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1. Candidates 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. 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 candidate to determine whether he or she may accept a contribution pursuant to this section. A 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.
(Am. L.L. 2016/171, 12/22/2016, eff. 12/22/2016)
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1988/008 and L.L. 1998/048.
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.
* Editor's note: so in L.L. 2007/034 § 24.
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, provided that if such disclosure software does not enable users to meet their electronic disclosure obligations under article 14 of the election law then the board shall, upon the request of any user, prepare and deliver to the user an individual electronic file that enables the user to meet such obligations in a timely manner, and, for every date upon which disclosure filings are due from candidates and such disclosure software does not have such functionality, report to the council, mayor and users the cause for such disclosure software not enabling users to meet such obligations and the date upon which such disclosure software is expected to have such functionality. Such disclosure software shall provide a notice to any user that enters an expenditure for childcare services, pursuant to subparagraph 13 of paragraph a of subdivision 21 of section 3-702, advising such user of the requirement to obtain an approved statement of campaign childcare eligibility prior to incurring such expenditure.
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 3-717, and section 3-718, 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.
(Am. L.L. 2016/182, 12/22/2016, eff. 4/21/2017; Am. L.L. 2018/196, 12/1/2018, eff. 12/1/2019; Am. L.L. 2019/128, 7/14/2019, eff. 7/14/2019)
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1988/008, L.L. 1990/069, L.L. 1998/039, L.L. 1998/048, L.L. 2003/012, L.L. 2004/058, L.L. 2004/059, L.L. 2004/060 and L.L. 2007/034.
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 or general election any earlier than December 15 of the year preceding the primary election, or the thirtieth day after a special election is held to fill a vacancy for the office sought by the candidate; whichever is later.
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 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.
(Am. L.L. 2016/168, 12/22/2016, eff. 1/1/2018; Am. L.L. 2019/128, 7/14/2019, eff. 7/14/2019)
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1988/008, L.L. 1990/069 and L.L. 2003/012.
(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 specified in this section, and as shall be further 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. If, seven days prior to the date of the run-off election debate, the New York city board of elections has not yet approved a finalized run-off ballot, the participating and limited participating candidates with the two highest vote counts in the primary or special election immediately preceding the run-off election, as determined by the New York city board of elections unofficial election results, shall participate in one run-off election debate. If any additional candidate is separated from the candidate with the second highest vote count by one percent or less of all votes cast in the special or primary election immediately preceding the run-off election, as determined by the New York city board of elections unofficial election results, then such candidate shall also participate in such run-off election debate. If the New York city board of elections determines prior to the run-off debate that a run-off election will not take place, the debate sponsors and the board shall cancel the run-off election debate.
(c) In the case of a primary election, 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 election 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, and the date, time and location of such debates, shall be solely the responsibility of the organizations selected but shall not be made final without consultation with the campaign finance board.
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 any elections and offices for which the organization seeks to sponsor debates;
(iii) set forth proposed dates, times, durations, and locations of the debates and the specific and exclusive circumstances under which the dates or times may be changed, together with a provision for when the rescheduled debates would be held;
(iv) provide a detailed description of the format and ground rules for the debates;
(v) verify that the staging, promotion, and coverage of the debates shall be in conformance with all applicable laws;
(vi) include an agreement to indemnify the city, including the board, for any liability arising from the acts or omissions of the sponsor;
(vii) set forth plans for publicity and for broadcast and other media coverage for the debates; and
(viii) set forth the proposed 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 or general election shall include financial criteria requiring that a participating candidate or 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, (I) raised, and (II) spent, an amount equal to or more than two and one half 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; provided, further, that the criteria for the first debate for a special election shall include financial criteria requiring that a participating candidate or 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, (I) raised, and (II) spent, an amount equal to or more than one and one quarter percent of the expenditure limitation provided in subdivision one of section 3-706 for the office for which such candidate seeks election; and 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 sponsors have 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. For the purpose of determining whether a participating candidate or limited participating candidate has met the financial criteria to be eligible to participate in any debate, only contributions raised and spent in compliance with the act shall be used to determine the amount that the candidate has raised and spent as a percentage of the expenditure limit provided in subdivision one of section 3-706; further, money "raised" and "spent" does not include outstanding liabilities or loans. 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 and 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.
