•  Summary 
  •  
  •  Actions 
  •  
  •  Committee Votes 
  •  
  •  Floor Votes 
  •  
  •  Memo 
  •  
  •  Text 
  •  
  •  LFIN 
  •  
  •  Chamber Video/Transcript 

A06661 Summary:

BILL NOA06661A
 
SAME ASSAME AS S00413
 
SPONSORGalef
 
COSPNSRWoerner, Burdick, Seawright
 
MLTSPNSRThiele
 
Add Art 1-B §§1-aa - 1-qq, Leg L
 
Enacts the consulting act to regulate the activities of persons and organizations retained, employed or designated to influence the passage or defeat of state legislation, rules or regulations, or rate making proceedings or influence the passage or defeat of local laws, ordinances or regulations.
Go to top    

A06661 Actions:

BILL NOA06661A
 
03/23/2021referred to governmental operations
04/27/2021amend and recommit to governmental operations
04/27/2021print number 6661a
Go to top

A06661 Memo:

NEW YORK STATE ASSEMBLY
MEMORANDUM IN SUPPORT OF LEGISLATION
submitted in accordance with Assembly Rule III, Sec 1(f)
 
BILL NUMBER: A6661A
 
SPONSOR: Galef
  TITLE OF BILL: An act to amend the legislative law, in relation to creating the consulting act   PURPOSE OR GENERAL IDEA OF BILL: The purpose of this legislation is to enact the Consulting Act.   SUMMARY OF SPECIFIC PROVISIONS: Section 1. Amends the Legislative Law by adding a new article 1-B, which would enact the CONSULTING ACT -Section 1-aa This article shall be known and may be cited as the "consulting act". -Section 1-bb Defines the terms "client", "organization", "state agen- cy", "commission", "expense", "expenses", "compensation", "public corpo- ration", "gift", "municipality", "public official", "restricted period", "revenue contract", "article of procurement", "governmental procure- ment", "offerer", "procurement contract", "municipal agency", local legislative body", commission salesperson", "unified court system", "reportable business relationship", "business dealings", and "contract". -Section 1-cc Powers of the Commission. In addition to any other powers and duties provided by section 94 of the executive law, the commission shall administer and enforce all the provisions of this arti- cle, conduct a program of random audits, conduct hearings, prepare uniform forms, meet at least once during each bi-monthly reporting peri- od of the year, issue advisory opinions to those under its jurisdiction, submit an annual report to the governor and members of the legislature, and provide an online ethics training course to individuals required to register as consultants. -Section 1-dd Statement of Registration. Every consultant shall annu- ally file a statement of registration. Certain exemptions are granted. -Section 1-ee Monthly Registration Docket. It shall be the duty of the commission to compile a month docket of statements of registration containing all information required by section 1-dd of this article. -Section 1-ff Termination of Retainer, Employment or Designation. It provides that upon termination of a consultant's retainer, employment or designation, such consultant and the client on whose behalf such service has been rendered, shall give written notice to the Commissioner. -Section 1-gg Bi-Monthly Reports. The conditions under which consult- ants must submit bi-monthly reports to the commission, as well as the terms such reports shall contain, that such reports shall be subject to review by the commission and the period of time that such reports shall be kept on file, as well as any exceptions to the bi-monthly reporting requirements. -Section 1-hh Contingent Retainers. No client shall retain or employ any consultant for compensation, the rate or amount of which compen- sation in whole or part is dependent upon (i) the passage or defeat of any legislative bill or approval or veto of any legislation by the governor, (ii) the passage or defeat of any local law, ordinance, regu- lation or resolution by any municipality or subdivision thereof, (iii) any determination by a state agency, either house of the State or Legis- lature, the unified court system, municipal agency or local legislative body with respect to a governmental procurement or grant, loan or agree- ment involving the disbursement of public monies. -Section 1-ii Requirements for submitting reports involving the disbursement of public monies, (b) the terms such reports shall contain, (c) the schedule under which such reports must be filed, (d) any fees which may be imposed for late filing of a report, and (e) that all reports shall be subject to review by the commission. -Section 1-jj Prohibition of Gifts. No individual or entity required to be listed on a statement of registration, or their spouse or uneman- cipated child, shall offer or give a gift to any public official as defined within this article, or any public official's spouse or uneman- cipated child. It further provides any exceptions to this prohibition. -Section 1-kk Penalties. Any person or who knowing and willfully fails to file a timely and accurate report or statement shall be guilty of a class A misdemeanor. Additional details are provided. -Section 1-ll Enforcement. All statements and reports shall be subject to a declaration by the person filing such reports that the information is true and complete. The commission shall review all statements and reports, and upon receipt of notice of failure from the commission, the attorney general or other appropriate authority shall take appropriate action. -Section 1-mm Record of Appearances. The commission shall promulgate all rules or regulations and any procedures, forms, or instructions necessary to implement the provisions relating to the quarterly filing of the record of appearances before regulatory agencies. -Section 1-nn The commission shall publish a statement on consulting regulations setting forth the requirements of this article in a clear and brief manner, and provides the terms to be included in such state- ment -Section 1-oo Public Access to Records. The commission shall make information furnished by consultants and clients available to the public, and provide the terms under which such public access shall be made. -Section 1-pp This article shall be subject to the applicable provisions of the state administrative procedure act and section seven- ty-three of the civil rights law. -Section 1-qq Separability Clause. Provides that if any part or provision of this article, or application, is adjudged by a court to be unconstitutional, such judgment shall not affect or impair any other part of provision or the application thereof to any other person or organization, but shall be confined in its operation. Section 2. Establishes the effective date.   DIFFERENCE BETWEEN ORIGINAL AND AMENDED VERSION (IF APPLICABLE): The only changes made were to references of the year '2008' that should have read '2006' and one area that referenced '2028' but should have read '2029'.   JUSTIFICATION: After recent reports outlining the potential of a conflict-of-interest to occur between public relations and strategic communications firms, their clients, and the public officials whom they work with, it has become vital that consultants are subject to the registration and reporting requirements to which lobbyists are already subject. Many times, these firms are hired to craft "key messaging" strategies that benefit their clients' interest and agendas. Employees and people asso- ciated with these firms meet with government officials, while advocating for their outside clients' interests, and currently are not under any requirement to disclose their activities. Whether these firms are directly making requests of elected officials or not, they are in a position to broker agreements, expedite client meetings, and they are in a position to broker agreements, expedite client meetings, and influence decision-makers. In this time of declining public trust in elected offi- cials, we must not ignore the concerns raised by consultants' activ- ities. This legislation aims to increase the transparency of relationships between elected officials, government agencies, consulting firms, and the clients that they represent. It would require registration and disclosure for all firms that have substantial contact with both elected officials and outside clients, as modeled after the Lobbying Act, as well as set out any penalties and enforcement thereof.   PRIOR LEGISLATIVE HISTORY: A. 6769 and S. 5896 of 2019/2020 A. 6672 and S. 1520 of 2017/2018 A. 9180 and S. 5520 of 2015/2016   FISCAL IMPLICATIONS: The fiscal implications are not determined at this time.   EFFECTIVE DATE: This act shall take effect immediately.
Go to top

A06661 Text:



 
                STATE OF NEW YORK
        ________________________________________________________________________
 
                                         6661--A
 
                               2021-2022 Regular Sessions
 
                   IN ASSEMBLY
 
                                     March 23, 2021
                                       ___________
 
        Introduced  by M. of A. GALEF, WOERNER -- Multi-Sponsored by -- M. of A.
          THIELE -- read once and referred  to  the  Committee  on  Governmental
          Operations -- committee discharged, bill amended, ordered reprinted as
          amended and recommitted to said committee
 
        AN  ACT  to  amend  the  legislative  law,  in  relation to creating the
          consulting act

          The People of the State of New York, represented in Senate and  Assem-
        bly, do enact as follows:
 
     1    Section  1. The legislative law is amended by adding a new article 1-B
     2  to read as follows:
     3                                 ARTICLE 1-B
     4                               CONSULTING ACT
     5  Section 1-aa. Short title.
     6          1-bb. Definitions.
     7          1-cc. Powers of the commission.
     8          1-dd. Statement of registration.
     9          1-ee. Monthly registration docket.
    10          1-ff. Termination of retainer, employment or designation.
    11          1-gg. Bi-monthly reports.
    12          1-hh. Contingent retainer.
    13          1-ii. Reports involving disbursement of public monies.
    14          1-jj. Prohibition of gifts.
    15          1-kk. Penalties.
    16          1-ll. Enforcement.
    17          1-mm. Record of appearances.
    18          1-nn. Publication of statement on  consultant  disclosure  regu-
    19                 lations.
    20          1-oo. Public access to records.
    21          1-pp. Applicability of certain laws.
    22          1-qq. Separability clause.
 
