INSTRUCTIONS FOR LOBBYISTS
GENERAL INFORMATION (Revised 2/2008)
The Lobbying Act, as amended by the Public Employee Ethics Reform Act of 2007, mandates that the Commission on Public Integrity provide full and complete disclosure as to the identities, activities, and expenditures of those attempting to influence the governmental decision-making process in New York State on both the state and local government levels. Further, pursuant to the Act's provisions, the Commission prepares forms, as well as instructions for completing these forms. The information contained in these instructions has been provided to assist you in registering and reporting as a lobbyist. It is not intended to supersede the Lobbying Act itself. Public Corporations and clients should refer to separate instruction packets available through the Commission.
What is a lobbyist? What is lobbying activity?
A lobbyist is a person or organization employed, retained, or designated by another, who attempts to influence:
(i) the passage or defeat of any legislation by either house of the state legislature or approval or disapproval of any legislation by the governor;
(ii) the adoption, issuance, rescission, modification or terms of a gubernatorial executive order;
(iii) the adoption or rejection of any rule or regulation having the force and effect of law by a state agency;
(iv) the outcome of any rate making proceeding by a state agency;
(v) any determination:
(A) by a public official, or by a person or entity working in cooperation with a public official related to a governmental procurement, or
(B) by an officer or employee of the unified court system, or by a person or entity working in cooperation with an officer or employee of the unified court system related to a governmental procurement;
(vi) the approval, disapproval, implementation or administration of tribal-state compacts, memoranda of understanding, or any other tribal-state agreements and any other state actions related to Class III gaming as provided in 25 U.S.C. §2701, except to the extent designation of such activities as "lobbying" is barred by the federal Indian Gaming Regulatory Act, by a public official or by a person or entity working in cooperation with a public official in relation to such approval, disapproval, implementation or administration;
(vii) the passage or defeat of any local law, ordinance, resolution, or regulation by any municipality or subdivision thereof;
(viii) the adoption, issuance, rescission, modification or terms of an executive order issued by the chief executive officer of a municipality;
(ix) the adoption or rejection of any rule, regulation, or resolution having the force and effect of a local law ordinance, resolution, or regulation; or
(x) the outcome of any rate making proceeding by any municipality or subdivision thereof.
What is a municipality?
The term municipality shall mean any jurisdictional subdivision of the state, including but not limited to counties, cities, towns, villages, improvement districts and special districts, with a population of more than fifty thousand; and industrial development agencies in jurisdictional subdivisions with a population of more than fifty thousand; and public authorities, and public corporations, but shall not include school districts.
To whom does the Act apply?
The Lobbying Act applies to lobbyists, public corporations, and clients of lobbyists, who in any calendar year either reasonably anticipate expending, incurring, or receiving, or actually expend, incur, or receive, more than $5,000 of combined reportable compensation and expenses for lobbying activities.
Beginning December 31, 2007, the Lobbying Act also applies to lobbyists, public corporations, and clients of lobbyists who lobby unpaid or per diem members of state public authorities, public benefit corporations, boards, commissions and councils.
How does one obtain forms to register and report?
The Commission offers three options for filing:
Electronic Filing: The Commission encourages all lobbyists to visit its website www.nyintegrity.org to register and report using its electronic filing application. Electronic filing has several advantages not available to paper filers, including twenty-four hour, seven days a week availability, credit card fee payment option and daily access to all of your filings and their processing status. You may also save your filing as you work on entries. You can log on to the online system at our website to apply for a User ID and Password to file electronically. Online filing instructions can be found at any of the Help buttons located within the electronic forms.
PDF Filing: For those lobbyists who do not want to file electronically, but have access to the Internet, you can download and print a PDF version of the registration and bimonthly forms from the Commission's website www.nyintegrity.org.
Paper Filing: For those lobbyists who do not have access to the Internet, forms are available by calling the Commission's office at (518) 408-3976. The Commission's office is open from 8:30 a.m. to 5:00 p.m. on regular state business days. The Commission requires that reports with original signatures be submitted for filing; photocopies and faxes will not be accepted. Consequently, it is important that you allow sufficient time to obtain and submit original forms prior to the filing due dates.
PLEASE NOTE THAT IT TAKES CONSIDERABLY MORE TIME TO PROCESS A PDF OR PAPER FORM - OFTEN 6-8 WEEKS.
Who is responsible for signing and filing lobbyist statements and reports?
If the principal lobbyist is an individual, he/she is responsible for signing and filing all their statements and reports.
