Amendment Purpose:

amend the election law, in relation to enacting the comptroller campaign finance reform act to provide for public financing for campaigns for the office of state comptroller; to amend the general business law, in relation to authorizing the imposition of an additional surcharge on recoveries for fraudulent practices relating to stocks, bonds and other securities; to amend the state finance law, in relation to establishing the New York state campaign finance fund; and to amend the tax law, in relation to providing for a New York state campaign finance fund checkoff

Legislative Amendment Text:

 

Elect. Comptr. finance reform act
AN ACT
to amend the election law, in
relation to enacting the comptroller
campaign finance reform act to
provide for public financing for
campaigns for the office of state
comptroller; to amend the general
business law, in relation to author-
izing the imposition of an addi-
tional surcharge on recoveries for
fraudulent practices relating to
stocks, bonds and other securities;
to amend the state finance law, in
06/08/11 2 11990-03-1
relation to establishing the New
York state campaign finance fund;
and to amend the tax law, in
relation to providing for a New York
state campaign finance fund check-
off
The_People_of__the__State__of__New
York,___represented__in__Senate__and
Assembly,_do_enact_as_follows:
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1 Section 1. The article heading of article 14 of the election law is
2 amended to read as follows:
3 CAMPAIGN [RECEIPTS AND EXPENDITURES] FINANCE
4 § 2. Sections 14-100 through 14-130 of article 14 of the election law
5 are designated title 1 and a new title heading is added to read as
6 follows:
7 CAMPAIGN_RECEIPTS_AND_EXPENDITURES
8 § 3. Article 14 of the election law is amended by adding a new title 2
9 to read as follows:
10 TITLE_II
11 COMPTROLLER_CAMPAIGN_FINANCE_REFORM_ACT
12 Section_14-200._Short_title.
13 14-201._Declaration_of_legislative_findings_and_intent.
14 14-202._Applicability_and_definitions.
15 14-203._Reporting_requirements.
16 14-204._Contribution_and_receipt_limitations.
17 14-205._Proof_of_compliance.
18 14-206._Eligibility.
19 14-207._Voluntary_spending_limits_for_participating_candidates.
20 14-208._Payment_of_public_matching_funds.
21 14-209._Use_of_public_matching_funds;_qualified_campaign_expend-
22 itures.
23 14-210._Campaign_finance_fund_board;_general_powers_and_duties.
24 14-211._Audits_and_repayments.
25 14-212._Civil_enforcement.
26 14-213._Criminal_penalties.
27 14-214._Reports.
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1 14-215._Debates.
2 14-216._Distributions_from_campaign_finance_fund.
3 §__14-200.__Short_title._This_title_shall_be_known_and_may_be_cited_as
4 the_”comptroller_campaign_finance_reform_act”.
5 §_14-201._Declaration_of_legislative_findings_and_intent._The_legisla-
6 ture_is_committed_to_reforming_New_York’s_campaign_finance_system_and_to
7 bolstering_public_confidence_in_the_democratic_process.__At__times,__the
8 current__system__of__campaign__financing__has__led__to_an_appearance_and
9 perception_of_unfair_influence_in_the_political_process._This_perception
10 has_given_rise_to_mistrust_in__government__and__citizen__apathy__thereby
11 undermining_the_participation_of_all_New_Yorkers_in_the_democratic_poli-
12 tical_process.
13 The__legislature_also_finds_that_the_high_cost_of_financing_a_campaign
14 for_statewide_office_in_New_York_discourages_qualified__candidates__from
15 submitting__their_names_for_election_and_inevitably_forces_candidates_in
16 office_to_spend_too_much_time_raising_money__rather__than__attending__to
17 official__duties_and_concentrating_on_the_issues_that_concern_New_York’s
18 citizens._In_recognition_of_these_issues,__this__act__provides__for__the
19 public_financing_of_the_campaign_for_the_office_of_the_state_comptroller
20 as__the__first_step_towards_the_revision_of_the_state’s_campaign_finance
21 laws_to_reduce_any_real_or_perceived_unjust_influence_on_government.
22 The_inclusion_of__voluntary__expenditure__caps__combined__with__public
23 financing__and__a__minimal__threshold__for_participation_in_the_campaign
24 finance_program_as_created_by_this_title_furthers_the__state’s__interest
25 in__encouraging__qualified__candidates__to__run_for_office_regardless_of
26 their_access_to_wealth,_thus_increasing_public_debate_and__participation
27 in_the_democratic_process.
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1 Finally,__the__legislature_finds_that_an_independent_entity_to_oversee
2 this_program_is_necessary_to_carry_out_this__act’s__mandates.__This__act
3 creates_a_campaign_finance_fund_board_to_monitor_and_enforce_the_program
4 and_its_provisions_to_ensure_that_the_intent_of_this_act_is_fully_imple-
5 mented.
6 §_14-202._Applicability_and_definitions._This_title_shall_apply_exclu-
7 sively__to__campaign__financing__of__candidates__for__the_nomination_for
8 election,_and_for_election_to,_the__office__of__state__comptroller.__For
9 purposes__of__this__title,__the_following_terms_shall_have_the_following
10 meanings:
11 1._”Authorized_committee”_means_the_single_committee_designated__by__a
12 candidate__pursuant__to_section_14-203_of_this_title_to_receive_contrib-
13 utions_and_make_expenditures_in_support_of_such_candidate’s_campaign.
14 2._”Board”_or_”campaign_finance_fund_board”_means_the_board_created_by
15 section_14-210_of_this_title_to_administer_the_campaign_finance_fund.
16 3._”Candidate”_means_any_candidate_for_nomination_for_election,_or_for
17 election_to,_the_office_of_state_comptroller_whether_such_candidate_is_a
18 “participating_candidate”_or_”nonparticipating_candidate”_as_defined__in
19 this_section.
20 4._”Contribution”_means:
21 (a)__any__gift,_subscription,_outstanding_loan_(to_the_extent_provided
22 for_in_section_14-114_of_this_article),_advance,_or_deposit_of_money__or
23 anything__of_value,_made_in_connection_with_the_nomination_for_election,
24 or_election,_of_any_candidate,_or_made_to_promote_the_success_or__defeat
25 of_a_political_party_or_principle,_or_of_any_ballot_proposal;
26 (b)_any_funds_received_by_a_political_committee_from_another_political
27 committee_to_the_extent_such_funds_do_not_constitute_a_transfer;_and
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1 (c)_any_payment,_by_any_person_other_than_a_candidate_or_an_authorized
2 committee,__made__in__connection__with__the__nomination__for_election_or
3 election_of_any_candidate,_or_any_payment_made_to_promote_the_success_or
4 defeat_of_a_political_party_or_principle,__or__of__any__ballot__proposal
5 including__but__not_limited_to_compensation_for_the_personal_services_of
6 any_individual_which_are__rendered__in__connection__with__a__candidate’s
7 election__or__nomination__without_charge;_provided_however,_that_none_of
8 the_foregoing_shall_be_deemed_a_contribution_if_it__is__made,__taken__or
9 performed__by_a_candidate_or_his_or_her_spouse_or_by_a_person_or_a_poli-
10 tical_committee_independent_of_the_candidate_or_his__or__her__agents__or
11 committee.__For__purposes__of__this__title,_the_term_”independent_of_the
12 candidate_or_his_or_her_agents_or_authorized_committee”_shall_mean__that
13 the__candidate__or__his__or__her__agents_or_authorized_committee_did_not
14 authorize,_request,_suggest,_foster_or_cooperate_in_any__such__activity;
15 and_provided_further,_that_the_term_contribution_shall_not_include:
16 (i)_the_value_of_services_provided_without_compensation_by_individuals
17 who_volunteer_a_portion_or_all_of_their_time_on_behalf_of_a_candidate_or
18 political_committee;
19 (ii)_the_use_of_real_or_personal_property_and_the_cost_of_invitations,
20 food__and_beverages_voluntarily_provided_by_an_individual_to_a_candidate
21 or_political_committee_on__the__individual’s__residential__premises__for
22 candidate-related__activities__to_the_extent_such_services_do_not_exceed
23 five_hundred_dollars_in_value;
24 (iii)_the_travel_expenses_of_any_individual_who__on__his__or__her__own
25 behalf_volunteers_his_or_her_personal_services_to_any_candidate_or_poli-
26 tical__committee_to_the_extent_such_expenses_are_unreimbursed_and_do_not
27 exceed_five_hundred_dollars_in_value;_and
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1 (iv)_expenditures_by_a_bona_fide_membership_organization_in_support_of
2 the_following_activities_by_members_of_the_organization_who__are__volun-
3 teering__their__time_on_behalf_of_a_candidate,_not_to_exceed_twenty-five
4 dollars_per_member_who_volunteer_for:_(1)_transportation__of__volunteers
5 to__and__from__campaign_activities;_(2)_cost_of_feeding_volunteers_while
6 volunteering_for_the_campaign;_and_(3)__materials__such__as__badges__and
7 clothing_that_identifies_the_name_of_the_organization_or_candidate.