         EXPLANATION--Matter in italics (underscored) is new; matter in brackets
                              [ ] is old law to be omitted.
                                                                   LBD02948-03-1

        A. 6661--A                          2
 
     1    §  1-aa.  Short title. This article shall be known and may be cited as
     2  the "consulting act".
     3    § 1-bb. Definitions. As used in this article unless the context other-
     4  wise requires:
     5    (a)  The  term  "client"  shall  mean every person or organization who
     6  retains, employs or designates any person or organization  to  carry  on
     7  consulting activities on behalf of such client.
     8    (b) The term "organization" shall mean any corporation, company, foun-
     9  dation,  association, college as defined by section two of the education
    10  law, labor organization, firm, partnership, society, joint stock  compa-
    11  ny, state agency or public corporation.
    12    (c)  The term "state agency" shall mean any department, board, bureau,
    13  commission, division, office,  council,  committee  or  officer  of  the
    14  state,  whether  permanent or temporary, or a public benefit corporation
    15  or public authority at least one of whose members is  appointed  by  the
    16  governor,  authorized by law to make rules or to make final decisions in
    17  adjudicatory proceedings but shall not include the  judicial  branch  or
    18  agencies created by interstate compact or international agreement.
    19    (d)  The  term  "commission" shall mean the joint commission on public
    20  ethics created by section ninety-four of the executive law.
    21    (e) The term "expense"  or  "expenses"  shall  mean  any  expenditures
    22  incurred by or reimbursed to the consultant for consulting but shall not
    23  include  contributions  reportable  pursuant  to article fourteen of the
    24  election law.
    25    (f) The term "compensation" shall mean any salary, fee, gift, payment,
    26  benefit, loan, advance or any other thing of value paid, owed, given  or
    27  promised  to  the  consultant by the client for consulting but shall not
    28  include contributions reportable pursuant to  article  fourteen  of  the
    29  election law.
    30    (g)  The term "public corporation" shall mean a municipal corporation,
    31  a district corporation, or a public benefit corporation  as  defined  in
    32  section sixty-six of the general construction law.
    33    (h)  The  term  "gift"  shall mean anything of more than nominal value
    34  given to a public official in any form including,  but  not  limited  to
    35  money,  service,  loan,  travel,  lodging,  meals,  refreshments, enter-
    36  tainment, discount, forbearance, or promise, having  a  monetary  value.
    37  The following are excluded from the definition of a gift:
    38    (i)  complimentary  attendance,  including  food and beverage, at bona
    39  fide charitable or political events;
    40    (ii) complimentary attendance, food and beverage offered by the  spon-
    41  sor  of  a widely attended event. The term "widely attended event" shall
    42  mean an event: (A) which at least  twenty-five  individuals  other  than
    43  members,  officers,  or  employees from the governmental entity in which
    44  the public official serves attend or were, in  good  faith,  invited  to
    45  attend,  and  (B) which is related to the attendee's duties or responsi-
    46  bilities or which allows the public official  to  perform  a  ceremonial
    47  function  appropriate  to  his or her position. For the purposes of this
    48  exclusion, a public official's duties or responsibilities shall  include
    49  but  not  be  limited  to  either (1) attending an event or a meeting at
    50  which a speaker or attendee addresses an issue  of  public  interest  or
    51  concern  as  a significant activity at such event or meeting; or (2) for
    52  elected public officials, or their staff attending with or on behalf  of
    53  such  elected  officials,  attending an event or a meeting at which more
    54  than one-half of the attendees, or persons  invited  in  good  faith  to
    55  attend, are residents of the county, district or jurisdiction from which
    56  the elected public official was elected;

        A. 6661--A                          3
 
     1    (iii)  awards,  plaques, and other ceremonial items which are publicly
     2  presented, or intended to  be  publicly  presented,  in  recognition  of
     3  public  service, provided that the item or items are of the type custom-
     4  arily bestowed at such or similar ceremonies and are  otherwise  reason-
     5  able under the circumstances, and further provided that the functionali-
     6  ty  of  such  items shall not determine whether such items are permitted
     7  under this paragraph;
     8    (iv) an honorary degree bestowed upon a public official by a public or
     9  private college or university;
    10    (v) promotional items having no substantial resale value such as pens,
    11  mugs, calendars, hats, and t-shirts which bear an  organization's  name,
    12  logo, or message in a manner which promotes the organization's cause;
    13    (vi)  goods and services, or discounts for goods and services, offered
    14  to the general public or a segment of the general public  defined  on  a
    15  basis  other  than  status  as a public official and offered on the same
    16  terms and conditions as the goods or services are offered to the general
    17  public or segment thereof;
    18    (vii) gifts from a family member, member of  the  same  household,  or
    19  person  with a personal relationship with the public official, including
    20  invitations to attend personal or family social events, when the circum-
    21  stances  establish  that  it  is  the  family,  household,  or  personal
    22  relationship that is the primary motivating factor; in determining moti-
    23  vation,  the following factors shall be among those considered:  (A) the
    24  history and nature of the relationship between the donor and the recipi-
    25  ent, including whether or not items have previously been exchanged;  (B)
    26  whether  the item was purchased by the donor; and (C) whether or not the
    27  donor at the same time gave similar items to other public officials; the
    28  transfer shall not be considered to be motivated by a family, household,
    29  or personal relationship if the donor seeks  to  charge  or  deduct  the
    30  value  of  such item as a business expense or seeks reimbursement from a
    31  client;
    32    (viii) contributions reportable under article fourteen of the election
    33  law, including contributions made in violation of that  article  of  the
    34  election law;
    35    (ix)  travel  reimbursement  or  payment for transportation, meals and
    36  accommodations for an attendee, panelist or speaker at an  informational
    37  event  or  informational  meeting  when such reimbursement or payment is
    38  made by a governmental entity or by an  in-state  accredited  public  or
    39  private  institution  of  higher  education  that hosts the event on its
    40  campus, provided, however, that the  public  official  may  only  accept
    41  lodging from an institution of higher education: (A) at a location on or
    42  within close proximity to the host campus; and (B) for the night preced-
    43  ing and the nights of the days on which the attendee, panelist or speak-
    44  er actually attends the event or meeting;
    45    (x)  provision  of local transportation to inspect or tour facilities,
    46  operations or property located in New  York  state,  provided,  however,
    47  that  such  inspection  or  tour is related to the individual's official
    48  duties  or  responsibilities  and  that  payment  or  reimbursement  for
    49  expenses  for  lodging or travel expenses to and from the locality where
    50  such facilities, operations or property are located shall be  considered
    51  to be gifts unless otherwise permitted under this subdivision;
    52    (xi)  meals  or  refreshments  when participating in a professional or
    53  educational program and the meals or refreshments are  provided  to  all
    54  participants; and
    55    (xii) food or beverage valued at fifteen dollars or less.