13. Any broadcast plan accepted by the board pursuant to subparagraph (vii) of paragraph (a) of subdivision 5, and subdivision 7, of this section shall include a requirement that the debate be made available, at no cost, to the city-owned or operated television channel serving the largest public audience for simultaneous broadcast. Each debate held pursuant to this section shall be broadcast simultaneously, to the extent technologically practicable and in accordance with federal law and the rules of the federal communications commission, on such city-owned or operated television channel. Such city-owned or operated television channel shall not be a sponsor of such debate.
(Am. L.L. 2016/169, 12/22/2016, eff. 12/22/2016; Am. L.L. 2018/118, 6/23/2018, eff. 1/1/2019; Am. L.L. 2019/001, 1/2/2019, eff. 1/2/2019)
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 2004/058, L.L. 2007/034 and L.L. 2007/067.
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. (a) 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.
(b) If a participating candidate whose principal committee has received public funds fails to actively campaign for election to a covered office, 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. For the purposes of this subdivision, the term "actively campaign for a covered office" shall mean activities that include, but are not limited to, filing designating or nominating petitions for inclusion on the ballot, raising and spending funds for nomination for election or election to a covered office, seeking endorsements, and broadly soliciting votes.
(c) If a participating candidate whose principal committee has received public funds prior to the last day for filing designating or nominating petitions for inclusion on the ballot ceases to actively campaign for a covered office, including but not limited to making public statements indicating that such participating candidate is no longer seeking nomination for election or election to a covered office, then the board shall inform such participating candidate of the board's determination that such candidate has ceased actively campaigning for a covered office. Expenditures incurred prior to the date by which such candidate has ceased actively campaigning for a covered office may be considered qualified expenditures, but no expenditures incurred after the date of such a determination of the board shall be considered qualified expenditures.
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.
(Am. L.L. 2016/168, 12/22/2016, eff. 1/1/2018; Am. L.L. 2019/128, 7/14/2019, eff. 7/14/2019)
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1988/008, L.L. 1990/069, L.L. 1998/039, L.L. 1998/048, L.L. 2003/012, L.L. 2004/058, L.L. 2004/059. L.L. 2004/060, L.L. 2007/034 and L.L. 2007/067.
(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; and further provided that alleged violations and proposed penalties may be subject, at the discretion of the candidate or principal committee prior to the commencement of an adjudication proceeding before the board, to a proceeding before a tribunal of the office of administrative trials and hearings. Within 90 days of a candidate or principal committee's response to a notice of alleged violations and selection of adjudication process, the board shall accordingly calendar an adjudication proceeding before the board or serve a petition upon the candidate or principal committee for a proceeding before a tribunal of the office of administrative trials and hearings. No candidate, representative of a candidate or campaign finance board staff other than a professional counsel hired or retained for such purpose and not otherwise supervised by campaign finance board staff shall be present during a meeting or portion of a meeting of the board from which the public is excluded and at which an adjudication before the board is discussed. The board shall issue a final determination within thirty days of the conclusion of an adjudication proceeding or, following a proceeding before a tribunal of the office of administrative trials and hearings and the receipt of findings and recommendations regarding such proceeding, each party shall have 20 days to submit written comments to the board and within 30 days of the conclusion of the written comments period the board shall issue a final determination.
(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.
(Am. L.L. 2016/183, 12/22/2016, eff. 1/1/2018; Am. L.L. 2016/194, 12/22/2016, eff. 12/22/2016)
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 2003/012, L.L. 2004/058, L.L. 2004/059, L.L. 2004/060, L.L. 2007/034 and L.L. 2007/067.
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.
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.
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.
Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1988/008, L.L. 1990/069, L.L. 2003/012, L.L. 2004/058, L.L. 2004/059, L.L. 2004/060, L.L. 2007/034 and L.L. 2007/067.
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