S T A T E   O F   N E W   Y O R K
       ________________________________________________________________________
                                         5520
                              2015-2016 Regular Sessions
                                   I N  S E N A T E
                                     May 14, 2015
                                      ___________
       Introduced  by  Sen.  AVELLA -- read twice and ordered printed, and when
         printed to be committed to the Committee on Investigations and Govern-
         ment Operations
       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.
   23    S 1-AA. SHORT TITLE. THIS ARTICLE SHALL BE KNOWN AND MAY BE  CITED  AS
   24  THE "CONSULTING ACT".
        EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                             [ ] is old law to be omitted.
                                                                  LBD10767-02-5
       S. 5520                             2
    1    S 1-BB. DEFINITIONS. AS USED IN THIS ARTICLE UNLESS THE CONTEXT OTHER-
    2  WISE REQUIRES:
    3    (A)  THE  TERM  "CLIENT"  SHALL  MEAN EVERY PERSON OR ORGANIZATION WHO
    4  RETAINS, EMPLOYS OR DESIGNATES ANY PERSON OR ORGANIZATION  TO  CARRY  ON
    5  CONSULTING ACTIVITIES ON BEHALF OF SUCH CLIENT.
    6    (B) THE TERM "ORGANIZATION" SHALL MEAN ANY CORPORATION, COMPANY, FOUN-
    7  DATION,  ASSOCIATION, COLLEGE AS DEFINED BY SECTION TWO OF THE EDUCATION
    8  LAW, LABOR ORGANIZATION, FIRM, PARTNERSHIP, SOCIETY, JOINT STOCK  COMPA-
    9  NY, STATE AGENCY OR PUBLIC CORPORATION.
   10    (C)  THE TERM "STATE AGENCY" SHALL MEAN ANY DEPARTMENT, BOARD, BUREAU,
   11  COMMISSION, DIVISION, OFFICE,  COUNCIL,  COMMITTEE  OR  OFFICER  OF  THE
   12  STATE,  WHETHER  PERMANENT OR TEMPORARY, OR A PUBLIC BENEFIT CORPORATION
   13  OR PUBLIC AUTHORITY AT LEAST ONE OF WHOSE MEMBERS IS  APPOINTED  BY  THE
   14  GOVERNOR,  AUTHORIZED BY LAW TO MAKE RULES OR TO MAKE FINAL DECISIONS IN
   15  ADJUDICATORY PROCEEDINGS BUT SHALL NOT INCLUDE THE  JUDICIAL  BRANCH  OR
   16  AGENCIES CREATED BY INTERSTATE COMPACT OR INTERNATIONAL AGREEMENT.
   17    (D)  THE  TERM  "COMMISSION" SHALL MEAN THE JOINT COMMISSION ON PUBLIC
   18  ETHICS CREATED BY SECTION NINETY-FOUR OF THE EXECUTIVE LAW.
   19    (E) THE TERM "EXPENSE"  OR  "EXPENSES"  SHALL  MEAN  ANY  EXPENDITURES
   20  INCURRED BY OR REIMBURSED TO THE CONSULTANT FOR CONSULTING BUT SHALL NOT
   21  INCLUDE  CONTRIBUTIONS  REPORTABLE  PURSUANT  TO ARTICLE FOURTEEN OF THE
   22  ELECTION LAW.
   23    (F) THE TERM "COMPENSATION" SHALL MEAN ANY SALARY, FEE, GIFT, PAYMENT,
   24  BENEFIT, LOAN, ADVANCE OR ANY OTHER THING OF VALUE PAID, OWED, GIVEN  OR
   25  PROMISED  TO  THE  CONSULTANT BY THE CLIENT FOR CONSULTING BUT SHALL NOT
   26  INCLUDE CONTRIBUTIONS REPORTABLE PURSUANT TO  ARTICLE  FOURTEEN  OF  THE
   27  ELECTION LAW.
   28    (G)  THE TERM "PUBLIC CORPORATION" SHALL MEAN A MUNICIPAL CORPORATION,
   29  A DISTRICT CORPORATION, OR A PUBLIC BENEFIT CORPORATION  AS  DEFINED  IN
   30  SECTION SIXTY-SIX OF THE GENERAL CONSTRUCTION LAW.
   31    (H)  THE  TERM  "GIFT"  SHALL MEAN ANYTHING OF MORE THAN NOMINAL VALUE
   32  GIVEN TO A PUBLIC OFFICIAL IN ANY FORM INCLUDING,  BUT  NOT  LIMITED  TO
   33  MONEY,  SERVICE,  LOAN,  TRAVEL,  LODGING,  MEALS,  REFRESHMENTS, ENTER-
   34  TAINMENT, DISCOUNT, FORBEARANCE, OR PROMISE, HAVING  A  MONETARY  VALUE.
   35  THE FOLLOWING ARE EXCLUDED FROM THE DEFINITION OF A GIFT:
   36    (I)  COMPLIMENTARY  ATTENDANCE,  INCLUDING  FOOD AND BEVERAGE, AT BONA
   37  FIDE CHARITABLE OR POLITICAL EVENTS;
   38    (II) COMPLIMENTARY ATTENDANCE, FOOD AND BEVERAGE OFFERED BY THE  SPON-
   39  SOR  OF  A WIDELY ATTENDED EVENT. THE TERM "WIDELY ATTENDED EVENT" SHALL
   40  MEAN AN EVENT: (A) WHICH AT LEAST  TWENTY-FIVE  INDIVIDUALS  OTHER  THAN
   41  MEMBERS,  OFFICERS,  OR  EMPLOYEES FROM THE GOVERNMENTAL ENTITY IN WHICH
   42  THE PUBLIC OFFICIAL SERVES ATTEND OR WERE, IN  GOOD  FAITH,  INVITED  TO
   43  ATTEND,  AND  (B) WHICH IS RELATED TO THE ATTENDEE'S DUTIES OR RESPONSI-
   44  BILITIES OR WHICH ALLOWS THE PUBLIC OFFICIAL  TO  PERFORM  A  CEREMONIAL
   45  FUNCTION  APPROPRIATE  TO  HIS OR HER POSITION. FOR THE PURPOSES OF THIS
   46  EXCLUSION, A PUBLIC OFFICIAL'S DUTIES OR RESPONSIBILITIES SHALL  INCLUDE
   47  BUT  NOT  BE  LIMITED  TO  EITHER (1) ATTENDING AN EVENT OR A MEETING AT
   48  WHICH A SPEAKER OR ATTENDEE ADDRESSES AN ISSUE  OF  PUBLIC  INTEREST  OR
   49  CONCERN  AS  A SIGNIFICANT ACTIVITY AT SUCH EVENT OR MEETING; OR (2) FOR
   50  ELECTED PUBLIC OFFICIALS, OR THEIR STAFF ATTENDING WITH OR ON BEHALF  OF
   51  SUCH  ELECTED  OFFICIALS,  ATTENDING AN EVENT OR A MEETING AT WHICH MORE
   52  THAN ONE-HALF OF THE ATTENDEES, OR PERSONS  INVITED  IN  GOOD  FAITH  TO
   53  ATTEND, ARE RESIDENTS OF THE COUNTY, DISTRICT OR JURISDICTION FROM WHICH
   54  THE ELECTED PUBLIC OFFICIAL WAS ELECTED;
   55    (III)  AWARDS,  PLAQUES, AND OTHER CEREMONIAL ITEMS WHICH ARE PUBLICLY
   56  PRESENTED, OR INTENDED TO  BE  PUBLICLY  PRESENTED,  IN  RECOGNITION  OF
       S. 5520                             3
    1  PUBLIC  SERVICE, PROVIDED THAT THE ITEM OR ITEMS ARE OF THE TYPE CUSTOM-
    2  ARILY BESTOWED AT SUCH OR SIMILAR CEREMONIES AND ARE  OTHERWISE  REASON-
    3  ABLE UNDER THE CIRCUMSTANCES, AND FURTHER PROVIDED THAT THE FUNCTIONALI-
    4  TY  OF  SUCH  ITEMS SHALL NOT DETERMINE WHETHER SUCH ITEMS ARE PERMITTED
    5  UNDER THIS PARAGRAPH;
    6    (IV) AN HONORARY DEGREE BESTOWED UPON A PUBLIC OFFICIAL BY A PUBLIC OR
    7  PRIVATE COLLEGE OR UNIVERSITY;
    8    (V) PROMOTIONAL ITEMS HAVING NO SUBSTANTIAL RESALE VALUE SUCH AS PENS,
    9  MUGS, CALENDARS, HATS, AND T-SHIRTS WHICH BEAR AN  ORGANIZATION'S  NAME,
   10  LOGO, OR MESSAGE IN A MANNER WHICH PROMOTES THE ORGANIZATION'S CAUSE;
   11    (VI)  GOODS AND SERVICES, OR DISCOUNTS FOR GOODS AND SERVICES, OFFERED
   12  TO THE GENERAL PUBLIC OR A SEGMENT OF THE GENERAL PUBLIC  DEFINED  ON  A
   13  BASIS  OTHER  THAN  STATUS  AS A PUBLIC OFFICIAL AND OFFERED ON THE SAME
   14  TERMS AND CONDITIONS AS THE GOODS OR SERVICES ARE OFFERED TO THE GENERAL
   15  PUBLIC OR SEGMENT THEREOF;
   16    (VII) GIFTS FROM A FAMILY MEMBER, MEMBER OF  THE  SAME  HOUSEHOLD,  OR
   17  PERSON  WITH A PERSONAL RELATIONSHIP WITH THE PUBLIC OFFICIAL, INCLUDING
   18  INVITATIONS TO ATTEND PERSONAL OR FAMILY SOCIAL EVENTS, WHEN THE CIRCUM-
   19  STANCES  ESTABLISH  THAT  IT  IS  THE  FAMILY,  HOUSEHOLD,  OR  PERSONAL
   20  RELATIONSHIP THAT IS THE PRIMARY MOTIVATING FACTOR; IN DETERMINING MOTI-
   21  VATION,  THE FOLLOWING FACTORS SHALL BE AMONG THOSE CONSIDERED:  (A) THE
   22  HISTORY AND NATURE OF THE RELATIONSHIP BETWEEN THE DONOR AND THE RECIPI-
   23  ENT, INCLUDING WHETHER OR NOT ITEMS HAVE PREVIOUSLY BEEN EXCHANGED;  (B)
   24  WHETHER  THE ITEM WAS PURCHASED BY THE DONOR; AND (C) WHETHER OR NOT THE
   25  DONOR AT THE SAME TIME GAVE SIMILAR ITEMS TO OTHER PUBLIC OFFICIALS; THE
   26  TRANSFER SHALL NOT BE CONSIDERED TO BE MOTIVATED BY A FAMILY, HOUSEHOLD,
   27  OR PERSONAL RELATIONSHIP IF THE DONOR SEEKS  TO  CHARGE  OR  DEDUCT  THE
   28  VALUE  OF  SUCH ITEM AS A BUSINESS EXPENSE OR SEEKS REIMBURSEMENT FROM A
   29  CLIENT;
   30    (VIII) CONTRIBUTIONS REPORTABLE UNDER ARTICLE FOURTEEN OF THE ELECTION
   31  LAW, INCLUDING CONTRIBUTIONS MADE IN VIOLATION OF THAT  ARTICLE  OF  THE
   32  ELECTION LAW;
   33    (IX)  TRAVEL  REIMBURSEMENT  OR  PAYMENT FOR TRANSPORTATION, MEALS AND
   34  ACCOMMODATIONS FOR AN ATTENDEE, PANELIST OR SPEAKER AT AN  INFORMATIONAL
   35  EVENT  OR  INFORMATIONAL  MEETING  WHEN SUCH REIMBURSEMENT OR PAYMENT IS
   36  MADE BY A GOVERNMENTAL ENTITY OR BY AN  IN-STATE  ACCREDITED  PUBLIC  OR
   37  PRIVATE  INSTITUTION  OF  HIGHER  EDUCATION  THAT HOSTS THE EVENT ON ITS
   38  CAMPUS, PROVIDED, HOWEVER, THAT THE  PUBLIC  OFFICIAL  MAY  ONLY  ACCEPT
   39  LODGING FROM AN INSTITUTION OF HIGHER EDUCATION: (A) AT A LOCATION ON OR
   40  WITHIN CLOSE PROXIMITY TO THE HOST CAMPUS; AND (B) FOR THE NIGHT PRECED-
   41  ING AND THE NIGHTS OF THE DAYS ON WHICH THE ATTENDEE, PANELIST OR SPEAK-
   42  ER ACTUALLY ATTENDS THE EVENT OR MEETING;
   43    (X)  PROVISION  OF LOCAL TRANSPORTATION TO INSPECT OR TOUR FACILITIES,
   44  OPERATIONS OR PROPERTY LOCATED IN NEW  YORK  STATE,  PROVIDED,  HOWEVER,
   45  THAT  SUCH  INSPECTION  OR  TOUR IS RELATED TO THE INDIVIDUAL'S OFFICIAL
   46  DUTIES  OR  RESPONSIBILITIES  AND  THAT  PAYMENT  OR  REIMBURSEMENT  FOR
   47  EXPENSES  FOR  LODGING OR TRAVEL EXPENSES TO AND FROM THE LOCALITY WHERE
   48  SUCH FACILITIES, OPERATIONS OR PROPERTY ARE LOCATED SHALL BE  CONSIDERED
   49  TO BE GIFTS UNLESS OTHERWISE PERMITTED UNDER THIS SUBDIVISION;
   50    (XI)  MEALS  OR  REFRESHMENTS  WHEN PARTICIPATING IN A PROFESSIONAL OR
   51  EDUCATIONAL PROGRAM AND THE MEALS OR REFRESHMENTS ARE  PROVIDED  TO  ALL
   52  PARTICIPANTS; AND
   53    (XII) FOOD OR BEVERAGE VALUED AT FIFTEEN DOLLARS OR LESS.