        A. 6661--A                          4
 
     1    (i)  The term "municipality" shall mean any jurisdictional subdivision
     2  of the state, including but not  limited  to  counties,  cities,  towns,
     3  villages, improvement districts and special districts, with a population
     4  of  more  than  five  thousand,  and  industrial development agencies in
     5  jurisdictional  subdivisions  with  a population of more than five thou-
     6  sand; and public authorities, and public corporations.
     7    (j) The term "public official" shall mean:
     8    (i) the governor, lieutenant governor, comptroller or attorney  gener-
     9  al;
    10    (ii) members of the state legislature;
    11    (iii) state officers and employees including:
    12    (A) heads of state departments and their deputies and assistants other
    13  than  members  of the board of regents of the university of the state of
    14  New York who receive no compensation or are compensated on  a  per  diem
    15  basis,
    16    (B) officers and employees of statewide elected officials,
    17    (C)  officers  and  employees  of  state departments, boards, bureaus,
    18  divisions, commissions, councils or other state agencies,
    19    (D) members or directors of public authorities, other than multi-state
    20  authorities, public benefit corporations and commissions at least one of
    21  whose members is appointed  by  the  governor,  and  employees  of  such
    22  authorities, corporations and commissions;
    23    (iv) officers and employees of the legislature; and
    24    (v)  municipal officers and employees including an officer or employee
    25  of a municipality, whether paid or  unpaid,  including  members  of  any
    26  administrative board, commission or other agency thereof and in the case
    27  of  a  county,  shall  be deemed to also include any officer or employee
    28  paid from county funds. No person shall be  deemed  to  be  a  municipal
    29  officer or employee solely by reason of being a volunteer firefighter or
    30  civil defense volunteer, except a fire chief or assistant fire chief.
    31    (k)  The  term  "restricted  period"  shall  mean  the  period of time
    32  commencing with the earliest written notice, advertisement or  solicita-
    33  tion  of a request for proposal, invitation for bids, or solicitation of
    34  proposals, or any other method for soliciting a response  from  offerers
    35  intending  to  result  in  a  procurement  contract with a state agency,
    36  either house of the state legislature, the unified court  system,  or  a
    37  municipal  agency, as that term is defined by paragraph (ii) of subdivi-
    38  sion (q) of this section, and ending with the final contract  award  and
    39  approval by the state agency, either house of the state legislature, the
    40  unified  court system, or a municipal agency, as that term is defined by
    41  paragraph (ii) of subdivision (q) of this section, and,  where  applica-
    42  ble, the state comptroller.
    43    (l)  The  term  "revenue  contract"  shall  mean any written agreement
    44  between a state or municipal agency or a local legislative body  and  an
    45  offerer  whereby the state or municipal agency or local legislative body
    46  gives or grants a concession or a franchise.
    47    (m) The term "article of procurement" shall mean a commodity, service,
    48  technology, public work, construction, revenue contract,  the  purchase,
    49  sale  or  lease  of real property or an acquisition or granting of other
    50  interest in real  property,  that  is  the  subject  of  a  governmental
    51  procurement.
    52    (n)  The  term  "governmental  procurement" shall mean: (i) the public
    53  announcement, public notice, or public communication  to  any  potential
    54  vendor  of  a  determination  of  need  for  a  procurement, which shall
    55  include, but not be limited to, the public notification of the  specifi-
    56  cations,  bid  documents,  request for proposals, or evaluation criteria

        A. 6661--A                          5
 
     1  for  a  procurement  contract,  (ii)  solicitation  for  a   procurement
     2  contract,  (iii)  evaluation  of  a  procurement  contract,  (iv) award,
     3  approval, denial or  disapproval  of  a  procurement  contract,  or  (v)
     4  approval  or  denial  of an assignment, amendment (other than amendments
     5  that are authorized and payable  under  the  terms  of  the  procurement
     6  contract  as  it  was finally awarded or approved by the comptroller, as
     7  applicable), renewal or extension of  a  procurement  contract,  or  any
     8  other  material change in the procurement contract resulting in a finan-
     9  cial benefit to the offerer.
    10    (o) The term "offerer" shall mean the individual  or  entity,  or  any
    11  employee,  agent  or  consultant  of  such  individual  or  entity, that
    12  contacts a state agency, either house  of  the  state  legislature,  the
    13  unified court system, a municipal agency or local legislative body about
    14  a governmental procurement provided, however, that a governmental agency
    15  or  its employees that communicate with the procuring agency regarding a
    16  governmental procurement in the exercise of its oversight  duties  shall
    17  not be considered an offerer.
    18    (p)  The  term "procurement contract" shall mean any contract or other
    19  agreement, including an amendment, extension, renewal, or  change  order
    20  to an existing contract (other than amendments, extensions, renewals, or
    21  change  orders  that  are  authorized and payable under the terms of the
    22  contract as it was finally awarded or approved by  the  comptroller,  as
    23  applicable),  for an article of procurement involving an estimated annu-
    24  alized expenditure in excess of fifteen thousand dollars. Grants,  arti-
    25  cle XI-B state finance law contracts, program contracts between not-for-
    26  profit  organizations,  as  defined in article XI-B of the state finance
    27  law, and the unified court system, intergovernmental  agreements,  rail-
    28  road  and  utility force accounts, utility relocation project agreements
    29  or orders, contracts governing organ transplants, contracts allowing for
    30  state participation in trade  shows,  and  eminent  domain  transactions
    31  shall not be deemed procurement contracts.
    32    (q) The term "municipal agency" shall mean: (i) any department, board,
    33  bureau, commission, division, office, council, committee or officer of a
    34  municipality,  whether  permanent  or  temporary;  or (ii) an industrial
    35  development agency, located in a jurisdictional subdivision of the state
    36  with a population of more than fifty thousand, or local  public  benefit
    37  corporation, as that term is defined in section sixty-six of the general
    38  construction law.
    39    (r) The term "local legislative body" shall mean the board of supervi-
    40  sors,  board  of  aldermen,  common  council,  council, commission, town
    41  board, board of trustees or other elective governing board or body of  a
    42  municipality  now or hereafter vested by state statute, charter or other
    43  law with jurisdiction to initiate and adopt local laws,  ordinances  and
    44  budgets,  whether  or not such local laws, ordinances or budgets require
    45  approval of the elective chief executive officer or  other  official  or
    46  body to become effective.
    47    (s) The term "commission salesperson" shall mean any person the prima-
    48  ry purpose of whose employment is to cause or promote the sale of, or to
    49  influence or induce another to make a purchase of an article of procure-
    50  ment,  whether  such  person is an employee (as that term is defined for
    51  tax purposes) of or an independent contractor  for  a  vendor,  provided
    52  that  an independent contractor shall have a written contract for a term
    53  of not less than six months or for an indefinite term, and which  person
    54  shall  be compensated, in whole or in part, by the payment of a percent-
    55  age amount of all or a substantial part of the sales which  such  person
    56  has  caused, promoted, influenced or induced, provided, however, that no

