Section 3-701
§ 3-701 Short title. This chapter shall be known as the "New York City
campaign finance act."
Section 3-702
§ 3-702 Definitions. For purposes of this chapter, the following terms
shall have the following meanings:
1. The term "participating candidate" shall mean any candidate for
nomination for election, or election, to the office of mayor, public
advocate, comptroller, borough president or member of the city council
who files a written certification pursuant to section 3-703 of this
chapter.
2. The term "principal committee" shall mean the authorized committee
designated by a candidate pursuant to paragraph (e) of subdivision 1 of
section 3-703 or paragraph (a) of subdivision one of section 3-718 of
this chapter.
3. The term "matchable contribution" shall mean (i) a contribution,
(ii) contributions or (iii) a portion of a contribution or
contributions, not greater than the applicable contribution limitation
set forth in paragraph (f) of subdivision one of section 3-703 for all
covered elections held in the same calendar year, made by a natural
person resident in the city of New York to a participating candidate
which has been reported in full to the campaign finance board in
accordance with subdivision six of section 3-703 by the candidate's
principal committee and has been contributed on or before December
thirty-first in the year of such election that may be matched by public
funds in accordance with the provisions of this chapter. Any
contribution, contributions, or a portion of a contribution determined
to be invalid for matching funds by the board may not be treated as a
matchable contribution for any purpose. A loan may not be treated as a
matchable contribution. The following contributions are not matchable:
(a) in-kind contributions of property, goods, or services;
(b) contributions in the form of the purchase price paid for an item
with significant intrinsic and enduring value;
(c) contributions in the form of the purchase price paid for or
otherwise induced by a chance to participate in a raffle, lottery, or
similar drawing for valuable prizes;
(d) money order contributions from any one contributor that are, in
the aggregate, greater than $100;
(e) contributions from individuals under the age of eighteen years;
(f) contributions from individual vendors to whom the participating
candidate or his or her principal committee makes an expenditure, in
furtherance of the nomination for election or election covered by the
candidate's certification, unless such expenditure is reimbursing an
advance;
(g) contributions from lobbyists or other persons required to be
included in a statement of registration filed pursuant to section
3-213(c)(1) or section 3-213-d. The board shall rely on the database
maintained by the city clerk pursuant to section 3-221 or such other
information known to the board to determine whether a contribution is
not matchable based on the contributor's status as a lobbyist or person
required to be included in a statement of registration filed pursuant to
section 3-213; and
(h) contributions from contributors subject to the limitations of
subdivision one-a of section 3-703 of this chapter.
4. The term "qualified campaign expenditure" shall mean an expenditure
for which public funds may be used.
5. The term "fund" shall mean the New York city election campaign
finance fund.
6. The term "threshold for eligibility" shall mean the total amount of
matchable contributions that a participating candidate and his or her
principal committee must receive in order for such candidate to qualify
for optional public financing pursuant to this chapter.
7. The term "authorized committee" shall mean a political committee
which has been authorized by one or more candidates to aid or take part
in the elections of such candidate or candidates and which has filed a
statement that such candidate or candidates have authorized such
political committee pursuant to section 14-112 of the election law.
8. The term "contribution" shall mean: (a) any gift, subscription,
advance, or deposit of money or any thing of value, made in connection
with the nomination for election, or election, of any candidate; (b) any
funds received by a political committee from another political committee
to the extent such funds do not constitute a transfer; (c) any payment,
by any person other than a candidate or a political committee authorized
by the candidate, made in connection with the nomination for election,
or election, of any candidate, including but not limited to compensation
for the personal services of any individual which are rendered in
connection with a candidate's election or nomination without charge;
provided however, that none of the foregoing shall be deemed a
contribution if it is made, taken or performed by a person or a
political committee independent of the candidate or his or her agents or
political committees authorized by such candidate pursuant to section
14-112 of the New York state election law. For purposes of this
subdivision, the term "independent of the candidate or his or her agents
or political committees authorized by such candidate pursuant to section
14-112 of the New York state election law" shall mean that the candidate
or his or her agents or political committees so authorized by such
candidate did not authorize, request, suggest, foster or cooperate in
any such activity; and provided further, that the term "contribution"
shall not include:
(i) the value of services provided without compensation by individuals
who volunteer a portion or all of their time on behalf of a candidate or
political committee,
(ii) the use of real or personal property and the cost of invitations,
food and beverages voluntarily provided by an individual to a candidate
or political committee on the individual's residential premises for
candidate-related activities to the extent such services do not exceed
five hundred dollars in value, and
(iii) the travel expenses of any individual who on his or her own
behalf volunteers his or her personal services to any candidate or
political committee to the extent such expenses are unreimbursed and do
not exceed five hundred dollars in value.
A loan made to a participating candidate or his or her principal
committee, or a non-participating candidate or his or her authorized
committees other than in the regular course of the lender's business
shall be deemed, to the extent not repaid by the date of the first
covered election in which such candidate is governed by this chapter
following the date of the loan, a contribution by the lender. A loan
made to a participating candidate or his or her principal committee, or
a non-participating candidate or his or her authorized committees in the
regular course of the lender's business shall be deemed, to the extent
not repaid by the date of the first covered election in which the
candidate is governed by this chapter following the date of the loan, a
contribution by the obligor on the loan and by any other person
endorsing, cosigning, guaranteeing, collateralizing or otherwise
providing security for the loan.
9. The term "transfer" shall mean any exchange of funds or any thing
of value between political committees authorized by the same candidate
pursuant to section 14-112 of the election law and taking part solely in
his or her campaign.
10. The term "covered election" shall mean any primary, run-off
primary, special, run-off special or general election for nomination for
election, or election, to the office of mayor, public advocate,
comptroller, borough president or member of the city council.
11. The term "political committee" shall mean any corporation aiding
or promoting and any committee, political club or combination of one or
more persons operating or cooperating to aid or to promote the success
or defeat of a political party or principle, or to aid or take part in
the election or defeat of a candidate for public office or to aid or
take part in the election or defeat of a candidate for nomination at a
primary election or convention, including all proceedings prior to such
primary election, or of a candidate for any party position voted for at
a primary election, or to aid or defeat the nomination by petition of an
independent candidate for public office; but nothing in this chapter
shall apply to any committee or organization for the discussion or
advancement of political questions or principles without connection with
any vote. "Political committee" shall include any party committee or
constituted committee, as such committees are defined in article
fourteen of the election law.
12. The term "intermediary" shall mean an individual, corporation,
partnership, political committee, employee organization or other entity
which, (i) other than in the regular course of business as a postal,
delivery or messenger service, delivers any contribution from another
person or entity to a candidate or other authorized committee; or (ii)
solicits contributions to a candidate or other authorized committee
where such solicitation is known to such candidate or his or her
authorized committee. For purposes of clause (ii) of this subdivision
only persons clearly identified as the solicitor of a contribution to
the candidate or his or her authorized committee shall be presumed to be
known to such candidate or his or her authorized committee.
"Intermediary" shall not include spouses, domestic partners, parents,
children or siblings of the person making such contribution, or any
fundraising agent, as such term is defined in the rules of the board or
any hosts of a campaign sponsored fundraising event paid for in whole or
in part by the campaign. Where there are multiple individual hosts for a
non-campaign sponsored event, the hosts shall designate one such host as
the intermediary.
13. The term "limited participating candidate" shall mean a candidate
who meets the requirements of paragraph (a) of subdivision one of
section 3-718 of this chapter.
14. The term "non-participating candidate" shall mean any candidate
for nomination for election, or election, to the office of mayor, public
advocate, comptroller, borough president or member of the city council
who does not file a written certification pursuant to section 3-703 or
meet the requirements of paragraph (a) of subdivision one of section
3-718 of this chapter, or who has, or the authorized committees of such
candidate have, made expenditures in furtherance of the nomination for
election or election to an office covered by this chapter.
15. The term "labor organization" shall mean any organization
including any local, state, district council, joint council or national
organization which exists and is constituted for the purpose, in whole
or in part, of collective bargaining, or of dealing with employers
concerning grievances, terms or conditions of employment, or of other
mutual aid or protection. For purposes of this section a labor
organization shall also include any political committee it has
established pursuant to state or federal law.
16. The term "lobbyist" shall mean a lobbyist as defined in
subdivision (a) of section 3-211 of this title and the spouse or
domestic partner and unemancipated children of the lobbyist, and if the
lobbyist is an organization, the term "lobbyist" shall mean only that
division of the organization that engages in lobbying activities and any
officer or employee of such lobbyist who engages in lobbying activities
of the organization or is employed in an organization's division that
engages in lobbying activities of the organization and the spouse or
domestic partner and unemancipated children of such officers or
employees.
17. The term "lobbying" or "lobbying activities" shall mean lobbying
and lobbying activities as defined in section 3-211 of this title.
18. a. The term "business dealings with the city" shall mean (i) any
contract (other than an emergency contract or a contract procured
through publicly-advertised competitive sealed bidding) which is for the
procurement of goods, services or construction that is entered into or
in effect with the city of New York or any agency or entity affiliated
with the city of New York and is valued at or above the dollar value
defined in subparagraph (a) of paragraph (3) of subdivision i of section
6-116.2 of the administrative code, or, with respect to a contract for
construction, at or above five hundred thousand dollars, or an emergency
contract awarded pursuant to section 315 of the charter, and shall
include any contract for the underwriting of the debt of the city of New
York or any agency or entity affiliated with the city of New York and
the retention of any bond counsel, disclosure counsel or underwriter's
counsel in connection therewith; or (ii) any acquisition or disposition
of real property (other than a public auction or competitive sealed bid
transaction or the acquisition of property pursuant to the department of
environmental protection watershed land acquisition program) with the
city of New York or any agency or entity affiliated with the city of New
York; or (iii) any application for approval sought from the city of New
York pursuant to the provisions of section 195 of the charter, any
application for approval sought from the city of New York that has been
certified pursuant to the provisions of section 197-c of the charter,
and any application for a zoning text amendment that has been certified
pursuant to section 201 of the charter; provided, however, that for
purposes of this clause, with respect to section 195 an applicant shall
include the lessor of an office building or office space, and with
respect to section 197-c an applicant shall include a designated
developer or sponsor of a project for which a city agency or local
development corporation is the applicant and provided, further, however,
that owner-occupants of one, two and three family homes shall not be
considered applicants pursuant to this clause; or (iv) any concession
(other than a concession awarded through publicly-advertised competitive
sealed bid) or any franchise from the city of New York or any agency or
entity affiliated with the city of New York which has an estimated
annual value at or above the dollar value defined in subparagraph (a) of
paragraph (3) of subdivision i of section 6-116.2 of the administrative
code; or (v) any grant that is valued at or above the dollar value
defined in subparagraph (a) of paragraph (3) of subdivision i of section
6-116.2 of the administrative code, received from the city of New York
or any agency or entity affiliated with the city of New York; or (vi)
any economic development agreement entered into or in effect with the
city of New York or any agency or entity affiliated with the city of New
York; or (vii) any contract for the investment of pension funds,
including investments in a private equity firm and contracts with
investment related consultants. In addition, for purposes of this
chapter a lobbyist as defined in section 3-211 of this title shall be
deemed to be engaged in business dealings with the city of New York
during all periods covered by a registration statement. For purposes of
clauses (i), (iv) and (v) of this subdivision, all contracts,
concessions, franchises and grants that are five thousand dollars or
less in value shall be excluded from any calculation as to whether a
contract, concession, franchise or grant is a business dealing with the
city. For purposes of clauses (ii) and (iii) of this subdivision, the
department of city planning, in consultation with the board, may
promulgate rules to require the submission by applicants to the city of
information necessary to implement the requirements of subdivisions 1-a
and 1-b of section 3-703 of this chapter as they relate to clauses (ii)
and (iii) of paragraph (a) of this subdivision for purposes of inclusion
in the doing business database established pursuant to subdivision 20 of
this section. For purposes of this subdivision, "agency or entity
affiliated with the city of New York" shall mean the city school
district of the city of New York and any public authority, public
benefit corporation or not for profit corporation, the majority of whose
board members are officials of the city of New York or are appointed by
such officials. The department of housing preservation and development
shall promulgate rules setting forth which categories of actions,
transactions and agreements providing affordable housing shall and shall
not constitute business dealings with the city of New York for purposes
of this subdivision. The department shall consider the significance of
the affordable housing program and the degree of discretion by city
officials in determining which actions, transactions and agreements
shall and shall not constitute such business dealings. Notwithstanding
any provision of this subdivision, a housing assistance payment contract
between a landlord and the department of housing preservation and
development or the New York city housing authority relating to the
provision of rent subsidies pursuant to Section 8 of the United States
Housing Act of 1937, 42 USC 1437 et., seq., shall not constitute
business dealings with the city of New York for the purposes of this
subdivision.