8 5.__”Contributor”__means__an__entity,__including,__but_not_limited_to,
9 natural_persons,_associations,_bona_fide_membership_organizations,_part-
10 nerships_and_corporations,_that_makes__a__contribution,__as__defined__in
11 subdivision_four_of_this_section.
12 6.__”Covered__election”__means_any_primary_election_for_nomination,_or
13 general_election_for_election,_to_the_office_of_state_comptroller.
14 7._”Election_cycle”_means_the_four-year_period_starting_after_the__day
15 after_the_last_general_election_for_candidates_for_statewide_office.
16 8._”Electioneering_communication”_means_any_communication_broadcast_by
17 television__or_radio,_telecast_by_cable_or_satellite,_printed_in_a_news-
18 paper,_magazine,_appearing_on__an__internet__website,__other__periodical
19 publication,__or_on_a_billboard,_directly_mailed_or_delivered_by_hand_to
20 personal_residences,_or_otherwise_distributed_that:
21 (a)_unambiguously_refers_to_any_candidate;_and
22 (b)_is_broadcast,_telecast,_printed,_mailed,_delivered,_or_distributed
23 within_ninety_days_before_a_primary_election__or__sixty__days__before__a
24 general__election__to__an__audience_that_includes_at_least_five_thousand
25 voters.
26 The_term_”electioneering_communication”_does__not__include:__any__news
27 story,__commentary,__or__editorial__by__a__broadcasting__station,__cable
28 station,_satellite_station,_newspaper,_magazine,_appearing_on_an__inter-
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1 net__website,__or__other__periodical__publication_unless_the_facility_is
2 owned_or_controlled__by__a__candidate,__party__committee,__or__political
3 committee;__or__a__communication__printed__or_published_on_the_internet,
4 unless_the_communication_is_a_paid_advertisement.
5 9.__”Expenditure”__means__any_gift,_subscription,_advance,_payment,_or
6 deposit_of_money_or_anything_of_value,_or_a_contract_to_make__any__gift,
7 subscription,_payment,_or_deposit_of_money_or_anything_of_value,_made_in
8 connection__with_the_nomination_for_election,_or_election,_of_any_candi-
9 date._Expenditures_made_by_contract_are_deemed_made_when_such_funds__are
10 obligated.
11 10.__”Fund”_means_the_campaign_finance_fund_created_by_section_ninety-
12 nine-u_of_the_state_finance_law.
13 11._”High_spending_nonparticipating_candidate”_means__such__nonpartic-
14 ipating__candidate__who__incurs__expenditures__in__amounts__such_that_an
15 increase_in_matching_contributions_and_adjustments_to_spending_limits_as
16 provided_for_in_subdivision_five_of_section_14-208_of_this_title_apply.
17 12._”Immediate__family”__means__a__spouse,__domestic__partner,__child,
18 sibling_or_parent.
19 13.__”Independent__expenditure”__means_an_expenditure_made_by_a_person
20 for_an_audio_or_video_communication_to_a__general__public__audience__via
21 broadcast,__cable__or__satellite_or_a_written_communication_to_a_general
22 public__audience__via__advertisements,__pamphlets,__circulars,___flyers,
23 brochures,__letterheads_or_other_printed_matter_and_statements_or_infor-
24 mation_conveyed_to_five_hundred_or_more__members__of__a__general__public
25 audience__by__computer__or_other_electronic_devices_which:_(a)_expressly
26 advocates_the_election_or_defeat_of_a_clearly__identified__candidate__or
27 the__success_or_defeat_of_a_ballot_proposal;_and_(b)_such_candidate,_the
28 candidate’s_authorized_committee_or_its_agents,_or_a_political_committee
06/08/11 9 11990-03-1
1 formed_to_promote_the_success_or_defeat_of__a__ballot__proposal__or__its
2 agents,__did_not_authorize,_request,_suggest,_foster_or_cooperate_in_any
3 such_communication.
4 Independent_expenditure_does_not_include:
5 (i)__a_communication_appearing_in_a_written_news_story,_commentary,_or
6 editorial_or_distributed_through_facilities_of_any_broadcasting_station,
7 cable_or_satellite_unless_such_publication_or_facilities__are__owned__or
8 controlled_by_any_political_party,_political_committee_or_candidate;_or
9 (ii)_a_communication_that_constitutes_a_candidate_debate_or_forum;_or
10 (iii)__a__communication__which__constitutes__an_expenditure_made_by_an
11 entity_required_to_report_such_expenditure_with_a_board_of_election;_or
12 (iv)_the_costs_of_internal_communication_by_members_to__other__members
13 of_a_bona_fide_membership_organization,_for_the_purpose_of_supporting_or
14 opposing__a_candidate_or_candidates_for_the_office_of_state_comptroller,
15 provided_such_payments_are_not_used_for_the_costs_of__campaign__material
16 or__communications__used__in__connection_with_broadcasting,_telecasting,
17 newspaper,_magazine,_appearing_on_an_internet_website,_or_other__period-
18 ical_publication,_billboard,_or_similar_types_of_general_public_communi-
19 cations.
20 14.__”Item__with_significant_value”_means_any_item,_including_any_item
21 valued_at_twenty-five_dollars_or_more.
22 15._”Legislative_leader”_means_any_of__the__following:__the__temporary
23 president_of_the_senate;_the_speaker_of_the_assembly;_the_minority_lead-
24 er_of_the_senate;_or_the_minority_leader_of_the_assembly.
25 16.__”Matchable__contribution”__means_a_contribution,_contributions_or
26 such_portion_of_a_contribution_or_contributions_made_by_a_natural_person
27 residing_in_the_state_of_New_York_at_the_time_of_such_contribution__with
28 a_value_not_to_exceed_two_hundred_fifty_dollars,_made_to_a_participating
06/08/11 10 11990-03-1
1 candidate__by_a_contributor_for_any_primary_and_a_contribution,_contrib-
2 utions_or_such_portion_of_a_contribution__or__contributions__made__by__a
3 natural__person__residing__in__the_state_of_New_York_at_the_time_of_such
4 contribution__with__a_value_not_to_exceed_two_hundred_fifty_dollars_made
5 to_a_participating_candidate_for_a_general_election__held__in__the__same
6 election__cycle__that__has__been__reported_in_full_to_the_state_board_of
7 elections_in_accordance_with_sections_14-102_and_14-104_of_this__article
8 by__the__candidate’s_authorized_committee_and_has_been_contributed_on_or
9 before_the_date_of_the__applicable__primary__or__general__election.__Any
10 contribution,__contributions,__or__such_portion_of_a_contribution_deter-
11 mined_to_be_invalid_for_matching_funds_by__the__board__pursuant__to__the
12 provisions_of_this_title_may_not_be_treated_as_a_matchable_contribution.
13 In__addition,__the_following_contributions_are_not_matchable:_(a)_loans;
14 (b)_in-kind_contributions_of_property,_goods,_or_services;_(c)__contrib-
15 utions__in__the_form_of_the_purchase_price_paid_for_an_item_with_signif-
16 icant_value;_(d)_anonymous_contributions_or_contributions__whose__source
17 is__not__itemized__as__required__by__section__14-203__of_this_title;_(e)
18 contributions_gathered_during_a_previous__election__cycle;__(f)__illegal
19 contributions;__and__(g)_contributions_from_individuals_under_the_age_of
20 eighteen_years.
21 17._”Nonparticipating_candidate”_shall_mean_a_candidate_for_the_office
22 of_state_comptroller_for_a_covered_election_who_fails_to_file_a__written
23 certification__in_the_form_of_an_affidavit_pursuant_to_section_14-206_of
24 this_title.