        A. 6661--A                          6
 
     1  person shall be considered a commission salesperson with respect to  any
     2  sale  to or purchase by a state agency, either house of the state legis-
     3  lature, the unified court system, a municipal agency or  local  legisla-
     4  tive  body  if  the  percentage  amount  of  any commission payable with
     5  respect to such sale or purchase  is  substantially  in  excess  of  any
     6  commission  payable  with  respect to any comparable sale to a purchaser
     7  that is not a state agency, either house of the state  legislature,  the
     8  unified  court  system,  a  municipal  agency or local legislative body;
     9  provided further, however, that any person that is required  to  file  a
    10  statement  or  report  pursuant to this article by virtue of engaging in
    11  consulting activities shall not be deemed to be a "commission  salesper-
    12  son" for purposes of this article.
    13    (t)  The  term  "unified court system" shall, for the purposes of this
    14  article only, mean the unified court system of the state of New York, or
    15  the office of court administration, where appropriate, other  than  town
    16  and  village  justice  courts  in  jurisdictions with a population under
    17  fifty thousand, when it acts solely in  an  administrative  capacity  to
    18  engage  in  governmental  procurements and shall not include the unified
    19  court system or any court of the state judiciary when it  acts  to  hear
    20  and decide cases of original or appellate jurisdiction or otherwise acts
    21  in its judicial, as opposed to administrative, capacity.
    22    (u) The term "reportable business relationship" shall mean a relation-
    23  ship  in  which compensation is paid by a consultant or by a client of a
    24  consultant, in exchange for any goods, services or  anything  of  value,
    25  the  total value of which is in excess of one thousand dollars annually,
    26  to be performed or provided by or intended to be performed  or  provided
    27  by  (i)  any  statewide elected official, state officer, state employee,
    28  member of the legislature or legislative employee, or (ii) any entity in
    29  which the consultant or the client of a consultant knows or  has  reason
    30  to  know  the statewide elected official, state officer, state employee,
    31  member of the legislature or legislative employee is a proprietor, part-
    32  ner, director, officer or manager, or owns or controls  ten  percent  or
    33  more of the stock of such entity (or one percent in the case of a corpo-
    34  ration  whose  stock  is  regularly  traded on an established securities
    35  exchange).
    36    (v) The term "business dealings" shall mean (i)  any  contract,  other
    37  than  an  emergency contract or a contract procured through publicly-ad-
    38  vertised competitive sealed bidding, which is  for  the  procurement  of
    39  goods,  services  or construction that is entered into or in effect with
    40  the public corporation at or above five hundred thousand dollars, or  an
    41  emergency  contract, and shall include any contract for the underwriting
    42  of the debt of the public corporation and  the  retention  of  any  bond
    43  counsel, disclosure counsel or underwriter's counsel in connection ther-
    44  ewith;  (ii) any acquisition or disposition of real property, other than
    45  a public auction or competitive sealed bid transaction or  the  acquisi-
    46  tion  of property pursuant to the department of environmental protection
    47  watershed land acquisition program, with the public  corporation;  (iii)
    48  any  concession, other than a concession awarded through publicly-adver-
    49  tised competitive sealed bid, or any franchise from a public corporation
    50  which has an estimated annual value at or above the dollar value defined
    51  in paragraph (ii) of subdivision  (w)  of  this  section;  or  (iv)  any
    52  contract for the investment of pension funds, including investments in a
    53  private  equity  firm and contracts with investment related consultants.
    54  For purposes of this article, all contracts, concessions, franchises and
    55  grants that are five thousand dollars or less in value shall be excluded

        A. 6661--A                          7
 
     1  from any calculation as to whether a contract, concession, franchise  or
     2  grant is a business dealing with the public corporation.
     3    (w) The term "contract" shall mean and include any agreement between a
     4  public  corporation  or elected official and a contractor, or any agree-
     5  ment between such a contractor and a subcontractor, which (i) is for the
     6  provision of goods, services or construction and has a value  that  when
     7  aggregated  with  the  values of all other such agreements with the same
     8  contractor or subcontractor and any franchises or concessions awarded to
     9  such  contractor  or  subcontractor  during  the  immediately  preceding
    10  twelve-month  period  is valued at one hundred thousand dollars or more;
    11  (ii) is for the provision of goods, services or construction, is awarded
    12  to a sole source and is valued at ten thousand dollars or more; (iii) is
    13  a concession and has a value that when aggregated with the value of  all
    14  other contracts held by the same concessionaire is valued at one hundred
    15  thousand dollars or more; or (iv) is a franchise.
    16    §  1-cc. Powers of the commission. In addition to any other powers and
    17  duties provided by section ninety-four of the executive law, the commis-
    18  sion shall, with respect to its consultant-related functions only,  have
    19  the power and duty to:
    20    (a) administer and enforce all the provisions of this article;
    21    (b) conduct a program of random audits subject to the terms and condi-
    22  tions  of  this  section.  Any  such program shall be carried out in the
    23  following manner:
    24    (i) The commission may randomly select reports or registration  state-
    25  ments  required  to  be filed by consultants or clients pursuant to this
    26  article for audit. Any such selection shall be done in a manner pursuant
    27  to which the identity of  any  particular  consultant  or  client  whose
    28  statement  or report is selected for audit is unknown to the commission,
    29  its staff or any of their agents prior to selection.
    30    (ii) The commission shall develop protocols for the  conduct  of  such
    31  random  audits.  Such random audits may require the production of books,
    32  papers, records or memoranda relevant and material to the preparation of
    33  the selected statements or reports, for examination by  the  commission.
    34  Any  such  protocols  shall ensure that similarly situated statements or
    35  reports are audited in a uniform manner.
    36    (iii) The commission shall contract with an outside accounting entity,
    37  which shall monitor the process pursuant to which the commission selects
    38  statements or reports for audit and carries out the provisions of  para-
    39  graphs  (i) and (ii) of this subdivision and certifies that such process
    40  complies with the provisions of such paragraphs.
    41    (iv) Upon completion of a random audit conducted  in  accordance  with
    42  the  provisions  of  paragraphs (i), (ii) and (iii) of this subdivision,
    43  the commission shall determine whether  there  is  reasonable  cause  to
    44  believe  that  any such statement or report is inaccurate or incomplete.
    45  Upon a determination that such reasonable cause exists,  the  commission
    46  may  require  the  production  of  further  books, records or memoranda,
    47  subpoena witnesses, compel their attendance and testimony and administer
    48  oaths or affirmations, to the  extent  the  commission  determines  such
    49  actions  are  necessary  to  obtain information relevant and material to
    50  investigating such inaccuracies or omissions;
    51    (c) conduct hearings pursuant to article seven of the public  officers
    52  law.  Any  hearing  may be conducted as a video conference in accordance
    53  with the provisions of subdivision four of section one hundred  four  of
    54  the public officers law;
    55    (d)  prepare  uniform forms for the statements and reports required by
    56  this article;

        A. 6661--A                          8
 
     1    (e) meet at least once during each bi-monthly reporting period of  the
     2  year as established by subdivision (a) of section one-gg of this article
     3  and  may  meet  at  such other times as the commission, or the chair and
     4  vice-chair jointly, shall determine;
     5    (f)  issue  advisory  opinions  to those under its jurisdiction.  Such
     6  advisory opinions, which shall be published and made  available  to  the
     7  public, shall not be binding upon such commission except with respect to
     8  the  person  to whom such opinion is rendered, provided, however, that a
     9  subsequent modification by such commission of such an  advisory  opinion
    10  shall operate prospectively only; and
    11    (g) submit by the first day of March next following the year for which
    12  such  report  is made to the governor and the members of the legislature
    13  an annual report summarizing the commission's work, listing the consult-
    14  ant's and clients required to register pursuant to this article and  the
    15  expenses  and  compensation reported pursuant to this article and making
    16  recommendations with respect to this article. The commission shall  make
    17  this report available free of charge to the public.
    18    (h)  provide  an  online ethics training course for individuals regis-
    19  tered as consultants pursuant to section one-dd  of  this  article.  The
    20  curriculum for the course shall include, but not be limited to, explana-
    21  tions  and  discussions  of  the  statutes  and  regulations of New York
    22  concerning ethics in the public officers  law,  the  election  law,  the
    23  legislative law, summaries of advisory opinions, underlying purposes and
    24  principles  of  the relevant laws, and examples of practical application
    25  of these laws and principles.  The commission shall prepare those  meth-
    26  ods and materials necessary to implement the curriculum. Each individual
    27  registered  as  a  consultant pursuant to section one-dd of this article
    28  shall complete such training course at  least  once  in  any  three-year
    29  period during which he or she is registered as a consultant.
    30    §  1-dd.  Statement  of  registration.  (a) (i) Every consultant shall
    31  annually file with the commission, on forms provided by the  commission,
    32  a  statement  of registration for each calendar year; provided, however,
    33  that the filing of such statement of registration shall not be  required
    34  of  any consultant who (A) in any year does not expend, incur or receive
    35  an amount in excess of two thousand dollars for years prior to two thou-
    36  sand six and in excess of five thousand dollars in the year two thousand
    37  six and the years thereafter of reportable compensation and expenses, as
    38  provided in paragraph (v) of subdivision (b) of section one-gg  of  this
    39  article,  for the purposes of consulting or (B) is an officer, director,
    40  trustee or employee of any public corporation, when acting in such offi-
    41  cial capacity; provided however, that nothing in this section  shall  be
    42  construed  to  relieve  any public corporation of the obligation to file
    43  such statements and reports as required by  this  article.  The  amounts
    44  expended,  incurred, or received of reportable compensation and expenses
    45  for  consulting  activities  shall  be  computed  cumulatively  for  all
    46  consulting  activities when determining whether the thresholds set forth
    47  in this section have been met.
    48    (ii) (A) Through calendar year two thousand  twenty-six,  such  filing
    49  shall  be completed on or before January first by those persons who have
    50  been retained, employed or designated as consultant on or before  Decem-
    51  ber  fifteenth  who  reasonably  anticipate that in the coming year they
    52  will expend, incur  or  receive  combined  reportable  compensation  and
    53  expenses  in  an  amount  in  excess  of two thousand dollars; for those
    54  consultants retained, employed or designated after  December  fifteenth,
    55  and  for  those consultants who subsequent to their retainer, employment
    56  or designation reasonably anticipate  combined  reportable  compensation