   54    (I)  THE TERM "MUNICIPALITY" SHALL MEAN ANY JURISDICTIONAL SUBDIVISION
   55  OF THE STATE, INCLUDING BUT NOT  LIMITED  TO  COUNTIES,  CITIES,  TOWNS,
   56  VILLAGES, IMPROVEMENT DISTRICTS AND SPECIAL DISTRICTS, WITH A POPULATION
       S. 5520                             4
    1  OF  MORE  THAN  FIVE  THOUSAND,  AND  INDUSTRIAL DEVELOPMENT AGENCIES IN
    2  JURISDICTIONAL SUBDIVISIONS WITH A POPULATION OF MORE  THAN  FIVE  THOU-
    3  SAND; AND PUBLIC AUTHORITIES, AND PUBLIC CORPORATIONS.
    4    (J) THE TERM "PUBLIC OFFICIAL" SHALL MEAN:
    5    (I)  THE GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENER-
    6  AL;
    7    (II) MEMBERS OF THE STATE LEGISLATURE;
    8    (III) STATE OFFICERS AND EMPLOYEES INCLUDING:
    9    (A) HEADS OF STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS OTHER
   10  THAN MEMBERS OF THE BOARD OF REGENTS OF THE UNIVERSITY OF THE  STATE  OF
   11  NEW  YORK  WHO  RECEIVE NO COMPENSATION OR ARE COMPENSATED ON A PER DIEM
   12  BASIS,
   13    (B) OFFICERS AND EMPLOYEES OF STATEWIDE ELECTED OFFICIALS,
   14    (C) OFFICERS AND EMPLOYEES  OF  STATE  DEPARTMENTS,  BOARDS,  BUREAUS,
   15  DIVISIONS, COMMISSIONS, COUNCILS OR OTHER STATE AGENCIES,
   16    (D) MEMBERS OR DIRECTORS OF PUBLIC AUTHORITIES, OTHER THAN MULTI-STATE
   17  AUTHORITIES, PUBLIC BENEFIT CORPORATIONS AND COMMISSIONS AT LEAST ONE OF
   18  WHOSE  MEMBERS  IS  APPOINTED  BY  THE  GOVERNOR,  AND EMPLOYEES OF SUCH
   19  AUTHORITIES, CORPORATIONS AND COMMISSIONS;
   20    (IV) OFFICERS AND EMPLOYEES OF THE LEGISLATURE; AND
   21    (V) MUNICIPAL OFFICERS AND EMPLOYEES INCLUDING AN OFFICER OR  EMPLOYEE
   22  OF  A  MUNICIPALITY,  WHETHER  PAID  OR UNPAID, INCLUDING MEMBERS OF ANY
   23  ADMINISTRATIVE BOARD, COMMISSION OR OTHER AGENCY THEREOF AND IN THE CASE
   24  OF A COUNTY, SHALL BE DEEMED TO ALSO INCLUDE  ANY  OFFICER  OR  EMPLOYEE
   25  PAID  FROM  COUNTY  FUNDS.  NO  PERSON SHALL BE DEEMED TO BE A MUNICIPAL
   26  OFFICER OR EMPLOYEE SOLELY BY REASON OF BEING A VOLUNTEER FIREFIGHTER OR
   27  CIVIL DEFENSE VOLUNTEER, EXCEPT A FIRE CHIEF OR ASSISTANT FIRE CHIEF.
   28    (K) THE TERM  "RESTRICTED  PERIOD"  SHALL  MEAN  THE  PERIOD  OF  TIME
   29  COMMENCING  WITH THE EARLIEST WRITTEN NOTICE, ADVERTISEMENT OR SOLICITA-
   30  TION OF A REQUEST FOR PROPOSAL, INVITATION FOR BIDS, OR SOLICITATION  OF
   31  PROPOSALS,  OR  ANY OTHER METHOD FOR SOLICITING A RESPONSE FROM OFFERERS
   32  INTENDING TO RESULT IN A  PROCUREMENT  CONTRACT  WITH  A  STATE  AGENCY,
   33  EITHER  HOUSE  OF  THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, OR A
   34  MUNICIPAL AGENCY, AS THAT TERM IS DEFINED BY PARAGRAPH (II) OF  SUBDIVI-
   35  SION  (Q)  OF THIS SECTION, AND ENDING WITH THE FINAL CONTRACT AWARD AND
   36  APPROVAL BY THE STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE
   37  UNIFIED COURT SYSTEM, OR A MUNICIPAL AGENCY, AS THAT TERM IS DEFINED  BY
   38  PARAGRAPH  (II)  OF SUBDIVISION (Q) OF THIS SECTION, AND, WHERE APPLICA-
   39  BLE, THE STATE COMPTROLLER.
   40    (L) THE TERM "REVENUE  CONTRACT"  SHALL  MEAN  ANY  WRITTEN  AGREEMENT
   41  BETWEEN  A  STATE OR MUNICIPAL AGENCY OR A LOCAL LEGISLATIVE BODY AND AN
   42  OFFERER WHEREBY THE STATE OR MUNICIPAL AGENCY OR LOCAL LEGISLATIVE  BODY
   43  GIVES OR GRANTS A CONCESSION OR A FRANCHISE.
   44    (M) THE TERM "ARTICLE OF PROCUREMENT" SHALL MEAN A COMMODITY, SERVICE,
   45  TECHNOLOGY,  PUBLIC  WORK, CONSTRUCTION, REVENUE CONTRACT, THE PURCHASE,
   46  SALE OR LEASE OF REAL PROPERTY OR AN ACQUISITION OR  GRANTING  OF  OTHER
   47  INTEREST  IN  REAL  PROPERTY,  THAT  IS  THE  SUBJECT  OF A GOVERNMENTAL
   48  PROCUREMENT.
   49    (N) THE TERM "GOVERNMENTAL PROCUREMENT" SHALL  MEAN:  (I)  THE  PUBLIC
   50  ANNOUNCEMENT,  PUBLIC  NOTICE,  OR PUBLIC COMMUNICATION TO ANY POTENTIAL
   51  VENDOR OF A  DETERMINATION  OF  NEED  FOR  A  PROCUREMENT,  WHICH  SHALL
   52  INCLUDE,  BUT NOT BE LIMITED TO, THE PUBLIC NOTIFICATION OF THE SPECIFI-
   53  CATIONS, BID DOCUMENTS, REQUEST FOR PROPOSALS,  OR  EVALUATION  CRITERIA
   54  FOR   A  PROCUREMENT  CONTRACT,  (II)  SOLICITATION  FOR  A  PROCUREMENT
   55  CONTRACT, (III)  EVALUATION  OF  A  PROCUREMENT  CONTRACT,  (IV)  AWARD,
   56  APPROVAL,  DENIAL  OR  DISAPPROVAL  OF  A  PROCUREMENT  CONTRACT, OR (V)
       S. 5520                             5
    1  APPROVAL OR DENIAL OF AN ASSIGNMENT, AMENDMENT  (OTHER  THAN  AMENDMENTS
    2  THAT  ARE  AUTHORIZED  AND  PAYABLE  UNDER  THE TERMS OF THE PROCUREMENT
    3  CONTRACT AS IT WAS FINALLY AWARDED OR APPROVED BY  THE  COMPTROLLER,  AS
    4  APPLICABLE),  RENEWAL  OR  EXTENSION  OF  A PROCUREMENT CONTRACT, OR ANY
    5  OTHER MATERIAL CHANGE IN THE PROCUREMENT CONTRACT RESULTING IN A  FINAN-
    6  CIAL BENEFIT TO THE OFFERER.
    7    (O)  THE  TERM  "OFFERER"  SHALL MEAN THE INDIVIDUAL OR ENTITY, OR ANY
    8  EMPLOYEE, AGENT  OR  CONSULTANT  OF  SUCH  INDIVIDUAL  OR  ENTITY,  THAT
    9  CONTACTS  A  STATE  AGENCY,  EITHER  HOUSE OF THE STATE LEGISLATURE, THE
   10  UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLATIVE BODY ABOUT
   11  A GOVERNMENTAL PROCUREMENT PROVIDED, HOWEVER, THAT A GOVERNMENTAL AGENCY
   12  OR ITS EMPLOYEES THAT COMMUNICATE WITH THE PROCURING AGENCY REGARDING  A
   13  GOVERNMENTAL  PROCUREMENT  IN THE EXERCISE OF ITS OVERSIGHT DUTIES SHALL
   14  NOT BE CONSIDERED AN OFFERER.
   15    (P) THE TERM "PROCUREMENT CONTRACT" SHALL MEAN ANY CONTRACT  OR  OTHER
   16  AGREEMENT,  INCLUDING  AN AMENDMENT, EXTENSION, RENEWAL, OR CHANGE ORDER
   17  TO AN EXISTING CONTRACT (OTHER THAN AMENDMENTS, EXTENSIONS, RENEWALS, OR
   18  CHANGE ORDERS THAT ARE AUTHORIZED AND PAYABLE UNDER  THE  TERMS  OF  THE
   19  CONTRACT  AS  IT  WAS FINALLY AWARDED OR APPROVED BY THE COMPTROLLER, AS
   20  APPLICABLE), FOR AN ARTICLE OF PROCUREMENT INVOLVING AN ESTIMATED  ANNU-
   21  ALIZED  EXPENDITURE IN EXCESS OF FIFTEEN THOUSAND DOLLARS. GRANTS, ARTI-
   22  CLE  XI-B  STATE  FINANCE  LAW  CONTRACTS,  PROGRAM  CONTRACTS   BETWEEN
   23  NOT-FOR-PROFIT  ORGANIZATIONS,  AS  DEFINED IN ARTICLE XI-B OF THE STATE
   24  FINANCE LAW, AND THE UNIFIED COURT SYSTEM, INTERGOVERNMENTAL AGREEMENTS,
   25  RAILROAD AND UTILITY FORCE ACCOUNTS, UTILITY RELOCATION  PROJECT  AGREE-
   26  MENTS OR ORDERS, CONTRACTS GOVERNING ORGAN TRANSPLANTS, CONTRACTS ALLOW-
   27  ING  FOR  STATE  PARTICIPATION IN TRADE SHOWS, AND EMINENT DOMAIN TRANS-
   28  ACTIONS SHALL NOT BE DEEMED PROCUREMENT CONTRACTS.
   29    (Q) THE TERM "MUNICIPAL AGENCY" SHALL MEAN: (I) ANY DEPARTMENT, BOARD,
   30  BUREAU, COMMISSION, DIVISION, OFFICE, COUNCIL, COMMITTEE OR OFFICER OF A
   31  MUNICIPALITY, WHETHER PERMANENT OR  TEMPORARY;  OR  (II)  AN  INDUSTRIAL
   32  DEVELOPMENT AGENCY, LOCATED IN A JURISDICTIONAL SUBDIVISION OF THE STATE
   33  WITH  A  POPULATION OF MORE THAN FIFTY THOUSAND, OR LOCAL PUBLIC BENEFIT
   34  CORPORATION, AS THAT TERM IS DEFINED IN SECTION SIXTY-SIX OF THE GENERAL
   35  CONSTRUCTION LAW.
   36    (R) THE TERM "LOCAL LEGISLATIVE BODY" SHALL MEAN THE BOARD OF SUPERVI-
   37  SORS, BOARD OF  ALDERMEN,  COMMON  COUNCIL,  COUNCIL,  COMMISSION,  TOWN
   38  BOARD,  BOARD OF TRUSTEES OR OTHER ELECTIVE GOVERNING BOARD OR BODY OF A
   39  MUNICIPALITY NOW OR HEREAFTER VESTED BY STATE STATUTE, CHARTER OR  OTHER
   40  LAW  WITH  JURISDICTION TO INITIATE AND ADOPT LOCAL LAWS, ORDINANCES AND
   41  BUDGETS, WHETHER OR NOT SUCH LOCAL LAWS, ORDINANCES OR  BUDGETS  REQUIRE
   42  APPROVAL  OF  THE  ELECTIVE CHIEF EXECUTIVE OFFICER OR OTHER OFFICIAL OR
   43  BODY TO BECOME EFFECTIVE.
   44    (S) THE TERM "COMMISSION SALESPERSON" SHALL MEAN ANY PERSON THE PRIMA-
   45  RY PURPOSE OF WHOSE EMPLOYMENT IS TO CAUSE OR PROMOTE THE SALE OF, OR TO
   46  INFLUENCE OR INDUCE ANOTHER TO MAKE A PURCHASE OF AN ARTICLE OF PROCURE-
   47  MENT, WHETHER SUCH PERSON IS AN EMPLOYEE (AS THAT TERM  IS  DEFINED  FOR
   48  TAX  PURPOSES)  OF  OR  AN INDEPENDENT CONTRACTOR FOR A VENDOR, PROVIDED
   49  THAT AN INDEPENDENT CONTRACTOR SHALL HAVE A WRITTEN CONTRACT FOR A  TERM
   50  OF  NOT LESS THAN SIX MONTHS OR FOR AN INDEFINITE TERM, AND WHICH PERSON
   51  SHALL BE COMPENSATED, IN WHOLE OR IN PART, BY THE PAYMENT OF A  PERCENT-
   52  AGE  AMOUNT  OF ALL OR A SUBSTANTIAL PART OF THE SALES WHICH SUCH PERSON
   53  HAS CAUSED, PROMOTED, INFLUENCED OR INDUCED, PROVIDED, HOWEVER, THAT  NO
   54  PERSON  SHALL BE CONSIDERED A COMMISSION SALESPERSON WITH RESPECT TO ANY
   55  SALE TO OR PURCHASE BY A STATE AGENCY, EITHER HOUSE OF THE STATE  LEGIS-
   56  LATURE,  THE  UNIFIED COURT SYSTEM, A MUNICIPAL AGENCY OR LOCAL LEGISLA-
       S. 5520                             6
    1  TIVE BODY IF THE  PERCENTAGE  AMOUNT  OF  ANY  COMMISSION  PAYABLE  WITH
    2  RESPECT  TO  SUCH  SALE  OR  PURCHASE  IS SUBSTANTIALLY IN EXCESS OF ANY
    3  COMMISSION PAYABLE WITH RESPECT TO ANY COMPARABLE SALE  TO  A  PURCHASER
    4  THAT  IS  NOT A STATE AGENCY, EITHER HOUSE OF THE STATE LEGISLATURE, THE
    5  UNIFIED COURT SYSTEM, A MUNICIPAL  AGENCY  OR  LOCAL  LEGISLATIVE  BODY;
    6  PROVIDED  FURTHER,  HOWEVER,  THAT ANY PERSON THAT IS REQUIRED TO FILE A
    7  STATEMENT OR REPORT PURSUANT TO THIS ARTICLE BY VIRTUE  OF  ENGAGING  IN
    8  CONSULTING  ACTIVITIES SHALL NOT BE DEEMED TO BE A "COMMISSION SALESPER-
    9  SON" FOR PURPOSES OF THIS ARTICLE.
   10    (T) THE TERM "UNIFIED COURT SYSTEM" SHALL, FOR THE  PURPOSES  OF  THIS
   11  ARTICLE ONLY, MEAN THE UNIFIED COURT SYSTEM OF THE STATE OF NEW YORK, OR
   12  THE  OFFICE  OF COURT ADMINISTRATION, WHERE APPROPRIATE, OTHER THAN TOWN
   13  AND VILLAGE JUSTICE COURTS IN  JURISDICTIONS  WITH  A  POPULATION  UNDER
   14  FIFTY  THOUSAND,  WHEN  IT  ACTS SOLELY IN AN ADMINISTRATIVE CAPACITY TO
   15  ENGAGE IN GOVERNMENTAL PROCUREMENTS AND SHALL NOT  INCLUDE  THE  UNIFIED
   16  COURT  SYSTEM  OR  ANY COURT OF THE STATE JUDICIARY WHEN IT ACTS TO HEAR
   17  AND DECIDE CASES OF ORIGINAL OR APPELLATE JURISDICTION OR OTHERWISE ACTS
   18  IN ITS JUDICIAL, AS OPPOSED TO ADMINISTRATIVE, CAPACITY.
   19    (U) THE TERM "REPORTABLE BUSINESS RELATIONSHIP" SHALL MEAN A RELATION-
   20  SHIP IN WHICH COMPENSATION IS PAID BY A CONSULTANT OR BY A CLIENT  OF  A
   21  CONSULTANT,  IN  EXCHANGE  FOR ANY GOODS, SERVICES OR ANYTHING OF VALUE,
   22  THE TOTAL VALUE OF WHICH IS IN EXCESS OF ONE THOUSAND DOLLARS  ANNUALLY,
   23  TO  BE  PERFORMED OR PROVIDED BY OR INTENDED TO BE PERFORMED OR PROVIDED
   24  BY (I) ANY STATEWIDE ELECTED OFFICIAL, STATE  OFFICER,  STATE  EMPLOYEE,
   25  MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR (II) ANY ENTITY IN
   26  WHICH  THE  CONSULTANT OR THE CLIENT OF A CONSULTANT KNOWS OR HAS REASON
   27  TO KNOW THE STATEWIDE ELECTED OFFICIAL, STATE OFFICER,  STATE  EMPLOYEE,
   28  MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE IS A PROPRIETOR, PART-
   29  NER,  DIRECTOR,  OFFICER  OR MANAGER, OR OWNS OR CONTROLS TEN PERCENT OR
   30  MORE OF THE STOCK OF SUCH ENTITY (OR ONE PERCENT IN THE CASE OF A CORPO-
   31  RATION WHOSE STOCK IS REGULARLY  TRADED  ON  AN  ESTABLISHED  SECURITIES
   32  EXCHANGE).
   33    (V)  THE  TERM  "BUSINESS DEALINGS" SHALL MEAN (I) ANY CONTRACT, OTHER
   34  THAN AN EMERGENCY CONTRACT OR A CONTRACT PROCURED  THROUGH  PUBLICLY-AD-
   35  VERTISED  COMPETITIVE  SEALED  BIDDING,  WHICH IS FOR THE PROCUREMENT OF
   36  GOODS, SERVICES OR CONSTRUCTION THAT IS ENTERED INTO OR IN  EFFECT  WITH
   37  THE  PUBLIC CORPORATION AT OR ABOVE FIVE HUNDRED THOUSAND DOLLARS, OR AN
   38  EMERGENCY CONTRACT, AND SHALL INCLUDE ANY CONTRACT FOR THE  UNDERWRITING
   39  OF  THE  DEBT  OF  THE  PUBLIC CORPORATION AND THE RETENTION OF ANY BOND
   40  COUNSEL, DISCLOSURE COUNSEL OR UNDERWRITER'S COUNSEL IN CONNECTION THER-
   41  EWITH; (II) ANY ACQUISITION OR DISPOSITION OF REAL PROPERTY, OTHER  THAN
   42  A  PUBLIC  AUCTION OR COMPETITIVE SEALED BID TRANSACTION OR THE ACQUISI-
   43  TION OF PROPERTY PURSUANT TO THE DEPARTMENT OF ENVIRONMENTAL  PROTECTION
   44  WATERSHED  LAND  ACQUISITION PROGRAM, WITH THE PUBLIC CORPORATION; (III)
   45  ANY CONCESSION, OTHER THAN A CONCESSION AWARDED THROUGH  PUBLICLY-ADVER-
   46  TISED COMPETITIVE SEALED BID, OR ANY FRANCHISE FROM A PUBLIC CORPORATION
   47  WHICH HAS AN ESTIMATED ANNUAL VALUE AT OR ABOVE THE DOLLAR VALUE DEFINED
   48  IN  PARAGRAPH  (II)  OF  SUBDIVISION  (W)  OF  THIS SECTION; OR (IV) ANY
   49  CONTRACT FOR THE INVESTMENT OF PENSION FUNDS, INCLUDING INVESTMENTS IN A
   50  PRIVATE EQUITY FIRM AND CONTRACTS WITH INVESTMENT  RELATED  CONSULTANTS.
   51  FOR PURPOSES OF THIS ARTICLE, ALL CONTRACTS, CONCESSIONS, FRANCHISES AND
   52  GRANTS THAT ARE FIVE THOUSAND DOLLARS OR LESS IN VALUE SHALL BE EXCLUDED
   53  FROM  ANY CALCULATION AS TO WHETHER A CONTRACT, CONCESSION, FRANCHISE OR
   54  GRANT IS A BUSINESS DEALING WITH THE PUBLIC CORPORATION.
   55    (W) THE TERM "CONTRACT" SHALL MEAN AND INCLUDE ANY AGREEMENT BETWEEN A
   56  PUBLIC CORPORATION OR ELECTED OFFICIAL AND A CONTRACTOR, OR  ANY  AGREE-
       S. 5520                             7
    1  MENT BETWEEN SUCH A CONTRACTOR AND A SUBCONTRACTOR, WHICH (I) IS FOR THE
    2  PROVISION  OF  GOODS, SERVICES OR CONSTRUCTION AND HAS A VALUE THAT WHEN
    3  AGGREGATED WITH THE VALUES OF ALL OTHER SUCH AGREEMENTS  WITH  THE  SAME
    4  CONTRACTOR OR SUBCONTRACTOR AND ANY FRANCHISES OR CONCESSIONS AWARDED TO
    5  SUCH  CONTRACTOR  OR  SUBCONTRACTOR  DURING  THE  IMMEDIATELY  PRECEDING
    6  TWELVE-MONTH PERIOD IS VALUED AT ONE HUNDRED THOUSAND DOLLARS  OR  MORE;
    7  (II) IS FOR THE PROVISION OF GOODS, SERVICES OR CONSTRUCTION, IS AWARDED
    8  TO A SOLE SOURCE AND IS VALUED AT TEN THOUSAND DOLLARS OR MORE; (III) IS
    9  A  CONCESSION AND HAS A VALUE THAT WHEN AGGREGATED WITH THE VALUE OF ALL
   10  OTHER CONTRACTS HELD BY THE SAME CONCESSIONAIRE IS VALUED AT ONE HUNDRED
   11  THOUSAND DOLLARS OR MORE; OR (IV) IS A FRANCHISE.
   12    S 1-CC. POWERS OF THE COMMISSION. IN ADDITION TO ANY OTHER POWERS  AND
   13  DUTIES PROVIDED BY SECTION NINETY-FOUR OF THE EXECUTIVE LAW, THE COMMIS-
   14  SION  SHALL, WITH RESPECT TO ITS CONSULTANT-RELATED FUNCTIONS ONLY, HAVE
   15  THE POWER AND DUTY TO:
   16    (A) ADMINISTER AND ENFORCE ALL THE PROVISIONS OF THIS ARTICLE;
   17    (B) CONDUCT A PROGRAM OF RANDOM AUDITS SUBJECT TO THE TERMS AND CONDI-
   18  TIONS OF THIS SECTION. ANY SUCH PROGRAM SHALL  BE  CARRIED  OUT  IN  THE
   19  FOLLOWING MANNER:
   20    (I)  THE COMMISSION MAY RANDOMLY SELECT REPORTS OR REGISTRATION STATE-
   21  MENTS REQUIRED TO BE FILED BY CONSULTANTS OR CLIENTS  PURSUANT  TO  THIS
   22  ARTICLE FOR AUDIT. ANY SUCH SELECTION SHALL BE DONE IN A MANNER PURSUANT
   23  TO  WHICH  THE  IDENTITY  OF  ANY  PARTICULAR CONSULTANT OR CLIENT WHOSE
   24  STATEMENT OR REPORT IS SELECTED FOR AUDIT IS UNKNOWN TO THE  COMMISSION,
   25  ITS STAFF OR ANY OF THEIR AGENTS PRIOR TO SELECTION.
   26    (II)  THE  COMMISSION  SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH
   27  RANDOM AUDITS. SUCH RANDOM AUDITS MAY REQUIRE THE PRODUCTION  OF  BOOKS,
   28  PAPERS, RECORDS OR MEMORANDA RELEVANT AND MATERIAL TO THE PREPARATION OF
   29  THE  SELECTED  STATEMENTS OR REPORTS, FOR EXAMINATION BY THE COMMISSION.
   30  ANY SUCH PROTOCOLS SHALL ENSURE THAT SIMILARLY  SITUATED  STATEMENTS  OR
   31  REPORTS ARE AUDITED IN A UNIFORM MANNER.
   32    (III) THE COMMISSION SHALL CONTRACT WITH AN OUTSIDE ACCOUNTING ENTITY,
   33  WHICH SHALL MONITOR THE PROCESS PURSUANT TO WHICH THE COMMISSION SELECTS
   34  STATEMENTS  OR REPORTS FOR AUDIT AND CARRIES OUT THE PROVISIONS OF PARA-
   35  GRAPHS (I) AND (II) OF THIS SUBDIVISION AND CERTIFIES THAT SUCH  PROCESS
   36  COMPLIES WITH THE PROVISIONS OF SUCH PARAGRAPHS.
   37    (IV)  UPON  COMPLETION  OF A RANDOM AUDIT CONDUCTED IN ACCORDANCE WITH
   38  THE PROVISIONS OF PARAGRAPHS (I), (II) AND (III)  OF  THIS  SUBDIVISION,
   39  THE  COMMISSION  SHALL  DETERMINE  WHETHER  THERE IS REASONABLE CAUSE TO
   40  BELIEVE THAT ANY SUCH STATEMENT OR REPORT IS INACCURATE  OR  INCOMPLETE.
   41  UPON  A  DETERMINATION THAT SUCH REASONABLE CAUSE EXISTS, THE COMMISSION
   42  MAY REQUIRE THE PRODUCTION  OF  FURTHER  BOOKS,  RECORDS  OR  MEMORANDA,
   43  SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE AND TESTIMONY AND ADMINISTER
   44  OATHS  OR  AFFIRMATIONS,  TO  THE  EXTENT THE COMMISSION DETERMINES SUCH
   45  ACTIONS ARE NECESSARY TO OBTAIN INFORMATION  RELEVANT  AND  MATERIAL  TO
   46  INVESTIGATING SUCH INACCURACIES OR OMISSIONS;
   47    (C)  CONDUCT HEARINGS PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS
   48  LAW. ANY HEARING MAY BE CONDUCTED AS A VIDEO  CONFERENCE  IN  ACCORDANCE
   49  WITH  THE  PROVISIONS OF SUBDIVISION FOUR OF SECTION ONE HUNDRED FOUR OF
   50  THE PUBLIC OFFICERS LAW;
   51    (D) PREPARE UNIFORM FORMS FOR THE STATEMENTS AND REPORTS  REQUIRED  BY
   52  THIS ARTICLE;
   53    (E)  MEET AT LEAST ONCE DURING EACH BI-MONTHLY REPORTING PERIOD OF THE
   54  YEAR AS ESTABLISHED BY SUBDIVISION (A) OF SECTION ONE-GG OF THIS ARTICLE
   55  AND MAY MEET AT SUCH OTHER TIMES AS THE COMMISSION,  OR  THE  CHAIR  AND
   56  VICE-CHAIR JOINTLY, SHALL DETERMINE;
       S. 5520                             8
    1    (F)  ISSUE  ADVISORY  OPINIONS  TO THOSE UNDER ITS JURISDICTION.  SUCH
    2  ADVISORY OPINIONS, WHICH SHALL BE PUBLISHED AND MADE  AVAILABLE  TO  THE
    3  PUBLIC, SHALL NOT BE BINDING UPON SUCH COMMISSION EXCEPT WITH RESPECT TO
    4  THE  PERSON  TO WHOM SUCH OPINION IS RENDERED, PROVIDED, HOWEVER, THAT A
    5  SUBSEQUENT  MODIFICATION  BY SUCH COMMISSION OF SUCH AN ADVISORY OPINION
    6  SHALL OPERATE PROSPECTIVELY ONLY; AND
    7    (G) SUBMIT BY THE FIRST DAY OF MARCH NEXT FOLLOWING THE YEAR FOR WHICH
    8  SUCH REPORT IS MADE TO THE GOVERNOR AND THE MEMBERS OF  THE  LEGISLATURE
    9  AN ANNUAL REPORT SUMMARIZING THE COMMISSION'S WORK, LISTING THE CONSULT-
   10  ANT'S  AND CLIENTS REQUIRED TO REGISTER PURSUANT TO THIS ARTICLE AND THE
   11  EXPENSES AND COMPENSATION REPORTED PURSUANT TO THIS ARTICLE  AND  MAKING
   12  RECOMMENDATIONS  WITH RESPECT TO THIS ARTICLE. THE COMMISSION SHALL MAKE
   13  THIS REPORT AVAILABLE FREE OF CHARGE TO THE PUBLIC.
   14    (H) PROVIDE AN ONLINE ETHICS TRAINING COURSE  FOR  INDIVIDUALS  REGIS-
   15  TERED  AS  CONSULTANTS  PURSUANT  TO SECTION ONE-DD OF THIS ARTICLE. THE
   16  CURRICULUM FOR THE COURSE SHALL INCLUDE, BUT NOT BE LIMITED TO, EXPLANA-
   17  TIONS AND DISCUSSIONS OF  THE  STATUTES  AND  REGULATIONS  OF  NEW  YORK
   18  CONCERNING  ETHICS  IN  THE  PUBLIC  OFFICERS LAW, THE ELECTION LAW, THE
   19  LEGISLATIVE LAW, SUMMARIES OF ADVISORY OPINIONS, UNDERLYING PURPOSES AND
   20  PRINCIPLES OF THE RELEVANT LAWS, AND EXAMPLES OF  PRACTICAL  APPLICATION
   21  OF  THESE LAWS AND PRINCIPLES.  THE COMMISSION SHALL PREPARE THOSE METH-
   22  ODS AND MATERIALS NECESSARY TO IMPLEMENT THE CURRICULUM. EACH INDIVIDUAL
   23  REGISTERED AS A CONSULTANT PURSUANT TO SECTION ONE-DD  OF  THIS  ARTICLE
   24  SHALL  COMPLETE  SUCH  TRAINING  COURSE  AT LEAST ONCE IN ANY THREE-YEAR
   25  PERIOD DURING WHICH HE OR SHE IS REGISTERED AS A CONSULTANT.
   26    S 1-DD. STATEMENT OF REGISTRATION.  (A)  (I)  EVERY  CONSULTANT  SHALL
   27  ANNUALLY  FILE WITH THE COMMISSION, ON FORMS PROVIDED BY THE COMMISSION,
   28  A STATEMENT OF REGISTRATION FOR EACH CALENDAR YEAR;  PROVIDED,  HOWEVER,
   29  THAT  THE FILING OF SUCH STATEMENT OF REGISTRATION SHALL NOT BE REQUIRED
   30  OF ANY CONSULTANT WHO (A) IN ANY YEAR DOES NOT EXPEND, INCUR OR  RECEIVE
   31  AN AMOUNT IN EXCESS OF TWO THOUSAND DOLLARS FOR YEARS PRIOR TO TWO THOU-
   32  SAND SIX AND IN EXCESS OF FIVE THOUSAND DOLLARS IN THE YEAR TWO THOUSAND
   33  SIX AND THE YEARS THEREAFTER OF REPORTABLE COMPENSATION AND EXPENSES, AS
   34  PROVIDED  IN  PARAGRAPH (V) OF SUBDIVISION (B) OF SECTION ONE-GG OF THIS
   35  ARTICLE, FOR THE PURPOSES OF CONSULTING OR (B) IS AN OFFICER,  DIRECTOR,
   36  TRUSTEE OR EMPLOYEE OF ANY PUBLIC CORPORATION, WHEN ACTING IN SUCH OFFI-
   37  CIAL  CAPACITY;  PROVIDED HOWEVER, THAT NOTHING IN THIS SECTION SHALL BE
   38  CONSTRUED TO RELIEVE ANY PUBLIC CORPORATION OF THE  OBLIGATION  TO  FILE
   39  SUCH  STATEMENTS  AND  REPORTS  AS REQUIRED BY THIS ARTICLE. THE AMOUNTS
   40  EXPENDED, INCURRED, OR RECEIVED OF REPORTABLE COMPENSATION AND  EXPENSES
   41  FOR  CONSULTING  ACTIVITIES  SHALL  BE  COMPUTED  CUMULATIVELY  FOR  ALL
   42  CONSULTING ACTIVITIES WHEN DETERMINING WHETHER THE THRESHOLDS SET  FORTH
   43  IN THIS SECTION HAVE BEEN MET.
   44    (II)  (A) THROUGH CALENDAR YEAR TWO THOUSAND TWENTY, SUCH FILING SHALL
   45  BE COMPLETED ON OR BEFORE JANUARY FIRST BY THOSE PERSONS WHO  HAVE  BEEN
   46  RETAINED,  EMPLOYED  OR  DESIGNATED  AS CONSULTANT ON OR BEFORE DECEMBER
   47  FIFTEENTH WHO REASONABLY ANTICIPATE THAT IN THE COMING  YEAR  THEY  WILL
   48  EXPEND,  INCUR  OR RECEIVE COMBINED REPORTABLE COMPENSATION AND EXPENSES
   49  IN AN AMOUNT IN EXCESS OF TWO THOUSAND DOLLARS;  FOR  THOSE  CONSULTANTS
   50  RETAINED, EMPLOYED OR DESIGNATED AFTER DECEMBER FIFTEENTH, AND FOR THOSE
   51  CONSULTANTS  WHO SUBSEQUENT TO THEIR RETAINER, EMPLOYMENT OR DESIGNATION
   52  REASONABLY ANTICIPATE COMBINED REPORTABLE COMPENSATION AND  EXPENSES  IN
   53  EXCESS OF SUCH AMOUNT, SUCH FILING MUST BE COMPLETED WITHIN FIFTEEN DAYS
   54  THEREAFTER,  BUT IN NO EVENT LATER THAN TEN DAYS AFTER THE ACTUAL INCUR-
   55  RING OR RECEIVING OF SUCH REPORTABLE COMPENSATION AND EXPENSES.
       S. 5520                             9
    1    (B) FOR CALENDAR YEAR TWO THOUSAND TWENTY-ONE, SUCH FILINGS  SHALL  BE
    2  COMPLETED  ON  OR  BEFORE  JANUARY  FIRST BY THOSE PERSONS WHO HAVE BEEN
    3  RETAINED, EMPLOYED OR DESIGNATED AS CONSULTANT  ON  OR  BEFORE  DECEMBER
    4  FIFTEENTH,  TWO  THOUSAND  TWENTY  WHO REASONABLY ANTICIPATE THAT IN THE
    5  COMING  YEAR  THEY  WILL  EXPEND,  INCUR  OR RECEIVE COMBINED REPORTABLE
    6  COMPENSATION AND EXPENSES  IN  AN  AMOUNT  IN  EXCESS  OF  TWO  THOUSAND
    7  DOLLARS;  FOR  THOSE  CONSULTANTS RETAINED, EMPLOYED OR DESIGNATED AFTER
    8  DECEMBER FIFTEENTH, TWO THOUSAND TWENTY, AND FOR THOSE  CONSULTANTS  WHO
    9  SUBSEQUENT  TO  THEIR  RETAINER,  EMPLOYMENT  OR  DESIGNATION REASONABLY
   10  ANTICIPATE COMBINED REPORTABLE COMPENSATION AND EXPENSES  IN  EXCESS  OF
   11  SUCH AMOUNT, SUCH FILING MUST BE COMPLETED WITHIN FIFTEEN DAYS THEREAFT-
   12  ER,  BUT  IN  NO EVENT LATER THAN TEN DAYS AFTER THE ACTUAL INCURRING OR
   13  RECEIVING OF SUCH REPORTABLE COMPENSATION AND EXPENSES.
   14    (III) COMMENCING CALENDAR YEAR TWO THOUSAND TWENTY-TWO AND  THEREAFTER
   15  EVERY  CONSULTANT  SHALL  BIENNIALLY  FILE WITH THE COMMISSION, ON FORMS
   16  PROVIDED BY THE COMMISSION, A STATEMENT OF REGISTRATION FOR EACH BIENNI-
   17  AL PERIOD BEGINNING WITH THE FIRST YEAR OF THE BIENNIAL CYCLE COMMENCING
   18  CALENDAR YEAR TWO THOUSAND TWENTY-TWO AND THEREAFTER; PROVIDED, HOWEVER,
   19  THAT THE BIENNIAL FILING OF SUCH STATEMENT OF REGISTRATION SHALL NOT  BE
   20  REQUIRED  OF  ANY  CONSULTANT WHO (A) IN ANY YEAR PRIOR TO CALENDAR YEAR
   21  TWO THOUSAND TWENTY-THREE DOES NOT EXPEND, INCUR OR RECEIVE AN AMOUNT IN
   22  EXCESS OF TWO THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND  EXPENSES,
   23  AS  PROVIDED  IN  PARAGRAPH  (V) OF SUBDIVISION (B) OF SECTION ONE-GG OF
   24  THIS ARTICLE, FOR THE PURPOSES OF CONSULTING AND COMMENCING WITH  CALEN-
   25  DAR YEAR TWO THOUSAND SIX DOES NOT EXPEND, INCUR OR RECEIVE AN AMOUNT IN
   26  EXCESS  OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION, AS PROVIDED
   27  IN PARAGRAPH (V) OF SUBDIVISION (B) OF SECTION ONE-GG  OF  THIS  ARTICLE
   28  FOR  THE  PURPOSES OF CONSULTING OR (B) IS AN OFFICER, DIRECTOR, TRUSTEE
   29  OR EMPLOYEE OF ANY PUBLIC CORPORATION,  WHEN  ACTING  IN  SUCH  OFFICIAL
   30  CAPACITY;  PROVIDED  HOWEVER,  THAT  NOTHING  IN  THIS  SECTION SHALL BE
   31  CONSTRUED TO RELIEVE ANY PUBLIC CORPORATION OF THE  OBLIGATION  TO  FILE
   32  SUCH STATEMENTS AND REPORTS AS REQUIRED BY THIS ARTICLE.
   33    (IV)  SUCH  BIENNIAL  FILINGS  SHALL BE COMPLETED ON OR BEFORE JANUARY
   34  FIRST OF THE FIRST YEAR OF A BIENNIAL CYCLE COMMENCING IN CALENDAR  YEAR
   35  TWO  THOUSAND  TWENTY-TWO AND THEREAFTER, BY THOSE PERSONS WHO HAVE BEEN
   36  RETAINED, EMPLOYED OR DESIGNATED AS CONSULTANT  ON  OR  BEFORE  DECEMBER
   37  FIFTEENTH  OF  THE  PREVIOUS CALENDAR YEAR AND WHO REASONABLY ANTICIPATE
   38  THAT IN THE COMING YEAR THEY WILL  EXPEND,  INCUR  OR  RECEIVE  COMBINED
   39  REPORTABLE COMPENSATION AND EXPENSES IN AN AMOUNT IN EXCESS OF TWO THOU-
   40  SAND  DOLLARS  IN YEARS PRIOR TO CALENDAR YEAR TWO THOUSAND TWENTY-THREE
   41  AND FIVE THOUSAND DOLLARS COMMENCING IN TWO THOUSAND  TWENTY-THREE;  FOR
   42  THOSE  CONSULTANTS  RETAINED,  EMPLOYED OR DESIGNATED AFTER THE PREVIOUS
   43  DECEMBER FIFTEENTH, AND FOR THOSE CONSULTANTS WHO  SUBSEQUENT  TO  THEIR
   44  RETAINER,  EMPLOYMENT  OR  DESIGNATION  REASONABLY  ANTICIPATE  COMBINED
   45  REPORTABLE COMPENSATION AND EXPENSES IN  EXCESS  OF  SUCH  AMOUNT,  SUCH
   46  FILING MUST BE COMPLETED WITHIN FIFTEEN DAYS THEREAFTER, BUT IN NO EVENT
   47  LATER  THAN  TEN  DAYS  AFTER  THE ACTUAL INCURRING OR RECEIVING OF SUCH
   48  REPORTABLE COMPENSATION AND EXPENSES.
   49    (B) (I) SUCH STATEMENTS OF REGISTRATION SHALL BE KEPT ON  FILE  FOR  A
   50  PERIOD  OF  THREE YEARS FOR THOSE FILING PERIODS WHERE ANNUAL STATEMENTS
   51  ARE REQUIRED, AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD;
   52    (II) BIENNIAL STATEMENTS OF REGISTRATION SHALL BE KEPT ON FILE  FOR  A
   53  PERIOD  OF  THREE  BIENNIAL FILING PERIODS WHERE BIENNIAL STATEMENTS ARE
   54  REQUIRED, AND SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD.
   55    (C) SUCH STATEMENT OF REGISTRATION SHALL CONTAIN:
       S. 5520                            10
    1    (I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CONSULTANT,  AND  IF
    2  THE  CONSULTANT  IS  AN  ORGANIZATION THE NAMES, ADDRESSES AND TELEPHONE
    3  NUMBERS OF ANY OFFICER OR EMPLOYEE OF SUCH CONSULTANT WHO ENGAGES IN ANY
    4  CONSULTING ACTIVITIES OR WHO IS EMPLOYED IN AN  ORGANIZATION'S  DIVISION
    5  THAT ENGAGES IN CONSULTING ACTIVITIES OF THE ORGANIZATION;
    6    (II)  THE  NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR
    7  ON WHOSE BEHALF THE CONSULTANT IS RETAINED, EMPLOYED OR DESIGNATED;
    8    (III) IF SUCH CONSULTANT IS RETAINED OR EMPLOYED PURSUANT TO A WRITTEN
    9  AGREEMENT OF RETAINER OR EMPLOYMENT,  A  COPY  OF  SUCH  SHALL  ALSO  BE
   10  ATTACHED  AND IF SUCH RETAINER OR EMPLOYMENT IS ORAL, A STATEMENT OF THE
   11  SUBSTANCE THEREOF; SUCH WRITTEN RETAINER, OR IF IT IS ORAL, A  STATEMENT
   12  OF  THE  SUBSTANCE THEREOF, AND ANY AMENDMENT THERETO, SHALL BE RETAINED
   13  FOR A PERIOD OF THREE YEARS;
   14    (IV) A WRITTEN AUTHORIZATION FROM THE CLIENT BY WHOM THE CONSULTANT IS
   15  AUTHORIZED TO CONSULT, UNLESS SUCH CONSULTANT HAS FILED A WRITTEN AGREE-
   16  MENT OF RETAINER OR EMPLOYMENT  PURSUANT  TO  PARAGRAPH  THREE  OF  THIS
   17  SUBDIVISION;
   18    (V)  THE  FOLLOWING  INFORMATION  ON  WHICH  THE CONSULTANT EXPECTS TO
   19  CONSULT: (A) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS,  (B)  THE
   20  LEGISLATIVE BILL NUMBERS OF ANY BILLS, (C) THE NUMBERS OR SUBJECT MATTER
   21  (IF THERE ARE NO NUMBERS) OF GUBERNATORIAL EXECUTIVE ORDERS OR EXECUTIVE
   22  ORDERS  ISSUED BY THE CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY, (D) THE
   23  SUBJECT MATTER OF AND TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORAN-
   24  DA OF UNDERSTANDING, OR ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY  STATE
   25  ACTIONS RELATED TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. S 2701, (E)
   26  THE  RULE, REGULATION, AND RATEMAKING NUMBERS OF ANY RULES, REGULATIONS,
   27  RATES, OR MUNICIPAL ORDINANCES AND RESOLUTIONS, OR PROPOSED RULES, REGU-
   28  LATIONS, OR RATES, OR MUNICIPAL ORDINANCES AND RESOLUTIONS, AND (F)  THE
   29  TITLES  AND  ANY  IDENTIFYING  NUMBERS  OF ANY PROCUREMENT CONTRACTS AND
   30  OTHER DOCUMENTS DISSEMINATED BY A STATE  AGENCY,  EITHER  HOUSE  OF  THE
   31  STATE  LEGISLATURE,  THE UNIFIED COURT SYSTEM, MUNICIPAL AGENCY OR LOCAL
   32  LEGISLATIVE BODY IN CONNECTION WITH A GOVERNMENTAL PROCUREMENT;
   33    (VI) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY  BEFORE
   34  WHICH THE CONSULTANT IS CONSULTING OR EXPECTS TO CONSULT;
   35    (VII)  IF  THE  CONSULTANT IS RETAINED, EMPLOYED OR DESIGNATED BY MORE
   36  THAN ONE CLIENT, A SEPARATE STATEMENT OF REGISTRATION SHALL BE  REQUIRED
   37  FOR EACH SUCH CLIENT;
   38    (VIII) (A) THE NAME AND PUBLIC OFFICE ADDRESS OF ANY STATEWIDE ELECTED
   39  OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
   40  LATIVE  EMPLOYEE  AND  ENTITY  WITH WHOM THE CONSULTANT HAS A REPORTABLE
   41  BUSINESS RELATIONSHIP;
   42    (B) A DESCRIPTION OF THE GENERAL SUBJECT OR  SUBJECTS  OF  THE  TRANS-
   43  ACTIONS  BETWEEN THE CONSULTANT OR CONSULTANTS AND THE STATEWIDE ELECTED
   44  OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
   45  LATIVE EMPLOYEE AND ENTITY; AND
   46    (C) THE COMPENSATION, INCLUDING EXPENSES,  TO  BE  PAID  AND  PAID  BY
   47  VIRTUE OF THE BUSINESS RELATIONSHIP.
   48    (D)  ANY  AMENDMENT  TO THE INFORMATION FILED BY THE CONSULTANT IN THE
   49  ORIGINAL STATEMENT OF REGISTRATION SHALL BE SUBMITTED TO THE  COMMISSION
   50  ON  FORMS  SUPPLIED  BY THE COMMISSION WITHIN TEN DAYS AFTER SUCH AMEND-
   51  MENT, HOWEVER, THIS SHALL NOT REQUIRE THE CONSULTANT TO AMEND THE ENTIRE
   52  REGISTRATION FORM.
   53    (E) (I) THE FIRST STATEMENT OF REGISTRATION  FILED  ANNUALLY  BY  EACH
   54  CONSULTANT  FOR  CALENDAR  YEARS  THROUGH  TWO  THOUSAND TWENTY SHALL BE
   55  ACCOMPANIED BY A REGISTRATION FEE OF FIFTY DOLLARS EXCEPT THAT NO REGIS-
   56  TRATION FEE SHALL BE REQUIRED OF A PUBLIC CORPORATION. A  FEE  OF  FIFTY
       S. 5520                            11
    1  DOLLARS  SHALL  BE REQUIRED FOR ANY SUBSEQUENT STATEMENT OF REGISTRATION
    2  FILED BY A CONSULTANT DURING THE SAME  CALENDAR  YEAR;  (II)  THE  FIRST
    3  STATEMENT OF REGISTRATION FILED ANNUALLY BY EACH CONSULTANT FOR CALENDAR
    4  YEAR  TWO THOUSAND TWENTY-ONE SHALL BE ACCOMPANIED BY A REGISTRATION FEE
    5  OF ONE HUNDRED DOLLARS EXCEPT THAT NO REGISTRATION FEE SHALL BE REQUIRED
    6  FROM ANY CONSULTANT WHO IN ANY YEAR DOES NOT EXPEND, INCUR OR RECEIVE AN
    7  AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND
    8  EXPENSES, AS PROVIDED IN PARAGRAPH (V) OF  SUBDIVISION  (B)  OF  SECTION
    9  ONE-GG  OF  THIS  ARTICLE, FOR THE PURPOSES OF CONSULTING OR OF A PUBLIC
   10  CORPORATION. A FEE OF ONE HUNDRED DOLLARS  SHALL  BE  REQUIRED  FOR  ANY
   11  SUBSEQUENT  STATEMENT  OF  REGISTRATION FILED BY A CONSULTANT DURING THE
   12  SAME CALENDAR YEAR; (III) THE  FIRST  STATEMENT  OF  REGISTRATION  FILED
   13  BIENNIALLY  BY  EACH  CONSULTANT  FOR  THE  FIRST  BIENNIAL REGISTRATION
   14  REQUIREMENTS FOR CALENDAR YEARS TWO THOUSAND TWENTY-TWO AND TWO THOUSAND
   15  TWENTY-THREE AND THEREAFTER, SHALL BE ACCOMPANIED BY A REGISTRATION  FEE
   16  OF TWO HUNDRED DOLLARS EXCEPT THAT NO REGISTRATION FEE SHALL BE REQUIRED
   17  FROM ANY CONSULTANT WHO IN ANY YEAR DOES NOT EXPEND, INCUR OR RECEIVE AN
   18  AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS OF REPORTABLE COMPENSATION AND
   19  EXPENSES,  AS  PROVIDED  IN  PARAGRAPH (V) OF SUBDIVISION (B) OF SECTION
   20  ONE-GG OF THIS ARTICLE, FOR THE PURPOSES OF CONSULTING OR  OF  A  PUBLIC
   21  CORPORATION.  A  FEE  OF  TWO  HUNDRED DOLLARS SHALL BE REQUIRED FOR ANY
   22  SUBSEQUENT STATEMENT OF REGISTRATION FILED BY A  CONSULTANT  DURING  THE
   23  SAME BIENNIAL PERIOD; (IV) THE STATEMENT OF REGISTRATION FILED AFTER THE
   24  DUE  DATE OF A BIENNIAL REGISTRATION SHALL BE ACCOMPANIED BY A REGISTRA-
   25  TION FEE THAT IS PRORATED TO ONE HUNDRED DOLLARS  FOR  ANY  REGISTRATION
   26  FILED  AFTER  JANUARY  FIRST  OF THE SECOND CALENDAR YEAR COVERED BY THE
   27  BIENNIAL REPORTING REQUIREMENT. IN ADDITION TO THE  FEES  AUTHORIZED  BY
   28  THIS  SECTION,  THE  COMMISSION  MAY  IMPOSE  A FEE FOR LATE FILING OF A
   29  REGISTRATION  STATEMENT  REQUIRED  BY  THIS  SECTION   NOT   TO   EXCEED
   30  TWENTY-FIVE DOLLARS FOR EACH DAY THAT THE STATEMENT REQUIRED TO BE FILED
   31  IS  LATE,  EXCEPT  THAT  IF  THE CONSULTANT MAKING A LATE FILING HAS NOT
   32  PREVIOUSLY BEEN REQUIRED BY STATUTE TO FILE SUCH A  STATEMENT,  THE  FEE
   33  FOR  LATE  FILING  SHALL  NOT  EXCEED  TEN DOLLARS FOR EACH DAY THAT THE
   34  STATEMENT REQUIRED TO BE FILED IS LATE.
   35    S 1-EE. MONTHLY REGISTRATION DOCKET. IT  SHALL  BE  THE  DUTY  OF  THE
   36  COMMISSION  TO  COMPILE  A  MONTHLY DOCKET OF STATEMENTS OF REGISTRATION
   37  CONTAINING ALL INFORMATION REQUIRED BY SECTION ONE-DD OF  THIS  ARTICLE.
   38  EACH  SUCH  MONTHLY  DOCKET SHALL CONTAIN ALL STATEMENTS OF REGISTRATION
   39  FILED DURING SUCH MONTH AND ALL AMENDMENTS TO  PREVIOUSLY  FILED  STATE-
   40  MENTS  OF  REGISTRATION.    COPIES  SHALL  BE  MADE AVAILABLE FOR PUBLIC
   41  INSPECTION.
   42    S 1-FF. TERMINATION OF RETAINER, EMPLOYMENT OR DESIGNATION.  UPON  THE
   43  TERMINATION  OF A CONSULTANT'S RETAINER, EMPLOYMENT OR DESIGNATION, SUCH
   44  CONSULTANT AND THE CLIENT ON WHOSE BEHALF SUCH SERVICE HAS BEEN RENDERED
   45  SHALL BOTH GIVE WRITTEN NOTICE TO  THE  COMMISSION  WITHIN  THIRTY  DAYS
   46  AFTER  THE  CONSULTANT CEASES THE ACTIVITY THAT REQUIRED SUCH CONSULTANT
   47  TO FILE A STATEMENT OF  REGISTRATION;  HOWEVER,  SUCH  CONSULTANT  SHALL
   48  NEVERTHELESS COMPLY WITH THE BI-MONTHLY REPORTING REQUIREMENTS UP TO THE
   49  DATE  SUCH  ACTIVITY HAS CEASED AS REQUIRED BY THIS ARTICLE. THE COMMIS-
   50  SION SHALL ENTER NOTICE OF SUCH TERMINATION IN THE  APPROPRIATE  MONTHLY