If the principal lobbyist is an organization, the chief administrative officer is responsible for signing and filing all lobbyist statements and reports. However, the chief administrative officer can designate another individual, in writing, to make and sign statement(s) and/or report(s). The designated individual must make a written acceptance of such designation and the designation MUST specify which statement(s) and/or report(s) are covered, as well as the specific year or biennial period.
The following is a sample format that may be used for a designation:
I, _______________________________,
(name of Chief Administrative Officer)
_________________________
(title)
of __________________________________________, hereby
designate
(name of organization)
__________________________________________ to make and file
the
(name of designee)
________________________________________________________ for
(name of statement(s) and/or report(s))
____________________________.
(year or biennial period)
_____________________________________________
(Signature of Chief Administrative Officer)
Accepted by:
______________________________________________
(Signature and Title of Designee)
PLEASE NOTE THAT BY ACCEPTING THE DESIGNATION, THE DESIGNEE COULD BE HELD LIABLE FOR ANY LATE FILING FEES, SUBJECT TO AN ASSESSMENT OF A CIVIL PENALTY FINE, OR CRIMINAL SANCTIONS THAT MAY BE IMPOSED BY THE COMMISSION FOR VIOLATIONS OF THE ACT.
COMMON REGISTRATION QUESTIONS
Is registration required in New York State?
Yes. The Lobbying Act requires public disclosure of the identities, activities, and expenditures of lobbyists. Every lobbyist that reasonably anticipates incurring, expending, or receiving more than $5,000 in combined reportable compensation and expenses for lobbying activity on a state and/or local level in any one calendar year is required to file a biennial Statement of Registration with the Commission.
Are there any exemptions to registration requirements?
The following are not required to register:
- Individual persons who lobby or petition the state or local government, or any agency thereof, solely on their own behalf.
- Any officer, director, trustee, employee, counsel, or agent of the State of New York or any municipality or subdivision thereof of New York, who lobbies on behalf of same, when discharging his or her official duties; however, an officer, director, trustee, employee, counsel or agent of a college, as defined by Section 2 of the Education Law, must register if he or she meets the requirements of the Lobbying Act.
- Any officer, director, trustee, or employee of a Public Corporation who lobbies on behalf of the corporation, when acting in his or her official capacity, need not register separately with the Commission. However, the identity of such person must be disclosed in a separate Public Corporation Statement of Registration. See separate instructions and forms for Public Corporations. (Please note that retained lobbyists of Public Corporations must file a Lobbyist Statement of Registration).
For further details on procurement lobbying exemptions, see §1-c(c)(A-Q).
When is a lobbyist required to register?
All Statements of Registration are required to be filed on a biennial basis as follows:
- If the lobbyist has been retained, employed, or designated to lobby BY DECEMBER 15, and the lobbyist reasonably anticipates combined reportable compensation and expenses in excess of $5,000 for lobbying activities, the Statement of Registration must be filed BY JANUARY 1 of the first year of the biennial period.
- If the lobbyist has been retained, employed, or designated to lobby on a date after December 15, the Statement of Registration must be filed within 15 days of such date. However, if the lobbyist actually incurs or receives combined compensation and expenses in excess of $5,000, the Statement of Registration must be filed within 10 days of such date.
Is there a registration fee?
A $200 non-refundable registration fee is required to be submitted with each Lobbyist Statement of Registration filed for the biennial period that a lobbyist reasonably anticipates exceeding $5,000 in compensation and expenses for any year in the biennial period. Any biennial Lobbyist Statement of Registration submitted after January 1 of the second calendar year of the biennial period shall be accompanied by a prorated registration fee of $100. Please note: This proration does not apply to biennial Lobbyist Registrations that are filed late and cover the entire biennial period or a portion of both calendar years within the biennial period. In this case, a $200 fee is due at the time of submission. In general, no fee is required for an amended biennial Statement of Registration, provided an original is on file for that same biennial period. No registration fee is required to be submitted with a biennial Lobbyist Statement of Registration if the lobbyist will not exceed $5,000 in compensation and expenses for that client.
Each Statement of Registration must be accompanied by a non-refundable filing fee. Any filing fees paid by check will have to be paid separately from other filings; i.e., one check per filing, made payable to the New York State Commission on Public Integrity. Any check that includes filing fees for more than one report will be returned to you by the Commission. This change is necessary to facilitate the Commission's computer application program. Filing fees may still be paid online with Visa, MasterCard or American Express. A fee may be charged for a returned check.
THE REGISTRATION FEE IS NON-REFUNDABLE.
Can more than one lobbyist register on one form?