        A. 6661--A                          9
 
     1  and  expenses  in  excess  of such amount, such filing must be completed
     2  within fifteen days thereafter, but in no  event  later  than  ten  days
     3  after  the actual incurring or receiving of such reportable compensation
     4  and expenses.
     5    (B) For calendar year two thousand twenty-seven, such filings shall be
     6  completed  on  or  before  January  first by those persons who have been
     7  retained, employed or designated as consultant  on  or  before  December
     8  fifteenth, two thousand twenty-six who reasonably anticipate that in the
     9  coming  year  they  will  expend,  incur  or receive combined reportable
    10  compensation and expenses  in  an  amount  in  excess  of  two  thousand
    11  dollars;  for  those  consultants retained, employed or designated after
    12  December fifteenth, two thousand twenty-six, and for  those  consultants
    13  who  subsequent  to their retainer, employment or designation reasonably
    14  anticipate combined reportable compensation and expenses  in  excess  of
    15  such amount, such filing must be completed within fifteen days thereaft-
    16  er,  but  in  no event later than ten days after the actual incurring or
    17  receiving of such reportable compensation and expenses.
    18    (iii) Commencing calendar year two thousand twenty-eight and thereaft-
    19  er every consultant shall biennially file with the commission, on  forms
    20  provided by the commission, a statement of registration for each bienni-
    21  al period beginning with the first year of the biennial cycle commencing
    22  calendar year two thousand twenty-eight and thereafter; provided, howev-
    23  er, that the biennial filing of such statement of registration shall not
    24  be required of any consultant who (A) in any year prior to calendar year
    25  two  thousand twenty-nine does not expend, incur or receive an amount in
    26  excess of two thousand dollars of reportable compensation and  expenses,
    27  as  provided  in  paragraph  (v) of subdivision (b) of section one-gg of
    28  this article, for the purposes of consulting and commencing with  calen-
    29  dar  year  two  thousand twenty-two does not expend, incur or receive an
    30  amount in excess of five thousand dollars of reportable compensation, as
    31  provided in paragraph (v) of subdivision (b) of section one-gg  of  this
    32  article  for  the purposes of consulting or (B) is an officer, director,
    33  trustee or employee of any public corporation, when acting in such offi-
    34  cial capacity; provided however, that nothing in this section  shall  be
    35  construed  to  relieve  any public corporation of the obligation to file
    36  such statements and reports as required by this article.
    37    (iv) Such biennial filings shall be completed  on  or  before  January
    38  first  of the first year of a biennial cycle commencing in calendar year
    39  two thousand twenty-eight and thereafter, by those persons who have been
    40  retained, employed or designated as consultant  on  or  before  December
    41  fifteenth  of  the  previous calendar year and who reasonably anticipate
    42  that in the coming year they will  expend,  incur  or  receive  combined
    43  reportable compensation and expenses in an amount in excess of two thou-
    44  sand  dollars  in  years prior to calendar year two thousand twenty-nine
    45  and five thousand dollars commencing in two  thousand  twenty-nine;  for
    46  those  consultants  retained,  employed or designated after the previous
    47  December fifteenth, and for those consultants who  subsequent  to  their
    48  retainer,  employment  or  designation  reasonably  anticipate  combined
    49  reportable compensation and expenses in  excess  of  such  amount,  such
    50  filing must be completed within fifteen days thereafter, but in no event
    51  later  than  ten  days  after  the actual incurring or receiving of such
    52  reportable compensation and expenses.
    53    (b) (i) Such statements of registration shall be kept on  file  for  a
    54  period  of  three years for those filing periods where annual statements
    55  are required, and shall be open to public inspection during such period;

        A. 6661--A                         10
 
     1    (ii) Biennial statements of registration shall be kept on file  for  a
     2  period  of  three  biennial filing periods where biennial statements are
     3  required, and shall be open to public inspection during such period.
     4    (c) Such statement of registration shall contain:
     5    (i)  the  name, address and telephone number of the consultant, and if
     6  the consultant is an organization the  names,  addresses  and  telephone
     7  numbers of any officer or employee of such consultant who engages in any
     8  consulting  activities  or who is employed in an organization's division
     9  that engages in consulting activities of the organization;
    10    (ii) the name, address and telephone number of the client by  whom  or
    11  on whose behalf the consultant is retained, employed or designated;
    12    (iii) if such consultant is retained or employed pursuant to a written
    13  agreement  of  retainer  or  employment,  a  copy  of such shall also be
    14  attached and if such retainer or employment is oral, a statement of  the
    15  substance  thereof; such written retainer, or if it is oral, a statement
    16  of the substance thereof, and any amendment thereto, shall  be  retained
    17  for a period of three years;
    18    (iv) a written authorization from the client by whom the consultant is
    19  authorized to consult, unless such consultant has filed a written agree-
    20  ment  of  retainer  or  employment  pursuant  to paragraph three of this
    21  subdivision;
    22    (v) the following information  on  which  the  consultant  expects  to
    23  consult:  (A)  a description of the general subject or subjects, (B) the
    24  legislative bill numbers of any bills, (C) the numbers or subject matter
    25  (if there are no numbers) of gubernatorial executive orders or executive
    26  orders issued by the chief executive officer of a municipality, (D)  the
    27  subject matter of and tribes involved in tribal-state compacts, memoran-
    28  da  of understanding, or any other state-tribal agreements and any state
    29  actions related to class III gaming as provided in 25 U.S.C. § 2701, (E)
    30  the rule, regulation, and ratemaking numbers of any rules,  regulations,
    31  rates, or municipal ordinances and resolutions, or proposed rules, regu-
    32  lations,  or rates, or municipal ordinances and resolutions, and (F) the
    33  titles and any identifying numbers  of  any  procurement  contracts  and
    34  other  documents  disseminated  by  a  state agency, either house of the
    35  state legislature, the unified court system, municipal agency  or  local
    36  legislative body in connection with a governmental procurement;
    37    (vi)  the name of the person, organization, or legislative body before
    38  which the consultant is consulting or expects to consult;
    39    (vii) if the consultant is retained, employed or  designated  by  more
    40  than  one client, a separate statement of registration shall be required
    41  for each such client;
    42    (viii) (A) the name and public office address of any statewide elected
    43  official, state officer or employee, member of the legislature or legis-
    44  lative employee and entity with whom the  consultant  has  a  reportable
    45  business relationship;
    46    (B)  a  description  of  the general subject or subjects of the trans-
    47  actions between the consultant or consultants and the statewide  elected
    48  official, state officer or employee, member of the legislature or legis-
    49  lative employee and entity; and
    50    (C)  the  compensation,  including  expenses,  to  be paid and paid by
    51  virtue of the business relationship.
    52    (d) Any amendment to the information filed by the  consultant  in  the
    53  original  statement of registration shall be submitted to the commission
    54  on forms supplied by the commission within ten days  after  such  amend-
    55  ment, however, this shall not require the consultant to amend the entire
    56  registration form.