b. Business dealings with the city as defined in this subdivision
shall be as follows: for purposes of clause (i) of paragraph (a) of this
subdivision, bids or proposals on contracts for the procurement of
goods, services, or construction shall only constitute business dealings
with the city of New York for the period from the later of the
submission of the bid or proposal or the date of the public
advertisement for the contract opportunity until twelve months after the
date of such submission or advertisement, and contracts for the
procurement of goods, services or construction shall only constitute
business dealings with the city of New York during the term of such
contract (or in the case of purchase contracts for goods, from the date
of such purchase) and for twelve months thereafter, provided, however
that where such contract award is made from a line item appropriation
and/or discretionary funds made by an elected official other than the
mayor or the comptroller, such contract shall only constitute business
dealings with the city from the date of adoption of the budget in which
the appropriation of such contract is included until twelve months after
the end of the term of such contract; for purposes of clause (ii) of
paragraph a of this subdivision, leases in which the city of New York is
the proposed lessee shall only constitute business dealings with the
city from the date the application for acquisition is filed pursuant to
section 195 or the date of the certification of such application
pursuant to section 197-c to a period of one year after the commencement
of the lease term or after the commencement of any renewal and, where
the city or any city affiliated entity is disposing of any real property
interest, shall only constitute business dealings with the city from the
date of the submission of a proposal and during the term of any
agreement and one year after; for purposes of clause (iii) of paragraph
(a) of this subdivision, applications for approval sought from the city
of New York pursuant to the provisions of sections 197-c or 201 of the
charter, except for applications for leases as described in clause (ii),
shall only constitute business dealings with the city from the date of
the certification of such application to the date that is one hundred
twenty days after the date of filing by the council with the mayor of
its action pursuant to subdivision e of section 197-d of the charter or,
in the case of a decision of the city planning commission for which the
council takes no action pursuant to paragraph (3) of subdivision (b) of
section 197-d of the charter, the date which is twenty days following
the filing of such decision with the council pursuant to subdivision a
of section 197-d of the charter, provided, however, that in the case of
a disapproval of a council action by the mayor pursuant to subdivision e
of section 197-d of the charter, such date shall be one hundred twenty
days after expiration of the ten day period for council override
pursuant to such section; for purposes of clause (iv) of paragraph (a)
of this subdivision, bids or proposals for franchises and concessions
shall only constitute business dealings with the city of New York for
the period from the submission of the bid or proposal until twelve
months after the date of such submission, concessions shall only
constitute business dealings with the city of New York during the term
of such concession and for twelve months after the end of such term, and
franchises shall only constitute business dealings with the city of New
York for the period of one year after the commencement of the term of
the franchise or after the commencement of any renewal; for purposes of
clause (v) of paragraph (a) of this subdivision, grants shall constitute
business dealings with the city of New York for one year after the grant
is made; for purposes of clause (vi) of paragraph (a) of this
subdivision, economic development agreements shall constitute business
dealings with the city from the submission of an application for such
agreement and during the term of such agreement and for one year after
the end of such term; and for purposes of clause (vii) of paragraph (a)
of this subdivision, contracts for the investment of pension funds,
including the investments in a private equity firm and contracts with
investment related consultants shall constitute business dealings with
the city from the time of presentation of investment opportunity or the
submission of a proposal, whichever is earlier, and during the term of
such contract and for twelve months after the end of such term.
c. Notwithstanding anything in this subdivision, a person, as defined
by subdivision 20 of section 3-702, who has submitted bids or proposals
on contracts for the procurement of goods, services or construction or
who has submitted bids or proposals for franchises or concessions that
are no longer being considered for an award or a person who for any
other reason believes he or she should not be on the database may apply
to the city chief procurement officer or other person designated by the
mayor for removal from the doing business database and shall be removed
from the database upon a determination that said person should not be
included in the database. The city chief procurement officer may
promulgate rules for a process by which a person, as defined by
subdivision 20 of section 3-702, may apply to the city chief procurement
officer for a waiver from inclusion in the doing business database as
defined by such subdivision in instances in which such person is
providing essential goods, services or construction such as those
necessary for security or other essential government operations. Such
rules shall provide that the city chief procurement officer shall
transmit to the board a copy of any application for a waiver and any
such waiver may not be granted prior to the expiration of ten days from
the date such application is received by the board. Such rules shall
also provide that any such waiver may be granted only after substantial
efforts have been made by the city chief procurement officer to obtain
the information required by this law. Such rules shall also provide that
the city chief procurement officer may grant the waiver only upon a
finding that it is in the best interests of the city, which finding
shall only be made upon a determination that (i) there is a compelling
need to obtain such essential goods, services or construction from the
person seeking the exemption and (ii) no other reasonable alternative
exists in light of such considerations as cost, uniqueness and the
critical nature of such goods, services or construction to the
accomplishment of the purchasing agency's mission. Such rules may also
provide that a waiver may be granted when a person is doing business
with the city by virtue of the city's exercise of its powers of eminent
domain. Any grant of a waiver shall be posted on the city's and the
board's website in locations that are accessible by the public.
d. A person, as defined by subdivision 20 of section 3-702, shall be
considered to have business dealings with the city as of the date the
person's name is entered in the doing business database, as such date is
indicated in such database, or the date the person began doing business
with the city, as such date is indicated in such database, whichever is
earlier, except that the date on which the person is considered doing
business with the city shall not be earlier than thirty days before the
date the person's name is entered into such database.
19. The term "economic development agreement" means any contract or
agreement in which financial incentives including, but not limited to,
tax incentives, payments in lieu of taxes and financing are offered in
return for the development, attraction or retention of business;
provided, however that no financial incentives which are given to a
person who qualifies for such incentive by operation of law shall be
deemed to be pursuant to an economic development agreement for purposes
of this chapter.
20. The term "doing business database" means a computerized database
accessible to the board that contains the names of persons who have
business dealings with the city; provided, however, that for purposes of
this chapter the doing business database shall not be required to
contain the names of any person whose business dealings with the city
are solely of a type for which the board has not certified that such
database includes the names of those persons engaged in such type of
business dealings with the city. Such database shall be developed,
maintained and updated by the office of the mayor in a manner so as to
ensure its reasonable accuracy and completeness; provided, however, that
in no event shall such database be updated less frequently than once a
month. Such computerized database shall contain a function to enable
members of the public to determine if a given person is in the database
because such person has business dealings with the city. For purposes of
this definition, the term "person" shall include an entity that has
business dealings with the city, any chief executive officer, chief
financial officer and/or chief operating officer of such entity or
persons serving in an equivalent capacity, any person employed in a
senior managerial capacity regarding such entity, or any person with an
interest in such entity which exceeds ten percent of the entity,
provided, however, that "entity" for purposes of this definition shall
not include a neighborhood, community or similar association consisting
of local residents or homeowners organized on a non-profit basis where
such association is the applicant pursuant to subsection (3) of
subdivision (a) of section 197-c of the charter or pursuant to section
201 of the charter or is a parent company or an affiliated company of an
entity. For purposes of this subdivision, the phrase "senior managerial
capacity" shall mean a high level supervisory capacity, either by virtue
of title or duties, in which substantial discretion and oversight is
exercised over the solicitation, letting or administration of business
transactions with the city, including contracts, franchises,
concessions, grants, economic development agreements and applications
for land use approvals.
21. a. For purposes of campaigns that accept public funds pursuant to
section 3-705 of this chapter, the terms "expenditure" and "campaign
expenditure" shall include all payments and liabilities in furtherance
of a political campaign for covered office, including, but not limited
to, all qualified campaign expenditures and expenditures subject to or
exempt from the expenditure limitations of this chapter. There shall be
a rebuttable presumption that the following expenditures are in
furtherance of a political campaign for elective office; provided,
however, that the presumptions contained in this subdivision shall not
apply to an expenditure to a person or entity associated with the
candidate; and provided further that in rebutting any such presumption
the campaign finance board may consider factors including the timing of
the expenditure and whether the campaign had an unusually high amount of
spending on a particular type of expenditure. For purposes of this
subdivision a person or entity associated with a candidate shall include
the candidate's spouse, domestic partner, child, parent, or sibling or a
person or entity with whom or with which the candidate has a business or
other financial relationship:
1. Contributions to charitable organizations designated as 501(c)(3)
organizations pursuant to the internal revenue code;
2. Contributions to candidates and political committees subject to the
provisions of section 3-705(8);
3. Community events including, but not limited to, events hosted by
civic and neighborhood associations; provided, however, that this
presumption shall not apply to sporting events, concerts, theater or
other entertainment events which shall be subject to the provisions of
paragraph b;
4. Ballot proposal advocacy where there are indicia that the
expenditure relates to the candidate;
5. Travel related solely and exclusively to a political campaign for a
covered office or the holding of public office; provided, however, that
any travel not related solely and exclusively to a political campaign or
the holding of public office shall be subject to the provisions of
paragraph b;
6. Legal defense of a non-criminal matter arising out of a political
campaign;
7. Computer hardware, software and other office technology purchased
more than two weeks before the date of a primary election, in the case
of a candidate who is opposed in the primary election, or two weeks
before the date of a general election, in the case of a candidate who
was not opposed in a primary election;
8. A post-election event for staff, volunteers and/or supporters held
within thirty days of the election;
9. Payment of non-criminal penalties or fines arising out of a
political campaign;
10. Costs incurred in demonstrating eligibility for the ballot or
public funds payments or defending against a claim that public funds
must be repaid; and
11. Food and beverages provided to campaign workers and volunteers.
b. Campaign funds shall not be converted by any person to a personal
use which is unrelated to a political campaign. Expenditures not in
furtherance of a political campaign for elective office include the
following:
1. Expenditures to defray the normal living expenses of the candidate,
immediate family of the candidate or any other individual except for the
provision of such expenses for professional staff as part of a
compensation package;
2. Any residential or household items, supplies or expenditures;
3. Clothing, haircuts and other personal grooming;
4. Funeral, cremation or burial expenses including any expenses
related to a death within a candidate's or officeholder's family;
5. Automobile purchases;
6. Tuition payments and childcare costs;
7. Dues, fees or gratuities at a country club, health club,
recreational facility or other nonpolitical organization unless part of
a specific fundraising event that takes place on the organization's
premises;
8. Admission to a sporting event, theater, concert or other
entertainment event not part of a specific campaign activity;
9. Expenditures for non-campaign related travel, food, drink or
entertainment; if a candidate uses campaign funds to pay expenses
associated with travel that involves both personal activities and
campaign activities, the incremental expenses that result from the
personal activities shall be considered for personal use unless the
candidate benefiting from the use reimburses the campaign account within
thirty days for the full amount of the incremental expenses; and
10. Gifts, except for brochures, buttons, signs and other campaign
materials and token gifts valued at not more than fifty dollars that are
for the purpose of expressing gratitude, condolences or congratulations.
* 22. The term "text message contribution" shall mean a contribution,
initiated via a text message, to a participating or non-participating
candidate.
* NB Effective December 12, 2014
Section 3-703
§ 3-703 Eligibility and other requirements. 1. To be eligible for
optional public financing under this chapter, a candidate for nomination
for election or election must:
(a) meet all the requirements of law to have his or her name on the
ballot;
(b) be a candidate for mayor, public advocate, comptroller, borough
president or member of the city council in a primary, special, or
general election and meet the threshold for eligibility set forth in
subdivision two of this section;
(c) choose to participate in the public funding provisions of this
chapter, by filing a written certification in such form as may be
prescribed by the campaign finance board, which sets forth his or her
acceptance of an agreement to comply with the terms and conditions for
the provision of such funds. The deadline for filing such certification
for a primary and general election shall be:
(i) the tenth day of June in the year of the covered election, or such
other later date as the board shall provide, provided, however, that any
candidate who files such written certification prior to such date shall
be permitted to rescind such certification in writing on or before such
date;
(ii) the thirtieth day after a special election is held to fill a
vacancy for the office sought by the candidate;
whichever is later. The deadline for filing such certification for a
special election to fill a vacancy shall be on the seventh day after the
proclamation of such special election. A certification may be filed on
or before the seventh day after the occurrence of an extraordinary
circumstance in an election, as declared by the campaign finance board,
following the receipt and review of a petition submitted by a candidate
in such election. For purposes of this paragraph, an "extraordinary
circumstance" shall include the death of a candidate in the election,
the resignation or removal of the person holding the office sought, and
the submission to the board of a written declaration by an officeholder
that terminates his or her campaign for reelection;
(d) obtain and furnish to the campaign finance board and his or her
principal committee or authorized committees must obtain and furnish to
the board any information it may request relating to his or her campaign
expenditures or contributions and furnish such documentation and other
proof of compliance with this chapter as may be requested by such board,
provided, however, that the board shall accept such required
documentation through an electronically scanned transmission;
(e) notify the board in the candidate's written certification as to:
(i) the existence of each authorized committee authorized by such
candidate that has not been terminated, (ii) whether any such committee
also has been authorized by any other candidate, and (iii) if the
candidate has authorized more than one authorized committee, which
authorized committee has been designated by the candidate as the
candidate's principal committee for the election(s) covered by the
candidate's certification; provided, that such principal committee (i)
shall be the only committee authorized by such candidate to aid or
otherwise take part in the election(s) covered by the candidate's
certification, (ii) shall not be an authorized committee of any other
candidate, and (iii) shall not have been authorized or otherwise active
for any election prior to the election(s) covered by the candidate's
certification. The use of an entity other than the designated principal
committee to aid or otherwise take part in the election(s) covered by
the candidate's certification shall be a violation of this section and
shall trigger the application to such entity of all provisions of this
chapter governing principal committees;
(f) not accept and his or her principal committee or authorized
committees must not accept, either directly or by transfer, any
contribution or contributions from any one individual, partnership,
political committee, labor organization or other entity for all covered
elections held in the same calendar year in which he or she is a
participating candidate or a non-participating candidate which in the
aggregate: (i) for the office of mayor, public advocate or comptroller
shall exceed four thousand five hundred dollars, or (ii) for borough
president, shall exceed three thousand five hundred dollars, or (iii)
for member of the city council, shall exceed two thousand five hundred
dollars; provided that a participating candidate and his or her
principal committee or a non-participating candidate and his or her
authorized committees may accept additional contributions which do not
exceed one half the amount of the applicable limitation for any run-off
primary election, additional day for voting held pursuant to
section 3-108 of the New York state election law, special election to
fill a vacancy, run-off special election to fill a vacancy, delayed or
otherwise postponed election, or election held pursuant to court order
which is a covered election and in which the candidate seeks nomination
for election or election; and provided further that for the purposes of
this paragraph, contributions made by different labor organizations
shall not be aggregated or treated as contributions from a single
contributor for purposes of the contribution limit that is set forth in
this paragraph if those labor organizations make contributions from
different accounts, maintain separate accounts with different
signatories, do not share a majority of members of their governing
boards, and do not share a majority of the officers of their governing
boards; and provided further that if state law prescribes a contribution
limitation of a lesser amount, this paragraph shall not be deemed to
authorize acceptance of a contribution in excess of such lesser amount.