If the principal lobbyist is a retained individual or organization, all other lobbyists employed by such retained organization or individual may be listed as additional lobbyists in Part III of the registration. If the principal lobbyist is an employee of the client, only those lobbyists employed by such client may be listed as additional lobbyists in Part III of the registration. As an alternative, separate registrations can be filed by each lobbyist.
IMPORTANT - Registering for a client that retains or employs multiple lobbyists: If you will be registering for a client that has other independently registered lobbyists, it is important to register using the same exact client name as it is spelled by its other registered lobbyists. In addition, your contract or authorization should reflect the exact same client name spelling. Different variations of the same client name will cause the Commission's computer application to send out delinquent report notices and may subject you or your client to an assessment of a civil penalty fine.
What is required to be submitted with the registration?
A copy of a signed, written lobbying agreement must be submitted. Such agreement must specify what period of the year or biennial period is covered and must disclose the terms and dollar amount of compensation.
What if I do not have a written lobbying agreement?
This often occurs with employed lobbyists. A written authorization, signed by the chief administrative officer of the client or employer, can be substituted and must be submitted. The terms and amounts of their compensation or salary must be disclosed. Authorizations which are not signed by the Chief Administrative Officer will not be accepted.
If such contract/authorization is oral, a statement of the substance must be submitted. (Section 1-e(c)).
I have not received my written authorization yet. Can I send my registration in now and send my authorization later?
No. Any registration submitted to this office that is not complete (i.e., no authorization, no signature, no registration fee) will be returned and will not extend the due date for submission.
Can a registration be amended after being filed?
Yes. If any of the information contained in a filed registration, including the lobbying agreement, changes during the biennial registration period, an amended Lobbyist Statement of Registration form must be completed and filed within 10 days of the change. This amendment must include the name of the lobbyist and client, the new or changed information, and must be signed by the lobbyist, or designee if applicable.
What is required if a lobbying agreement terminates before the end of the registration period?
Both the lobbyist and client are required to send a written notification of the terms of the termination of lobbying services within 30 days. In addition, both parties must still file all required reports, covering all lobbying activity up to the effective date of such termination, by their statutory due dates.
How are bill numbers reported on the Registration?
You should report only those numbers that you anticipate you will lobby on during the registration period. If a bill has not been introduced yet, then there is no number to disclose on the Registration. Bills introduced and lobbied on subsequent to registration must be reported on the appropriate bimonthly reports. When reporting bill numbers, please indicate if the bill number is a Senate or Assembly number by inserting an "S" or an "A" at the beginning of the number.
Please note: You must report the full legal name of the lobbyist and client. Do not use abbreviations or acronyms. Names beginning with "New York" or "New York State" should be listed with (New York or NY) or (New York State or NYS), respectively, after the remainder of the name title.
COMMON REPORTING QUESTIONS
Who must file Lobbyist Bimonthly Reports?
Any lobbyist, required to file a Statement of Registration for a client for any biennial period, must also file a bimonthly report by the 15th day of the month following the end of the bimonthly reporting period in which the lobbyist was first required to register. Subsequent bimonthly reports must be filed by the 15th day of the month following the end of each subsequent bimonthly period thereafter.
Please note: There is NO minimum threshold requirement for filing any Lobbyist Bimonthly Report. Consequently, all Lobbyist Bimonthly Reports are required to be filed for a registration period.
What are the reporting periods and when are the reports due?
There are twelve reporting periods per biennial reporting period:
January 1 - last day of February -- (Report is due March 15)
March 1 - April 30 -- (Report is due May 15)
May 1 - June 30 -- (Report is due July 15)
July 1 - August 31 -- (Report is due September 15)
September 1 - October 31 -- (Report is due November 15)
November 1 - December 31 -- (Report is due January 15)
Please note: Timely reports are those that are RECEIVED in the Commission's office on or before the due date.
What are reportable compensation and reportable expenses?
"Reportable Compensation" shall mean and include any salary, fee, gift, payment, benefit, loan, advance, or any other thing of value paid, owed, given, or promised to the lobbyist by the client, or employer, for lobbying. For reporting purposes, "Reportable Compensation" shall include any such compensation paid or owed to the lobbyist for the purpose of lobbying.
Reportable expenses are any expenses expended, received or incurred for the purposes of lobbying by the lobbyist.
Reportable expenses include, but are not limited to, the following:
- Advertising, telephone, electronic advocacy, food, beverages, tickets, entertainment, parties, receptions or similar events, advocacy rallies, consultant services, courier services, and expenses for non-lobbying support staff and retained lobbyists payments for lobbying employees' salaries.
- Any item that is exempt as a gift in Section 1 (c)(j) of the Lobbying Act must be reported if it is part of your lobbying effort.
What expenses are not required to be reported?
