Prohibits lobbyists who are convicted of or plead guilty to class D felonies or higher level crimes from acting as a lobbyist for a period of three years from the date of the conviction; provides the authority to extend suspensions; entitles such lobbyist to a hearing upon application for suspension extension.

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S6533-2011 Actions

• Feb 23, 2012: REFERRED TO FINANCE

S6533-2011 Memo

BILL NUMBER:S6533

TITLE OF BILL:
An  act  to amend the legislative law, in relation to prohibiting lobby-
ists who are convicted of or plead guilty to class D felonies or  higher
level  crimes from acting as a lobbyist for a period of three years from
the date of the conviction

PURPOSE:
This bill would prohibit those convicted of a class D felony  or  higher
from  lobbying for a period of three years. In addition, this bill would
allow the Joint Commission on  Public  Ethics  ("JCOPE")  to  suspend  a
lobbyist who has pled guilty or is convicted of a felony for three years
if  the felony is deemed to substantially relate to such person's duties
or clients as a lobbyist.

SUMMARY OF PROVISIONS:
This bill amends section 1-o of the legislative law to add a new section
(a) that bars a person  from  lobbying  for  three  years  if  they  are
convicted  of  a  class  D felony or higher. The bill would apply to all
crimes across the board.

Amends section 1-o of the legislative law to add a new section (b)  that
bars  a person from lobbying for three years if they are convicted of or
plead guilty to a felony and JCOPE, upon notice determines such criminal
behavior to relate to his or her duties as a lobbyist.  The  bill  would
apply  to all crimes across the board. If a final conviction or sentence
is reduced or reversed on appeal, then such lobbyist shall  be  able  to
re-register with the commission and re-commence lobbying.

EXISTING LAW:
New legislation.

JUSTIFICATION:
In  comparison  to  other states such as New Jersey and Nevada, New York
State's regulations on lobbying and those allowed to register as  lobby-
ists  are  lax.   Recent events have outlined some gaping holes in these
regulations.  Currently, New York does not provide a mechanism  for  the
suspension or outright prohibition of lobbying when someone is convicted
of  serious  crimes,  especially  crimes that indicate a blatant lack of
respect for the law. Under current New York  State  law,  an  individual
convicted of certain felonies, incarcerated or on parole would be denied
the  right  to vote- and yet still retain the right to serve as a lobby-
ist. This is an unfortunate loophole that this bill proposes to close by
prohibiting the practice of lobbying for  those  convicted  of  class  D
felonies  or higher. In addition this bill gives JCOPE the discretion to
suspend lobbyists from the practice if the crimes  committed  relate  to
such duties.

LEGISLATIVE HISTORY:
New bill.

FISCAL IMPLICATIONS:
None to the state.

EFFECTIVE DATE:
This  act  shall  take  effect  on  the sixtieth day after it shall have
become a law.

S6533-2011 Text

                      S T A T E   O F   N E W   Y O R K
  ________________________________________________________________________

                                    6533

                              I N  SENATE

                              February 23, 2012
                                 ___________

  Introduced  by  Sens. RIVERA, KRUEGER -- read twice and ordered printed,
    and when printed to be committed to the Committee on Finance

  AN ACT to amend the legislative law, in relation to  prohibiting  lobby-
    ists who are convicted of or plead guilty to class D felonies or high-
    er  level crimes from acting as a lobbyist for a period of three years
    from the date of the conviction

    THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
  BLY, DO ENACT AS FOLLOWS:


    Section  1. Section 1-o of the legislative law, as added by chapter 14
  of the laws of 2007, is amended to read as follows:

    S 1-o. Penalties. (a) ANY LOBBYIST CONVICTED OF OR PLEADING GUILTY  TO
  A  CLASS D FELONY OR HIGHER LEVEL CRIME SHALL BE BARRED FROM ACTING AS A
  LOBBYIST FOR A PERIOD OF THREE YEARS FROM THE DATE OF THE CONVICTION.
    (B) UPON COMPLETION THE COMMISSION SHALL  RE-EVALUATE  THE  SUSPENSION
  AND  DETERMINE  WHETHER OR NOT SUCH SUSPENSION SHOULD BE EXTENDED FOR AN
  ADDITIONAL PERIOD OF TIME. IN NO EVENT SHALL SUCH EXTENSION BE FOR  MORE
  THAN  TWO  MORE  YEARS.  ANY  LOBBYIST  WISHING  TO RE-REGISTER WITH THE
  COMMISSION AND RE-COMMENCE HIS OR HER  PRACTICE  OF  LOBBYING  SHALL  BE
  ENTITLED  TO  A  HEARING UPON APPLICATION TO DETERMINE IF THE SUSPENSION
  SHOULD BE EXTENDED UNDER THIS SUBDIVISION.
    (C) (i) Any lobbyist, public corporation, or client who knowingly  and
  wilfully  fails  to  file  timely a report or statement required by this
  section or knowingly and wilfully files false information  or  knowingly
  and wilfully violates section one-m of this article shall be guilty of a
  class A misdemeanor; and
    (ii)  any  lobbyist,  public  corporation, or client who knowingly and
  wilfully fails to file timely a report or  statement  required  by  this
  section  or  knowingly and wilfully files false information or knowingly
  and wilfully violates section one-m of this article, after having previ-
  ously been convicted in the preceding five years of the crime  described
  in paragraph (i) of this subdivision, shall be guilty of a class E felo-
  ny.  Any  lobbyist convicted of or pleading guilty to a felony under the
  provisions of this [section] SUBDIVISION may be barred from acting as  a
  lobbyist  for  a period of one year from the date of the conviction. For

   EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                        [ ] is old law to be omitted.
                                                             LBD14724-02-2

 S. 6533                             2

  the purposes of this subdivision, the chief  administrative  officer  of
  any  organization  required  to  file a statement or report shall be the
  person responsible for making and filing such statement or report unless
  some other person prior to the due date thereof has been duly designated
  to make and file such statement or report.
    [(b)]  (D) (i) A lobbyist, public corporation, or client who knowingly
  and wilfully fails to  file  a  statement  or  report  within  the  time
  required  for  the  filing  of  such  report  or  knowingly and wilfully
  violates section one-m of this article  shall  be  subject  to  a  civil
  penalty  for  each such failure or violation, in an amount not to exceed
  the greater of twenty-five thousand dollars or three  times  the  amount
  the   person  failed  to  report  properly  or  unlawfully  contributed,
  expended, gave or received, to be assessed by the commission.
    (ii) A lobbyist, public  corporation,  or  client  who  knowingly  and
  wilfully  files  a false statement or report shall be subject to a civil
  penalty, in an amount not  to  exceed  the  greater  of  fifty  thousand
  dollars  or  five times the amount the person failed to report properly,
  to be assessed by the commission.
    (iii)(A) A lobbyist or client who knowingly and wilfully violates  the
  provisions  of subdivision one of section one-n of this article shall be
  subject to a civil penalty not to exceed ten  thousand  dollars  for  an
  initial violation.
    (B)  If,  after  a  lobbyist or client has been found to have violated
  subdivision one of section one-n of this article, a lobbyist  or  client
  knowingly  and  wilfully  violates  the provisions of subdivision one of
  section one-n of this article within four years  of  such  finding,  the
  lobbyist  or  client  shall  be subject to a civil penalty not to exceed
  twenty-five thousand dollars.
    (iv) Any lobbyist or client that knowingly and wilfully fails to  file
  a  statement  or  report within the time required for the filing of such
  report, knowingly and wilfully files a false  statement  or  report,  or
  knowingly  and  wilfully  violates  section one-m of this article, after
  having been found by the commission to have knowing and wilfully commit-
  ted such conduct or violation  in  the  preceding  five  years,  may  be
  subject  to  a  determination  that the lobbyist or client is prohibited
  from engaging in lobbying activities, as that term is defined  in  para-
  graph  (v)  of  subdivision  (c) of section one-c of this article, for a
  period of one year.
    (v) Any lobbyist or client that  knowingly  and  wilfully  engages  in
  lobbying  activities, as that term is defined in paragraph (v) of subdi-
  vision (c) of section one-c of this article, during the period in  which
  they  are  prohibited from engaging in lobbying activities, as that term
  is defined in paragraph (v) of subdivision (c) of section one-c of  this
  article  pursuant to this subdivision, may be subject to a determination
  that the lobbyist or client is  prohibited  from  engaging  in  lobbying
  activities,  as that term is defined in paragraph (v) of subdivision (c)
  of section one-c of this article, for a period of up to four years,  and
  shall  be  subject  to  a  civil  penalty  not  to exceed fifty thousand
  dollars, plus a civil penalty in an amount equal to five times the value
  of any gift, compensation  or  benefit  received  as  a  result  of  the
  violation.
    (vi)  A  lobbyist,  public  corporation,  or  client who knowingly and
  wilfully fails to retain their records pursuant to  paragraph  three  of
  subdivision  (c)  of  section one-e of this article, subparagraph (v) of
  paragraph five of subdivision (b) of section one-h of this  article,  or
  paragraph five of subdivision (b) of section one-j of this article shall

 S. 6533                             3

  be  subject  to a civil penalty in an amount of two thousand dollars per
  violation to be assessed by the commission.
    [(c)]  (E)  (i)  Any  assessment or order to debar shall be determined
  only after a hearing at which the party shall  be  entitled  to  appear,
  present evidence and be heard. Any assessment or order to debar pursuant
  to this section may only be imposed after the commission sends by certi-
  fied  and  first-class mail written notice of intent to assess a penalty
  or order to debar and the basis for the penalty or order to  debar.  Any
  assessment  may be recovered in an action brought by the attorney gener-
  al.
    (ii) In assessing any fine or penalty pursuant to  this  section,  the
  commission shall consider: (A) as a mitigating factor that the lobbyist,
  public  corporation or client has not previously been required to regis-
  ter, and (B) as an aggravating factor that the lobbyist,  public  corpo-
  ration  or  client has had fines or penalties assessed against it in the
  past. The amount of compensation expended, incurred or received shall be
  a factor to consider in determining a proportionate penalty.
    (iii) Any lobbyist, public corporation or client who receives a notice
  of intent to assess a penalty for knowingly and wilfully failing to file
  a report or statement pursuant to subdivision [(b)] (D) of this  section
  and  who  has  never  previously received a notice of intent to assess a
  penalty for failing to file a report or statement  required  under  this
  section shall be granted fifteen days within which to file the statement
  of  registration  or report without being subject to the fine or penalty
  set forth in subdivision [(b)] (D) of this section. Upon the failure  of
  such  lobbyist, public corporation or client to file within such fifteen
  day period, such lobbyist, public corporation or client shall be subject
  to a fine or penalty pursuant to subdivision [(b)] (D) of this section.
    [(d)] (F) All moneys recovered by the attorney general or received  by
  the commission from the assessment of civil penalties authorized by this
  section shall be deposited to the general fund.
    S  2.  This  act  shall take effect on the sixtieth day after it shall
  have become a law.