The maximum contributions set forth in this paragraph shall be adjusted
in accordance with subdivision seven of this section;
(g) maintain and his or her principal committee or authorized
committees must maintain such records of receipts and expenditures for a
covered election as required by the board;
(h) not make expenditures from or use his or her personal funds or
property or the personal funds or property jointly held with his or her
spouse, domestic partner, or unemancipated children in connection with
his or her nomination for election or election except as a contribution
to his or her principal committee in an amount that does not exceed
three times the maximum contribution amount applicable pursuant to
paragraph (f) of this subdivision. Such candidate shall not make
expenditures from or use other personal funds or property of his or her
spouse, domestic partner or unemancipated children in connection with
his or her nomination for election or election; provided that this
paragraph shall not be construed to limit contributions by persons other
than the candidate;
(i) not make and his or her principal committee must not make
expenditures which in the aggregate exceed the applicable expenditure
limitations set forth in section 3-706;
(j) meet the threshold for eligibility set forth in subdivision two of
this section;
(k) not accept and his or her principal committee must not accept,
either directly or by transfer, any contribution, loan, guarantee, or
other security for such loan from any political committee for all
covered elections held in the same calendar year in which he or she is a
participating candidate, except as is otherwise provided for
contributions by political committees pursuant to section 3-707 of this
chapter; and
(l) not accept and his or her principal committee or authorized
committees must not accept, either directly or by transfer, any
contribution, loan, guarantee, or other security for such loan from any
corporation, limited liability company, limited liability partnership or
partnership, other than a corporation, limited liability company,
limited liability partnership or partnership that is a political
committee as defined in subdivision eleven of section 3-702 of this
chapter, for all covered elections held in the same calendar year in
which he or she is a participating or non-participating candidate,
provided, however, that where a contribution is from a contributor whose
name is followed by a professional designation including but not limited
to "M.D.", "Esq." and "C.P.A." the board shall not treat such
contribution as coming from a corporation, limited liability company,
limited liability partnership or partnership in the absence of further
indicia that such contribution is from such an entity;
(m) fulfill the requirements of section 12-110 of the administrative
code of the city of New York, including payment of any penalties as
determined by the conflicts of interest board.
(i) The conflicts of interest board shall provide a participating
candidate with a receipt indicating proof of compliance with section
12-110 of the administrative code of the city of New York in such form
as the conflicts of interest board shall determine. Such receipt as
provided by the conflicts of interest board shall indicate the time and
date of filing of the financial disclosure report.
(ii) A participating candidate shall provide the campaign finance
board with the receipt provided by the conflicts of interest board
pursuant to subparagraph (i) of this paragraph, in such form and manner
as the campaign finance board shall require, by the last business day of
July in the year of the covered election, or such other later date as
the campaign finance board shall provide by rule, except that in a
special election to fill a vacancy the deadline for filing such receipt
shall be established by campaign finance board rule.
(iii) A participating candidate who fails to adhere to the
requirements of subparagraph (ii) of this paragraph may thereafter
satisfy the requirements of this paragraph by submitting a receipt in
accordance with subparagraph (i) of this paragraph at such times and in
such manner as provided by campaign finance board rule. The campaign
finance board shall thereafter allow the participating candidate to make
a claim for public funds upon satisfying the requirements of this
paragraph and all other applicable law, rules and regulations; provided,
however that a receipt that is not filed timely pursuant to subparagraph
(ii) of this paragraph may result in a delay of any payment of public
funds by the board; and
(n) satisfy any claim made by the board for the payment of civil
penalties or repayment of public funds that remains outstanding against
such candidate or his or her principal committee or an authorized
committee of such candidate from a prior covered election, if (i) the
candidate had written notice of such potential claim and ineligibility
to receive public funds prior to filing a written certification for the
current covered election pursuant to paragraph (c) of this subdivision,
or (ii) in the event no such timely notice has been given pursuant to
subparagraph (i), the candidate has been given an opportunity to present
to the board reasons he or she should be eligible to receive public
funds.
(o) agree that expenditures by his or her principal committee for the
purpose of advocating a vote for or against a proposal on the ballot in
an election that is also a covered election shall be subject to the
contribution and expenditure limitations applicable in such covered
election.
1-a. Notwithstanding any inconsistent provision of this section, a
participating candidate or his or her principal committee may not
accept, either directly or by transfer, any contribution or
contributions for a covered election in which he or she is a
participating candidate from a natural person who has business dealings
with the city, as that term is defined in subdivision eighteen of
section 3-702 of this chapter, if the aggregate of such contributions to
such candidate from such person for all covered elections in the same
calendar year exceeds: (i) for the office of mayor, public advocate or
comptroller four hundred dollars; (ii) for borough president three
hundred twenty dollars; and (iii) for member of the city council two
hundred fifty dollars; provided that a participating candidate or his or
her principal committee may accept additional contributions which do not
exceed one half the amount of the applicable limitation for any run-off
primary election, additional day for voting held pursuant to section
3-108 of the New York state election law, special election to fill a
vacancy, run-off special election to fill a vacancy, delayed or
otherwise postponed election, or election held pursuant to court order
which is a covered election and in which the candidate seeks nomination
for election or election. Any contribution made pursuant to this section
shall not be a matchable contribution. For purposes of this subdivision,
"person" shall include any chief executive officer, chief financial
officer and/or chief operating officer of an entity which has business
dealings with the city, any person employed in a senior managerial
capacity regarding such an entity, or any person with an interest in
such an entity which exceeds ten percent of the entity. For purposes of
this subdivision, the phrase "senior managerial capacity" shall mean a
high level supervisory capacity, either by virtue of title or duties, in
which substantial discretion and oversight is exercised over the
solicitation, letting or administration of business transactions with
the city, including contracts, franchises, concessions, grants, economic
development agreements and applications for land use approvals.
Notwithstanding any provision of this subdivision, the limitations on
contributions contained herein shall not apply to any contribution made
by a natural person who has business dealings with the city to a
participating candidate or his or her principal committee where such
participating candidate is the contributor, or where such participating
candidate is the contributor's parent, spouse, domestic partner,
sibling, child, grandchild, aunt, uncle, cousin, niece or nephew by
blood or by marriage.
1-b. Individuals and organizations having business dealings with the
city of New York. a. Each participating candidate and his or her
principal committee shall inquire of every individual or entity making,
a contribution, loan, guarantee or other security for such loan in
excess of the amounts set forth in subdivision 1-a of section 3-703,
through a question, in a form prescribed by the campaign finance board,
as to whether such individual, corporation, partnership, political
committee, employee organization or other entity has business dealings
with the city, as that term is defined in this chapter, and, if so, the
name of the agency or entity with which such business dealings are or
were carried on and the appropriate type or category of such business
dealings. Such form shall contain in prominent typeface and in a
prominent location the statement "If a contributor has business dealings
with the City as defined in the campaign finance act, such contributor
may contribute only up to two hundred fifty dollars for city council,
three hundred twenty dollars for borough president and four hundred
dollars for mayor, comptroller or public advocate." Upon receipt of the
response to such inquiry (including any failure to respond), the
principal committee shall keep a copy in its records and shall report
each contribution to the board on the next applicable filing deadline in
accordance with the board's disclosure schedule. The board shall check
each contribution against the doing business database and shall notify
the principal committee within twenty days of the reporting of such
contribution if a contribution exceeding the doing business contribution
limitation set forth in subdivision 1-a of section 3-703 is subject to
such limitations of this subchapter or if a contribution is not
matchable pursuant to such subdivision. Notwithstanding any provision in
this subdivision, in the six weeks preceding the covered election the
board shall provide such notification to the principal or authorized
committee within three business days of the reporting of such
contribution to the board in accordance with applicable reporting
deadlines. If the board fails to notify the principal committee that a
contribution is in excess of the limitations set forth in subdivision
1-a of section 3-703 of this chapter in accordance with this
subdivision, any such contribution shall be deemed valid for purposes of
such limitation, provided, however, that no such contribution shall be
matchable. Such principal committee shall have twenty days from the date
of any such notification to return the amount of any contribution in
excess of the limitations set forth in subdivision 1-a of section 3-703
to the contributor. No violation shall issue and no penalty shall be
imposed where such excess amount is postmarked or delivered within
twenty days of such notification by the board and the board shall not
designate a candidate as having accepted a contribution in excess of
such limitations where such excess has been returned in accordance with
the time limitations set forth herein. Failure to return such excess
amount in accordance with the provisions herein shall not result in the
board withholding public funds for which the participating candidate's
principal committee is otherwise eligible pursuant to section 3-705 of
this chapter; provided, however, that the board may deduct an amount
equal to the total unreturned contributions in excess of the limitations
set forth in subdivision 1-a of section 3-703 of this chapter from such
payment of public funds. For purposes of this section, "individual"
shall include any chief executive officer, chief financial officer,
and/or chief operating officer of an entity or persons serving in an
equivalent capacity, any person in a senior managerial capacity
regarding an entity, or any person with an interest in an entity, which
exceeds ten percent of the entity. For purposes of this subdivision, the
phrase "senior managerial capacity" shall mean a high level supervisory
capacity, either by virtue of title or duties, in which substantial
discretion and oversight is exercised over the solicitation, letting or
administration of business transactions with the city, including
contracts, franchises, concessions, grants, economic development
agreements, and applications for land use approvals. Notwithstanding any
other provision of this section, no participating candidate shall be
liable for any fine or penalty for the failure of any contributor to
respond to any such request or for any erroneous response.
* 1-c. Notwithstanding any inconsistent provision of this section, a
participating and non-participating candidate and his or her principal
or authorized committee may accept text message contributions; provided,
however, that such contributions may not exceed ninety nine dollars per
contributor per candidate for all covered elections in the same calendar
year, and further provided that the contributor shall certify via text
message that he or she will personally pay the amount specified to the
wireless service provider, and shall provide such other certifications
as the board shall require. A text message contribution shall be
attributed to the individual who is the registered user of the specific
mobile device from which the contribution was initiated; shall be
reported in accordance with the requirements of subdivision six of this
section; and shall be a matchable contribution pursuant to subdivision
three of section 3-702, provided such contribution meets the
requirements of that subdivision, of this section, and of the rules of
the board.
* NB Effective December 12, 2014
2. (a) The threshold for eligibility for public funding for
participating candidates in a primary or general election, or special
election to fill a vacancy, shall be in the case of:
(i) mayor, not less than two hundred fifty thousand dollars in
matchable contributions comprised of sums up to one hundred seventy-five
dollars per contributor including at least one thousand matchable
contributions of ten dollars or more;
(ii) public advocate and comptroller, not less than one hundred
twenty-five thousand dollars in matchable contributions comprised of
sums of up to one hundred seventy-five dollars per contributor including
at least five hundred matchable contributions of ten dollars or more;
(iii) borough president, an amount equal to the number of persons
living in such borough as determined by the last census multiplied by
two cents in matchable contributions comprised of sums of up to one
hundred seventy-five dollars per contributor including at least one
hundred matchable contributions of ten dollars or more from residents of
the borough, or ten thousand dollars comprised of sums of up to one
hundred seventy-five dollars per contributor, whichever is greater.
(iv) member of the city council, not less than five thousand dollars
in matchable contributions comprised of sums of up to one hundred
seventy-five dollars per contributor including at least seventy-five
matchable contributions of ten dollars or more from residents of the
district in which the seat is to be filled.
(b) Any participating candidate meeting the threshold for eligibility
in a primary election for one of the foregoing offices shall be deemed
to have met the threshold for eligibility for such office in any other
election, other than a special election to fill a vacancy, held in the
same calendar year.
3. In order to be eligible to receive public funds in a primary
election a participating candidate must agree that in the event he or
she is a candidate for such office in any other election held in the
same calendar year, other than a special election to fill a vacancy,
that he or she will be bound in each such other election by the
eligibility requirements and all other provisions of this chapter.
4. Candidates who are contested in a primary election for nomination
for election to office and who do not file a written certification
pursuant to paragraph (c) of subdivision one of this section shall not
be eligible for public funds for any election to such office held in the
same calendar year other than a special election to fill a vacancy.
5. Participating candidates who are seeking nomination or election
exclusively as write-in candidates, who are unopposed in a covered
election, or who are opposed in a covered election only by candidates
seeking nomination or election exclusively as write-in candidates, shall
not be eligible to receive public funds for such election.
6. (a) Each participating or limited participating candidate and his
or her principal committee, and each non-participating candidate and his
or her authorized committees shall report to the board every
contribution, loan, guarantee, or other security for such loan received
by the candidate and such committee, the full name, residential address,
occupation, employer, and business address of each contributor, lender,
guarantor, or provider of security and of each person or entity which is
the intermediary for such contribution, loan, guarantee, or other
security for such loan, and every expenditure made by the candidate and
such committee, including expenditures not subject to section 3-706.
Disclosure reports shall be submitted at such times and in such form as
the board shall require and shall be clearly legible.
(b) Notwithstanding paragraph (a) above:
(i) an intermediary need not be reported for any contribution to a
participating or limited participating candidate and his or her
principal committee or a non-participating candidate and his or her
authorized committees that was collected from a contributor in
connection with a party or other candidate-related event held at the
residence of the person delivering the contribution, unless the expenses
of such events at such residence for such candidate exceed five hundred
dollars for a covered election or the aggregate contributions received
from that contributor at such events exceed five hundred dollars;
(ii) contributions aggregating not more than ninety-nine dollars from
any one contributor for all covered elections held in a single calendar
year or for a special election need not be separately itemized in
disclosure reports submitted to the board on behalf of a participating,
or limited participating or non-participating candidate and his or her
principal committee or authorized committees, provided, however, that
contributions which are not itemized shall not be matchable;
(iii) the treasurer of the principal committee need not collect or
disclose the occupation, employer, and business address of any
contributor making contributions aggregating not more than ninety-nine
dollars for all covered elections held in a single calendar year or for
a special election; provided, however, such occupation, employer, and
business address shall be disclosed if such contributors are employees
of a participating or limited participating candidate or the spouse or
domestic partner of such candidate or an entity in which such candidate,
spouse or domestic partner has an ownership interest of ten percent or
more or a management position, including, but not limited to, being an
officer, director or trustee; and
(iv) disclosure reports, other than reports required to be filed every
six months in accordance with the schedule specified by the New York
state board of elections, need not be submitted on behalf of a
participating or limited participating candidate and his or her
principal committee or a non-participating candidate and his or her
authorized committees if the cumulative amount of contributions and
loans accepted by such candidate and committee following the period
covered in the last disclosure report submitted to the campaign finance
board on behalf of such candidate is less than two thousand dollars or
such higher amount as may be determined by the campaign finance board,
provided, however, that disclosure reports shall be submitted on behalf
of a participating or limited participating candidate and his or her
principal committee or a non-participating candidate and his or her
authorized committees if that candidate and his or her committee have
made expenditures in excess of forty-five percent of the expenditure
limitation applicable to participating and limited participating
candidates under section 3-706. The campaign finance board shall make
available to the public a copy of disclosure reports within two business
days after they are accepted by the board.
6-a. Any rules promulgated by the board to require that disclosure
reports submitted pursuant to this chapter be submitted in an electronic
format shall provide exemptions for small campaigns, as defined by board
rules, and for other campaigns that demonstrate that submission in an
electronic format would pose a substantial hardship.
