NY Legis L § 1-O (2021)
2021 New York Laws LEG - Legislative Article 1-A - Lobbying Act 1-O - Penalties.

§  1-o. Penalties. (a) (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 previously  been  convicted  in  the  preceding  five years of the crime described in paragraph (i) of this subdivision, shall  be  guilty  of  a class E felony. Any lobbyist convicted of or pleading guilty to a felony under  the  provisions  of  this  section may be barred from acting as a lobbyist for a period of one year from the date of the  conviction.  For 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)(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 committed  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 paragraph (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 subdivision (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 be subject to a civil penalty in an amount of two thousand  dollars  per violation to be assessed by the commission.  (c)(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 certified  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 general.  (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 register, and (B) as an aggravating factor  that  the  lobbyist,  public corporation  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) 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)  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) of this section.  (d) 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.