§ 1-O — Penalties

§ 1-o. Penalties. (a) (i) Any lobbyist, public corporation, or client\nwho knowingly and wilfully fails to file timely a report or statement\nrequired by this section or knowingly and wilfully files false\ninformation or knowingly and wilfully violates section one-m of this\narticle shall be guilty of a class A misdemeanor; and\n (ii) any lobbyist, public corporation, or client who knowingly and\nwilfully fails to file timely a report or statement required by this\nsection or knowingly and wilfully files false information or knowingly\nand wilfully violates section one-m of this article, after having\npreviously been convicted in the preceding five years of the crime\ndescribed in paragraph (i) of this subdivision, shall be guilty of a\nclass E felony. Any lobbyist convicted of or pleading guilty to a felony\nunder the provisions of this section may be barred from acting as a\nlobbyist for a period of one year from the date of the conviction. For\nthe purposes of this subdivision, the chief administrative officer of\nany organization required to file a statement or report shall be the\nperson responsible for making and filing such statement or report unless\nsome other person prior to the due date thereof has been duly designated\nto make and file such statement or report.\n (b)(i) A lobbyist, public corporation, or client who knowingly and\nwilfully fails to file a statement or report within the time required\nfor the filing of such report or knowingly and wilfully violates section\none-m of this article shall be subject to a civil penalty for each such\nfailure or violation, in an amount not to exceed the greater of\ntwenty-five thousand dollars or three times the amount the person failed\nto report properly or unlawfully contributed, expended, gave or\nreceived, to be assessed by the commission.\n (ii) A lobbyist, public corporation, or client who knowingly and\nwilfully files a false statement or report shall be subject to a civil\npenalty, in an amount not to exceed the greater of fifty thousand\ndollars or five times the amount the person failed to report properly,\nto be assessed by the commission.\n (iii)(A) A lobbyist or client who knowingly and wilfully violates the\nprovisions of subdivision one of section one-n of this article shall be\nsubject to a civil penalty not to exceed ten thousand dollars for an\ninitial violation.\n (B) If, after a lobbyist or client has been found to have violated\nsubdivision one of section one-n of this article, a lobbyist or client\nknowingly and wilfully violates the provisions of subdivision one of\nsection one-n of this article within four years of such finding, the\nlobbyist or client shall be subject to a civil penalty not to exceed\ntwenty-five thousand dollars.\n (iv) Any lobbyist or client that knowingly and wilfully fails to file\na statement or report within the time required for the filing of such\nreport, knowingly and wilfully files a false statement or report, or\nknowingly and wilfully violates section one-m of this article, after\nhaving been found by the commission to have knowing and wilfully\ncommitted such conduct or violation in the preceding five years, may be\nsubject to a determination that the lobbyist or client is prohibited\nfrom engaging in lobbying activities, as that term is defined in\nparagraph (v) of subdivision (c) of section one-c of this article, for a\nperiod of one year.\n (v) Any lobbyist or client that knowingly and wilfully engages in\nlobbying activities, as that term is defined in paragraph (v) of\nsubdivision (c) of section one-c of this article, during the period in\nwhich they are prohibited from engaging in lobbying activities, as that\nterm is defined in paragraph (v) of subdivision (c) of section one-c of\nthis article pursuant to this subdivision, may be subject to a\ndetermination that the lobbyist or client is prohibited from engaging in\nlobbying activities, as that term is defined in paragraph (v) of\nsubdivision (c) of section one-c of this article, for a period of up to\nfour years, and shall be subject to a civil penalty not to exceed fifty\nthousand dollars, plus a civil penalty in an amount equal to five times\nthe value of any gift, compensation or benefit received as a result of\nthe violation.\n (vi) A lobbyist, public corporation, or client who knowingly and\nwilfully fails to retain their records pursuant to paragraph three of\nsubdivision (c) of section one-e of this article, subparagraph (v) of\nparagraph five of subdivision (b) of section one-h of this article, or\nparagraph five of subdivision (b) of section one-j of this article shall\nbe subject to a civil penalty in an amount of two thousand dollars per\nviolation to be assessed by the commission.\n (c)(i) Any assessment or order to debar shall be determined only after\na hearing at which the party shall be entitled to appear, present\nevidence and be heard. Any assessment or order to debar pursuant to this\nsection may only be imposed after the commission sends by certified and\nfirst-class mail written notice of intent to assess a penalty or order\nto debar and the basis for the penalty or order to debar. Any assessment\nmay be recovered in an action brought by the attorney general.\n (ii) In assessing any fine or penalty pursuant to this section, the\ncommission shall consider: (A) as a mitigating factor that the lobbyist,\npublic corporation or client has not previously been required to\nregister, and (B) as an aggravating factor that the lobbyist, public\ncorporation or client has had fines or penalties assessed against it in\nthe past. The amount of compensation expended, incurred or received\nshall be a factor to consider in determining a proportionate penalty.\n (iii) Any lobbyist, public corporation or client who receives a notice\nof intent to assess a penalty for knowingly and wilfully failing to file\na report or statement pursuant to subdivision (b) of this section and\nwho has never previously received a notice of intent to assess a penalty\nfor failing to file a report or statement required under this section\nshall be granted fifteen days within which to file the statement of\nregistration or report without being subject to the fine or penalty set\nforth in subdivision (b) of this section. Upon the failure of such\nlobbyist, public corporation or client to file within such fifteen day\nperiod, such lobbyist, public corporation or client shall be subject to\na fine or penalty pursuant to subdivision (b) of this section.\n (d) All moneys recovered by the attorney general or received by the\ncommission from the assessment of civil penalties authorized by this\nsection shall be deposited to the general fund.\n