7. Not later than the first day of March in the year two thousand
eighteen and every fourth year thereafter the campaign finance board
shall (i) determine the percentage difference between the average over a
calendar year of the consumer price index for the metropolitan New
York-New Jersey region published by the United States bureau of labor
statistics for the twelve months preceding the beginning of such
calendar year and the average over the calendar year two thousand
fifteen of such consumer price index; (ii) adjust each maximum
contribution applicable pursuant to paragraph (f) of subdivision one of
this section by the amount of such percentage difference to the nearest
fifty dollars; and (iii) publish such adjusted maximum contribution in
the City Record. Such adjusted maximum contribution shall be in effect
for any election held before the next such adjustment.
8. If a participating or limited participating candidate and his or
her principal committee or a non-participating candidate and his or her
authorized committees demonstrate to the board that a political
committee has not accepted contributions, loans, or other receipts or
made expenditures or transfers in a covered election, and represent that
such committee will not accept contributions, loans, or other receipts
or make expenditures or transfers in a covered election, the
participating or limited participating candidate and his or her
principal committee or non-participating candidate and his or her
authorized committees may submit to the board legible copies of
financial disclosure reports, required to be filed with the city or
state board of elections, for such committees in lieu of the disclosure
report form designated by the board for purposes of subdivision six of
this section.
9. No political committee authorized by a participating, or limited
participating or non-participating candidate for a covered election may
be authorized to aid or take part in the elections of more than one
candidate.
10. All receipts accepted by a participating or limited participating
candidate and his or her principal committee shall be deposited in an
account of the principal committee. All receipts accepted by a
non-participating candidate and his or her authorized committees shall
be deposited in an account of the authorized committees. The treasurer
of the principal committee or authorized committee shall be responsible
for making such deposits. All deposits shall be made within ten business
days of receipt; provided, however, that deposits of contributions made
in the form of checks received by a participating, or limited
participating or non-participating candidate and his or her committees
for the office of city council more than one year before the first
covered election for which such candidate is seeking nomination or
election may be made within twenty business days of receipt. Each
disclosure report filed pursuant to subdivision six of this section
shall include the date of receipt of each contribution accepted.
11. Regardless whether a participating candidate demonstrates
eligibility for optional public financing under this chapter, a
participating candidate and his or her principal committee are
nonetheless required to abide by the requirements of paragraphs (d),
(e), (f), (g), (h), (i), (k) and (l) of subdivision one of this section.
12. (a) Each participating candidate or limited participating
candidate for nomination for election, or election, or the principal
committee of such candidate, shall submit, in a contemporaneous manner,
the disclosure reports required pursuant to this chapter, filed in
accordance with the schedule specified by the state board of elections
for the filing of campaign receipt and expenditure statements, and such
other disclosure reports as the rules of the board may require, in order
for any contributions received during the periods covered by such
reports and prior to the last date upon which such candidate may file a
certification pursuant to paragraph (c) of subdivision one of this
section to qualify as matchable contributions.
(b) The board shall review each disclosure report timely submitted by
a candidate prior to the last date upon which such candidate may file a
certification pursuant to paragraph (c) of subdivision one of this
section, or subdivision one of section 3-718, and issue to the candidate
a review before the next disclosure report is due. Such review shall
inform the candidate of relevant questions the board has concerning the
candidate's: (i) compliance with requirements of this chapter and of the
rules issued by the board; and (ii) qualification for receiving public
funds pursuant to this chapter. In the course of this review, the board
shall give candidates an opportunity to respond to and correct potential
violations, before the deadline for filing a certification pursuant to
paragraph (c) of subdivision one of this section, or subdivision one of
section 3-718, and give candidates an opportunity to address questions
the board has concerning their matchable contribution claims or other
issues concerning eligibility for receiving public funds pursuant to
this chapter; provided, however, this paragraph shall not apply to the
last required disclosure report before the deadline for filing a
certification pursuant to paragraph (c) of subdivision one of this
section or subdivision one of section 3-718. Nothing in this paragraph
shall preclude the board from subsequently reviewing such disclosure
reports and taking any action otherwise authorized under this chapter.
13. Candidates who file a certification pursuant to subdivision one of
this section shall not be eligible to file a certification pursuant to
section 3-718, and candidates who file a certification pursuant to
section 3-718 shall not be eligible to file a certification pursuant to
subdivision one of this section.
14. (a) Transfers that a principal committee receives from a political
committee (other than another principal committee) at any time during an
election cycle shall:
(i) be attributed to previous contributions in accordance with the
duly promulgated rules of the campaign finance board applicable to such
transfer or use;
(ii) exclude an amount equal to the total of:
(A) such previous contributions, or portions thereof, that violate the
limitations, restrictions, or prohibitions of the charter and this
chapter applicable in the covered election for which the principal
committee is designated; and
(B) such previous contributions, or portions thereof, for which the
principal committee has not obtained and submitted to the board, prior
to receipt of the transfer, evidence of the contributor's intent to
designate the contribution for such covered election, and any other
record, as determined by the rules of the board; and
(iii) not be matchable.
(b) Each transfer, the contributions to which the transfer is
attributed, and all expenditures made in connection with such
contributions shall be reported to the board in the next disclosure
report due pursuant to this section 3-703 after the transfer is
received. These expenditures shall, at a minimum, include all
expenditures made by the political committee making the transfer during
the election cycle of the covered election. The board shall issue
instructions defining the circumstances in which such disclosure reports
shall also include additional expenditures made by other political
committees authorized by the participating candidate that originally
received such contributions and additional expenditures made prior to
such election cycle. Such expenditures shall be applied to the
expenditure limit applicable under 3-706.
(c) Participating candidates shall have the burden of demonstrating
that expenditures reported pursuant to paragraph (b) of this subdivision
are not subject to the expenditure limit applicable under section 3-706
and are not a basis for reducing public funds payments pursuant to
subdivision eight of section 3-705 of this chapter.
(d) Nothing in this subdivision is intended to modify or supersede any
federal law that prohibits or otherwise restricts the use of campaign or
donated funds by political committees, candidates or federal
officeholders.
15. Participating candidates, their campaign managers, treasurers or
persons with significant managerial control over a campaign shall be
required to attend a training provided by the campaign finance board
concerning compliance with the requirements of the campaign finance
program and use of the campaign finance program software.
Section 3-704
§ 3-704 Qualified campaign expenditures. 1. Public funds provided
under the provisions of this chapter may be used only for expenditures
by a principal committee to further the participating candidate's
nomination for election or election, either in a special election to
fill a vacancy, or during the calendar year in which the primary or
general election in which the candidate is seeking nomination for
election or election is held.
2. Such public funds may not be used for:
(a) an expenditure in violation of any law;
(b) payments made to the candidate or a spouse, domestic partner,
child, grandchild, parent, grandparent, brother or sister of the
candidate or spouse or domestic partner of such child, grandchild,
parent, grandparent, brother or sister, or to a business entity in which
the candidate or any such person has a ten percent or greater ownership
interest;
(c) payments in excess of the fair market value of services,
materials, facilities or other things of value received in exchange;
(d) (i) any expenditure made after the candidate has been finally
disqualified or had his or her petitions finally declared invalid by the
New York city board of elections or a court of competent jurisdiction,
except that such expenditures may be made:
(A) as otherwise permitted pursuant to subdivision seven of section
3-709 of this chapter, or
(B) for a different covered election, other than a special election to
fill a vacancy, held later in the same calendar year in which the
candidate seeks election for the same office; provided, however, that
public funds originally received for a special election to fill a
vacancy may not be retained for expenditure in any other election;
(ii) any expenditure made after the only remaining opponent of the
candidate has been finally disqualified or had his or her petitions
finally declared invalid by the New York city board of elections or a
court of competent jurisdiction, except that such expenditures may be
made for a different covered election, other than a special election to
fill a vacancy, held later in the same calendar year in which the
candidate seeks election for the same office; provided, however, that
public funds originally received for a special election to fill a
vacancy may not be retained for expenditure in any other election;
(e) payments in cash;
(f) any contribution, transfer, or loan made to another candidate or
political committee;
(g) gifts, except brochures, buttons, signs and other printed campaign
material;
(h) any expenditure to challenge or defend the validity of petitions
of designation or nomination, or of certificates of nomination,
acceptance, authorization, declination, or substitution, and expenses
related to the canvassing of election results, made pursuant to
subdivision four of section 3-706;
(i) an expenditure made primarily for the purpose of expressly
advocating a vote for or against a ballot proposal, other than
expenditures made also to further the participating candidate's
nomination for election or election;
(j) payment of any penalty or fine imposed pursuant to federal, state
or local law; or
(k) payments made through advances, except in the case of individual
purchases in excess of two hundred fifty dollars.
Section 3-705
§ 3-705 Optional public financing. Each participating candidate for
nomination for election or election in a covered election may obtain
payment to his or her principal committee from public funds for
qualified campaign expenditures, in accordance with the provisions of
this chapter, and subject to appropriation.
1. No such public funds shall be paid to a principal committee unless
the board determines that the participating candidate has met the
eligibility requirements of this chapter. Payment shall not exceed the
amounts specified in this chapter, and shall be made only in accordance
with the provisions of this chapter. Such payment may be made only to
the participating candidate's principal committee. No public funds shall
be used except as reimbursement or payment for qualified campaign
expenditures actually and lawfully incurred or to repay loans used to
pay qualified campaign expenditures.
2. (a) If the threshold for eligibility is met, the participating
candidate's principal committee shall receive payment for qualified
campaign expenditures of six dollars for each one dollar of matchable
contributions, up to one thousand fifty dollars in public funds per
contributor (or up to five hundred twenty-two dollars in public funds
per contributor in the case of a special election), obtained and
reported to the campaign finance board in accordance with the provisions
of this chapter.
(b) Except as otherwise provided in subdivision three of section
3-706, in no case shall the principal committee of a participating
candidate receive public funds pursuant to paragraph (a) above in excess
of an amount equal to fifty-five percent of the expenditure limitation
provided in subdivision one of section 3-706 for the office for which
such candidate seeks nomination for election or election.
(c) No funds shall be provided pursuant to this subdivision with
respect to any covered election specified in subdivision five of this
section.
3. A participating candidate seeking or obtaining nomination for
election by more than one party shall be deemed one candidate, and shall
not receive additional public funds or be authorized to accept
contributions in excess of the maximum contribution applicable pursuant
to paragraph (f) of subdivision one of section 3-703 or make additional
expenditures by reason of such candidate seeking or obtaining nomination
for election by more than one party. Subdivision five of section 3-703
shall not be applicable to such a candidate who is opposed for the
nomination of at least one party in a primary election. The elimination
of the expenditure limitations and qualification for additional matching
funds provided in subdivision three of section 3-706 shall not be
applicable to such a candidate who is opposed for the nomination of at
least one party solely by participating candidates.
4. The campaign finance board shall make possible payment within four
business days after receipt of reports of matchable contributions, or as
soon thereafter as is practicable, but not earlier than the earliest
dates for making such payments as provided in subdivisions five and six
of section 3-709; provided, however, that the board shall withhold up to
five percent of all public funds payments to participating candidates
until the final pre-election payment for any given election. The board
shall schedule a minimum of three payment dates within the thirty days
prior to a covered election. For purposes of such payment dates, the
board shall provide each candidate with a written determination
specifying the basis for any non-payment. The board shall provide
candidates with a process by which they may immediately upon receipt of
such determination petition the board for reconsideration of any such
non-payment and such reconsideration shall occur within five business
days of the filing of such petition. In the event that the board denies
such petition then it shall immediately notify the candidate of his or
her right to bring a special proceeding pursuant to article 78 of the
civil practice law and rules.
5. (a) Notwithstanding any other provision of this chapter, a
participating candidate in a run-off primary election held pursuant to
section 6-162 of the New York state election law or a run-off special
election to fill a vacancy shall obtain prompt payment for qualified
campaign expenditures in an amount equal to twenty-five cents for each
one dollar of public funds paid pursuant to this chapter to the
candidate's principal committee for the preceding election.
(b) The board shall promulgate rules to provide for the prompt
issuance of additional public funds to eligible participating candidates
for qualified campaign expenditures in the case of an additional day for
voting held pursuant to section 3-108 of the New York state election
law, an election held pursuant to court order, or a delayed or otherwise
postponed election.
(c) Except as provided for by this subdivision and any rules
promulgated hereby, no public funds shall be provided to any candidate
for any run-off primary election, run-off special election to fill a
vacancy, additional day for voting, election held pursuant to court
order, or delayed or otherwise postponed election.
6. Notwithstanding any other provision of this chapter to the
contrary, to protect the public fund from disproportionately large
payments when the number of voters eligible to vote in a primary
election is small, the board shall adopt rules setting a reduced maximum
primary election public funds payment for participating candidates on
the ballot in one or more primary elections in which the number of
persons eligible to vote for party nominees total fewer than such number
as shall be specified by the board in such rules, if any. Any such rules
shall not apply to participating candidates opposed in a primary
election by one or more participating candidates who are not subject to
such reduced maximum primary election public funds payment or by a
non-participating candidate who makes expenditures in excess of a
specified amount for such primary election, as determined by the board.
7. Notwithstanding any provision of this section to the contrary, the
amount of public funds payable a participating candidate on the ballot
in any covered election shall not exceed one quarter of the maximum
public funds payment otherwise applicable under subdivision two of this
section, unless:
(a) the participating candidate is opposed by a candidate and the
board has determined that such other candidate and his or her authorized
committees have spent or contracted or have obligated to spend, or
received in loans or contributions, or both, an amount which, in the
aggregate, exceeds one-fifth of the applicable expenditure limit for
such office fixed by subdivision one of section 3-706 of this chapter
for participating candidates; or
(b) the participating candidate has submitted a certified signed
statement attesting to the need and stating the reason for additional
public funds in such election, in which case the board shall publish
such statement at the time such additional public funds are paid,
including on the board's internet website. Such statement must certify
that (i) one or more of the following conditions apply and (ii) such
condition or conditions reasonably demonstrate the need for such public
funds, and the participating candidate must provide documentation
demonstrating the existence of such condition or conditions:
(1) the participating candidate is opposed by (i) a non-participating
candidate or (ii) a limited participating candidate, and provides a
factual basis with supporting documentation of such candidate's ability
to self finance;
(2) the participating candidate is opposed by a candidate who has
received (i) the endorsement of a citywide or statewide elected official
or a federal elected official representing all or a portion of the area
covered by the election; (ii) two or more endorsements from other city
elected officials who represent all or a part of the area covered by the
election; or (iii) endorsements of one or more membership organizations
with a membership of over 250 members;
(3) the participating candidate is opposed by a candidate who has had
significant media exposure in the twelve months preceding the election.
