall cover the period up to and including the
38 fourth day next preceding the day specified for the filing thereof;
39 provided, however, that any contribution [or], loan, or expenditure in
40 excess of one thousand dollars, if received or made after the close of
41 the period to be covered in the last statement filed before any primary,
42 general or special election but before such election, shall be reported,
43 in the same manner as other contributions, within twenty-four hours
44 after receipt.
45 3. Each statement shall be preserved by the officer with whom or the
46 board with which it is required to be filed for a period of five years
47 from the date of filing thereof.
48 4. Each statement shall constitute a part of the public records of
49 such officer or board and shall be open to public inspection.
50 5. The state board of elections or other board of elections, as the
51 case may be, shall not later than ten days after the last day to file
52 any such statement notify each person required to file any such state-
53 ment which has not been received by such board by such tenth day in
54 accordance with this article of such person's failure to file such
55 statement timely. Such notice shall be in writing and mailed to the last
56 known residence or business address of such person by certified mail,
S. 8162 18
1 return receipt requested. Failure to file within five days of receipt of
2 such notice shall constitute prima facie evidence of a willful failure
3 to file. If the person required to file such statement is a treasurer
4 who has stated that the committee has been authorized by one or more
5 candidates, a copy of such notice shall be sent to each such candidate
6 by first class mail. A copy of any such notice sent by a board of
7 elections other than the state board of elections shall be sent by such
8 other board to the state board.
9 6. A statement shall be deemed properly filed when deposited in an
10 established post-office within the prescribed time, duly stamped, certi-
11 fied and directed to the officer with whom or to the board with which
12 the statement is required to be filed, but in the event it is not
13 received, a duplicate of such statement shall be promptly filed upon
14 notice by such officer or such board of its non-receipt. All statements
15 to be filed in the thirty days before any election, which are mailed,
16 shall be sent guaranteed overnight mail.
17 7. On the twentieth day following the date by which such statements
18 were required to be filed, the state board of elections shall prepare
19 and make available for public inspection and distribution a list of
20 those persons and committees from whom it has not yet received such
21 statement.
22 § 6. Subdivision 1 of section 14-114 of the election law is REPEALED
23 and a new subdivision 1 is added to read as follows:
24 1. The following limitations apply to all contributions to candidates
25 in any covered election and to all contributions to authorized commit-
26 tees, other than any contributions from any party committee or consti-
27 tuted committee:
28 a. In any covered election for a public office to be voted on by the
29 voters of the entire state, no contributor may make a contribution or
30 contributions to any candidate or authorized committee, and no candidate
31 or authorized committee may accept any contribution or contributions
32 from any contributor, that are in the aggregate greater than five thou-
33 sand dollars.
34 b. In any covered election for member of the state senate, no contrib-
35 utor may make a contribution or contributions to any candidate or
36 authorized committee and no candidate or authorized committee may accept
37 any contribution or contributions from any contributor, that are in the
38 aggregate greater than four thousand dollars.
39 c. In any covered election for member of the state assembly, no
40 contributor may make a contribution or contributions to any candidate or
41 authorized committee and no candidate or authorized committee may accept
42 any contribution or contributions from any contributor, that are in the
43 aggregate greater than two thousand five hundred dollars.
44 d. In any covered election, however, the aggregate contributions made
45 by the contributor, the contributor's spouse, and minor children to a
46 candidate or the candidate's authorized committee shall not exceed an
47 amount equal to the amount permitted in paragraphs a, b and c of this
48 subdivision multiplied by two.
49 § 7. Subdivisions 4 and 5 of section 14-114 of the election law are
50 REPEALED and three new subdivisions 4, 5 and 5-a are added to read as
51 follows:
52 4. In all covered elections, other than the general election for
53 covered offices, the contribution limitations specified in subdivision
54 one of this section apply to the contributions made by political party
55 committees and constituted committees to candidates and their authorized
56 committees.
S. 8162 19
1 5. In any general election for a covered office, the following limita-
2 tions apply to all contributions made by political party committees and
3 constituted committees to any candidate or authorized committee, except
4 as provided in paragraph (a) of subdivision four of section 14-A-107 of
5 this chapter:
6 (a) governor and lieutenant governor: no more than one hundred thou-
7 sand dollars, in the aggregate, from all political party committees and
8 constituted committees;
9 (b) attorney general or comptroller: no more than one hundred thousand
10 dollars, in the aggregate, from all political party committees and
11 constituted committees;
12 (c) member of the senate: no more than fifty thousand dollars, in the
13 aggregate, from all political party committees and constituted commit-
14 tees; and
15 (d) member of the assembly: no more than twenty-five thousand dollars,
16 in the aggregate, from all political party committees and constituted
17 committees.