        A. 6661--A                         11
 
     1    (e)  (i)  The  first  statement of registration filed annually by each
     2  consultant for calendar years through two thousand twenty-six  shall  be
     3  accompanied by a registration fee of fifty dollars except that no regis-
     4  tration  fee  shall  be required of a public corporation. A fee of fifty
     5  dollars  shall  be required for any subsequent statement of registration
     6  filed by a consultant during the same  calendar  year;  (ii)  The  first
     7  statement of registration filed annually by each consultant for calendar
     8  year two thousand twenty-five shall be accompanied by a registration fee
     9  of one hundred dollars except that no registration fee shall be required
    10  from any consultant who in any year does not expend, incur or receive an
    11  amount in excess of five thousand dollars of reportable compensation and
    12  expenses,  as  provided  in  paragraph (v) of subdivision (b) of section
    13  one-gg of this article, for the purposes of consulting or  of  a  public
    14  corporation.  A  fee  of  one  hundred dollars shall be required for any
    15  subsequent statement of registration filed by a  consultant  during  the
    16  same  calendar  year;  (iii)  The  first statement of registration filed
    17  biennially by  each  consultant  for  the  first  biennial  registration
    18  requirements  for calendar years two thousand twenty-eight and two thou-
    19  sand twenty-nine and thereafter, shall be accompanied by a  registration
    20  fee  of  two  hundred  dollars  except that no registration fee shall be
    21  required from any consultant who in any year does not expend,  incur  or
    22  receive  an  amount  in  excess  of  five thousand dollars of reportable
    23  compensation and expenses, as provided in paragraph (v)  of  subdivision
    24  (b) of section one-gg of this article, for the purposes of consulting or
    25  of  a public corporation. A fee of two hundred dollars shall be required
    26  for any subsequent statement  of  registration  filed  by  a  consultant
    27  during  the  same  biennial  period;  (iv) The statement of registration
    28  filed after the due date of a biennial registration shall be accompanied
    29  by a registration fee that is prorated to one hundred  dollars  for  any
    30  registration  filed  after  January  first  of  the second calendar year
    31  covered by the biennial reporting requirement. In addition to  the  fees
    32  authorized  by  this  section,  the commission may impose a fee for late
    33  filing of a registration statement  required  by  this  section  not  to
    34  exceed  twenty-five  dollars for each day that the statement required to
    35  be filed is late, except that if the consultant making a late filing has
    36  not previously been required by statute to file such  a  statement,  the
    37  fee  for  late filing shall not exceed ten dollars for each day that the
    38  statement required to be filed is late.
    39    § 1-ee. Monthly registration docket. It  shall  be  the  duty  of  the
    40  commission  to  compile  a  monthly docket of statements of registration
    41  containing all information required by section one-dd of  this  article.
    42  Each  such  monthly  docket shall contain all statements of registration
    43  filed during such month and all amendments to  previously  filed  state-
    44  ments  of  registration.    Copies  shall  be  made available for public
    45  inspection.
    46    § 1-ff. Termination of retainer, employment or designation.  Upon  the
    47  termination  of a consultant's retainer, employment or designation, such
    48  consultant and the client on whose behalf such service has been rendered
    49  shall both give written notice to  the  commission  within  thirty  days
    50  after  the  consultant ceases the activity that required such consultant
    51  to file a statement of  registration;  however,  such  consultant  shall
    52  nevertheless comply with the bi-monthly reporting requirements up to the
    53  date  such  activity has ceased as required by this article. The commis-
    54  sion shall enter notice of such termination in the  appropriate  monthly
    55  registration docket required by section one-ee of this article.

        A. 6661--A                         12

     1    §  1-gg.  Bi-monthly  reports.  (a)  Any consultant required to file a
     2  statement of registration pursuant to section one-dd of this article who
     3  in any consultant year reasonably anticipates that during the year  such
     4  consultant  will  expend,  incur  or receive combined reportable compen-
     5  sation  and expenses in an amount in excess of five thousand dollars, as
     6  provided in paragraph (v) of subdivision (b) of this  section,  for  the
     7  purpose of consulting, shall file with the commission a bi-monthly writ-
     8  ten  report,  on  forms supplied by the commission, by the fifteenth day
     9  next succeeding the end of the reporting period in which the  consultant
    10  was  first  required to file a statement of registration. Such reporting
    11  periods shall be the period of January first to the last day  of  Febru-
    12  ary,  March  first to April thirtieth, May first to June thirtieth, July
    13  first to August thirty-first, September first  to  October  thirty-first
    14  and November first to December thirty-first.
    15    (b) Such bi-monthly report shall contain:
    16    (i) the name, address and telephone number of the consultant;
    17    (ii)  the  name, address and telephone number of the client by whom or
    18  on whose behalf the consultant is retained, employed or designated;
    19    (iii) the following information on which the consultant has consulted:
    20  (A) a description of the general subject or subjects, (B)  the  legisla-
    21  tive  bill  numbers  of any bills, (C) the numbers or subject matter (if
    22  there are no numbers) of gubernatorial  executive  orders  or  executive
    23  orders  issued by the chief executive officer of a municipality, (D) the
    24  subject matter of and tribes involved in tribal-state compacts, memoran-
    25  da of understanding, or any other state-tribal agreements and any  state
    26  actions related to class III gaming as provided in 25 U.S.C. § 2701, (E)
    27  the  rule,  regulation,  and ratemaking or municipal ordinance or resol-
    28  ution numbers of any  rules,  regulations,  or  rates  or  ordinance  or
    29  proposed  rules, regulations, or rates or municipal ordinances or resol-
    30  utions, and (F) the titles and any identifying numbers of  any  procure-
    31  ment  contracts  and  other  documents  disseminated  by a state agency,
    32  either house of the state legislature, the unified court system, munici-
    33  pal agency or local legislative body in connection with  a  governmental
    34  procurement;
    35    (iv)  the name of the person, organization, or legislative body before
    36  which the consultant has consulted;
    37    (v) (A) the compensation paid or  owed  to  the  consultant,  and  any
    38  expenses  expended,  received  or  incurred  by  the  consultant for the
    39  purpose of consulting.
    40    (B) expenses required to be reported pursuant to subparagraph  (A)  of
    41  this  paragraph shall be listed in the aggregate if seventy-five dollars
    42  or less and if more than seventy-five dollars  such  expenses  shall  be
    43  detailed  as  to  amount,  to whom paid, and for what purpose; and where
    44  such expense is more than seventy-five dollars  on  behalf  of  any  one
    45  person, the name of such person shall be listed.
    46    (C) for the purposes of this paragraph, expenses shall not include:
    47    (1)  personal  sustenance,  lodging  and  travel disbursements of such
    48  consultant;
    49    (2) expenses, not in excess of five hundred dollars in any one  calen-
    50  dar  year,  directly incurred for the printing or other means of reprod-
    51  uction or mailing of letters, memoranda or other written communications.
    52    (D) expenses paid or incurred for salaries  other  than  that  of  the
    53  consultant shall be listed in the aggregate.
    54    (E)  expenses  of  more  than  fifty dollars shall be paid by check or
    55  substantiated by receipts and such checks and receipts shall be kept  on
    56  file by the consultant for a period of three years.