25 18._”Opposing_funds”_shall_mean_funds_spent_opposing_a_campaign__of__a
26 participating__candidate__or_supporting_a_nonparticipating_opponent_of_a
27 participating_candidate_during_a_covered_election._Opposing_funds__shall
28 be__calculated_by_first_determining_the_nonparticipating_opponent_of_the
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1 participating_candidate_who_has_the_highest_total_of:_(a)__either__total
2 contributions__received__or_total_expenditures_made;_and_(b)_independent
3 expenditures_supportive_of_such_nonparticipating_candidate.__The__amount
4 of__opposing__funds_shall_then_be_calculated_by_totaling:_(i)_the_higher
5 of_the_total_contributions_received,_or_total_expenditures_made,_by_that
6 opponent;_(ii)_the_amount_spent_on_independent_expenditures__in__support
7 of__that_nonparticipating_opponent;_and,_(iii)_the_amount_spent_on_inde-
8 pendent_expenditures_in_opposition_to_the_participating_candidate.___Any
9 opposing_funds_spent_or_obligated_shall_be_considered_to_have_been_spent
10 or__obligated__for_the_covered_election_that_is_upcoming_and_most_proxi-
11 mate_in_time._In_the_case_of_a_multiple_candidate_race__where__there__is
12 one_nonparticipating_candidate_and_two_or_more_participating_candidates,
13 opposing__funds_shall_be_calculated_in_the_same_way_as_described_in_this
14 subdivision_so_that_spending_in_support_of_each_nonparticipating__candi-
15 date__shall__be_considered_as_part_of_opposing_funds_for_each_individual
16 participating_candidate_and_shall_not_be_prorated_among_the__participat-
17 ing_candidates.
18 19.__”Participating_candidate”_shall_mean_any_candidate_for_nomination
19 for_election,_or_election,_to_the_office_of_state_comptroller_who__files
20 a__written_certification_in_the_form_of_an_affidavit_pursuant_to_section
21 14-206_of_this_title.
22 20._”Qualified_campaign_expenditure”_shall__mean__an__expenditure__for
23 which_public_matching_funds_may_be_used.
24 21.__”Threshold__for__eligibility”__shall_mean_the_amount_of_matchable
25 contributions_that_a_candidate’s_authorized_committee__must__receive__in
26 total__in__order__for__such__candidate__to__qualify_for_voluntary_public
27 financing_under_this_article.
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1 22._”Transfer”_shall_mean_any_exchange_of_funds__between__a__party__or
2 constituted_committee_and_a_candidate’s_authorized_committee.
3 §__14-203.__Reporting__requirements.__1._Every_candidate_shall_have_no
4 more_than_one_authorized_committee._Before_receiving_any_contribution_or
5 making_any_expenditure_for_a__covered__election,__each__candidate__shall
6 notify_the_state_board_of_elections_and_the_board_as_to_the_existence_of
7 his_or_her_authorized_committee_that_has_been_designated_and_approved_by
8 such__candidate.__Each_such_authorized_committee_shall,_before_opening_a
9 committee_bank_account,_receiving_any_contribution_or_making_any_expend-
10 iture_for_a_covered_election:_(a)_designate_a_treasurer;_and_(b)__obtain
11 a_tax_identification_number_from_the_internal_revenue_service.
12 2.__Disclosure.__(a)_In_addition_to_the_requirements_imposed_upon_each
13 candidate_and_political_committee__to__report__contributions__and__loans
14 pursuant__to__title__one__of__this_article,_each_candidate_and_political
15 committee__shall__also__submit__reports__on__March__fifteenth__and__July
16 fifteenth_of_each_election_year_to_the_state_board_of_elections_of_every
17 contribution_and_loan_received_and_every_expenditure_made.
18 (b)_Every_nonparticipating_candidate_must_file_electronically_an_affi-
19 davit__with__the__board_within_forty-eight_hours_of_spending_or_becoming
20 obligated_to_incur_expenses_equal_to_fifty__percent__of__the__applicable
21 spending__cap__and_at_such_times,_thereafter,_as_expenses_equal_seventy-
22 five_percent_and_one_hundred_percent_of_the_spending__caps__for__partic-
23 ipating_candidates_established_pursuant_to_section_14-207_of_this_title.
24 Upon_receipt_of_each_such_affidavit,_the_board_shall_notify_all_opposing
25 candidates__that__his__or__her_opponent_has_filed_such_an_affidavit._The
26 board_shall_prepare_and_post_such_forms__as__may__be__necessary__on__its
27 website.
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1 (c)__Any__person,__political__committee,__corporation,_organization_or
2 other_entity_that__makes__one__or__more__independent__expenditures__with
3 respect__to__a__covered__election_that_is_in_an_aggregate_amount_greater
4 than_five_thousand_dollars_during_an_election_year_shall_file__an__inde-
5 pendent__expenditure_statement_with_the_board_of_elections._In_addition,
6 any_person,_political__committee,__corporation,__organization__or__other
7 entity__that__makes__an_independent_expenditure_within_sixty_days_of_any
8 covered_election,_must_file_electronically_within_forty-eight__hours__of
9 incurring__such__expenditure__a_report_with_such_board_of_all_such_inde-
10 pendent_expenditures_exceeding_five_thousand_dollars._Each_report__shall
11 state__whether_the_independent_expenditure_supported_or_opposed_a_candi-
12 date_and_which_candidate_or_candidates_was__supported__or__opposed.__The
13 board_of_elections_shall_prepare_and_post_such_forms_on_its_website.
14 (d)_The_board_shall_review_each_disclosure_report_filed_with_the_state
15 board__of_elections_and_shall_inform_candidates_and_political_committees
16 of_relevant_questions_the_board__has__concerning:__(i)__compliance__with
17 requirements__of__this__title__and_of_the_rules_issued_by_the_board;_and
18 (ii)_qualification_for_receiving_public_matching_funds_pursuant_to__this
19 title._In_the_course_of_such_review,_the_board_shall_give_candidates_and
20 political__committees_an_opportunity_to_respond_to_and_correct_potential
21 violations_and_give_candidates_an_opportunity_to_address__questions__the
22 board_has_concerning_their_matchable_contribution_claims_or_other_issues
23 concerning__eligibility__for_receiving_public_matching_funds_pursuant_to
24 this_title._Nothing_in_this_paragraph__shall__preclude__the__board__from
25 subsequently__reviewing__such__a_disclosure_report_and_taking_any_action
26 otherwise_authorized_by_this_title.
06/08/11 14 11990-03-1
1 (e)_Only_itemized_contributions_contained_in_reports__filed__with__the
2 state__board__of_elections_shall_be_eligible_for_matching_funds_pursuant
3 to_this_title.
4 (f)__Participating__candidates__may__file__reports_of_contributions_as
5 frequently_as_once_a_week_on_Fridays.
6 §_14-204._Contribution_and_receipt__limitations.__1.__A__participating
7 candidate__and__his_or_her_authorized_committee_shall_not_accept,_either
8 directly_or_indirectly:
9 (a)_total_contributions_from_any_one_contributor_that_exceed_two_thou-
10 sand_dollars_in_any_primary_in_an_election_cycle_for_the_office_of_state
11 comptroller_by_any_state_party__committee__in__accordance__with__section
12 2-100_of_this_chapter_and_two_thousand_dollars_for_a_general_election_in
13 an_election_cycle;_or
14 (b)__any__contribution__from_a_political_committee_that_has_not_regis-
15 tered_with_the_state_board_of_elections.
16 2._(a)_Notwithstanding_the_expenditure_limit_for_such_office_as__fixed
17 by__this_title_for_candidates_who_have_elected_to_accept_public_funds,_a
18 participating_candidate_for_state_comptroller_in_a__primary__or__general
19 election__or__such__candidate’s__authorized__committee_may_accept_from_a
20 state_party_committee_which_has_nominated_such_candidate_services_in__an
21 amount__which,__in__the__aggregate,_does_not_exceed_one_million_dollars;
22 provided,_however,_that__twenty-five__percent__of__such__amount__may__be
23 accepted_in_the_form_of_a_transfer.
24 (b)_For_purposes_of_this_subdivision,_the_term_”state_party_committee”
25 includes_any_of_its_subcommittees.