For purposes of this paragraph, significant media exposure shall mean
appearance of the opponent or his or her name on television or radio in
the area of the covered election or in print media in general
circulation in the area of the covered election at least twelve times in
the year preceding the covered election; provided, however, that the
listing of names of candidates or potential candidates for a covered
election without additional information concerning the opponent shall
not constitute an appearance for purposes of this paragraph;
(4) the participating candidate is opposed by a candidate who has
received twenty-five percent or more of the vote in an election for
public office in an area encompassing all or part of the area that is
the subject of the current election in the last eight years preceding
the election;
(5) the participating candidate is opposed by a candidate whose name
is substantially similar to the candidate's so as to result in confusion
among voters, as determined by the board;
(6) the participating candidate in a city council or borough-wide race
is opposed by a candidate who is a chairman or president of a community
board or district manager of a community board; or
(7) the participating candidate is opposed by a candidate whose
spouse, domestic partner, sibling, parent or child holds or has held
elective office in an area encompassing all or part of the area of the
covered election in the past ten years.
The board shall be authorized to verify the truthfulness of any
certified statement submitted pursuant to this paragraph and of any
supporting documentation and shall post such certified statements and
supporting documentation on its website.
(c) the participating candidate is opposed in a primary or special
election for an office for which no incumbent is seeking re-election.
If any of the conditions described in paragraphs (a), (b), or (c)
occur in such election, the board shall pay any and all additional
public funds due to the participating candidate up to the maximum total
payment applicable in such election under subdivisions two or six of
this section or subdivision three of section 3-706 of this chapter.
8. Contributions by a principal committee of a participating candidate
to other political committees shall not be a basis for reducing public
funds payments, provided that: (a) such principal committee has received
contributions (other than matchable contributions) that, in the
aggregate, exceed the total of such contributions to other political
committees and (b) such contributions in the aggregate do not exceed:
(i) three thousand dollars, if such principal committee is the
principal committee of a participating candidate seeking nomination for
election or election to the office of member of the city council;
(ii) five thousand dollars, if such principal committee is the
principal committee of a participating candidate seeking nomination for
election or election to the office of borough president; and
(iii) ten thousand dollars, if such principal committee is the
principal committee of a participating candidate seeking nomination for
election or election to a city-wide office.
9. If a participating candidate endorses or publicly supports his or
her opponent for election, such candidate shall not be eligible for
public funds.
10. A participating candidate who loses in the primary election but
remains on the ballot for the general election must certify to the board
before receiving public funds that he or she will actively campaign for
office; such campaign activity shall include, but not be limited to,
raising and spending funds, seeking endorsements, and broadly soliciting
votes.
Section 3-706
§ 3-706 Expenditures limitations; additional financing and limits. 1.
The following limitations apply to all expenditures made by a candidate
and his or her principal committee on or after the first day of January
preceding the election for which such candidate chooses to participate
in the public funding provisions of this chapter and to expenditures
made at any time prior to such date for services, materials, facilities,
advertising or other things of value received, rendered, published,
distributed or broadcast on or after such date:
(a) Except as provided in paragraph (b) of this subdivision, in each
primary election, in each special election to fill a vacancy, and in
each general election, expenditures by a participating candidate or a
limited participating candidate and his or her principal committee for
one of the following offices shall not exceed the following amounts:
mayor: $6,158,000
public advocate or comptroller: $3,850,000
borough president: $1,386,000
member of the city council: $161,000
(b) (i) The expenditure limitation in a run-off primary election held
pursuant to section 6-162 of the New York state election law or a
run-off special election held to fill a vacancy shall be one half the
amount of the applicable limitation provided for an election for such
office pursuant to the provisions of paragraph (a) of this subdivision.
(ii) The board shall promulgate rules to provide for a separate
expenditure limit applicable to campaign expenditures for an additional
day for voting held pursuant to section 3-108 of the New York state
election law, an election held pursuant to court order, or a delayed or
otherwise postponed election.
(c) Expenditures by participating or limited participating candidates
in a primary election made prior to or on the date of such primary
election shall be deemed to have been made for such primary election.
(d) The campaign finance board shall, pursuant to section 3-713,
submit a report to the mayor and the council on or before September
first, nineteen hundred ninety, containing its recommendations whether
the expenditure limitations provided by this subdivision should be
modified. Such report shall set forth the amount of, and reasons for,
any modifications it recommends.
(e) Not later than the first day of March in the year two thousand ten
and every fourth year thereafter the campaign finance board shall (i)
determine the percentage difference between the average over a calendar
year of the consumer price index for the metropolitan New York-New
Jersey region published by the United States bureau of labor statistics
for the twelve months preceding the beginning of such calendar year and
the average over the calendar year two thousand seven of such consumer
price index; (ii) adjust each expenditure limitation applicable either
pursuant to this subdivision or subdivision 2 of this section by the
amount of such percentage difference to the nearest thousand dollars and
(iii) publish such adjusted expenditure limitation in the City Record.
Such adjusted expenditure limitation shall be in effect for any election
held before the next such adjustment.
2. The following limitations apply to all expenditures made by a
participating or limited participating candidate and his or her
principal committee in the three calendar years preceding the year of
the election for which such candidate chooses to file a certification as
a participating or limited participating candidate pursuant to this
chapter and to expenditures made at any time prior to such date for
services, materials, facilities, advertising or other things of value
received, rendered, published, distributed or broadcast in such calendar
years. Such expenditures by a participating or limited participating
candidate for one of the following offices and his or her principal
committee shall not exceed the following amounts:
mayor, public advocate or comptroller: $290,000
borough president: $129,000
member of the city council: $43,000
2-a. (a) If the expenditures made by a candidate and his or her
principal committee subject to the expenditure limitation of subdivision
two of this section exceed the amount of the expenditure limitation
applicable under such subdivision, such candidate or his or her
principal committee shall not be ineligible to receive public funding
for qualified campaign expenditures or be in violation of this chapter
by reason of exceeding such limitation unless the amount by which such
expenditures exceed such limitation is in excess of the expenditure
limitation which next applies to such candidate or his or her principal
committee pursuant to subdivision one of this section; and further
provided that the amount of the expenditure limitation which next
applies to such candidate or his or her principal committee, pursuant to
subdivision one of this section, shall be reduced by the amount by which
the expenditure limitation applicable under subdivision two of this
section is exceeded.
(b) Nothing contained in paragraph (a) of this subdivision shall:
(i) operate to increase or decrease the amount of public funds that
may be received pursuant to section 3-705 by the principal committee;
(ii) affect the expenditure limitation set forth in paragraph (b) of
subdivision one of this section; or
(iii) affect the expenditure limitation set forth in paragraph (a) of
subdivision one of this section for purposes of the application of
subdivision three of this section.
3. (a) If any candidate in any covered election chooses not to file a
certification as a participating or limited participating candidate
pursuant to this chapter, and where the campaign finance board has
determined that such candidate and his or her authorized committees have
spent or contracted or have obligated to spend, or received in loans or
contributions, or both, an amount which, in the aggregate, exceeds half
the applicable expenditure limit for such office fixed by subdivision
one of this section, then:
(i) such expenditure limit applicable to participating candidates and
limited participating candidates in such election for such office shall
be increased to one hundred fifty percent of such limit; and
(ii) the principal committees of such participating candidates shall
receive payment for qualified campaign expenditures of five dollars for
each one dollar of matchable contributions, up to one thousand two
hundred fifty dollars in public funds per contributor (or up to six
hundred twenty five dollars in public funds per contributor in the case
of a special election); provided, however, that (A) participating
candidates in a run-off election shall receive public funds for such
election pursuant to subdivision five of section 3-705 and shall not
receive any additional public funds pursuant to this section, and (B) in
no case shall a principal committee receive in public funds an amount
exceeding two-thirds of the expenditure limitation provided for such
office in subdivision one of this section.
(iii) for elections occurring after January first, two thousand eight,
the campaign finance board shall promulgate rules to provide that the
principal committees of such participating candidates shall receive
payment for qualified campaign expenditures that will provide the
highest allowable matchable contribution to be matched by an amount up
to one thousand two hundred fifty dollars in public funds per
contributor (or up to six hundred twenty five dollars in public funds
per contributor in the case of special election); provided, however,
that (A) participating candidates in a run-off election shall receive
public funds for such election pursuant to subdivision five of section
3-705 and shall not receive any additional public funds pursuant to this
section, and (B) in no case shall a principal committee receive in
public funds an amount exceeding two-thirds of the expenditure
limitation provided for such office in subdivision one of this section.
(b) If any candidate in any covered election chooses not to file a
certification as a participating or limited participating candidate
pursuant to this chapter, and where the campaign finance board has
determined that such candidate and his or her authorized committees have
spent or contracted or have obligated to spend, or received in loans or
contributions, or both, an amount which, in the aggregate, exceeds three
times the applicable expenditure limit for such office fixed by
subdivision one of this section, then:
(i) such expenditure limit shall no longer apply to participating
candidates and limited participating candidates in such election for
such office; and
(ii) the principal committees of such participating candidates shall
receive payment for qualified campaign expenditures of six dollars for
each one dollar of matchable contributions, up to one thousand five
hundred dollars in public funds per contributor (or up to seven hundred
fifty dollars in public funds per contributor in the case of a special
election); provided, however, that (A) participating candidates in a
run-off election shall receive public funds for such election pursuant
to subdivision five of section 3-705 and shall not receive any
additional public funds pursuant to this section, and (B) in no case
shall a principal committee receive in public funds an amount exceeding
one hundred twenty-five percent of the expenditure limitation provided
for such office in subdivision one of this section.
(iii) for elections occurring after January first, two thousand eight,
the campaign finance board shall promulgate rules to provide that the
principal committees of such participating candidates shall receive
payment for qualified campaign expenditures that will provide the
highest allowable matchable contribution to be matched by an amount up
to one thousand five hundred dollars in public funds per contributor (or
up to seven hundred fifty dollars in public funds per contributor in the
case of special election); provided, however, that (A) participating
candidates in a run-off election shall receive public funds for such
election pursuant to subdivision five of section 3-705 and shall not
receive any additional public funds pursuant to this section, and (B) in
no case shall a principal committee receive in public funds an amount
exceeding one hundred twenty-five percent of the expenditure limitation
provided for such office in subdivision one of this section.
4. (a) Expenditures made for the purpose of: (i) bringing or
responding to any action, proceeding, claim or suit before any court or
arbitrator or administrative agency to determine a candidate's or
political committee's compliance with the requirements of this chapter,
including eligibility for public funds payments, or pursuant to or with
respect to election law or other law or regulation governing candidate
or political committee activity or ballot status, (ii) expenses to
challenge or defend the validity of petitions of designation or
nomination or certificates of nomination, acceptance, authorization,
declination or substitution, and expenses related to the canvassing or
re-canvassing of election results, and (iii) expenses related to the
post-election audit shall not be limited by the expenditure limitations
of this section.
(b) A participating candidate shall be required to provide detailed
documentation substantiating all exempt expenditure claims made pursuant
to this subdivision.
Section 3-707
§ 3-707 Voluntary registration by political committees. 1.
Participating committees may accept contributions from political
committees that choose to register with the board, as provided in this
section. The board shall issue rules providing for such registration.
Such contributions may not exceed the amount applicable under paragraph
(f) of subdivision one of section 3-703 of this chapter. The board shall
regularly publish a cumulative list of political committees that have
registered, including on the internet and in periodic mailings to
candidates.
2. It is the responsibility of the participating candidate to
determine whether he or she may accept a contribution pursuant to this
section. A participating candidate who receives a contribution from a
political committee that has not registered with the board prior to
making the contribution shall either return the contribution to the
contributor or pay to the fund an amount equal to the amount of the
contribution, unless the political committee registers with the board
within ten days after the publication of the next subsequent list of
registered political committees by the board following the date the
contribution is received.
Section 3-708
§ 3-708 Campaign finance board. 1. There shall be a campaign finance
board consisting of five members. Two members of the board shall be
appointed by the mayor, provided that not more than one such member
shall be enrolled in any one political party, and two members shall be
appointed by the speaker of the council, provided that not more than one
such member shall be enrolled in any one political party, and one
member, who shall be the chairperson, shall be appointed by the mayor
after consultation with the speaker. The members shall first be
appointed to serve as follows:
(a) one member appointed by the speaker for a term of one year;
(b) one member appointed by the mayor for a term of two years.
(c) one member appointed by the speaker for a term of three years;
(d) one member appointed by the mayor for a term of four years; and
(e) the chairperson for a term of five years.
(b) Each term shall commence on April first, nineteen hundred
eighty-eight. Thereafter, each member shall be appointed for a term of
five years by the mayor or the speaker, according to the original manner
of appointment.
In case of a vacancy in the office of a member, a member shall be
appointed to serve for the remainder of the unexpired term by the mayor
or the speaker, according to the original manner of appointment. In the
case of a vacancy in the office of a member for which a member is
holding over after expiration of the term for which the member was
appointed, an appointment to such office made after June 1 in a year in
which covered elections are scheduled shall not take effect prior to
December 1 of that calendar year. Each member shall be a resident of the
city, registered to vote therein. Each member shall agree not to make
contributions to any candidate for nomination for election, or election,
to the office of mayor, public advocate, comptroller, borough president
or member of the council which in the aggregate are in excess of the
maximum contribution applicable to such office pursuant to paragraph (f)
of subdivision one of section 3-703. No member shall serve as an officer
of a political party or be a candidate or participate in any capacity in
a campaign by a candidate for nomination for election or election to the
office of mayor, public advocate, comptroller, borough president or
member of the city council. Officers and employees of the city or any
city agency, lobbyists required to file a statement of registration
under section 3-213 and the employees of such lobbyists shall not be
eligible to be members of the board. In appointing members to the board,
the mayor and the speaker shall consider campaign experience in general
and particularly campaign experience with the New York city campaign
finance system. Members of the board shall be required to undergo
training developed pursuant to paragraph 14 of subdivision a of section
1052 of the charter.