        A. 6661--A                         13
 
     1    (c)  (i) All such bi-monthly reports shall be subject to review by the
     2  commission.
     3    (ii) Such bi-monthly reports shall be kept on file for three years and
     4  shall be open to public inspection during such time.
     5    (iii)  In  addition to the filing fees authorized by this article, the
     6  commission may impose a fee for  late  filing  of  a  bi-monthly  report
     7  required  by this section not to exceed twenty-five dollars for each day
     8  that the report required to  be  filed  is  late,  except  that  if  the
     9  consultant  making  a  late  filing  has not previously been required by
    10  statute to file such a report, the fee for late filing shall not  exceed
    11  ten dollars for each day that the report required to be filed is late.
    12    (iv)  Any  consultant  registered  pursuant  to section one-dd of this
    13  article whose consulting activity is performed on its own behalf and not
    14  pursuant to retention by a client:
    15    (A) that has spent over fifty thousand dollars for reportable  compen-
    16  sation  and  expenses for consulting either during the calendar year, or
    17  during the twelve-month period, prior to the  date  of  this  bi-monthly
    18  report, and
    19    (B) at least three percent of whose total expenditures during the same
    20  period  were  devoted  to  consulting  in  New  York shall report to the
    21  commission the names of  each  source  of  funding  over  five  thousand
    22  dollars  from  a  single  source  that  were used to fund the consulting
    23  activities reported and the amounts received from each identified source
    24  of funding.
    25    This disclosure shall not require disclosure of the sources of funding
    26  whose disclosure, in the determination of the commission  based  upon  a
    27  review  of the relevant facts presented by the reporting consultant, may
    28  cause harm, threats, harassment, or reprisals to the source or to  indi-
    29  viduals or property affiliated with the source. The reporting consultant
    30  may appeal the commission's determination and such appeal shall be heard
    31  by a judicial hearing officer who is independent and not affiliated with
    32  or  employed  by  the commission, pursuant to regulations promulgated by
    33  the commission. The  reporting  consultant  shall  not  be  required  to
    34  disclose  the  sources  of  funding  that are the subject of such appeal
    35  pending final judgment on appeal.
    36    The disclosure shall not apply to:
    37    (i) any corporation registered pursuant  to  article  seven-A  of  the
    38  executive  law that is qualified as an exempt organization by the United
    39  States Department of the Treasury under I.R.C. § 501(c)(3);
    40    (ii) any corporation registered pursuant to  article  seven-A  of  the
    41  executive  law that is qualified as an exempt organization by the United
    42  States Department of the Treasury under I.R.C.  §  501(c)(4)  and  whose
    43  primary  activities concern any area of public concern determined by the
    44  commission to create a substantial likelihood that application  of  this
    45  disclosure  requirement  would  lead  to  harm,  threats, harassment, or
    46  reprisals to a source of funding or to individuals  or  property  affil-
    47  iated  with  such source, including but not limited to the area of civil
    48  rights and civil liberties and any other area of public  concern  deter-
    49  mined  pursuant  to  regulations promulgated by the commission to form a
    50  proper basis for exemption on this basis from this  disclosure  require-
    51  ment; or
    52    (iii) any governmental entity.
    53    The  joint commission on public ethics shall promulgate regulations to
    54  implement these requirements.

        A. 6661--A                         14
 
     1    § 1-hh. Contingent retainer. (a) No client shall retain or employ  any
     2  consultant for compensation, the rate or amount of which compensation in
     3  whole or part is contingent or dependent upon:
     4    (i)  (A) the passage or defeat of any legislative bill or the approval
     5  or veto of any legislation by the governor,  (B)  the  terms,  issuance,
     6  modification  or  rescission of a gubernatorial executive order, (C) the
     7  terms, approval or disapproval, or the implementation and administration
     8  of tribal-state compacts,  memoranda  of  understanding,  or  any  other
     9  tribal-state  agreements  and  any  state  actions  related to class III
    10  gaming as provided in 25 U.S.C. § 2701, or (D) the adoption or rejection
    11  of any code, rule or regulation having the force and effect  of  law  or
    12  the outcome of any rate making proceeding by a state agency;
    13    (ii)(A)  the passage or defeat of any local law, ordinance, regulation
    14  or resolution by any municipality or subdivision thereof, (B) the terms,
    15  issuance, modification or rescission of an executive order issued by the
    16  chief  executive  officer  of  a  municipality,  or  (C)  the  adoption,
    17  rejection or implementation of any rule, resolution or regulation having
    18  the force and effect of a local law, ordinance or regulation or any rate
    19  making proceeding by any municipality or subdivision thereof;
    20    (iii)  any  determination by a state agency, either house of the state
    21  legislature, the unified court system, municipal agency or local  legis-
    22  lative  body with respect to a governmental procurement or a grant, loan
    23  or agreement involving the disbursement of public monies.
    24    (b) No person shall accept such a retainer or employment. A  violation
    25  of this section shall be a class A misdemeanor.
    26    §  1-ii.  Reports  involving  disbursement  of  public monies. (a) Any
    27  consultant required to file a  statement  of  registration  pursuant  to
    28  section  one-dd  of  this  article who in any consulting year reasonably
    29  anticipates that during the year they  will  expend,  incur  or  receive
    30  combined  reportable compensation and expenses in an amount in excess of
    31  five thousand dollars shall file with the commission, on forms  supplied
    32  by the commission, a report of any attempts to influence a determination
    33  by  a  public  official, or by a person or entity working in cooperation
    34  with a public official, with  respect  to  the  solicitation,  award  or
    35  administration of a grant, loan, or agreement involving the disbursement
    36  of  public  monies  in  excess  of fifteen thousand dollars other than a
    37  governmental procurement as defined in section one-bb of this article.
    38    (b) Such public monies consulting reports shall contain:
    39    (i) the name, address and telephone number of the consultant  and  the
    40  individuals  employed  by  the  consultant engaged in such public monies
    41  consulting activities;
    42    (ii) the name, address and telephone number of the client by  whom  or
    43  on  whose  behalf  the consultant is retained, employed or designated on
    44  whose behalf the consultant has engaged in consulting  reportable  under
    45  this paragraph;
    46    (iii)  a  description  of  the grant, loan, or agreement involving the
    47  disbursement of public monies on which the consultant has consulted;
    48    (iv) the name of the person, organization, or legislative body  before
    49  which  the  consultant  has  engaged in consulting reportable under this
    50  paragraph; and
    51    (v) the compensation paid or owed to the consultant, and any  expenses
    52  expended,  received  or  incurred  by  the consultant for the purpose of
    53  consulting reportable under this paragraph.
    54    (c) Public monies consulting reports required pursuant to this section
    55  shall be filed in accordance with the schedule applicable to the  filing
    56  of  bi-monthly  reports  pursuant  to section one-gg of this article and

        A. 6661--A                         15
 
     1  shall be filed not later than the fifteenth day next succeeding the  end
     2  of such reporting period.
     3    (d)  In  addition  to  any  other fees authorized by this section, the
     4  commission may impose a fee for late filing of a report required by this
     5  subdivision not to exceed twenty-five dollars  for  each  day  that  the
     6  report  required  to  be  filed  is  late, except that if the consultant
     7  making a late filing has not previously been required by statute to file
     8  such a report, the fee for late filing shall not exceed ten dollars  for
     9  each day that the report required to be filed is late.
    10    (e) All reports filed pursuant to this subdivision shall be subject to
    11  review  by the commission. Such reports shall be kept in electronic form
    12  by the commission and shall be available for public inspection.
    13    § 1-jj. Prohibition of gifts. No individual or entity required  to  be
    14  listed  on  a  statement  of registration pursuant to this article shall
    15  offer or give a gift to any public official as defined within this arti-
    16  cle, unless under the circumstances it is not reasonable to  infer  that
    17  the  gift  was intended to influence such public official. No individual
    18  or entity required to be listed on a statement of registration  pursuant
    19  to this article shall offer or give a gift to the spouse or unemancipat-
    20  ed  child  of  any  public official as defined within this article under
    21  circumstances where it is reasonable to infer that the gift was intended
    22  to influence such public official. No spouse or unemancipated  child  of
    23  an  individual  required  to  be  listed  on a statement of registration
    24  pursuant to this article shall offer or give a gift to a public official
    25  under circumstances where it is reasonable to infer that  the  gift  was
    26  intended to influence such public official. This section shall not apply
    27  to gifts to officers, members or directors of boards, commissions, coun-
    28  cils,  public  authorities or public benefit corporations who receive no
    29  compensation or are compensated on a per diem basis, unless  the  person
    30  listed  on  the statement of registration appears or has matters pending
    31  before the board, commission or council on which the recipient sits.
    32    § 1-kk. Penalties. (a) (i)  Any  consultant,  public  corporation,  or
    33  client  who  knowingly  and  wilfully  fails  to file timely a report or
    34  statement required by this section or knowingly and wilfully files false
    35  information or knowingly and wilfully violates section  one-jj  of  this
    36  article shall be guilty of a class A misdemeanor; and
    37    (ii)  any  consultant, public corporation, or client who knowingly and
    38  wilfully fails to file timely a report or  statement  required  by  this
    39  section  or  knowingly and wilfully files false information or knowingly
    40  and wilfully violates section  one-jj  of  this  article,  after  having
    41  previously  been  convicted  in  the  preceding  five years of the crime
    42  described in paragraph (i) of this subdivision, shall  be  guilty  of  a
    43  class  E  felony.    Any consultant convicted of or pleading guilty to a
    44  felony under the provisions of this section may be barred from acting as
    45  a consultant for a period of one year from the date of  the  conviction.
    46  For  the  purposes of this subdivision, the chief administrative officer
    47  of any organization required to file a statement or report shall be  the
    48  person responsible for making and filing such statement or report unless
    49  some other person prior to the due date thereof has been duly designated
    50  to make and file such statement or report.
    51    (b)(i)  A  consultant, public corporation, or client who knowingly and
    52  wilfully fails to file a statement or report within  the  time  required
    53  for the filing of such report or knowingly and wilfully violates section
    54  one-jj of this article shall be subject to a civil penalty for each such
    55  failure  or violation, in an amount not to exceed the greater of twenty-
    56  five thousand dollars or three times the amount  the  person  failed  to