26 3._Notwithstanding_any_expenditure_limit_set_forth_in_this_title,_each
27 county__committee__of__any__party__which_nominates_a_candidate_for_state
28 comptroller,_including_within_the_term_”county__committee”__any__of__its
06/08/11 15 11990-03-1
1 subcommittees,__may__expend__in__support__of_each_such_candidate_of_such
2 party_who_has_agreed_to_accept_public_financing,_an_amount__which__shall
3 not_exceed_the_sum_of_two_cents_for_each_voter_registered_in_such_county
4 as__determined_by_the_record_of_the_appropriate_board_of_elections_as_of
5 the_preceding_general_election.
6 4._In_computing_the_aggregate_amount_expended__for__purposes__of__this
7 section,__expenditures__made__by__a__state__party__committee_or_a_county
8 committee_in_support_of_more_than_one_candidate_shall_be_allocated_among
9 such_candidates_supported_by_the_committee_in_accordance__with__formulas
10 promulgated__by__the_state_board_of_elections_or,_in_the_absence_of_such
11 official_formulas,_in_accordance_with_a_formula__based__upon__reasonable
12 standards.__The__statements__filed_by_such_party_committee_in_accordance
13 with_this_chapter_shall_set_forth,_in_addition_to_the_other__information
14 required,__the_total_amount_expended_by_the_party_committee_on_behalf_of
15 all_such_candidates_and_the_amount_allocated_to_each_candidate_by_dollar
16 amount_and_percentage._Expenditures_by_a_party_for_activities__which__do
17 not__support__or__oppose__the_election_of_any_candidate_or_candidates_by
18 name_or_by_clear_inference_shall_not__be__regarded__as__expenditures__on
19 behalf_of_or_in_opposition_to_a_candidate.
20 5.__Any__person_seeking_election_to_the_office_of_state_comptroller_as
21 well_as_any_other_political_office_may_not__transfer__funds__between__or
22 among__his__or_her_authorized_political_committee_or_any_other_political
23 committee.
24 6._Notwithstanding_any_other__contribution__limit__specified__in__this
25 section,__participating__candidates__may__give,__out_of_their_own_money,
26 three_times_the_applicable_contribution_limit_to__their__own__campaigns,
27 provided__that_none_of_the_money_so_contributed_shall_qualify_for_match-
06/08/11 16 11990-03-1
1 ing_funds,_but_shall_qualify__towards__satisfying__the__spending__limits
2 established_by_section_14-207_of_this_title.
3 7.__All__monetary_contributions_and_all_public_matching_funds_accepted
4 by_a_candidate’s_authorized_committee_shall_be_deposited_into_an_account
5 with_a_bank_licensed_by_the_New_York__state__department__of__banking__or
6 successor__entity_held_in_the_name_of_the_authorized_political_committee
7 within_ten_business_days_of_receipt.__Each__authorized__committee__shall
8 have_no_more_than_one_checking_account.
9 8.__Contributions__to__candidates_in_covered_elections_shall,_for_each
10 election_cycle,_in_all_other_respects,_be_subject_to_the_limitations_and
11 provisions_of_title_one_of_this_article.
12 §_14-205._Proof_of_compliance.__Candidates__and__political__committees
13 shall__maintain__such_records_of_receipts_and_expenditures_for_a_covered
14 election_as_may_be_required__by__the__board.__Candidates__and__political
15 committees__shall_obtain_and_furnish_to_the_board_any_information_it_may
16 request_relating_to_financial_transactions_or_contributions_and__furnish
17 such__documentation_and_other_proof_of_compliance_with_this_title_as_may
18 be_requested_by_the_board._Candidates__and__political__committees__shall
19 maintain_copies_of_such_records_for_a_period_of_five_years_following_the
20 general_election.
21 §_14-206._Eligibility._1._To_be_eligible_for_public_financing_pursuant
22 to__this__title,__a__candidate__must:__(a)__be__a_candidate_in_a_covered
23 election;_(b)_satisfy_all_the_requirements_of_law_to__have__his__or__her
24 name__on__the__ballot;_(c)_in_the_case_of_a_covered_general_election,_be
25 opposed_by_another_candidate_on_the_ballot_who_is_not_a_write-in__candi-
26 date;__(d)__submit__a_certification_in_the_form_of_an_affidavit,_in_such
27 form_as_may_be_prescribed_by_the_board,__that__sets__forth__his__or__her
28 agreement__to__comply_with_the_terms_and_conditions_for_the_provision_of
06/08/11 17 11990-03-1
1 such_funds_in_each_covered_election_which_shall_be_filed_with_the__board
2 by__June__first__directly__before__the__election;__(e)_be_certified_as_a
3 participating_candidate_by_the_board;_(f)_not_make,_and_not__have__made,
4 expenditures__from,__or__use,__his__or_her_personal_funds_or_property_or
5 personal_funds_or_property_jointly_held_with_his_or_her_spouse,_domestic
6 partner,_or_child_in_connection_with_his_or_her_nomination_for__election
7 or__election__to_a_covered_office_except_as_a_contribution_to_his_or_her
8 authorized_committee_in_an_amount_that_exceeds_three_times_the__applica-
9 ble__contribution_limit_from_an_individual_contributor_to_candidates_for
10 the_office_that_he_or_she_is_seeking;_(g)_not_make,_and_not__have__made,
11 and__his__or__her_authorized_committee_must_not_make,_and_not_have_made,
12 expenditures_that_in_the_aggregate_exceed_the_applicable_spending__limit
13 as__provided__in__this_title;_(h)_meet_the_threshold_for_eligibility_set
14 forth_in_subdivision_two_of_this_section;_and_(i)_abide_by_the__require-
15 ments_set_forth_in_this_title_and_chapter_during_the_post-election_peri-
16 od.
17 2.__(a)__The__threshold_for_eligibility_for_public_funding_for_partic-
18 ipating_candidates_shall_be_the_receipt_of__contributions__totaling__one
19 hundred__fifty__thousand__dollars__in__matchable_contributions_in_single
20 amounts_of_no_less_than_ten_dollars_and_no_more_than_two__hundred__fifty
21 dollars,__including__at_least_fifty_matchable_contributions_from_natural
22 persons_registered_to_vote_in_each_of_at_least_seventy-five__percent__of
23 the__total_number_of_congressional_districts_in_the_state_at_the_time_of
24 such_covered_election.
25 (b)_Any_participating_candidate_meeting_the_threshold_for__eligibility
26 in__a__primary__election__shall__be_deemed_to_have_met_the_threshold_for
27 eligibility_for_such_office_in_any__other__election__held__in__the__same
28 election_cycle.
06/08/11 18 11990-03-1
1 §__14-207.__Voluntary_expenditure_limits_for_participating_candidates.
2 1._Participating_candidates_may_spend_no_more_than_five_million__dollars
3 for__the_primary_election.__Expenditures_made_before_or_on_the_date_of_a
4 primary_election_shall_be_deemed_to_have__been__made__for__such__primary
5 election.
6 2.__Participating_candidates_may_spend_no_more_than_seven_million_five
7 hundred_thousand_dollars_in_a_general_election_campaign.
8 3._Expenditures_made_for_the_purpose_of_complying_with_this__title__or
9 chapter,__including__legal__fees,__accounting__fees,__the_cost_of_record
10 creation_and_retention,_and_other_necessary_compliance_expenditures,_and
11 expenses_to_challenge_or_defend_the_validity_of_petitions_of_designation
12 or_nomination_or_certificates_of_nomination,_acceptance,__authorization,
13 declination__or__substitution,_and_expenses_related_to_the_canvassing_of
14 election_results,_shall_not_be_limited_by_the_spending__limits__of__this
15 section.__The_burden_is_on_the_candidate_to_substantiate_exempt_expendi-
16 tures._The_board_shall_promulgate_rules_to_implement_this_section.
17 4._If_a_participating_candidate_is_opposed_by_a_high_spending__nonpar-
18 ticipating__opponent,__then__subdivision__five_of_section_14-208_of_this
19 title_shall_govern_spending_limits.
20 §_14-208._Payment_of_public_matching__funds.__1.__No__public__matching
21 funds__shall__be_paid_to_an_authorized_committee_unless_the_board_deter-
22 mines_that_the_participating_candidate_has_qualified__pursuant__to__this
23 title.__Payment__shall__not_exceed_the_amounts_specified_in_this_section
24 and_may_be_made_only_to_the_participating_candidate’s_authorized_commit-
25 tee._No_public_matching_funds_shall_be_used_except_to_reimburse__or__pay
26 for_qualified_campaign_expenditures_actually_and_lawfully_incurred_or_to
27 repay_loans_used_to_pay_qualified_campaign_expenditures.