   51  REGISTRATION DOCKET REQUIRED BY SECTION ONE-EE OF THIS ARTICLE.
   52    S  1-GG.  BI-MONTHLY  REPORTS.  (A)  ANY CONSULTANT REQUIRED TO FILE A
   53  STATEMENT OF REGISTRATION PURSUANT TO SECTION ONE-DD OF THIS ARTICLE WHO
   54  IN ANY CONSULTANT YEAR REASONABLY ANTICIPATES THAT DURING THE YEAR  SUCH
   55  CONSULTANT  WILL  EXPEND,  INCUR  OR RECEIVE COMBINED REPORTABLE COMPEN-
   56  SATION AND EXPENSES IN AN AMOUNT IN EXCESS OF FIVE THOUSAND DOLLARS,  AS
       S. 5520                            12
    1  PROVIDED  IN  PARAGRAPH  (V) OF SUBDIVISION (B) OF THIS SECTION, FOR THE
    2  PURPOSE OF CONSULTING, SHALL FILE WITH THE COMMISSION A BI-MONTHLY WRIT-
    3  TEN REPORT, ON FORMS SUPPLIED BY THE COMMISSION, BY  THE  FIFTEENTH  DAY
    4  NEXT  SUCCEEDING THE END OF THE REPORTING PERIOD IN WHICH THE CONSULTANT
    5  WAS FIRST REQUIRED TO FILE A STATEMENT OF REGISTRATION.  SUCH  REPORTING
    6  PERIODS  SHALL  BE THE PERIOD OF JANUARY FIRST TO THE LAST DAY OF FEBRU-
    7  ARY, MARCH FIRST TO APRIL THIRTIETH, MAY FIRST TO JUNE  THIRTIETH,  JULY
    8  FIRST  TO  AUGUST  THIRTY-FIRST, SEPTEMBER FIRST TO OCTOBER THIRTY-FIRST
    9  AND NOVEMBER FIRST TO DECEMBER THIRTY-FIRST.
   10    (B) SUCH BI-MONTHLY REPORT SHALL CONTAIN:
   11    (I) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CONSULTANT;
   12    (II) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY  WHOM  OR
   13  ON WHOSE BEHALF THE CONSULTANT IS RETAINED, EMPLOYED OR DESIGNATED;
   14    (III) THE FOLLOWING INFORMATION ON WHICH THE CONSULTANT HAS CONSULTED:
   15  (A)  A  DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS, (B) THE LEGISLA-
   16  TIVE BILL NUMBERS OF ANY BILLS, (C) THE NUMBERS OR  SUBJECT  MATTER  (IF
   17  THERE  ARE  NO  NUMBERS)  OF GUBERNATORIAL EXECUTIVE ORDERS OR EXECUTIVE
   18  ORDERS ISSUED BY THE CHIEF EXECUTIVE OFFICER OF A MUNICIPALITY, (D)  THE
   19  SUBJECT MATTER OF AND TRIBES INVOLVED IN TRIBAL-STATE COMPACTS, MEMORAN-
   20  DA  OF UNDERSTANDING, OR ANY OTHER STATE-TRIBAL AGREEMENTS AND ANY STATE
   21  ACTIONS RELATED TO CLASS III GAMING AS PROVIDED IN 25 U.S.C. S 2701, (E)
   22  THE RULE, REGULATION, AND RATEMAKING OR MUNICIPAL  ORDINANCE  OR  RESOL-
   23  UTION  NUMBERS  OF  ANY  RULES,  REGULATIONS,  OR  RATES OR ORDINANCE OR
   24  PROPOSED RULES, REGULATIONS, OR RATES OR MUNICIPAL ORDINANCES OR  RESOL-
   25  UTIONS,  AND  (F) THE TITLES AND ANY IDENTIFYING NUMBERS OF ANY PROCURE-
   26  MENT CONTRACTS AND OTHER  DOCUMENTS  DISSEMINATED  BY  A  STATE  AGENCY,
   27  EITHER HOUSE OF THE STATE LEGISLATURE, THE UNIFIED COURT SYSTEM, MUNICI-
   28  PAL  AGENCY  OR LOCAL LEGISLATIVE BODY IN CONNECTION WITH A GOVERNMENTAL
   29  PROCUREMENT;
   30    (IV) THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY  BEFORE
   31  WHICH THE CONSULTANT HAS CONSULTED;
   32    (V)  (A)  THE  COMPENSATION  PAID  OR  OWED TO THE CONSULTANT, AND ANY
   33  EXPENSES EXPENDED, RECEIVED  OR  INCURRED  BY  THE  CONSULTANT  FOR  THE
   34  PURPOSE OF CONSULTING.
   35    (B)  EXPENSES  REQUIRED TO BE REPORTED PURSUANT TO SUBPARAGRAPH (A) OF
   36  THIS PARAGRAPH SHALL BE LISTED IN THE AGGREGATE IF SEVENTY-FIVE  DOLLARS
   37  OR  LESS  AND  IF  MORE THAN SEVENTY-FIVE DOLLARS SUCH EXPENSES SHALL BE
   38  DETAILED AS TO AMOUNT, TO WHOM PAID, AND FOR  WHAT  PURPOSE;  AND  WHERE
   39  SUCH  EXPENSE  IS  MORE  THAN  SEVENTY-FIVE DOLLARS ON BEHALF OF ANY ONE
   40  PERSON, THE NAME OF SUCH PERSON SHALL BE LISTED.
   41    (C) FOR THE PURPOSES OF THIS PARAGRAPH, EXPENSES SHALL NOT INCLUDE:
   42    (1) PERSONAL SUSTENANCE, LODGING  AND  TRAVEL  DISBURSEMENTS  OF  SUCH
   43  CONSULTANT;
   44    (2)  EXPENSES, NOT IN EXCESS OF FIVE HUNDRED DOLLARS IN ANY ONE CALEN-
   45  DAR YEAR, DIRECTLY INCURRED FOR THE PRINTING OR OTHER MEANS  OF  REPROD-
   46  UCTION OR MAILING OF LETTERS, MEMORANDA OR OTHER WRITTEN COMMUNICATIONS.
   47    (D)  EXPENSES  PAID  OR  INCURRED  FOR SALARIES OTHER THAN THAT OF THE
   48  CONSULTANT SHALL BE LISTED IN THE AGGREGATE.
   49    (E) EXPENSES OF MORE THAN FIFTY DOLLARS SHALL  BE  PAID  BY  CHECK  OR
   50  SUBSTANTIATED  BY RECEIPTS AND SUCH CHECKS AND RECEIPTS SHALL BE KEPT ON
   51  FILE BY THE CONSULTANT FOR A PERIOD OF THREE YEARS.
   52    (C) (I) ALL SUCH BI-MONTHLY REPORTS SHALL BE SUBJECT TO REVIEW BY  THE
   53  COMMISSION.
   54    (II) SUCH BI-MONTHLY REPORTS SHALL BE KEPT ON FILE FOR THREE YEARS AND
   55  SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH TIME.
       S. 5520                            13
    1    (III)  IN  ADDITION TO THE FILING FEES AUTHORIZED BY THIS ARTICLE, THE
    2  COMMISSION MAY IMPOSE A FEE FOR  LATE  FILING  OF  A  BI-MONTHLY  REPORT
    3  REQUIRED  BY THIS SECTION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH DAY
    4  THAT THE REPORT REQUIRED TO  BE  FILED  IS  LATE,  EXCEPT  THAT  IF  THE
    5  CONSULTANT  MAKING  A  LATE  FILING  HAS NOT PREVIOUSLY BEEN REQUIRED BY
    6  STATUTE TO FILE SUCH A REPORT, THE FEE FOR LATE FILING SHALL NOT  EXCEED
    7  TEN DOLLARS FOR EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE.
    8    (IV) ANY CONSULTANT REGISTERED PURSUANT TO SECTION ONE-D OF THIS ARTI-
    9  CLE  WHOSE  CONSULTING  ACTIVITY  IS PERFORMED ON ITS OWN BEHALF AND NOT
   10  PURSUANT TO RETENTION BY A CLIENT:
   11    (A) THAT HAS SPENT OVER FIFTY THOUSAND DOLLARS FOR REPORTABLE  COMPEN-
   12  SATION  AND  EXPENSES FOR CONSULTING EITHER DURING THE CALENDAR YEAR, OR
   13  DURING THE TWELVE-MONTH PERIOD, PRIOR TO THE  DATE  OF  THIS  BI-MONTHLY
   14  REPORT, AND
   15    (B) AT LEAST THREE PERCENT OF WHOSE TOTAL EXPENDITURES DURING THE SAME
   16  PERIOD  WERE  DEVOTED  TO  CONSULTING  IN  NEW  YORK SHALL REPORT TO THE
   17  COMMISSION THE NAMES OF  EACH  SOURCE  OF  FUNDING  OVER  FIVE  THOUSAND
   18  DOLLARS  FROM  A  SINGLE  SOURCE  THAT  WERE USED TO FUND THE CONSULTING
   19  ACTIVITIES REPORTED AND THE AMOUNTS RECEIVED FROM EACH IDENTIFIED SOURCE
   20  OF FUNDING.
   21    THIS DISCLOSURE SHALL NOT REQUIRE DISCLOSURE OF THE SOURCES OF FUNDING
   22  WHOSE DISCLOSURE, IN THE DETERMINATION OF THE COMMISSION  BASED  UPON  A
   23  REVIEW  OF THE RELEVANT FACTS PRESENTED BY THE REPORTING CONSULTANT, MAY
   24  CAUSE HARM, THREATS, HARASSMENT, OR REPRISALS TO THE SOURCE OR TO  INDI-
   25  VIDUALS OR PROPERTY AFFILIATED WITH THE SOURCE. THE REPORTING CONSULTANT
   26  MAY APPEAL THE COMMISSION'S DETERMINATION AND SUCH APPEAL SHALL BE HEARD
   27  BY A JUDICIAL HEARING OFFICER WHO IS INDEPENDENT AND NOT AFFILIATED WITH
   28  OR  EMPLOYED  BY  THE COMMISSION, PURSUANT TO REGULATIONS PROMULGATED BY
   29  THE COMMISSION. THE  REPORTING  CONSULTANT  SHALL  NOT  BE  REQUIRED  TO
   30  DISCLOSE  THE  SOURCES  OF  FUNDING  THAT ARE THE SUBJECT OF SUCH APPEAL
   31  PENDING FINAL JUDGMENT ON APPEAL.
   32    THE DISCLOSURE SHALL NOT APPLY TO:
   33    (I) ANY CORPORATION REGISTERED PURSUANT  TO  ARTICLE  SEVEN-A  OF  THE
   34  EXECUTIVE  LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
   35  STATES DEPARTMENT OF THE TREASURY UNDER I.R.C. S 501(C)(3);
   36    (II) ANY CORPORATION REGISTERED PURSUANT TO  ARTICLE  SEVEN-A  OF  THE
   37  EXECUTIVE  LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
   38  STATES DEPARTMENT OF THE TREASURY UNDER I.R.C.  S  501(C)(4)  AND  WHOSE
   39  PRIMARY  ACTIVITIES CONCERN ANY AREA OF PUBLIC CONCERN DETERMINED BY THE
   40  COMMISSION TO CREATE A SUBSTANTIAL LIKELIHOOD THAT APPLICATION  OF  THIS
   41  DISCLOSURE  REQUIREMENT  WOULD  LEAD  TO  HARM,  THREATS, HARASSMENT, OR
   42  REPRISALS TO A SOURCE OF FUNDING OR TO INDIVIDUALS  OR  PROPERTY  AFFIL-
   43  IATED  WITH  SUCH SOURCE, INCLUDING BUT NOT LIMITED TO THE AREA OF CIVIL
   44  RIGHTS AND CIVIL LIBERTIES AND ANY OTHER AREA OF PUBLIC  CONCERN  DETER-
   45  MINED  PURSUANT  TO  REGULATIONS PROMULGATED BY THE COMMISSION TO FORM A
   46  PROPER BASIS FOR EXEMPTION ON THIS BASIS FROM THIS  DISCLOSURE  REQUIRE-
   47  MENT; OR
   48    (III) ANY GOVERNMENTAL ENTITY.