2. The members of the board shall be compensated at the rate of one
hundred dollars per calendar day when performing the work of the board.
3. The board may employ necessary staff, including an executive
director and a counsel, and make necessary expenditures subject to
appropriation. The board may employ such staff, including legal and
accounting staff, as are necessary for providing technical assistance to
candidates and prospective candidates in covered elections, for the
purpose of promoting understanding of, participation in, and compliance
with the requirements of the provisions of this chapter.
4. No member of the campaign finance board shall be removed from
office except for cause and upon notice and hearing.
5. The board shall have the power to investigate all matters relating
to the performance of its functions and any other matter relating to the
proper administration of this chapter and for such purposes shall have
the power to require the attendance and examine and take the testimony
under oath of such persons as it shall deem necessary and to require the
production of books, accounts, papers and other evidence relative to
such investigation.
6. The board shall publicize, as it deems appropriate, the names of
candidates for nomination or election to the offices of mayor, public
advocate, comptroller, borough president, or city council who violate
any of the provisions of this chapter.
7. (a) The board shall render advisory opinions with respect to
questions arising under this chapter upon the written request of a
candidate, an officer of a political committee or member of the public,
or upon its own initiative. The board shall promulgate rules regarding
reasonable times to respond to such requests. The board shall make
public the questions of interpretation for which advisory opinions will
be considered by the board and its advisory opinions, including by
publication on its internet website.
(b) The board shall develop a program for informing candidates and the
public as to the purpose and effect of the provisions of this chapter.
The board shall prepare and make available educational materials,
including compliance manuals and summaries and explanations of the
purposes and provisions of this chapter. These materials shall be
prepared in plain language. The board shall prepare and make available
materials, including, to the extent feasible, computer software, to
facilitate the task of compliance with the disclosure and record-keeping
requirements of this chapter. When disclosure reports are generated by
use of the board's disclosure software, the board shall provide an
opportunity for candidates to test their electronic filings on any of
the three business days prior to the deadline for the filing of such
disclosure reports. Any disclosure software issued by the board on or
after January 1, 2008 shall enable users to meet their electronic
disclosure obligations under this chapter and under article 14 of the
election law, as amended by chapter 406 of the laws of 2005.
8. The board shall have the authority to promulgate such rules and
regulations and provide such forms as it deems necessary for the
administration of this chapter. The board shall promulgate regulations
concerning the form in which contributions and expenditures are to be
reported, the periods during which such reports must be filed and the
verification required. The board shall require the filing of reports of
contributions and expenditures for purposes of determining compliance
with paragraph (f) of subdivision one of section 3-703, section 3-706,
subdivision 1-a of section 3-703, section 3-718, and section 3-719 in
accordance with the schedule specified by the state board of elections
for the filing of campaign receipt and expenditure statements.
9. The board shall develop a computer data base that shall contain all
information necessary for the proper administration of this chapter
including information on contributions to and expenditures by candidates
and their authorized committees and distributions of moneys from the
campaign finance fund. Such data base shall be accessible to the public.
10. The board shall have the authority to implement any system
established for the regulation of inauguration and transition donations
and expenditures including the promulgation of rules and regulations and
the imposition of any penalties related thereto, as required by local
law. The specific powers enumerated in subdivisions 5, 6, 7, 8, 9 and 11
of this section, for purposes of this chapter, shall also be applicable
in full for purposes of such chapter 8.
11. The board may take such other actions as are necessary and proper
to carry out the purposes of this chapter.
Section 3-709
§ 3-709 New York city campaign finance fund. 1. There is hereby
established a special fund, to be known as the New York city campaign
finance fund. The moneys in such fund may be expended by the campaign
finance board only as payments for participating candidates in
accordance with the provisions of this chapter.
2. The fund shall be kept separate and shall be credited with all sums
appropriated therefor, any donations received pursuant to subdivision
nine of this section and all earnings accruing on such funds.
3. As soon as practicable in the year nineteen hundred eighty-eight
and in time for inclusion in the executive expense budget in every year
thereafter, and at such other times as the board shall deem necessary,
the board shall submit its estimate of the amount of public funds which
will be necessary to provide candidates sufficient financing for
elections in the next year in which elections are scheduled pursuant to
the charter and for elections to fill vacancies to be held prior to such
year, and a reserve for contingencies. Such estimates shall be submitted
in such manner and at such times as to assure that such amounts as shall
be necessary may be appropriated in full by the beginning of the fiscal
year prior to that in which elections are scheduled pursuant to the
charter and that additional amounts may be appropriated as necessary.
4. The moneys in such fund shall be paid to participating candidates
by the board upon its certification that such candidates qualify for
such funds.
5. No moneys shall be paid to participating candidates in a primary
election any earlier than two weeks after the last day to file
designating petitions for such primary election.
6. (a) No moneys shall be paid to participating candidates in a
run-off primary election held pursuant to section 6-162 of the election
law or in a general election any earlier than the day after the day of
the primary election held to nominate candidates for such election.
(b) No moneys shall be paid to participating candidates in a run-off
special election held to fill a vacancy any earlier than the day after
the day of the special election for which such run-off special election
is held.
7. No moneys shall be paid to any participating candidate who has been
finally disqualified or whose designating or nominating petitions have
been finally declared invalid by the New York city board of elections or
a court of competent jurisdiction. Any payment from the fund in the
possession of such a candidate or his or her principal committee on the
date of such final disqualification or invalidation may not thereafter
be expended for any purpose except the payment of liabilities incurred
in qualified campaign expenditures before such date and shall be
promptly repaid to the fund.
8. Prior to the first distribution of public funds to candidates in
any election, the board shall make a determination whether the moneys in
the fund are sufficient to provide all candidates the amounts they may
receive pursuant to this chapter for all elections to be held during the
calendar year for which such determination is made. Such determination
shall be published in the City Record, together with information
supporting such determination.
9. The board shall be empowered to accept donations to be credited to
the fund. The board may devise such methods of soliciting and collecting
donations as it may deem feasible and appropriate.
Section 3-709.5
§ 3-709.5 Mandatory debates. 1. (a) In any year in which a primary,
general or special election is to be held, any participating candidate
and any limited participating candidate for nomination or election to a
city-wide office shall participate in either of the two pre-election
debates, or both, held pursuant to this section for which he or she is
eligible and is required to debate pursuant to this section. A
participating candidate or limited participating candidate for
nomination or election to a city-wide office is eligible to participate
in a debate for each election in which he or she is on the ballot if he
or she has met such criteria for participation as shall be specified in
any agreement between the debate sponsor and the board.
(b) In any year in which a run-off primary or run-off special election
to fill a vacancy for a city-wide office is held, any participating
candidate and any limited participating candidate for nomination or
election to such city-wide office who is on the ballot shall participate
in one run-off election debate.
(c) In the case of a primary, the debate shall be among participating
candidates and limited participating candidates seeking the nomination
of the same political party who meet the requirements provided in
paragraph (a) of this subdivision. If there is no contested primary for
an office in a political party then no debate for that party's
nomination shall be held pursuant to this section.
(d) Each debate held pursuant to this section shall be at least one
hour's duration.
2. For purposes of this section, a "debate" shall mean the moderated
reciprocal discussion of issues among candidates on the ballot for the
same office.
3. The campaign finance board shall select one or more sponsors for
each debate required pursuant to this section. For primary, general and
special elections, the second debate shall be a debate among the leading
contenders for the office, as described in paragraph (b) of subdivision
five of this section.
4. Organizations which are not affiliated with any political party or
with any holder of or candidate for public office, which have not
endorsed any candidate in the pending primary, special, general, or
run-off election for the city-wide office shall be eligible to sponsor
one or more of the required debates. The rules for conducting such
debates shall be solely the responsibility of the organizations selected
but shall not be made final without consultation with the campaign
finance board. The organizations selected shall be responsible for
choosing the date, time and location of the debates.
5. Written applications by organizations to sponsor a debate shall be
submitted to the campaign finance board on a form provided by the board
not later than a date chosen by the board in any year in which an
election is held for city-wide offices.
(a) The written application shall:
(i) demonstrate that the organization and any proposed co-sponsor meet
the criteria of subdivision four of this section;
(ii) specify the election and office for which the organization seeks
to sponsor the debate;
(iii) set forth the date, time, duration, and location of the debate
and the specific and exclusive circumstances under which the date or
time may be changed, together with a provision for when the rescheduled
debate would be held;
(iv) provide a detailed description of the format and ground rules for
the debate;
(v) verify that the staging, promotion, and coverage of the debate
shall be in conformance with all applicable laws;
(vi) include an agreement to indemnify the city for any liability
arising from the acts or omissions of the sponsor; and
(vii) set forth plans for publicity and for broadcast and other media
coverage for the debate; and
(viii) set forth the criteria for determining which candidates are
eligible to participate in each debate the organization seeks to
sponsor, in accordance with paragraph (b) of this subdivision.
(b) (i) Except as otherwise provided in subparagraph (ii) below, each
debate for a primary, general or special election shall include only
those participating candidates or limited participating candidates the
sponsor of each such debate has determined meet the non-partisan,
objective, and non-discriminatory criteria set forth in any agreement
between the sponsor and the board; provided, however, that the criteria
for the first debate for a primary, general, or special election shall
provide, among other criteria, (A) that a participating candidate shall
be eligible to participate in such debate if he or she has, by the last
filing date prior to such debate, (I) spent, contracted, or obligated to
spend, and (II) received in contributions, an amount equal to or more
than twenty percent of the threshold for eligibility for public funding
applicable to participating candidates contained in subdivision two of
section 3-703, and (B) that a limited participating candidate shall be
eligible to participate in such debate if he or she has, by the last
filing date prior to such debate, spent, contracted, or obligated to
spend, an amount equal to or more than twenty percent of the threshold
for eligibility for public funding applicable to participating
candidates seeking the office for which such debate is being held
contained in subdivision two of section 3-703; provided, however, that
for the purpose of determining whether a candidate has met the financial
criteria to be eligible to participate in such debate, only
contributions raised and spent in compliance with the act shall be used
to determine whether the candidate has raised and spent twenty percent
of the threshold for eligibility for public funding applicable to
participating candidates contained in subdivision two of section 3-703;
provided, further, that the second debate for a primary, general, or
special election shall include only those participating candidates or
limited participating candidates who the sponsor has also determined are
leading contenders on the basis of additional non-partisan, objective,
and non-discriminatory criteria set forth in any agreement between the
sponsor and the board. Nothing in this provision is intended to limit
the debates to the two major political parties.
(ii) If a debate sponsor has determined that a non-participating
candidate has met all the non-partisan, objective, and
non-discriminatory criteria applicable to participating candidates or
limited participating candidates for access to any of the primary,
general, or special election debates, the sponsor may invite that
candidate to participate in such debate. In the case of a run-off
primary election or a run-off special election, the sponsor may invite a
non-participating candidate to participate in such debate. However, if a
non-participating candidate does not accept such invitation to debate or
does not appear at such debate, the debate shall go forward as
scheduled; provided, however, if there is only one participating
candidate or limited participating candidate participating in any such
debate, such debate shall be canceled.
6. Prior to choosing a sponsor, the board shall provide for the
receipt of comments from interested persons regarding the qualifications
of potential sponsors. The board shall consider and give substantial
weight to such comments submitted by candidates.
7. Based upon the criteria in subdivision four above and any comments
received pursuant to subdivision six above, the board shall select the
organization or organizations to sponsor the debates and shall provide
written notification to the organization or organizations so selected.
In addition to the sufficiency of the application, the board shall
consider the applicant's ability to reach a wide audience and present a
fair and impartial debate. The board may accept an application subject
to modifications as it deems appropriate and as are acceptable to the
sponsor.
8. For all debates, the board shall provide each debate sponsor it has
selected with a list of participating candidates and limited
participating candidates who are eligible to be considered to
participate in such debates.
9. If a candidate fails to participate in any debate required under
this section before an election, the candidate shall be liable for
return of any public matching funds previously received pursuant to the
certification filed by the candidate in connection with the election for
which such debate is held, shall be ineligible to receive any further
matching funds for that election, and may be subject to a civil penalty
pursuant to section 3-711. For purposes of this subdivision, each
primary, general, special or run-off election shall be considered a
separate election.
10. Following the submission of a petition on behalf of the candidate
and a hearing before the board, the sanction or sanctions provided in
subdivision nine of this section applicable to a candidate for failure
to participate in any debate as required under this section may be
waived upon a determination by the board that the failure to participate
in the debate occurred under circumstances beyond the control of the
candidate and of such nature that a reasonable person would find the
failure justifiable or excusable.
11. Nothing contained in this section shall preclude any candidate
from agreeing to participate in any number of additional debates between
any and all candidates for a city-wide office, including
non-participating candidates or limited participating candidates. These
debates need not be held under guidelines or the purview of the campaign
finance board.
12. The city of New York shall indemnify each sponsor for any
liability of such sponsor arising out of the acts or omissions of the
city of New York in connection with the selection of candidates for
participation in any debate held pursuant to this section 3-709.5.