06/08/11 19 11990-03-1
1 2.__If__the_threshold_for_eligibility_is_met,_the_participating_candi-
2 date’s_authorized_committee_shall_receive_payment_for_qualified_campaign
3 expenditures_of_six_dollars_of_public_matching_funds_for_each_one_dollar
4 of_matchable_contributions_for_a_primary_election__and__six__dollars__of
5 public_matching_funds_for_each_one_dollar_of_matchable_contributions_for
6 a_general_election_received_and_reported_to_the_board.
7 3.__The__board__shall__make__all__payments_of_public_matching_funds_to
8 participating_candidates_as_soon_as__is__practicable.__The__board__shall
9 verify_eligibility_for_public_matching_funds_within_four_days_of_receiv-
10 ing__a__campaign__contribution__report__filed__with__the__state_board_of
11 elections_in_compliance_with_this_article._Immediately_upon__determining
12 that__a_candidate_is_eligible_for_public_matching_funds,_the_board_shall
13 submit_a_duly_approved,_certified_and_executed_voucher_to_the_office__of
14 the__state__comptroller__requesting__payment__of_such_matching_funds_and
15 payment_thereof_shall_be_made_not_less_than_two_days_after_such__voucher
16 is__received_by_the_office_of_the_state_comptroller.__However,_the_board
17 shall_not_make_any_payments_of_public_money_earlier__than__the__earliest
18 dates__for_making_such_payments_as_provided_in_this_title._If_any_of_the
19 time_limits_in_this_title_for_payment_fall__on__a__weekend__or__holiday,
20 payment_shall_be_made_on_the_next_business_day.
21 4.__The__board__shall__promulgate__rules_to_facilitate_electronic_fund
22 transfers_directly_from_the_fund_into__an__authorized__committee’s__bank
23 account.
24 5.__Notwithstanding_any_other_provision_of_law_to_the_contrary,_if_the
25 board_has_determined_that_opposing_funds_of_a_candidate__for__a__covered
26 election:
27 (a)_exceed_one_hundred_percent_of_the_applicable_spending_limit_estab-
28 lished_by_section_14-207_of_this_title,_the_authorized_committee_of_each
06/08/11 20 11990-03-1
1 participating__candidate__shall__receive__payment_for_qualified_campaign
2 expenditures_for_such_election_in_excess_of_the_spending_limit_of__seven
3 dollars_for_every_one_dollar_of_each_matchable_contribution_received_for
4 a__primary_election_for_the_first_two_hundred_fifty_dollars_of_each_such
5 contribution;_(ii)_seven_dollars_for_every_one_dollar_of_each__matchable
6 contribution__in__public__matching__funds__per_contributor_for_a_general
7 election_for_the_first_two_hundred_fifty_dollars_of_each__such__contrib-
8 ution;__and__(iii)_such_participating_candidate_shall_no_longer_be_bound
9 by_the_applicable_spending_limits_established_by_section_14-207_of__this
10 title,__but__rather__shall_be_bound_by_an_expenditure_limit_equal_to_the
11 opposing_funds_up_to_two_hundred__percent__of__the__applicable__spending
12 limits_set_forth_in_section_14-207_of_this_title;_or
13 (b)__Exceed__two__hundred__percent__of__the_applicable_spending_limits
14 established_by_section_14-207_of_this_title,_the_authorized_committee_of
15 that_participating_candidate_shall_no_longer_be_bound_by_such_limits.
16 §_14-209._Use_of_public_matching_funds;__qualified__campaign__expendi-
17 tures.__1.__Public__matching_funds_provided_under_the_provisions_of_this
18 title_may_be_used_only_by_an_authorized_committee__for__expenditures__to
19 further__the__participating__candidate’s__nomination__for__election,__or
20 election,_including_paying_for_debts_incurred_within_one_year_before__an
21 election___to__further__the__participating__candidate’s__nomination__for
22 election_or_election.
23 2._Such_public_matching_funds_may_not_be_used_for:_(a)_an__expenditure
24 that_violates_any_law_or_regulation;_(b)_an_expenditure_in_excess_of_the
25 fair__market__value__of_services,_materials,_facilities_or_other_item_of
26 significant_value_received_in_exchange;_(c)_an__expenditure__made__after
27 the__candidate__has__been__finally__disqualified_from_the_ballot;_(d)_an
28 expenditure_for_an_obligation_incurred_after_the_only_remaining_opponent
06/08/11 21 11990-03-1
1 of_the_candidate_has_been_finally_disqualified_from_the_ballot;__(e)__an
2 expenditure__made__by__cash__payment;_(f)_a_contribution_or_loan_made_to
3 another_candidate_or_political_committee;_(g)_an_independent_expenditure
4 to__support__or__oppose__another__candidate__or_political_committee;_(h)
5 gifts,_except_brochures,_buttons,_signs_and_other_printed_campaign_mate-
6 rial;_(i)_legal_fees_to_defend_against__a__criminal__charge;__or__(j)__a
7 payment_to_an_immediate_family_member_of_the_participating_candidate.
8 §__14-210.__Campaign_finance_fund_board;_general_powers_and_duties._1.
9 There_shall_be_a_board__known__as__the__”campaign__finance__fund__board”
10 composed_of_seven_members,_of_which_one_member_shall_be_appointed_by_the
11 governor,__one__member__shall_be_appointed_by_each_legislative_leader_of
12 the_senate_and_assembly._Two_additional_members_who_shall__be__represen-
13 tative_of_non-partisan_citizens’_groups_shall_be_appointed_by_the_gover-
14 nor__upon__consultation__with__the__legislative_leaders_and_the_governor
15 shall_designate_one_to_be_the_chair._No_member_of_the_board__shall__hold
16 elective_office,_nor_shall_any_member_be_a_lobbyist_as_defined_in_subdi-
17 vision__(a)__of_section_one-c_of_the_legislative_law._The_chair_shall_be
18 responsible_for_managing_the_board._The_members_shall_each_serve__for__a
19 term_of_four_years.
20 2.__Each__member’s__term__shall__commence__on_June_first,_two_thousand
21 twelve._In_case_of_a_vacancy_in_the_office_of_a_member,_a__member__shall
22 be__appointed__according__to__the__original__manner_of_appointment._Each
23 member_shall_be_a_resident_of_the_state_of_New_York__and__registered__to
24 vote__therein.__Each__member__shall_agree_not_to_make_and_shall_not_make
25 contributions_to_any_candidate_or_authorized__committee__for__nomination
26 for__election__or__for__election__to_the_office_of_state_comptroller._No
27 member_shall_serve_as_an_officer_of_a_political_party_or_committee_or_be
28 a_candidate_or_participate_in_any_capacity_in_a_campaign_by_a__candidate
06/08/11 22 11990-03-1
1 for__nomination__for__election,__or__for_election_to_the_office_of_state
2 comptroller._An_officer_or_employee_of_the_state__or__any__state__agency
3 shall_not_be_eligible_to_be_a_member_of_the_board.
4 3.__The__members_of_the_board_shall_be_entitled_to_receive_payment_for
5 actual_and_necessary_expenses__incurred__in__the__performance__of__their
6 duties_as_members_of_the_board.
7 4.__The__board_may_employ_such_staff_as_may_be_necessary,_including_an
8 executive_director__and__a__counsel,__and__make__necessary__expenditures
9 subject__to__appropriation.__Such__staff__may_also_include_such_counsel,
10 accountants_and_other_employees_as_may_be__necessary__to__implement__the
11 provisions__of_this_title._The_board_shall_retain_an_independent_auditor
12 to_perform_ongoing_audits_of_each_covered_election_by__contract__entered
13 into__pursuant__to__section_one_hundred_sixty-three_of_the_state_finance
14 law.
15 5._A_member_of_the_board_may_be_removed_for_cause__by__the__appointing
16 authority_upon_notice_and_an_opportunity_for_a_hearing.