18 5-a. Any expenditures by a political party committee or a constituted
19 committee on behalf of a nominee or in opposition to any candidate for
20 the same office as the nominee shall be considered coordinated with the
21 nominee and counted toward the aggregate contribution limitation.
22 § 8. Subdivision 8 of section 14-114 of the election law, as amended
23 by chapter 8 and redesignated by chapter 9 of the laws of 1978, is
24 amended to read as follows:
25 8. Except as may otherwise be provided for a candidate [and his fami-
26 ly], no person may contribute, loan or guarantee in excess of [one
27 hundred] fifty thousand dollars within the state in connection with the
28 nomination or election of persons to state and local public offices and
29 party positions within the state of New York in any one calendar year.
30 For the purposes of this subdivision "loan" or "guarantee" shall mean a
31 loan or guarantee which is not repaid or discharged in the calendar year
32 in which it is made.
33 § 9. Subdivision 10 of section 14-114 of the election law is REPEALED
34 and a new subdivision 10 is added to read as follows:
35 10. No contributor may make a contribution or contributions to a party
36 committee or constituted committee and no party committee or constituted
37 committee may accept a contribution or contributions from any contribu-
38 tor that, in the aggregate, is greater than twenty thousand dollars per
39 calendar year.
40 § 10. Section 14-116 of the election law is amended by adding a new
41 subdivision 3 to read as follows:
42 3. For the purposes of this section, all the component groups of a
43 controlled group of corporations within the meaning of section 1563 of
44 the Internal Revenue Code of the United States shall be deemed to be one
45 corporation.
46 § 11. Subdivision 3 of section 14-124 of the election law is REPEALED.
47 § 12. Section 14-126 of the election law, as amended by chapter 8 of
48 the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
49 1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the
50 laws of 1978, is amended to read as follows:
51 § 14-126. Violations; penalties. 1. Any person who fails to file a
52 statement required to be filed by this article or the rules or regu-
53 lations of the state board implementing this article shall be subject to
54 a civil penalty, not in excess of [five hundred] one thousand dollars,
55 to be recoverable in a special proceeding or civil action to be brought
56 by the state board of elections or other board of elections.
S. 8162 20
1 2. Any person who knowingly and willfully fails to file a statement
2 required to be filed by this article or the rules or regulations of the
3 state board implementing this article within [ten] five days after the
4 date provided for filing such statement, or any person who knowingly and
5 willfully violates any other provision of this article shall be guilty
6 of a class A misdemeanor or subject to civil penalty of an amount not
7 less than one thousand dollars, unless a greater penalty is specifically
8 prescribed in another applicable statute.
9 3. Any person who knowingly and willfully contributes, expends,
10 accepts or aids or participates in the acceptance of a contribution, or
11 expenditure of funds in an amount exceeding an applicable maximum speci-
12 fied in this article shall be guilty of a class A misdemeanor or subject
13 to a civil penalty of an amount not less than one thousand dollars.
14 4. Any person who shall, acting on behalf of a candidate or political
15 committee, knowingly and willfully solicit, organize or coordinate the
16 formation of activities of one or more unauthorized committees, make
17 expenditures in connection with the nomination for election or election
18 of any candidate, or solicit any person to make any such expenditures,
19 for the purpose of evading the contribution limitations of this article,
20 shall be guilty of a class E felony.
21 5. Any person who knowingly and willfully neglects or refuses to
22 furnish any information required or authorized by this article, or to
23 exhibit records, papers, or documents authorized by this article to be
24 inspected or which are required to be exhibited, shall be guilty of a
25 class A misdemeanor or subject to a civil penalty of an amount not less
26 than one thousand dollars.
27 6. Any person who knowingly and willfully expends or aids or partic-
28 ipates in the expenditure of funds for a purpose or in a manner which
29 violates the provisions of this article shall be guilty of a class A
30 misdemeanor or subject to a civil penalty of an amount not less than one
31 thousand dollars.
32 7. Any person who knowingly and willfully fails to return or aids or
33 participates in the failure to return to the board any funds required to
34 be returned to the state board under the provisions of this article
35 shall be guilty of a class A misdemeanor or subject to a civil penalty
36 of an amount not less than one thousand dollars.
37 8. If the aggregate amount of expenditures by a participating candi-
38 date and the candidate's authorized committee exceeds the expenditure
39 limitations contained in section 14-A-107 of this chapter, such candi-
40 date shall be liable for a civil penalty in an amount equal to three
41 times the sum by which such expenditures exceed the permitted amount in
42 addition to any other penalties to which such candidate may be liable.