Section 3-710
§ 3-710 Examinations and audits; repayments. 1. The campaign finance
board is hereby empowered to audit and examine all matters relating to
the performance of its functions and any other matter relating to the
proper administration of this chapter and of chapter 8 of title 3 of
this code. The board shall conduct its campaign audits in accordance
with generally accepted government auditing standards, and shall
promulgate rules regarding what documentation is sufficient in
demonstrating financial activity. These audit and examination powers
extend to all participating candidates, limited participating
candidates, and non-participating candidates, and the principal and
authorized committees of all participating, limited participating, and
non-participating candidates, provided that:
a. Any draft audit, the subject of which is a participating, limited
participating or non-participating candidate, or the principal and/or
authorized committees of any participating, limited participating or
non-participating candidate shall be completed within (i) eight months
after the submission of the final disclosure report for the covered
election for city council races and borough-wide races, and (ii) ten
months after the submission of the final disclosure report for the
covered election for citywide races, unless the subject of such audit
consents in writing to a longer period of time;
b. The campaign finance board shall provide each candidate a final
audit, which shall contain the final resolution of all issues raised in
the draft audit; such final audit shall be provided to the candidate,
where such candidate or such candidate's campaign manager or treasurer
has completed audit training provided by the board, within (i) fourteen
months after the submission of the final disclosure report for the
covered election, for city council races and borough-wide races, and
(ii) sixteen months after the submission of the final disclosure report
for the covered election for citywide races, unless the subject of such
audit consents in writing to a longer period of time. Where such
candidate or such candidate's campaign manager or treasurer has not
completed audit training provided by the campaign finance board, such
final audit shall be provided to such candidate within (i) sixteen
months after the submission of the final disclosure report for the
covered election, for city council races and borough-wide races, and
(ii) eighteen months after the submission of the final disclosure report
for the covered election for citywide races, unless the subject of such
audit consents in writing to a longer period of time. Provided, however,
that where the issuance of such final audit is preceded by a notice of
violations and recommended penalties and/or a notice of repayment of
public funds, such notice or notices shall include all potential
penalties and/or repayment obligations and a notice of a candidate's
right to a hearing pursuant to section 3-710.5 or section 3-710(4) of
this chapter and shall be provided to the candidate according to the
deadlines applicable to final audits as set forth in this paragraph.
c. Any advice provided by board staff to a participating, limited
participating, or non-participating candidate with regard to an action
shall be presumptive evidence that such action, if taken in reliance on
such advice, should not be subject to a penalty or repayment obligation
where such candidate or such candidate's committee has confirmed such
advice in a writing to such board staff by registered or certified mail
to the correct address, or by electronic or facsimile transmission with
evidence of receipt, describing the action to be taken pursuant to the
advice given and the board or its staff has not responded to such
written confirmation within seven business days disavowing or altering
such advice, provided that the board's response shall be by registered
or certified mail to the correct address, or by electronic or facsimile
transmission with evidence of receipt.
d. Notwithstanding the provisions of paragraphs a and b of this
subdivision, if a committee has failed to respond to a request for
information made by board auditors during the post-election audit
process, the time period for completing the draft and final audits shall
be tolled and extended by the number of days by which the committee has
exceeded the original deadline for a response, provided that the
committee has received timely written notice of: (i) the original
deadline to provide the information, which shall not have been less than
thirty days from the date such information was requested; and (ii) the
commencement of the tolling period pursuant to this section. If a
committee has responded to a request for information made by board
auditors but such response is inadequate, the time period for completing
the draft and final audits shall be tolled and extended by the number of
days until an adequate response is provided, provided that the committee
has received timely written notice of: (i) the original deadline to
provide the information, which shall not have been less than thirty days
from the date such information was requested; (ii) the commencement of
the tolling period pursuant to this section; and (iii) the detailed
reasons why the original response was inadequate.
e. Notwithstanding any provision of law to the contrary, the deadlines
provided in paragraphs a and b of this subdivision for the completion of
draft and final audits shall not apply in cases where the audit raises
issues involving potential campaign-related fraud, potential other
criminal activity, or activity that may constitute a breach of
certification pursuant to rules of the board or potential significant
violations of the limits set forth in section 3-706.
f. Notwithstanding any provision of the law to the contrary, the
deadlines provided in paragraphs a and b of this subdivision for the
completion of draft and final audits shall not apply in the event that
board operations are interrupted due to a catastrophic emergency such as
a natural disaster or criminal event, provided that once board
operations resume, the board shall within two weeks announce new
deadlines for the completion of draft and final audits consistent with
paragraphs a and b.
2. (a) If the board determines that any portion of the payment made to
the principal committee of a participating candidate from the fund was
in excess of the aggregate amount of payments which such candidate was
eligible to receive pursuant to this chapter, it shall notify such
committee and such committee shall pay to the board an amount equal to
the amount of excess payments.
b. If the board determines that any portion of the payment made to a
principal committee of a participating candidate from the fund was used
for purposes other than qualified campaign expenditures, it shall notify
such candidate and committee of the amount so disqualified and such
candidate and committee shall pay to the board an amount equal to such
disqualified amount; provided, however, that in considering whether or
not a participating candidate shall be required to pay to the board such
amount or an amount less than the entire disqualified amount, the board
shall act in accordance with the following: (i) where credible
documentation supporting each qualified campaign expenditure exists but
is incomplete, the board shall not impose such liability for such
expenditure; and (ii) where there is an absence of credible
documentation for each qualified campaign expenditure, the board may
impose liability upon a showing that such absence of credible
documentation for such expenditure arose from a lack of adequate
controls including, but not limited to trained staff, internal
procedures to follow published board guidelines and procedures to follow
standard financial controls.
(c) If the total of contributions, other receipts, and payments from
the fund received by a participating candidate and his or her principal
committee exceed the total campaign expenditures of such candidate and
committee for all covered elections held in the same calendar year or
for a special election to fill a vacancy such candidate and committee
shall use such excess funds to reimburse the fund for payments received
by such committee from the fund during such calendar year or for such
special election. No such excess funds shall be used for any other
purpose, unless the total amount of the payments received from the fund
by the principal committee has been repaid.
3. If a participating candidate whose principal committee has received
public funds is disqualified by a court of competent jurisdiction on the
grounds that such candidate committed fraudulent acts in order to obtain
a place on the ballot and such decision is not reversed, such candidate
and his or her principal committee shall pay to the board an amount
equal to the total of public funds received by such principal committee.
4. No claim for the repayment of public funds shall be made against
any candidate or committee without written notice to such candidate or
committee, issued in a timely manner pursuant to all of the requirements
of subdivision one of this section, and an opportunity to appear before
the board. Any such repayment claim shall be based on a final
determination issued by the board following an adjudication before the
board consistent with the procedures set forth in section 1046 of the
charter unless such procedures are waived by the candidate or principal
committee. Such final determination shall be included in and made part
of the final audit which shall be issued within thirty days of such
determination.
Section 3-710.5
§ 3-710.5 Findings of violation or infraction; adjudications; final
determinations. (i) The board shall determine whether a participating
candidate, his or her principal committee, principal committee treasurer
or any other agent of a participating candidate has committed a
violation or infraction of any provision of this chapter or the rules
promulgated hereunder, for which the board may assess a civil penalty
pursuant to section 3-711 of this chapter. The board shall promulgate
rules defining infractions, and such definitions shall include, but not
be limited to, failures to comply with the provisions of this chapter or
the rules promulgated hereunder that are limited and non-repetitive.
(ii) (a) The board shall give written notice and the opportunity to
appear before the board to any participating, limited participating or
non-participating candidate, his or her principal committee, authorized
committee, committee treasurer or any other agent of such candidate, if
the board has reason to believe that such has committed a violation or
infraction before assessing any penalty for such action. Any such
written notice of alleged violations shall be issued in a timely manner
pursuant to all of the requirements of subdivision one of section 3-710
and shall precede the issuance of the final audit required pursuant to
subdivision one of section 3-710. In the case of a written notice issued
prior to the date of a covered election, or after the date of a covered
election in the case of a notice regarding an alleged failure to respond
to a request for audit documentation, such notice may be issued prior to
the issuance of a draft audit. Alleged violations and proposed penalties
shall be subject to resolution by adjudication before the board
consistent with the procedures of section 1046 of the charter, unless
such procedures are waived by the candidate or principal committee;
provided, however, that in the case of adjudications conducted prior to
the date of a covered election, the board shall use the procedures of
section 1046 of the charter only to the extent practicable, given the
expedited nature of such pre-election adjudications. The board shall
issue a final determination within thirty days of the conclusion of the
adjudication proceeding.
(b) The board shall include in every final determination: (i) notice
of the respondent's right to bring a special proceeding challenging the
board's final determination in New York State supreme court pursuant to
article 78 of the civil practice law and rules; and (ii) notice of the
commencement of the four-month period during which such a special
proceeding may be brought pursuant to article 2 of the civil practice
law and rules.
Section 3-711
§ 3-711 Penalties. * 1. Any participating or limited participating
candidate whose principal committee fails to file in a timely manner a
statement or record required to be filed by this chapter or the rules of
the board in implementation thereof or who commits a violation or
infraction of any other provision of this chapter or rule promulgated
thereunder, including any provision of section 3-709.5, and any
principal committee treasurer or any other agent of a participating or
limited participating candidate who commits such a violation or
infraction, shall be subject to a civil penalty in an amount not in
excess of ten thousand dollars.
The board shall publish a schedule of civil penalties for common
infractions and violations, including examples of aggravating and
mitigating circumstances that may be taken into account by the board in
assessing such penalties. This schedule shall reflect that infractions
are less serious failures to comply with the provisions of this chapter.
* NB Separately amended LL58/2004; cannot be put together with LL59 &
60/2004 amendments
* 1. Any participating or limited participating candidate and his or
her principal committee or any non-participating candidate and his or
her authorized committees that fail to file in a timely manner a
statement or record required to be filed by this chapter or the rules of
the board in implementation thereof or that violate any other provision
of this chapter or rule promulgated thereunder, and any committee
treasurer or any other agent of a participating, limited participating
or non-participating candidate who commits such a violation or
infraction, shall be subject to a civil penalty in an amount not in
excess of ten thousand dollars.
The board shall publish a schedule of civil penalties for common
infractions and violations, including examples of aggravating and
mitigating circumstances that may be taken into account by the board in
assessing such penalties. This schedule shall reflect that infractions
are less serious failures to comply with the provisions of this chapter.
* NB Separately amended by LL59 & 60/2004; cannot be put together with
LL58/2004 amendment
2. (a) In addition to the penalties provided in subdivision one of
this section, if the aggregate amount of expenditures by a participating
or limited participating candidate and such candidate's principal
committee exceed the expenditure limitations contained in this chapter,
such candidate and principal committee shall be subject to a civil
penalty in an amount not to exceed three times the sum by which such
expenditures exceed the applicable expenditure limitation;
(b) In addition to the penalties provided in subdivision one of this
section, a participating candidate or his or her principal committee,
that have been found by the board to have violated a provision of this
chapter by failing to provide any response to a draft audit report sent
to the candidate after the election by the board pursuant to section
3-710 of this chapter, shall be subject to a civil penalty for such
violation of up to ten percent of the total public funds received by
such candidate.
3. The intentional or knowing furnishing of any false or fictitious
evidence, books or information to the board under this chapter, or the
inclusion in any evidence, books, or information so furnished of a
misrepresentation of a material fact, or the falsifying or concealment
of any evidence, books, or information relevant to any audit by the
board or the intentional or knowing violation of any other provision of
this chapter shall be punishable as a class A misdemeanor in addition to
any other penalty as may be provided under law, including subdivision
one of this section. The board shall assess penalties for such conduct
and seek to recover any public funds obtained.
4. Notwithstanding any provision of law to the contrary, any
participating or limited participating candidate and his or her
principal committee or any non-participating candidate and his or her
authorized committees or any other person who commits any violation of
this chapter or any rules promulgated hereunder and who takes all steps
necessary to correct such violation prior to receiving written notice
from the board of the existence of the potential violation shall not be
subject to any penalty for such violation.
Section 3-712.
§ 3-712. Campaigns for office not subject to this chapter.
Contributions, loans, guarantees and other security for such loans used
and expenditures made toward the payment of liabilities incurred by a
candidate in an election held prior to the effective date of this
section or in a campaign for public office other than one covered by
this chapter, shall not be subject to the requirements and limitations
of this chapter.
Section 3-713.
§ 3-713. Reports. * 1. The campaign finance board shall review and
evaluate the effect of this chapter upon the conduct of election
campaigns in the city and shall submit a report to the mayor and the
city council on or before September first, nineteen hundred ninety, and
every fourth year thereafter, and at any other time upon the request of
the mayor or the city council and at such other times as the board deems
appropriate, containing:
(a) the number and names of candidates qualifying for and choosing to
receive public funds pursuant to this chapter, and of candidates failing
to qualify or otherwise not choosing to receive such funds, in each
election during the four preceding calendar years;
(b) the amount of public funds provided to the principal committee of
each candidate pursuant to this chapter and the contributions received
and expenditures made by each such candidate and the principal committee
of such candidate, in each election during the four preceding calendar
years;
(c) the number and names of candidates filing a certification pursuant
to section 3-718 of this chapter in each election during the four
preceding calendar years, together with the expenditures made by each
such candidate and the principal committee of such candidate in each
such election;
(d) recommendations as to whether the provisions of this chapter
governing maximum contribution amounts, thresholds for eligibility and
expenditure limitations should be amended and setting forth the amount
of, and reasons for, any amendments it recommends;
(e) analysis of the effect of this chapter on political campaigns,
including its effect on the sources and amounts of private financing,
the level of campaign expenditures, voter participation, the number of
candidates and the candidate's ability to campaign effectively for
public office;
(f) a review of the procedures utilized in providing public funds to
candidates; and
(g) such recommendations for changes in this chapter as it deems
appropriate.
* NB Separately amended LL58/2004; cannot be put together with LL59 &
60/2004 amendments
* 1. The campaign finance board shall review and evaluate the effect
of this chapter upon the conduct of election campaigns in the city and
shall submit a report to the mayor and the city council on or before
September first, nineteen hundred ninety, and every fourth year
thereafter, and at any other time upon the request of the mayor or the
city council and at such other times as the board deems appropriate,
containing:
(a) the number and names of candidates qualifying for and choosing to
receive public funds pursuant to this chapter, and of candidates failing
to qualify or otherwise not choosing to receive such funds, in each
election during the four preceding calendar years;
(b) the amount of public funds provided to the principal committee of
each candidate pursuant to this chapter and the contributions received
and expenditures made by each such candidate and the principal committee
of such candidate, in each election during the four preceding calendar
years;
(c) the number and names of candidates filing a certification pursuant
to section 3-718 of this chapter in each election during the four
preceding calendar years, together with the expenditures made by each
such candidate and the principal committee of such candidate in each
such election;
(d) the number and names of non-participating candidates in each
election during the four preceding calendar years, together with the
expenditures made by each such candidate and the authorized committees
of such candidate in each such election;
(e) recommendations as to whether the provisions of this chapter
governing maximum contribution amounts, thresholds for eligibility and
expenditure limitations should be amended and setting forth the amount
of, and reasons for, any amendments it recommends;
(f) analysis of the effect of this chapter on political campaigns,
including its effect on the sources and amounts of private financing,
the level of campaign expenditures, voter participation, the number of
candidates and the candidates' ability to campaign effectively for
public office;
(g) a review of the procedures utilized in providing public funds to
candidates; and
(h) such recommendations for changes in this chapter as it deems
appropriate.