17 6.__In__addition__to__the_enforcement_powers,_and_any_other_powers_and
18 duties_specified_by_law,_the_board_shall:
19 (a)_(i)_render_advisory_opinions_with__respect__to__questions__arising
20 under__this_title_upon_the_written_request_of_a_candidate,_an_officer_of
21 a_political_committee_or_member_of_the_public,_or_upon__its__own__initi-
22 ative;__(ii)__promulgate__rules_regarding_reasonable_times_to_respond_to
23 such_requests;_and_(iii)_make_public_the_questions_of_interpretation_for
24 which_advisory_opinions_will_be_considered_by_the_board_and_its_advisory
25 opinions,_including_by_publication_on_its_website;
26 (b)_develop_a_program_for_informing_candidates_and_the__public__as__to
27 the__purpose__and__effect__of_the_provisions_of_this_title,_including_by
28 means_of_a_website;
06/08/11 23 11990-03-1
1 (c)_have_the_authority_to_promulgate_such_rules__and__regulations__and
2 prescribe_such_forms_as_the_board_deems_necessary_for_the_administration
3 of_this_title;_and
4 (d)_in_conjunction_with_the_state_board_of_elections_develop_an_inter-
5 active,__searchable_computer_database_that_shall_contain_all_information
6 necessary_for_the_proper_administration_of_this_title_including_informa-
7 tion_on_contributions__to__and__expenditures__by__candidates__and__their
8 authorized_committees,_independent_expenditures_in_support_or_opposition
9 of__candidates_for_covered_offices,_and_distributions_of_moneys_from_the
10 fund_and_shall_be_accessible_to_the_public_on_the_board’s_website.
11 7._Consistent_with_the_provisions_of_the_civil_service_law_and__subdi-
12 vision__seventeen__of__section_seventy-three_of_the_public_officers_law,
13 and_notwithstanding_the_provisions_of_any_other_law_to_the_contrary,_all
14 positions_on_the_staff_of_the_board_shall_be_classified__in__the__exempt
15 class__of__the__civil_service_and_such_positions_shall_be_filled,_to_the
16 extent_possible,_with_an_equal_number_of_persons_from_each__of__the__two
17 political__parties__for_which_the_highest_and_the_next_highest_number_of
18 votes_were_cast_for_the_office_of_state_comptroller_at_the_last__preced-
19 ing_general_election_for_such_office.
20 8.__The__board’s__administration__of_the_fund_shall_be_governed_by_the
21 provisions_of_this_title_and_section_ninety-nine-u_of_the_state__finance
22 law.
23 9._The_board_and_its_proceedings_shall_be_governed_by_the_state_admin-
24 istrative__procedure__act__and__subject_to_articles_six_and_seven_of_the
25 public_officers_law.
26 10._The_board_may_take_such_other_actions_as_are_necessary_and__proper
27 to_carry_out_the_purposes_of_this_title.
06/08/11 24 11990-03-1
1 §__14-211.__Audits_and_repayments._1._The_board_is_hereby_empowered_to
2 audit_and_examine_all_matters_relating_to_the_performance_of__its__func-
3 tions_and_any_other_matter_relating_to_the_administration_of_this_title.
4 Such__audits__shall_be_conducted_as_frequently_as_the_board_deems_neces-
5 sary__to_ensure_compliance_with_this_title._Every_candidate_who_receives
6 public_funds_under_this_title_shall_also_be_audited_by__the__board.__The
7 cost__of__complying__with__a__post-election__audit_shall_be_borne_by_the
8 candidate’s_authorized_committee._A_candidate_who__has__received__public
9 funds__under__this_title_must_maintain_a_reserve_of_at_least_one_percent
10 of_his_or_her_spending_limit_as_defined_by_section_14-207_of_this__title
11 in_his_or_her_campaign_account_to_comply_with_the_post-election_audit._A
12 candidate__who_runs_in_both_a_primary_and_a_general_election,_must_main-
13 tain_a_reserve_of_one_percent_of_both_his_or__her__primary__and__general
14 election__spending__limits_as_defined_by_section_14-207_of_this_title._A
15 candidate_may_use_public_funds,_private_funds_or_a_combination_of_public
16 and_private_funds_to_comply_with_a_post-election_audit._The_board__shall
17 issue__to__each__campaign__audited_a_final_audit_report_that_details_its
18 findings_and_shall_provide_such_audit_to_the__governor__and__legislative
19 leaders_and_make_such_audit_report_available_on_the_board’s_website.
20 2.__If__the__board__determines_that_any_portion_of_a_payment_made_to_a
21 candidate’s_authorized_committee_from_the_fund_exceeded_the_amount__that
22 such_candidate_was_eligible_to_receive_pursuant_to_this_title,_the_board
23 shall_notify_such_committee_and_such_committee_shall_pay_to_the_board_an
24 amount__equal__to__the__amount_of_the_excess_payment;_provided,_however,
25 that_if_the_erroneous_payment_was_due_to_an_error__made__by__the__board,
26 then_the_erroneous_payment_will_be_offset_against_any_future_payment,_if
27 any.__The__candidate__and__the_candidate’s_authorized_committee_shall_be
28 jointly_and_severally_liable_for_any_repayments_due_to_the_board.
06/08/11 25 11990-03-1
1 3._If_the_board_determines_that_any_portion_of_a__payment__made__to__a
2 candidate’s__authorized__committee__from__the_fund_was_used_for_purposes
3 other_than_qualified_campaign_expenditures,_the_board_shall_notify__such
4 committee__of_the_amount_so_disqualified_and_such_committee_shall_pay_to
5 the_board_an_amount_equal_to_such_disqualified_amount._The_candidate_and
6 the__candidate’s__authorized__committee__shall__be_jointly_and_severally
7 liable_for_any_repayments_due_to_the_board.
8 4._If_the_total_of_contributions,_other_receipts,__and__payments__from
9 the_fund_received_by_a_participating_candidate_and_his_or_her_authorized
10 committee__exceeds_the_total_campaign_expenditures_of_such_candidate_and
11 committee_for_all_covered_elections_held_in_the_same_calendar_year,_such
12 candidate_and_committee_shall_use_such_excess__funds__to__reimburse__the
13 fund__for__payments_received_by_such_committee_from_the_fund_during_such
14 calendar_year.__A_participating_candidate_shall_pay__to__the__board__for
15 deposit__into_the_fund_unspent_public_campaign_funds_for_an_election_not
16 later_than_thirty_days_after_all_liabilities_for_the__election__campaign
17 have__been__paid__and_in_any_event,_not_later_than_twenty_days_after_the
18 date_on_which_the_board_issues_its_final_audit_report__for__the__partic-
19 ipating__candidate’s__committee;__provided,__however,__that__all_unspent
20 public_campaign_funds_for_a_participating_candidate_shall_be_immediately
21 due_and_payable_to_the_board_for_deposit_into_the_fund_upon_its_determi-
22 nation_that_the_participant_willfully_delayed__the__post-election__audit
23 process.__A__participating_candidate_may_make_post-election_expenditures
24 only_for_routine_activities__involving__nominal__costs__associated__with
25 winding__up__a__campaign__and_responding_to_the_post-election_audit._For
26 accounting_purposes,_all_private_and__personal__contributions__shall__be
27 considered_spent_before_revenue_from_the_fund_is_spent_or_committed.
06/08/11 26 11990-03-1
1 §_14-212._Civil_enforcement._1._Any_person_or_authorized_committee_who
2 knowingly__and__intentionally__fails__to__make__a_filing_required_by_the
3 provisions_of_this_title_shall_be_subject_to__a__civil__penalty__not__to
4 exceed_the_amount_of_five_thousand_dollars.
5 2.__Any_person_or_authorized_committee_who_knowingly_and_intentionally
6 violates_any_other_provision_of_this_title_or_any_rule_promulgated_here-
7 under_shall_be_subject_to_a_civil_penalty_not_to_exceed__the__amount__of
8 ten_thousand_dollars.
9 3.__If__the_aggregate_amount_of_expenditures_by_a_participating_candi-
10 date_and_such_candidate’s_authorized_committee_exceed_the_spending_limit
11 established_by_section_14-207__of__this__title__and__such__participating
12 candidate_or_such_candidate’s_authorized_committee_was_not_authorized_to
13 exceed__such__limits__pursuant__to_subdivision_five_of_section_14-208_of
14 this_title,_such_candidate_and_authorized_committee_shall_be_subject__to
15 a_civil_penalty_not_to_exceed_three_times_the_sum_by_which_such_expendi-
16 tures_surpass_the_applicable_spending_limit.