43 9. Any person who knowingly and willfully furnishes false, fictitious,
44 or fraudulent evidence, books, or information to the state board under
45 this article or includes in any evidence, books, or information so
46 furnished any misrepresentation of a material fact, or falsifies or
47 conceals any evidence, books, or information relevant to any audit by
48 the state board or knowingly and willfully violates any other provision
49 of this article shall be guilty of a class A misdemeanor or subject to a
50 civil penalty of an amount not less than one thousand dollars.
51 10. The attorney general shall be primarily responsible for institut-
52 ing and conducting prosecutions under this section. In such cases, the
53 attorney general or the attorney general's deputy shall exercise all the
54 power and perform all the duties which the district attorney would
55 otherwise be authorized or required to exercise or perform; whenever any
56 such prosecution is instituted by the attorney general, the district
S. 8162 21
1 attorney shall exercise only such powers and perform such duties as are
2 required of the district attorney by the attorney general or the deputy
3 attorney general. Until and unless the attorney general exercises
4 authority under this section, an otherwise authorized district attorney
5 may institute and conduct a prosecution under this section.
6 11. Whenever the attorney general is authorized under this article to
7 prosecute a criminal proceeding on behalf of the state board, the attor-
8 ney general shall have the discretion to delegate the authority to
9 initiate or to conduct any such prosecution to the state board.
10 § 13. The state finance law is amended by adding a new section 92-y to
11 read as follows:
12 § 92-y. New York state campaign finance fund. 1. There is hereby
13 established a fund to be known as the New York state campaign finance
14 fund. It shall be held in the joint custody of the state comptroller and
15 the commissioner of taxation and finance.
16 2. Such fund shall consist of revenues appropriated from the general
17 fund and from all other moneys credited or transferred thereto from any
18 other fund or source pursuant to law.
19 3. Moneys of the fund, following appropriate by the legislature, may
20 be expended for purposes of making payments to candidates pursuant to
21 article fourteen-A of the election law. Moneys shall be paid out of the
22 fund on the audit and warrant of the state comptroller on vouchers
23 certified or approved by the state board of elections, or its duly
24 designated representative, in the manner prescribed by law, not more
25 than four working days after such voucher is received by the state comp-
26 troller.
27 4. Notwithstanding any provision of the law to the contrary, if, in
28 any state fiscal year, the New York state campaign finance fund lacks
29 the amount of money required to pay all funds certified by the state
30 board of elections as due to eligible candidates, any such deficiency
31 shall be paid, upon the audit and warrant of the comptroller, from funds
32 deposited in the general fund of the state not more than four working
33 days after such voucher is received by the state comptroller.
34 5. Commencing in the year two thousand two, if the surplus in the fund
35 on April first, of the year after a year in which a governor is elected
36 exceeds twenty-five percent of the disbursements from the fund over the
37 previous four years, the excess shall revert to the general fund of the
38 state.
39 6. No moneys shall be paid to candidates in a primary election any
40 earlier than two weeks after the last day to file designating petitions
41 for such primary election.
42 7. No moneys shall be paid to candidates in a general election any
43 earlier than the day after the primary election held to nominate candi-
44 dates for such election.
45 8. No moneys shall be paid to any candidate in a special election any
46 earlier than the last day to file certificates of party nomination for
47 such special election.
48 9. No moneys shall be paid to any candidate who has been disqualified
49 or whose designating petitions have been declared invalid by the appro-
50 priate board of elections or a court of competent jurisdiction until and
51 unless such finding is reversed by a higher authority. No payment from
52 the fund in the possession of such a candidate or such a candidate's
53 authorized committee on the date of such disqualification or invali-
54 dation may thereafter be expended for any purpose except the payment of
55 liabilities incurred before that date. All such moneys shall be returned
56 to the fund.
S. 8162 22
1 10. As soon as practicable in the year two thousand one and in time
2 for inclusion in the governor's proposed budget and at such other times
3 as the state board of elections shall deem necessary, the state board
4 shall submit its estimate of the amount of public funds which will be
5 necessary to provide candidates sufficient financing for elections in
6 the next year in which covered elections are scheduled and for covered
7 elections to fill vacancies and a reserve for contingencies. Such esti-
8 mates shall be submitted in such manner and at such times as to assure
9 that such amounts as shall be necessary may be appropriated in full by
10 the beginning of the fiscal year prior to that in which elections are
11 scheduled pursuant to this chapter and that additional amounts may be
12 appropriated as necessary.
13 § 14. This act shall take effect January 1, 2001.