        A. 6661--A                         16
 
     1  report  properly  or unlawfully contributed, expended, gave or received,
     2  to be assessed by the commission.
     3    (ii)  A  consultant,  public  corporation, or client who knowingly and
     4  wilfully files a false statement or report shall be subject to  a  civil
     5  penalty,  in  an  amount  not  to  exceed  the greater of fifty thousand
     6  dollars or five times the amount the person failed to  report  properly,
     7  to be assessed by the commission.
     8    (iii)  Any  consultant  or client that knowingly and wilfully fails to
     9  file a statement or report within the time required for  the  filing  of
    10  such  report,  knowingly and wilfully files a false statement or report,
    11  or knowingly and wilfully violates section one-jj of this article, after
    12  having been found by the commission to have knowing and wilfully commit-
    13  ted such conduct or violation  in  the  preceding  five  years,  may  be
    14  subject  to  a determination that the consultant or client is prohibited
    15  from engaging in consulting activities, for a period of one year.
    16    (iv) Any consultant or client that knowingly and wilfully  engages  in
    17  consulting  activities,  during  the period in which they are prohibited
    18  from engaging in consulting activities, may be  subject  to  a  determi-
    19  nation  that  the  consultant  or  client is prohibited from engaging in
    20  consulting activities, for a period of up to four years,  and  shall  be
    21  subject  to a civil penalty not to exceed fifty thousand dollars, plus a
    22  civil penalty in an amount equal to five times the value  of  any  gift,
    23  compensation or benefit received as a result of the violation.
    24    (v)  A  consultant,  public  corporation,  or client who knowingly and
    25  wilfully fails to retain their records pursuant to  paragraph  (iii)  of
    26  subdivision (c) of section one-dd of this article or subparagraph (E) of
    27  paragraph  (v)  of  subdivision  (b)  of section one-gg of this article,
    28  shall be subject to a civil penalty in an amount of two thousand dollars
    29  per violation to be assessed by the commission.
    30    (c)(i) Any assessment or order to debar shall be determined only after
    31  a hearing at which the  party  shall  be  entitled  to  appear,  present
    32  evidence and be heard. Any assessment or order to debar pursuant to this
    33  section  may only be imposed after the commission sends by certified and
    34  first-class mail written notice of intent to assess a penalty  or  order
    35  to debar and the basis for the penalty or order to debar. Any assessment
    36  may be recovered in an action brought by the attorney general.
    37    (ii)  In  assessing  any fine or penalty pursuant to this section, the
    38  commission shall consider: (A) as a mitigating factor that the  consult-
    39  ant,  public  corporation  or client has not previously been required to
    40  register, and (B) as an aggravating factor that the  consultant,  public
    41  corporation  or client has had fines or penalties assessed against it in
    42  the past. The amount of  compensation  expended,  incurred  or  received
    43  shall be a factor to consider in determining a proportionate penalty.
    44    (iii)  Any  consultant,  public  corporation  or client who receives a
    45  notice of intent to assess a penalty for knowingly and wilfully  failing
    46  to  file  a  report  or  statement  pursuant  to subdivision (b) of this
    47  section and who has never previously received  a  notice  of  intent  to
    48  assess  a  penalty  for  failing  to file a report or statement required
    49  under this section shall be granted fifteen days within  which  to  file
    50  the  statement  of  registration  or report without being subject to the
    51  fine or penalty set forth in subdivision (b) of this section.  Upon  the
    52  failure  of such consultant, public corporation or client to file within
    53  such fifteen day period, such consultant, public corporation  or  client
    54  shall  be  subject  to  a fine or penalty pursuant to subdivision (b) of
    55  this section.

        A. 6661--A                         17
 
     1    (d) All moneys recovered by the attorney general or  received  by  the
     2  commission  from  the  assessment  of civil penalties authorized by this
     3  section shall be deposited to the general fund.
     4    §  1-ll.  Enforcement.  (a)  All statements and reports required under
     5  this article shall be subject to a declaration by the person making  and
     6  filing  such  statement and report that the information is true, correct
     7  and complete to the best knowledge and belief of the  signer  under  the
     8  penalties of perjury.
     9    (b)  The  commission  shall  be charged with the duty of reviewing all
    10  statements and reports required under this article for  violations,  and
    11  it  shall  be their duty, if they deem such to be wilful, to report such
    12  determination to the attorney general or other appropriate authority.
    13    (c) Upon receipt of notice of such failure from  the  commission,  the
    14  attorney  general  or other appropriate authority shall take such action
    15  as he deems appropriate to secure compliance with the provisions of this
    16  article.
    17    § 1-mm. Record of appearances. The  commission  shall  promulgate  all
    18  rules  or  regulations and any procedures, forms, or instructions neces-
    19  sary to implement the provisions of section one hundred sixty-six of the
    20  executive law relating to the quarterly filing of the record of  appear-
    21  ances before regulatory agencies.
    22    § 1-nn. Publication of statement on consultant disclosure regulations.
    23  The  commission  shall  publish  a  statement  on consulting regulations
    24  setting forth the requirements of this article  in  a  clear  and  brief
    25  manner.  Such statement shall contain an explanation of the registration
    26  and filing requirements and the penalties for violation thereof, togeth-
    27  er with such other information as the commission  shall  determine,  and
    28  copies  thereof  shall  be  made  available  to the public at convenient
    29  locations throughout the state.
    30    § 1-oo. Public access to records. The commission shall  make  informa-
    31  tion  furnished  by  consultants and clients available to the public for
    32  inspection and copying in electronic and paper formats. Access  to  such
    33  information  shall  also  be  made  available  for remote computer users
    34  through the internet network.
    35    § 1-pp. Applicability of certain laws. The provisions of this  article
    36  including,  but  not  limited  to,  any  proceeding or hearing conducted
    37  pursuant hereto, shall be subject to the applicable  provisions  of  the
    38  state  administrative  procedure  act  and  section seventy-three of the
    39  civil rights law.
    40    § 1-qq. Separability clause. If any part or provision of this  article
    41  or  the application thereof to any person or organization is adjudged by
    42  a court of competent jurisdiction to be unconstitutional, such  judgment
    43  shall  not  affect or impair any other part or provision or the applica-
    44  tion thereof to any other person or organization, but shall be  confined
    45  in its operation to the part, provision, person or organization directly
    46  involved  in  the  controversy  in  which  such judgment shall have been
    47  rendered.
    48    § 2. This act shall take effect immediately.
Go to top