17 4.__Fines__authorized__under_this_section_will_be_imposed_by_the_board
18 after_a_hearing_at_which_the__subject__person__or__authorized__committee
19 shall_be_given_an_opportunity_to_be_heard._Such_hearing_shall_be_held_in
20 such__manner__and__upon_such_notice_as_may_be_prescribed_by_the_rules_of
21 the_board._For_purposes_of_conducting_such_hearings,_the_board_shall__be
22 deemed__to_be_an_agency_within_the_meaning_of_article_three_of_the_state
23 administrative_procedure_act_and_shall_adopt_rules_governing_the_conduct
24 of_adjudicatory_proceedings_and_appeals_taken_pursuant_to__a__proceeding
25 commenced__under__article__seventy-eight__of__the_civil_practice_law_and
26 rules_relating_to_the_assessment_of_the_civil_penalties__herein__author-
27 ized.
06/08/11 27 11990-03-1
1 5._The_board_shall_publish_on_its_website_the_final_order_adjudicating
2 any_matter_brought_pursuant_to_this_section.
3 §_14-213._Criminal_penalties._1._Any_person_who_knowingly_and_willful-
4 ly_fails_to_make_a_filing_required_by_the_provisions_of_this_title_with-
5 in__ten__days_after_the_date_provided_for_such,_or_anyone_that_knowingly
6 and_willfully_violates_any_other_provision_of_this_title_shall_be_guilty
7 of_a_misdemeanor_and,_in_addition_to_such__other__penalties__as__may__be
8 provided__by_law,_shall_be_subject_to_a_fine_not_to_exceed_the_amount_of
9 ten_thousand_dollars.
10 2._Any_person_who_knowingly_and_willfully_contributes,_accepts_or_aids
11 or_participates_in_the_contribution_or_acceptance_of_a__contribution__in
12 an__amount__exceeding__an__applicable__maximum_specified_in_this_article
13 shall_be_guilty_of_a_misdemeanor_and_shall_be_subject_to_a_fine__not__to
14 exceed_the_amount_of_ten_thousand_dollars.
15 3._Any_person_who_knowingly_makes_a_false_statement_or_knowingly_omits
16 a__material__fact__to__the__board__or_an_auditor_designated_by_the_board
17 during_any_audit_conducted_pursuant_to__section__14-211__of__this__title
18 shall_be_guilty_of_a_class_E_felony.
19 4.__In__addition_any_other_sentence_lawfully_imposed_upon_a_finding_of
20 guilt_in_a_criminal_prosecution_commenced_pursuant_to_the_provisions__of
21 this__section,_the_court_may_order_a_defendant_to_repay_to_the_board_any
22 public_matching_funds_obtained_as_a_result_of_any_criminal_conduct.
23 5._All_such_prosecutions_for_criminal_acts_under_this_article_shall_be
24 prosecuted_by_the_attorney_general_of_the_state_of_New_York.
25 §_14-214._Reports._The_board_shall_submit_a_report_to_the_governor_and
26 legislative_leaders_on_or_before_February_first,_two__thousand__fifteen,
27 and_every_four_years_thereafter,_which_shall_include:
06/08/11 28 11990-03-1
1 1.__a__list__of__the__participating_and_nonparticipating_candidates_in
2 covered_elections_and_the_votes_received__by__each__candidate__in__those
3 elections;
4 2.__the__amount__of_contributions_and_loans_received,_and_expenditures
5 made,_on_behalf_of_participating_and_nonparticipating_candidates;
6 3._the_amount_of_public_matching_funds__each__participating__candidate
7 received,_spent,_and_repaid_pursuant_to_this_article;
8 4.__analysis__of_the_effect_of_this_title_on_the_election_campaign_for
9 the_office_of_state_comptroller_and_the_utility_of_applying_the__program
10 to__other__campaigns_for_statewide_elective_office,_including_its_effect
11 on_the_sources_and_amounts_of_private_financing,_the_level__of__campaign
12 expenditures,__voter_participation,_the_number_of_candidates,_the_candi-
13 dates’_abilities_to_campaign_effectively__for__public__office,__and__the
14 diversity_of_candidates_seeking_and_elected_to_office;
15 5.__recommendations_for_changes_or_amendments_to_this_title,_including
16 changes_in_contribution_limits,_thresholds_for_eligibility_and__spending
17 limits__as_well_as_instituting_a_program_of_full_public_campaign_financ-
18 ing_for_election_for_all_statewide_offices;_and
19 6._any_other_information_that_the_board_deems_relevant.
20 §_14-215._Debates._The_board_shall_promulgate_regulations__to__facili-
21 tate__debates__among__participating_candidates._Participating_candidates
22 are_required_to_participate_in_at_least_one_debate__before__the__primary
23 election__and__in__at__least__one_debate_before_the_general_election_for
24 which_the_candidate_receives__public__funds,__unless__the__participating
25 candidate__is__running__unopposed._A_nonparticipating_candidate_may_be_a
26 party_to_such_debates.
27 §_14-216._Distributions_from_campaign_finance_fund.__1.__This__section
28 governs_the_board’s_distribution_of_funds_from_the_campaign_finance_fund
06/08/11 29 11990-03-1
1 created__by__section__ninety-nine-u__of_the_state_finance_law,_except_as
2 otherwise_provided_in_this_title.
3 2.__No__moneys__shall_be_paid_to_participating_candidates_in_a_primary
4 election_any_earlier_than_two_weeks_after_the_last_day_to_file_designat-
5 ing_petitions_for_such_primary_election.
6 3._No_moneys_shall_be_paid_to_participating_candidates__in__a__general
7 election__any__earlier__than__a__week_after_the_primary_election_held_to
8 nominate_candidates_for_such_election.
9 4._No_moneys_shall_be_paid_to_any_participating_candidate_who_has_been
10 disqualified_by_the_board__or__whose__designating__petitions__have__been
11 declared_invalid_by_the_state_board_of_elections_or_a_court_of_competent
12 jurisdiction__until__and_unless_such_finding_is_reversed_by_an_appellate
13 court.
14 5._No_payment_from_the_fund_in_the_possession_of_such_a__candidate__or
15 such__a__candidate’s__authorized_committee_on_the_date_of_such_disquali-
16 fication_or_invalidation_may_thereafter__be__expended__for__any__purpose
17 except_the_payment_of_liabilities_incurred_before_that_date.__All_excess
18 public__moneys_paid_to_a_disqualified_candidate_shall_be_returned_to_the
19 fund_not_less_than_thirty_days_after__the__general__election__for__those
20 participating__candidates__who__received__public__moneys_for_the_general
21 election,_and_otherwise,_not_less_than_thirty__days__after__the__primary
22 election__for__those_participating_candidates_who_received_public_moneys
23 solely_for_the_primary_election.
24 6._(a)_Participating_candidates_shall_pay_to_the_board_unspent__public
25 campaign__funds__from__an__election_not_later_than_thirty_days_after_all
26 liabilities_for_the_election_have_been_paid_and,_in_any_event,_not__less
27 than__twenty__days__after_the_date_upon_which_the_board_issues_its_final
28 audit_report_for__the__participating__candidate’s__committee;__provided,
06/08/11 30 11990-03-1
1 however,__that__all__unspent__public__campaign_funds_for_a_participating
2 candidate_shall_be_immediately_due_and_payable_to__the__board__upon__its
3 determination__that_the_participating_candidate_has,_without_just_cause,
4 delayed_the_post-election_audit_process._Unspent_campaign_funds_determi-
5 nations__made_by_the_board_shall_be_based_on_the_participating_candidate
6 committee’s_receipts_and_expenditures._The_board_may_also__consider__any
7 other__relevant__information__revealed__in__the__course_of_its_audits_or
8 investigations_or_the_investigations_by_any_other_agency.
9 (b)_(i)_A_participating_candidate_may_not_use_receipts_for_any_purpose
10 other_than_disbursements_in_the_preceding__election__until__all__unspent
11 public__campaign_funds_have_been_repaid._A_participating_candidate_shall
12 have_the_burden_of_demonstrating_that_a_post-election_expenditure_is_for
13 the_preceding_election.