   49    THE  JOINT COMMISSION ON PUBLIC ETHICS SHALL PROMULGATE REGULATIONS TO
   50  IMPLEMENT THESE REQUIREMENTS.
   51    S 1-HH. CONTINGENT RETAINER. (A) NO CLIENT SHALL RETAIN OR EMPLOY  ANY
   52  CONSULTANT FOR COMPENSATION, THE RATE OR AMOUNT OF WHICH COMPENSATION IN
   53  WHOLE OR PART IS CONTINGENT OR DEPENDENT UPON:
   54    (I)  (A) THE PASSAGE OR DEFEAT OF ANY LEGISLATIVE BILL OR THE APPROVAL
   55  OR VETO OF ANY LEGISLATION BY THE GOVERNOR,  (B)  THE  TERMS,  ISSUANCE,
   56  MODIFICATION  OR  RESCISSION OF A GUBERNATORIAL EXECUTIVE ORDER, (C) THE
       S. 5520                            14
    1  TERMS, APPROVAL OR DISAPPROVAL, OR THE IMPLEMENTATION AND ADMINISTRATION
    2  OF TRIBAL-STATE COMPACTS,  MEMORANDA  OF  UNDERSTANDING,  OR  ANY  OTHER
    3  TRIBAL-STATE  AGREEMENTS  AND  ANY  STATE  ACTIONS  RELATED TO CLASS III
    4  GAMING AS PROVIDED IN 25 U.S.C. S 2701, OR (D) THE ADOPTION OR REJECTION
    5  OF  ANY  CODE,  RULE OR REGULATION HAVING THE FORCE AND EFFECT OF LAW OR
    6  THE OUTCOME OF ANY RATE MAKING PROCEEDING BY A STATE AGENCY;
    7    (II)(A) THE PASSAGE OR DEFEAT OF ANY LOCAL LAW, ORDINANCE,  REGULATION
    8  OR RESOLUTION BY ANY MUNICIPALITY OR SUBDIVISION THEREOF, (B) THE TERMS,
    9  ISSUANCE, MODIFICATION OR RESCISSION OF AN EXECUTIVE ORDER ISSUED BY THE
   10  CHIEF  EXECUTIVE  OFFICER  OF  A  MUNICIPALITY,  OR  (C)  THE  ADOPTION,
   11  REJECTION OR IMPLEMENTATION OF ANY RULE, RESOLUTION OR REGULATION HAVING
   12  THE FORCE AND EFFECT OF A LOCAL LAW, ORDINANCE OR REGULATION OR ANY RATE
   13  MAKING PROCEEDING BY ANY MUNICIPALITY OR SUBDIVISION THEREOF;
   14    (III) ANY DETERMINATION BY A STATE AGENCY, EITHER HOUSE OF  THE  STATE
   15  LEGISLATURE,  THE UNIFIED COURT SYSTEM, MUNICIPAL AGENCY OR LOCAL LEGIS-
   16  LATIVE BODY WITH RESPECT TO A GOVERNMENTAL PROCUREMENT OR A GRANT,  LOAN
   17  OR AGREEMENT INVOLVING THE DISBURSEMENT OF PUBLIC MONIES.
   18    (B)  NO PERSON SHALL ACCEPT SUCH A RETAINER OR EMPLOYMENT. A VIOLATION
   19  OF THIS SECTION SHALL BE A CLASS A MISDEMEANOR.
   20    S 1-II. REPORTS INVOLVING  DISBURSEMENT  OF  PUBLIC  MONIES.  (A)  ANY
   21  CONSULTANT  REQUIRED  TO  FILE  A  STATEMENT OF REGISTRATION PURSUANT TO
   22  SECTION ONE-DD OF THIS ARTICLE WHO IN  ANY  CONSULTING  YEAR  REASONABLY
   23  ANTICIPATES  THAT  DURING  THE  YEAR  THEY WILL EXPEND, INCUR OR RECEIVE
   24  COMBINED REPORTABLE COMPENSATION AND EXPENSES IN AN AMOUNT IN EXCESS  OF
   25  FIVE  THOUSAND DOLLARS SHALL FILE WITH THE COMMISSION, ON FORMS SUPPLIED
   26  BY THE COMMISSION, A REPORT OF ANY ATTEMPTS TO INFLUENCE A DETERMINATION
   27  BY A PUBLIC OFFICIAL, OR BY A PERSON OR ENTITY  WORKING  IN  COOPERATION
   28  WITH  A  PUBLIC  OFFICIAL,  WITH  RESPECT  TO THE SOLICITATION, AWARD OR
   29  ADMINISTRATION OF A GRANT, LOAN, OR AGREEMENT INVOLVING THE DISBURSEMENT
   30  OF PUBLIC MONIES IN EXCESS OF FIFTEEN  THOUSAND  DOLLARS  OTHER  THAN  A
   31  GOVERNMENTAL PROCUREMENT AS DEFINED IN SECTION ONE-BB OF THIS ARTICLE.
   32    (B) SUCH PUBLIC MONIES CONSULTING REPORTS SHALL CONTAIN:
   33    (I)  THE  NAME, ADDRESS AND TELEPHONE NUMBER OF THE CONSULTANT AND THE
   34  INDIVIDUALS EMPLOYED BY THE CONSULTANT ENGAGED  IN  SUCH  PUBLIC  MONIES
   35  CONSULTING ACTIVITIES;
   36    (II)  THE  NAME, ADDRESS AND TELEPHONE NUMBER OF THE CLIENT BY WHOM OR
   37  ON WHOSE BEHALF THE CONSULTANT IS RETAINED, EMPLOYED  OR  DESIGNATED  ON
   38  WHOSE  BEHALF  THE CONSULTANT HAS ENGAGED IN CONSULTING REPORTABLE UNDER
   39  THIS PARAGRAPH;
   40    (III) A DESCRIPTION OF THE GRANT, LOAN,  OR  AGREEMENT  INVOLVING  THE
   41  DISBURSEMENT OF PUBLIC MONIES ON WHICH THE CONSULTANT HAS CONSULTED;
   42    (IV)  THE NAME OF THE PERSON, ORGANIZATION, OR LEGISLATIVE BODY BEFORE
   43  WHICH THE CONSULTANT HAS ENGAGED IN  CONSULTING  REPORTABLE  UNDER  THIS
   44  PARAGRAPH; AND
   45    (V)  THE COMPENSATION PAID OR OWED TO THE CONSULTANT, AND ANY EXPENSES
   46  EXPENDED, RECEIVED OR INCURRED BY THE  CONSULTANT  FOR  THE  PURPOSE  OF
   47  CONSULTING REPORTABLE UNDER THIS PARAGRAPH.
   48    (C) PUBLIC MONIES CONSULTING REPORTS REQUIRED PURSUANT TO THIS SECTION
   49  SHALL  BE FILED IN ACCORDANCE WITH THE SCHEDULE APPLICABLE TO THE FILING
   50  OF BI-MONTHLY REPORTS PURSUANT TO SECTION ONE-GG  OF  THIS  ARTICLE  AND
   51  SHALL  BE FILED NOT LATER THAN THE FIFTEENTH DAY NEXT SUCCEEDING THE END
   52  OF SUCH REPORTING PERIOD.
   53    (D) IN ADDITION TO ANY OTHER FEES  AUTHORIZED  BY  THIS  SECTION,  THE
   54  COMMISSION MAY IMPOSE A FEE FOR LATE FILING OF A REPORT REQUIRED BY THIS
   55  SUBDIVISION  NOT  TO  EXCEED  TWENTY-FIVE  DOLLARS FOR EACH DAY THAT THE
   56  REPORT REQUIRED TO BE FILED IS  LATE,  EXCEPT  THAT  IF  THE  CONSULTANT
       S. 5520                            15
    1  MAKING A LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STATUTE TO FILE
    2  SUCH  A REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TEN DOLLARS FOR
    3  EACH DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE.
    4    (E) ALL REPORTS FILED PURSUANT TO THIS SUBDIVISION SHALL BE SUBJECT TO
    5  REVIEW  BY THE COMMISSION. SUCH REPORTS SHALL BE KEPT IN ELECTRONIC FORM
    6  BY THE COMMISSION AND SHALL BE AVAILABLE FOR PUBLIC INSPECTION.
    7    S 1-JJ. PROHIBITION OF GIFTS. NO INDIVIDUAL OR ENTITY REQUIRED  TO  BE
    8  LISTED  ON  A  STATEMENT  OF REGISTRATION PURSUANT TO THIS ARTICLE SHALL
    9  OFFER OR GIVE A GIFT TO ANY PUBLIC OFFICIAL AS DEFINED WITHIN THIS ARTI-
   10  CLE, UNLESS UNDER THE CIRCUMSTANCES IT IS NOT REASONABLE TO  INFER  THAT
   11  THE  GIFT  WAS INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. NO INDIVIDUAL
   12  OR ENTITY REQUIRED TO BE LISTED ON A STATEMENT OF REGISTRATION  PURSUANT
   13  TO THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO THE SPOUSE OR UNEMANCIPAT-
   14  ED  CHILD  OF  ANY  PUBLIC OFFICIAL AS DEFINED WITHIN THIS ARTICLE UNDER
   15  CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER THAT THE GIFT WAS INTENDED
   16  TO INFLUENCE SUCH PUBLIC OFFICIAL. NO SPOUSE OR UNEMANCIPATED  CHILD  OF
   17  AN  INDIVIDUAL  REQUIRED  TO  BE  LISTED  ON A STATEMENT OF REGISTRATION
   18  PURSUANT TO THIS ARTICLE SHALL OFFER OR GIVE A GIFT TO A PUBLIC OFFICIAL
   19  UNDER CIRCUMSTANCES WHERE IT IS REASONABLE TO INFER THAT  THE  GIFT  WAS
   20  INTENDED TO INFLUENCE SUCH PUBLIC OFFICIAL. THIS SECTION SHALL NOT APPLY
   21  TO GIFTS TO OFFICERS, MEMBERS OR DIRECTORS OF BOARDS, COMMISSIONS, COUN-
   22  CILS,  PUBLIC  AUTHORITIES OR PUBLIC BENEFIT CORPORATIONS WHO RECEIVE NO
   23  COMPENSATION OR ARE COMPENSATED ON A PER DIEM BASIS, UNLESS  THE  PERSON
   24  LISTED  ON  THE STATEMENT OF REGISTRATION APPEARS OR HAS MATTERS PENDING
   25  BEFORE THE BOARD, COMMISSION OR COUNCIL ON WHICH THE RECIPIENT SITS.
   26    S 1-KK. PENALTIES. (A) (I)  ANY  CONSULTANT,  PUBLIC  CORPORATION,  OR
   27  CLIENT  WHO  KNOWINGLY  AND  WILFULLY  FAILS  TO FILE TIMELY A REPORT OR
   28  STATEMENT REQUIRED BY THIS SECTION OR KNOWINGLY AND WILFULLY FILES FALSE
   29  INFORMATION OR KNOWINGLY AND WILFULLY VIOLATES SECTION  ONE-JJ  OF  THIS
   30  ARTICLE SHALL BE GUILTY OF A CLASS A MISDEMEANOR; AND
   31    (II)  ANY  CONSULTANT, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND
   32  WILFULLY FAILS TO FILE TIMELY A REPORT OR  STATEMENT  REQUIRED  BY  THIS
   33  SECTION  OR  KNOWINGLY AND WILFULLY FILES FALSE INFORMATION OR KNOWINGLY
   34  AND WILFULLY VIOLATES SECTION  ONE-JJ  OF  THIS  ARTICLE,  AFTER  HAVING
   35  PREVIOUSLY  BEEN  CONVICTED  IN  THE  PRECEDING  FIVE YEARS OF THE CRIME
   36  DESCRIBED IN PARAGRAPH (I) OF THIS SUBDIVISION, SHALL  BE  GUILTY  OF  A
   37  CLASS  E  FELONY.    ANY CONSULTANT CONVICTED OF OR PLEADING GUILTY TO A
   38  FELONY UNDER THE PROVISIONS OF THIS SECTION MAY BE BARRED FROM ACTING AS
   39  A CONSULTANT FOR A PERIOD OF ONE YEAR FROM THE DATE OF  THE  CONVICTION.
   40  FOR  THE  PURPOSES OF THIS SUBDIVISION, THE CHIEF ADMINISTRATIVE OFFICER
   41  OF ANY ORGANIZATION REQUIRED TO FILE A STATEMENT OR REPORT SHALL BE  THE
   42  PERSON RESPONSIBLE FOR MAKING AND FILING SUCH STATEMENT OR REPORT UNLESS
   43  SOME OTHER PERSON PRIOR TO THE DUE DATE THEREOF HAS BEEN DULY DESIGNATED
   44  TO MAKE AND FILE SUCH STATEMENT OR REPORT.
   45    (B)(I)  A  CONSULTANT, PUBLIC CORPORATION, OR CLIENT WHO KNOWINGLY AND
   46  WILFULLY FAILS TO FILE A STATEMENT OR REPORT WITHIN  THE  TIME  REQUIRED
   47  FOR THE FILING OF SUCH REPORT OR KNOWINGLY AND WILFULLY VIOLATES SECTION
   48  ONE-JJ OF THIS ARTICLE SHALL BE SUBJECT TO A CIVIL PENALTY FOR EACH SUCH
   49  FAILURE  OR VIOLATION, IN AN AMOUNT NOT TO EXCEED THE GREATER OF TWENTY-
   50  FIVE THOUSAND DOLLARS OR THREE TIMES THE AMOUNT  THE  PERSON  FAILED  TO
   51  REPORT  PROPERLY  OR UNLAWFULLY CONTRIBUTED, EXPENDED, GAVE OR RECEIVED,
   52  TO BE ASSESSED BY THE COMMISSION.
   53    (II) A CONSULTANT, PUBLIC CORPORATION, OR  CLIENT  WHO  KNOWINGLY  AND
   54  WILFULLY  FILES  A FALSE STATEMENT OR REPORT SHALL BE SUBJECT TO A CIVIL
   55  PENALTY, IN AN AMOUNT NOT  TO  EXCEED  THE  GREATER  OF  FIFTY  THOUSAND
       S. 5520                            16
    1  DOLLARS  OR  FIVE TIMES THE AMOUNT THE PERSON FAILED TO REPORT PROPERLY,
    2  TO BE ASSESSED BY THE COMMISSION.
    3    (III)  ANY  CONSULTANT  OR CLIENT THAT KNOWINGLY AND WILFULLY FAILS TO
    4  FILE A STATEMENT OR REPORT WITHIN THE TIME REQUIRED FOR  THE  FILING  OF
    5  SUCH  REPORT,  KNOWINGLY AND WILFULLY FILES A FALSE STATEMENT OR REPORT,
    6  OR KNOWINGLY AND WILFULLY VIOLATES SECTION ONE-JJ OF THIS ARTICLE, AFTER
    7  HAVING BEEN FOUND BY THE COMMISSION TO HAVE KNOWING AND WILFULLY COMMIT-
    8  TED SUCH CONDUCT OR VIOLATION  IN  THE  PRECEDING  FIVE  YEARS,  MAY  BE
    9  SUBJECT  TO  A DETERMINATION THAT THE CONSULTANT OR CLIENT IS PROHIBITED
   10  FROM ENGAGING IN CONSULTING ACTIVITIES, FOR A PERIOD OF ONE YEAR.
   11    (IV) ANY CONSULTANT OR CLIENT THAT KNOWINGLY AND WILFULLY  ENGAGES  IN
   12  CONSULTING  ACTIVITIES,  DURING  THE PERIOD IN WHICH THEY ARE PROHIBITED
   13  FROM ENGAGING IN CONSULTING ACTIVITIES, MAY BE  SUBJECT  TO  A  DETERMI-
   14  NATION  THAT  THE  CONSULTANT  OR  CLIENT IS PROHIBITED FROM ENGAGING IN
   15  CONSULTING ACTIVITIES, FOR A PERIOD OF UP TO FOUR YEARS,  AND  SHALL  BE
   16  SUBJECT  TO A CIVIL PENALTY NOT TO EXCEED FIFTY THOUSAND DOLLARS, PLUS A
   17  CIVIL PENALTY IN AN AMOUNT EQUAL TO FIVE TIMES THE VALUE  OF  ANY  GIFT,
   18  COMPENSATION OR BENEFIT RECEIVED AS A RESULT OF THE VIOLATION.
   19    (V)  A  CONSULTANT,  PUBLIC  CORPORATION,  OR CLIENT WHO KNOWINGLY AND
   20  WILFULLY FAILS TO RETAIN THEIR RECORDS PURSUANT TO  PARAGRAPH  (III)  OF
   21  SUBDIVISION (C) OF SECTION ONE-DD OF THIS ARTICLE OR SUBPARAGRAPH (E) OF
   22  PARAGRAPH  (V)  OF  SUBDIVISION  (B)  OF SECTION ONE-GG OF THIS ARTICLE,
   23  SHALL BE SUBJECT TO A CIVIL PENALTY IN AN AMOUNT OF TWO THOUSAND DOLLARS
   24  PER VIOLATION TO BE ASSESSED BY THE COMMISSION.
   25    (C)(I) ANY ASSESSMENT OR ORDER TO DEBAR SHALL BE DETERMINED ONLY AFTER
   26  A HEARING AT WHICH THE  PARTY  SHALL  BE  ENTITLED  TO  APPEAR,  PRESENT
   27  EVIDENCE AND BE HEARD. ANY ASSESSMENT OR ORDER TO DEBAR PURSUANT TO THIS
   28  SECTION  MAY ONLY BE IMPOSED AFTER THE COMMISSION SENDS BY CERTIFIED AND
   29  FIRST-CLASS MAIL WRITTEN NOTICE OF INTENT TO ASSESS A PENALTY  OR  ORDER
   30  TO DEBAR AND THE BASIS FOR THE PENALTY OR ORDER TO DEBAR. ANY ASSESSMENT
   31  MAY BE RECOVERED IN AN ACTION BROUGHT BY THE ATTORNEY GENERAL.
   32    (II)  IN  ASSESSING  ANY FINE OR PENALTY PURSUANT TO THIS SECTION, THE
   33  COMMISSION SHALL CONSIDER: (A) AS A MITIGATING FACTOR THAT THE  CONSULT-
   34  ANT,  PUBLIC  CORPORATION  OR CLIENT HAS NOT PREVIOUSLY BEEN REQUIRED TO
   35  REGISTER, AND (B) AS AN AGGRAVATING FACTOR THAT THE  CONSULTANT,  PUBLIC
   36  CORPORATION  OR CLIENT HAS HAD FINES OR PENALTIES ASSESSED AGAINST IT IN
   37  THE PAST. THE AMOUNT OF  COMPENSATION  EXPENDED,  INCURRED  OR  RECEIVED
   38  SHALL BE A FACTOR TO CONSIDER IN DETERMINING A PROPORTIONATE PENALTY.
   39    (III)  ANY  CONSULTANT,  PUBLIC  CORPORATION  OR CLIENT WHO RECEIVES A
   40  NOTICE OF INTENT TO ASSESS A PENALTY FOR KNOWINGLY AND WILFULLY  FAILING
   41  TO  FILE  A  REPORT  OR  STATEMENT  PURSUANT  TO SUBDIVISION (B) OF THIS
   42  SECTION AND WHO HAS NEVER PREVIOUSLY RECEIVED  A  NOTICE  OF  INTENT  TO
   43  ASSESS  A  PENALTY  FOR  FAILING  TO FILE A REPORT OR STATEMENT REQUIRED
   44  UNDER THIS SECTION SHALL BE GRANTED FIFTEEN DAYS WITHIN  WHICH  TO  FILE
   45  THE  STATEMENT  OF  REGISTRATION  OR REPORT WITHOUT BEING SUBJECT TO THE
   46  FINE OR PENALTY SET FORTH IN SUBDIVISION (B) OF THIS SECTION.  UPON  THE
   47  FAILURE  OF SUCH CONSULTANT, PUBLIC CORPORATION OR CLIENT TO FILE WITHIN
   48  SUCH FIFTEEN DAY PERIOD, SUCH CONSULTANT, PUBLIC CORPORATION  OR  CLIENT
   49  SHALL  BE  SUBJECT  TO  A FINE OR PENALTY PURSUANT TO SUBDIVISION (B) OF
   50  THIS SECTION.
   51    (D) ALL MONEYS RECOVERED BY THE ATTORNEY GENERAL OR  RECEIVED  BY  THE
   52  COMMISSION  FROM  THE  ASSESSMENT  OF CIVIL PENALTIES AUTHORIZED BY THIS
   53  SECTION SHALL BE DEPOSITED TO THE GENERAL FUND.
   54    S 1-LL. ENFORCEMENT. (A) ALL STATEMENTS  AND  REPORTS  REQUIRED  UNDER
   55  THIS  ARTICLE SHALL BE SUBJECT TO A DECLARATION BY THE PERSON MAKING AND
   56  FILING SUCH STATEMENT AND REPORT THAT THE INFORMATION IS  TRUE,  CORRECT
       S. 5520                            17
    1  AND  COMPLETE  TO  THE BEST KNOWLEDGE AND BELIEF OF THE SIGNER UNDER THE
    2  PENALTIES OF PERJURY.
    3    (B)  THE  COMMISSION  SHALL  BE CHARGED WITH THE DUTY OF REVIEWING ALL
    4  STATEMENTS AND REPORTS REQUIRED UNDER THIS ARTICLE FOR  VIOLATIONS,  AND
    5  IT  SHALL  BE THEIR DUTY, IF THEY DEEM SUCH TO BE WILFUL, TO REPORT SUCH
    6  DETERMINATION TO THE ATTORNEY GENERAL OR OTHER APPROPRIATE AUTHORITY.
    7    (C) UPON RECEIPT OF NOTICE OF SUCH FAILURE FROM  THE  COMMISSION,  THE
    8  ATTORNEY  GENERAL  OR OTHER APPROPRIATE AUTHORITY SHALL TAKE SUCH ACTION
    9  AS HE DEEMS APPROPRIATE TO SECURE COMPLIANCE WITH THE PROVISIONS OF THIS
   10  ARTICLE.
   11    S 1-MM. RECORD OF APPEARANCES. THE  COMMISSION  SHALL  PROMULGATE  ALL
   12  RULES  OR  REGULATIONS AND ANY PROCEDURES, FORMS, OR INSTRUCTIONS NECES-
   13  SARY TO IMPLEMENT THE PROVISIONS OF SECTION ONE HUNDRED SIXTY-SIX OF THE
   14  EXECUTIVE LAW RELATING TO THE QUARTERLY FILING OF THE RECORD OF  APPEAR-
   15  ANCES BEFORE REGULATORY AGENCIES.
   16    S 1-NN. PUBLICATION OF STATEMENT ON CONSULTANT DISCLOSURE REGULATIONS.
   17  THE  COMMISSION  SHALL  PUBLISH  A  STATEMENT  ON CONSULTING REGULATIONS
   18  SETTING FORTH THE REQUIREMENTS OF THIS ARTICLE  IN  A  CLEAR  AND  BRIEF
   19  MANNER.  SUCH STATEMENT SHALL CONTAIN AN EXPLANATION OF THE REGISTRATION
   20  AND FILING REQUIREMENTS AND THE PENALTIES FOR VIOLATION THEREOF, TOGETH-
   21  ER WITH SUCH OTHER INFORMATION AS THE COMMISSION  SHALL  DETERMINE,  AND
   22  COPIES  THEREOF  SHALL  BE  MADE  AVAILABLE  TO THE PUBLIC AT CONVENIENT
   23  LOCATIONS THROUGHOUT THE STATE.
   24    S 1-OO. PUBLIC ACCESS TO RECORDS. THE COMMISSION SHALL  MAKE  INFORMA-
   25  TION  FURNISHED  BY  CONSULTANTS AND CLIENTS AVAILABLE TO THE PUBLIC FOR
   26  INSPECTION AND COPYING IN ELECTRONIC AND PAPER FORMATS. ACCESS  TO  SUCH
   27  INFORMATION  SHALL  ALSO  BE  MADE  AVAILABLE  FOR REMOTE COMPUTER USERS
   28  THROUGH THE INTERNET NETWORK.
   29    S 1-PP. APPLICABILITY OF CERTAIN LAWS. THE PROVISIONS OF THIS  ARTICLE
   30  INCLUDING,  BUT  NOT  LIMITED  TO,  ANY  PROCEEDING OR HEARING CONDUCTED
   31  PURSUANT HERETO, SHALL BE SUBJECT TO THE APPLICABLE  PROVISIONS  OF  THE
   32  STATE  ADMINISTRATIVE  PROCEDURE  ACT  AND  SECTION SEVENTY-THREE OF THE
   33  CIVIL RIGHTS LAW.
   34    S 1-QQ. SEPARABILITY CLAUSE. IF ANY PART OR PROVISION OF THIS  ARTICLE
   35  OR  THE APPLICATION THEREOF TO ANY PERSON OR ORGANIZATION IS ADJUDGED BY
   36  A COURT OF COMPETENT JURISDICTION TO BE UNCONSTITUTIONAL, SUCH  JUDGMENT
   37  SHALL  NOT  AFFECT OR IMPAIR ANY OTHER PART OR PROVISION OR THE APPLICA-
   38  TION THEREOF TO ANY OTHER PERSON OR ORGANIZATION, BUT SHALL BE  CONFINED
   39  IN ITS OPERATION TO THE PART, PROVISION, PERSON OR ORGANIZATION DIRECTLY
   40  INVOLVED  IN  THE  CONTROVERSY  IN  WHICH  SUCH JUDGMENT SHALL HAVE BEEN
   41  RENDERED.
   42    S 2. This act shall take effect immediately.