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§3-711: Penalties

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, including any provision of section 3-709.5, 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.4

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.

 

ENDNOTES

4This language represents a reconciliation of language included in Local Law No. 58 of 2004, Local Law No. 59 of 2004, and Local Law No. 60 of 2004. Local Law No. 58 of 2004 includes the following language:

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.

Local Law No. 59 of 2004 and Local Law No. 60 of 2004 include the following language:

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.