* NB Separately amended LL59 & 60/2004; cannot be put together with
LL58/2004 amendment
2. For the report submitted in the year nineteen hundred ninety, the
board also shall review any contributions made to candidates and
authorized committees prior to the effective date of this chapter which
exceed the amount of the maximum contribution applicable pursuant to
paragraph (f) of subdivision one of section 3-703 and report as to
whether such contributions were returned, expended or otherwise used and
the purposes of such expenditures or other uses.
Section 3-714.
§ 3-714. Construction. Nothing in this chapter shall be construed to
prohibit the making or receipt of contributions to the extent permitted
by the election law or to permit the making or receipt of contributions
otherwise prohibited.
Section 3-715
§ 3-715 Joint campaign activities. Nothing in this chapter shall be
construed to restrict candidates from authorizing expenditures for joint
campaign materials and other joint campaign activities, provided that
the benefit each candidate derives from the joint material or activity
is proportionally equivalent to the expenditures authorized by such
candidate.
Section 3-716
§ 3-716 Application of the contribution and expenditure limitations to
certain political activities. 1. Nothing in this chapter shall be
construed to restrict candidates or their agents from making appearances
at events sponsored or paid for by persons, political committees, or
other entities that are not in any way affiliated with such candidate or
any agent of such candidate. The costs of such events shall not be
considered contributions to or expenditures by such a candidate pursuant
to this chapter solely because such an appearance is made; provided that
this subdivision shall not apply to any event in relation to which
contributions are solicited on behalf of such candidate.
2. The following activities in support of other candidates by a
participating, or limited participating or non-participating candidate
or his or her principal committee shall not be considered contributions
to or expenditures by such participating, or limited participating or
non-participating candidate or his or her principal committee, except to
the extent such activities are paid for by such candidate or his or her
principal committee for a covered election:
(a) The act alone of endorsing or appearing with another candidate for
public office, party nomination or party position.
(b) The insubstantial communication of such endorsement or appearance
described in paragraph (a), such as where the participating, or limited
participating or non-participating candidate's name is one of several
names appearing on the communication and is of equivalent prominence as
the other names.
(c) Fundraising assistance to another candidate in the form of written
communications that do not promote the participating, or limited
participating or non-participating candidate, such as the appearance of
the participating, or limited participating or non-participating
candidate's name or signature on a letter soliciting funds for another
candidate or the appearance of such participating, or limited
participating or non-participating candidate's name on fundraising
material where such participating, or limited participating or
non-participating candidate's name appears alone or with other names and
is of equivalent prominence as the other names.
(d) A typical communication by a political club to its members, which
includes the name of a participating, or limited participating or
non-participating candidate, provided that such candidate is already a
member of the political club, the political club has fewer than 500
members, and the communication does not solicit funds on behalf of or
otherwise promote such candidate's campaign for a covered election.
3. The communication of an endorsement or appearance which is not
insubstantial under paragraph (b) of subdivision two, fundraising
assistance which is promotional under paragraph (c) of subdivision two
and a political club communication which does not meet the requirements
of paragraph (d) of subdivision two, shall be contributions to and
expenditures by the participating, or limited participating or
non-participating candidate. Among the factors the board shall consider
in determining the value of the contribution to and expenditure by the
participating, or limited participating or non-participating candidate
are the following factors:
(a) the focus of the communication;
(b) the geographical distribution or location of the communication;
(c) the subject matter of the communication;
(d) the references to the participating, or limited participating or
non-participating candidate or the participating, or limited
participating or non-participating candidate's appearances in the
communication;
(e) the relative prominence of a participating, or limited
participating or non-participating candidate's references or appearances
in the communication, including the size and location of such references
and any photographs of the participating, or limited participating or
non-participating candidate; and
(f) the timing of the communication.
Section 3-717.
* § 3-717. Receipt of post election contributions from previous
contributors for debt repayment. 1. Eight or more years after the date
of any covered election, a participating candidate, who has incurred
debt as a result of his or her participation in such covered election
and has not been a candidate in any subsequent election and is not
raising funds for his or her candidacy in any election, may accept
contributions pursuant to this section from contributors who previously
contributed to the participating candidate's campaign for such covered
election only for the purposes of repayment of debt incurred in
connection with such covered election; provided, however, such
participating candidate shall not accept contributions from
corporations, except corporations that are political committees as
defined in subdivision eleven of section 3-702 of this chapter. Debt
repayment shall include payments for expenses incurred in maintaining a
committee until debt is repaid and expenses incurred as a result of
repaying the debt.
2. A participating candidate who chooses to accept contributions
pursuant to paragraph one of this section shall designate a single
committee to accept such contributions.
a. The designated committee shall register with the board.
b. The designated committee shall report to the board every
contribution received by the committee, the full name, residential
address, occupation, employer, and business address of each individual,
corporation, partnership, political committee, employee organization or
other entity making, or which is the intermediary for, such
contribution. An intermediary need not be reported for any contribution
that was collected from a contributor in connection with a party or
other candidate-related event held at the residence of the person
delivering the contribution, unless the expenses for such events exceed
five hundred dollars or the aggregate contributions received from that
contributor at such events exceed five hundred dollars. Contributions
pursuant to paragraph one aggregating not more than ninety-nine dollars
from any one contributor need not be separately itemized in disclosure
reports submitted to the board on behalf of a participating candidate.
For purposes of this section, the treasurer of the designated committee
need not collect or disclose the occupation, employer, and business
address of any contributor pursuant to paragraph one making
contributions aggregating not more than ninety-nine dollars. Such
reports shall be submitted at such times and in such form as the board
shall require and shall be clearly legible. The committee designated to
accept contributions pursuant to paragraph one of this section shall
maintain any additional records of receipts and debt repayment
expenditures as required by the board.
3. A participating candidate accepting contributions pursuant to
paragraph one of this section shall not accept and his or her designated
committee shall not accept, either directly or by transfer, any
contribution or contributions from any one individual, partnership,
political committee, employee organization or other entity which in the
aggregate shall exceed the contribution limitations as set forth under
paragraph f of subdivision one of section 3-703 as of the date such
contributions are received, as adjusted pursuant to subdivision seven of
section 3-703. Contributions received pursuant to this section shall not
be aggregated with contributions received during the covered election
for which the debt was incurred for the purposes of determining
compliance with such contribution limitations.
4. After all debt referred to in subdivision one has been repaid, the
participating candidate shall no longer accept contributions pursuant to
this section. If any excess funds remain after such debt has been
repaid, the participating candidate shall return such excess funds to
contributors in reverse order of contribution, beginning with the most
recent contributor, until the excess funds are exhausted.
* NB Expired June 30, 2005
Section 3-718.
§ 3-718. Limited Participation.
1. Requirements. (a) To be a limited participating candidate, a
candidate for nomination for election or election must:
(i) be a candidate for mayor, public advocate, comptroller, borough
president or member of the city council in a primary, special, or
general election;
(ii) not have filed a certification pursuant to section 3-703 for the
election or elections for which he or she seeks to file a certification
pursuant hereto; and
(iii) (A) file a written certification in such form as may be
prescribed by the campaign finance board, which sets forth his or her
acceptance of and agreement to comply with the terms and conditions of
this section and the rules promulgated hereby, which includes an
affirmation that the candidate has a sufficient amount of personal funds
to fund his or her campaign; and
(B) the deadline for filing such certification for a primary, general,
or special election shall be the deadline date for filing written
certifications pursuant to section 3-703(1)(c) by candidates seeking
nomination for election or election to the same office in the same
calendar year as candidates seeking to file a certification pursuant to
this subparagraph, and the provisions of such section 3-703(1)(c)
relating to the occurrence of an "extraordinary circumstance" shall
apply to limited participating candidates; and
(iv) notify the board in the candidate's written certification as to:
(1) the existence of each authorized committee authorized by such
candidate that has not been terminated, (2) whether any such committee
also has been authorized by any other candidate, and (3) if the
candidate has authorized more than one authorized committee, which
authorized committee has been designated by the candidate as the
candidate's principal committee for the election(s) covered by the
candidate's certification; provided, that such principal committee (a)
shall be the only committee authorized by such candidate to aid or
otherwise take part in the election(s) covered by the candidate's
certification, (b) shall not be an authorized committee of any other
candidate, and (c) shall not have been authorized or otherwise active
for any election prior to the election(s) covered by the candidate's
certification. The use of an entity other than the designated principal
committee to aid or otherwise take part in the election(s) covered by
the candidate's certification shall be a violation of this section and
shall trigger the application to such entity of all provisions of this
chapter governing principal committees.
(b) A limited participating candidate and his or her principal
committee shall comply with the provisions of paragraphs (d), (e), (g),
(i), and (o) of subdivision one, and subdivisions six, six-a, eight,
nine, ten, and twelve of section 3-703 of this chapter.
(c) A limited participating candidate and his or her principal
committee shall not accept, at any time before or after the filing of a
certification pursuant to paragraph (a) of this subdivision, either
directly or by transfer, any monetary or in-kind contribution, or any
loan, guarantee, or other security for such loan made in connection with
such candidate's nomination for election or election, except for
monetary contributions from the candidate to his or her principal
committee made out of the candidate's personal funds, in-kind
contributions made by the candidate to his or her principal committee,
and advances received pursuant to subparagraph (d) of this paragraph.
(d) A limited participating candidate and his or her principal
committee shall make expenditures in furtherance of the election(s) for
which the candidate has filed a certification pursuant to paragraph (a)
of this subdivision, whether before or after the filing of such
certification, only with contributions received pursuant to subparagraph
(c) of this paragraph and, to the extent permitted by rule promulgated
by the board pursuant hereto, advances by the limited participating
candidate.
(e) A limited participating candidate, together with his or her
principal committee, shall not make expenditures which in the aggregate
exceed the applicable expenditure limitations set forth in section
3-706.
(f) Neither a limited participating candidate nor an authorized
committee of a limited participating candidate shall be eligible to
receive public funds pursuant to section 3-705.
(g) If a limited participating candidate is a candidate for the same
office for which he or she filed a certification pursuant to paragraph
(a) of this subdivision in any other election held in the same calendar
year as the election for which such candidate filed such certification,
other than a special election to fill a vacancy, he or she shall be
bound in each such other election by the provisions of this section.
(h) A candidate who files a certification pursuant to paragraph (a) of
this subsection shall not be eligible to file a certification pursuant
to section 3-703.
(i) Notwithstanding any limitations in this chapter, a limited
participating candidate may contribute to his or her own nomination for
election or election with his or her personal funds or property, in-kind
contributions made by the candidate to his or her authorized committees
with the candidate's personal funds or property, and advances made by
the limited participating candidate with the candidate's personal funds
or property. A candidate's personal funds or property shall include his
or her funds or property jointly held with his or her spouse, domestic
partner, or unemancipated children, but shall not include other personal
funds or property of his or her spouse, domestic partner or
unemancipated children.
Section 3-719.
§ 3-719. Obligations of non-participating candidates.
1. Disclosure requirements of non-participating candidates. (a) A
non-participating candidate shall notify the board in such form as may
be prescribed by the board as to: (i) the existence of each committee
authorized by such candidate that has not been terminated, and (ii)
whether any such committee also has been authorized by any other
candidate.
(b) A non-participating candidate, and the authorized committees of
such a non-participating candidate, shall comply with the same
requirements as a participating candidate who files a certification
pursuant to paragraph (c) of subdivision one of section 3-703 of this
chapter as provided in paragraphs (d) and (g) of such subdivision,
subdivision one-b of section 3-703, and subdivisions six, six-a and
eight of section 3-703 of this chapter.
(c) A non-participating candidate and his or her authorized committee
shall submit the disclosure reports required pursuant to this chapter,
filed in accordance with the schedule specified by the state board of
elections for the filing of campaign receipt and expenditure statements,
and such other disclosure reports as the rules of the board may require.
(d) Neither a non-participating candidate nor an authorized committee
of a non-participating candidate shall be eligible to receive public
funds pursuant to section 3-705.
2. Contribution limitations of non-participating candidates. (a) A
non-participating candidate shall notify the board in such form as may
be prescribed by the board as to: (i) the existence of each committee
authorized by such candidate that has not been terminated, and (ii)
whether any such committee also has been authorized by any other
candidate.
* (b) A non-participating candidate, and the authorized committees of
such a non-participating candidate, shall only accept contributions as
limited by the provisions of paragraphs (f) and (l) of subdivision one
of section 3-703, subdivision 1-a of section 3-703, and subdivision ten
of section 3-703 of this chapter. Notwithstanding any contribution
limitations in paragraphs (f) and (h) of subdivision one of section
3-703 and subdivision 1-a of section 3-703, a non-participating
candidate may contribute to his or her own nomination for election or
election with his or her personal funds or property, in-kind
contributions made by the candidate to his or her authorized committees
with the candidate's personal funds or property, and advances or loans
made by the non-participating candidate with the candidate's personal
funds or property. A candidate's personal funds or property shall
include his or her funds or property jointly held with his or her
spouse, domestic partner, or unemancipated children.
* NB Effective until December 12, 2014
* (b) A non-participating candidate, and the authorized committees of
such a non-participating candidate, shall only accept contributions as
limited by the provisions of paragraphs (f) and (l) of subdivision one
of section 3-703, and subdivisions 1-a, 1-c and ten of section 3-703 of
this chapter. Notwithstanding any contribution limitations in paragraphs
(f) and (h) of subdivision one of section 3-703 and subdivision 1-a of
section 3-703, a non-participating candidate may contribute to his or
her own nomination for election or election with his or her personal
funds or property, in-kind contributions made by the candidate to his or
her authorized committees with the candidate's personal funds or
property, and advances or loans made by the non-participating candidate
with the candidate's personal funds or property. A candidate's personal
funds or property shall include his or her funds or property jointly
held with his or her spouse, domestic partner, or unemancipated
children.
* NB Effective December 12, 2014
(c) Neither a non-participating candidate nor an authorized committee
of a non-participating candidate shall be eligible to receive public
funds pursuant to section 3-705.
Section 3-720.
§ 3-720. Tolling of time for notice of alleged violations and/or
notice of repayment of public funds. If a committee has failed to
respond to a request for information made by board auditors or has
inadequately responded during the post-election audit process and the
board has satisfied the provisions of subdivision 1 of section 3-710,
the time period for serving notice shall be tolled and extended by the
number of days by which the committee has exceeded the original deadline
for a response, provided that the committee has received timely written
notice of: (a) the original deadline to provide the information, which
shall not have been less than thirty days from the date such information
was requested, and (b) the commencement of the tolling period pursuant
to this section.