14 (ii)_Before_repaying_unspent_public_campaign__funds,__a__participating
15 candidate__may__make__post-election_expenditures_only_for_routine_activ-
16 ities_involving_nominal_costs_associated_with_winding_up_a_campaign__and
17 responding__to__the__post-election_audit._Such_expenditures_may_include:
18 payment_of__utility__bills__and__rent;__reasonable__staff__salaries__and
19 consultant__fees__for__responding__to__a_post-election_audit;_reasonable
20 moving_expenses_related_to_closing_a_campaign__office;__a__holiday__card
21 mailing__to__contributors,_campaign_volunteers,_and_staff_members;_thank
22 you_notes_for_contributors,__campaign__volunteers,__and__staff__members;
23 payment__of__taxes__and__other__reasonable__expenses_for_compliance_with
24 applicable__tax__laws;__and__interest__expenses.__Routine__post-election
25 expenditures__that__may__be__paid_for_with_unspent_campaign_funds_do_not
26 include_such_items_as_post-election_mailings_other_than_as__specifically
27 provided__for__in__this_subparagraph;_making_contributions;_making_bonus
28 payments_or_gifts_to_staff_members_or_volunteers,_or_holding_any_post-e-
06/08/11 31 11990-03-1
1 lection_day_event,_including,_but_not_limited_to,_any_meal_or_any_party.
2 Unspent_campaign_funds_may_not_be_used_for__transition__or__inauguration
3 activities.
4 § 4. The general business law is amended by adding a new section 359-
5 gg to read as follows:
6 §_359-gg._Additional_surcharge._In_addition_to_any_penalty__authorized
7 by__section_three_hundred_fifty-nine-g_of_this_article_or_any_damages_or
8 other_compensation__recoverable__including,__but__not__limited__to,__any
9 settlement__authorized__by__section__sixty-three_or_sixty-three-c_of_the
10 executive_law,_there_shall_be_assessed_thereon_an__additional__surcharge
11 in__the__amount__of__ten__percent__of__the_total_amount_of_such_penalty,
12 damages_or_settlement._Such_surcharge_shall_be_deposited_in_the_New_York
13 state_campaign_finance_fund_established_by_section_ninety-nine-u_of__the
14 state_finance_law.
15 § 5. The state finance law is amended by adding a new section 99-u to
16 read as follows:
17 §_99-u._New_York_state_campaign__finance__fund.__1.__There__is__hereby
18 established__in__the__joint__custody__of__the__state_comptroller_and_the
19 commissioner_of_taxation_and_finance_a_fund_to_be_known_as_the_New__York
20 state_campaign_finance_fund.
21 2._Such_fund_shall_consist_of_all_revenues_received_from_the_surcharge
22 imposed__pursuant__to_section_three_hundred_fifty-nine-gg_of_the_general
23 business_law,_revenues_received_from__campaign__finance__fund__check-off
24 pursuant_to_subsection_(f)_of_section_six_hundred_fifty-eight_of_the_tax
25 law__and_all_other_moneys_credited_or_transferred_thereto_from_any_other
26 fund_or_source_pursuant_to_law._Nothing_contained_in_this_section__shall
27 prevent__the__state__from_receiving_grants,_gifts,_bequests_or_voluntary
06/08/11 32 11990-03-1
1 contributions_for_the_purposes_of_the_fund_as_defined__in__this__section
2 and_depositing_them_into_the_fund_according_to_law.
3 3._Moneys_of_the_fund,_following_appropriation_by_the_legislature,_may
4 be__expended__for_the_purposes_of_making_payments_to_candidates_pursuant
5 to_title_two_of_article_fourteen_of_the_election_law.__Moneys__shall__be
6 paid__out__of_the_fund_on_the_audit_and_warrant_of_the_state_comptroller
7 on_vouchers_certified_or_approved_by_the__campaign__finance__fund__board
8 established__pursuant__to__title_two_of_article_fourteen_of_the_election
9 law,_or_the_duly_designated_representative_of_such_board,_in_the__manner
10 prescribed__by_law,_not_more_than_four_working_days_after_a_voucher_duly
11 certified,_approved_and_executed_by_such_board_or_its_representative__in
12 the__form__prescribed__by_the_state_comptroller_is_received_by_the_state
13 comptroller.
14 4._Notwithstanding_any_provision_of_law_to_the_contrary,__if,__in__any
15 state__fiscal__year,_the_state_campaign_finance_fund_lacks_the_amount_of
16 money_to_pay_all_claims_vouchered_by_eligible_candidates__and__certified
17 or__approved__by__the__campaign__finance_fund_board,_any_such_deficiency
18 shall_be_paid,_upon_audit_and_warrant_of__the__state__comptroller,__from
19 funds__deposited__in__the__general__fund_of_the_state_not_more_than_four
20 working_days_after_such_voucher_is_received_by_the_state_comptroller.
21 5._Commencing_in_two_thousand_fifteen,_if_the_surplus_in_the__fund__on
22 April__first__of__the__year__after_an_election_cycle_exceeds_twenty-five
23 percent_of_the_disbursements_from_the_fund_over_the_previous_four_years,
24 the_excess_shall_revert_to_the_general_fund_of_the_state.
25 6._No_public_funds_shall_be_paid_to_any_participating_candidates_in__a
26 primary__election_any_earlier_than_the_day_that_such_candidate_is_certi-
27 fied_as_being_on_the_ballot_for_such_primary_election.
06/08/11 33 11990-03-1
1 7._No_public_funds_shall_be_paid_to_any_participating_candidates_in__a
2 general__election__any_earlier_than_the_day_after_the_day_of_the_primary
3 election_held_to_nominate_candidates_for_such_election.
4 8.__No__public__funds_shall_be_paid_to_any_participating_candidate_who
5 has_been_disqualified_or_whose_designating_petitions_have_been__declared
6 invalid__by__the__appropriate_board_of_elections_or_a_court_of_competent
7 jurisdiction_until_and_unless_such__finding__is__reversed__by__a__higher
8 authority.__No__payment_from_the_fund_in_the_possession_of_such_a_candi-
9 date_or_such_candidate’s_participating_committee_on__the__date__of__such
10 disqualification__or__invalidation__may__thereafter__be_expended_for_any
11 purpose_except_the_payment_of_liabilities_incurred_before_such_date._All
12 such_moneys_shall_be_repaid_to_the_fund.
13 § 6. Section 658 of the tax law is amended by adding a new subsection
14 (f) to read as follows:
15 (f)_New_York_state_campaign_finance_fund_check-off._(1)_For_each_taxa-
16 ble__year__beginning__on__and__after_January_first,_two_thousand_twelve,
17 every_individual_whose_New_York_state_income_tax_liability_for_the_taxa-
18 ble_year_for_which_the_return_is_filed__is__five__dollars__or__more__may
19 designate__on__such__return__that_five_dollars_be_paid_into_the_New_York
20 state_campaign_finance_fund_established_by_section_ninety-nine-u_of__the
21 state_finance_law._Where_a_husband_and_wife_file_a_joint_return_and_have
22 a_New_York_state_income_tax_liability_for_the_taxable_year_for_which_the
23 return__is__filed__of_ten_dollars_or_more,_or_file_separate_returns_on_a
24 single_form,_each_such_taxpayer_may_make_separate_designations__on__such
25 return__of__five__dollars__to__be__paid_into_the_New_York_state_campaign
26 finance_fund.
27 (2)_The_commissioner_shall_transfer_to_the__New__York__state__campaign
28 finance_fund,_established_pursuant_to_section_ninety-nine-u_of_the_state
06/08/11 34 11990-03-1
1 finance_law,_an_amount_equal_to_five_dollars_multiplied_by_the_number_of
2 designations.
3 (3)__For__purposes__of_this_subsection,_the_income_tax_liability_of_an
4 individual_for_any_taxable_year_is_the_amount_of_tax_imposed_under__this
5 article__reduced__by__the__sum__of__the__credits_(as_shown_in_his_or_her
6 return)_allowable_under_this_article.
7 (4)_The_department_shall_include_a_place_on_every_personal_income__tax
8 return__form_to_be_filed_by_an_individual_for_a_tax_year_beginning_on_or
9 after_January_first,_two_thousand_twelve,_immediately_above_the__certif-
10 ication_under_which_the_taxpayer_is_required_to_sign_such_form,_for_such
11 taxpayer__to__make__the__designations_described_in_paragraph_one_of_this
12 subsection._Such_return_form_shall_contain_a_concise_explanation_of__the
13 purpose_of_such_optional_designations.
14 § 7. Severability. If any clause, sentence, subdivision, paragraph,
15 section or part of this act be adjudged by any court of competent juris-
16 diction to be invalid, such judgment shall not affect, impair or invali-
17 date the remainder thereof, but shall be confined in its operation to
18 the clause, sentence, subdivision, paragraph, section or part thereof
19 directly involved in the controversy in which such judgment shall have
20 been rendered.
21 § 8. This act shall take effect January 1, 2012.