- Expenses for political contributions pursuant to Article 14 of the Election law.
- Payments or expenses incurred by the lobbyist for their own personal sustenance, travel, and lodging.
- General office rent and utility expenses of the lobbyist.
- Expenses directly incurred for printing, mailing, and reproduction of letters, memoranda, or other written communications are not reportable until such expenses exceed $500 in any calendar year; however, once this amount has been exceeded, the entire cost is reportable.
- Ordinary membership dues paid to an organization that is registered to lobby.
How should my expenses be reported?
All expenses must be disclosed in Part VI, including expenses that are or will be reimbursed, during the period in which they are incurred or expended. In addition, if the lobbyist receives the reimbursement for these expenses during the reporting period, they must also disclose this amount in Part V under reimbursed expenses.
If a lobbying expense exceeds $75, must it be itemized?
An expense in excess of $75 must be fully identified and include the name of the person or entity to whom it was paid, as well as the purpose for which it was paid (see "Lobbyist Bimonthly Report Designated Addendum Sheet(s)"). If any portion of this expense is attributable to one individual in an amount in excess of $75, that individual's identity must be disclosed. Expenses below $75 may be reported in the aggregate.
What type of documentation of expenses must be kept?
A lobbyist must be able to document any expense of more than fifty dollars by receipt or canceled check for a period of three years from the date of filing. It is important to note that the Commission conducts random audits of filings pursuant to the Act. These audits may require lobbyists to produce books, records, papers or memoranda, and material relevant to the preparation of the selected filing. Failure to retain records as required may subject a lobbyist to a civil penalty of $2,000.
Can certain expenses be estimated?
Yes. In cases where it is not possible to determine exact dollar amounts (such as photocopying, phone bills, in-house printing and reproduction expenses), good faith estimates of such costs, based on generally accepted accounting procedures, may be used.
If I have been retained or employed to lobby on both a state and local level, how should expenses and compensation be reported?
Compensation and expenses for local and state level lobbying must be reported on the same form. At this time, the Commission is not requiring that local compensation or expenses be reported separately from state compensation and expenses.
Does a Lobbyist Bimonthly Report have to be filed if a registered lobbyist does not have any compensation or expenses for the reporting period?
The Lobbying Act requires that a report be filed by a registered lobbyist for each reporting period even if no compensation or expenses have been paid or incurred. Expense and compensation boxes should be completed with zeros for such periods.
What should the lobbyist do if a report cannot be filed by the statutory due date?
Requests for extensions of filing time can be made in writing and must be received in the Commission's office prior to the filing due date. Such request must contain good cause and shall be granted at the discretion of the Executive Director of the Commission.
Are lobbyists required to file Lobbyist Semi-Annual Reports?
The bimonthly reports for the periods covering May through June and November through December are considered semi-annual reports for lobbying reporting purposes. Since you are required to file bimonthly reports for each reporting period that your lobbying agreement covers, there is no separate lobbyist semi-annual report to file.
If a report is due on a weekend or a State holiday, when should the report be filed?
The report must be received in the Commission's office on the first business day following the weekend or State holiday.
What are the retention requirements for filings?
All biennial Statements of Registration must be retained by the lobbyist for three biennial filing periods (six years). All Lobbyist and Public Corporation Bimonthly Reports filed with the Commission should be retained by the lobbyist for three biennial filing periods (six years). All annual Statements of Registration, and Lobbyist and Public Corporation Bimonthly Reports must be retained for a period of three years.
PLEASE NOTE: All sections of the reporting forms must be completed. If a section of the report does not apply for a particular reporting period, fill in "0" in all numeric sections and none, or N/A, in all other sections. Reports with blank or incomplete sections will be returned for proper completion. Please note that this may cause you to be late and incur late filing fees.
DISBURSEMENT OF PUBLIC MONIES BIMONTHLY REPORTS
Who must file Lobbyist Disbursement of Public Monies Bimonthly Reports?
Beginning January 1, 2008, any lobbyist required to file a Statement of Registration with the Commission who in any lobbying year reasonably anticipates that during the year they will expend, incur or receive combined reportable compensation and expenses in an amount in excess of $5,000 in connection with any attempts to influence a determination by a public official, or by a person or entity working in cooperation with a public official, with respect to the solicitation, award or administration of a grant, loan, or agreement involving the disbursement of public monies in excess of $15,000, will be required to file a NYS Lobbyist Disbursement of Public Monies Report. (Lobbying Act Section 1-l)
What are the reporting periods and when are the reports due?
These separate reports are required to be filed in accordance with the same schedule applicable to the filing of bimonthly reports. Unlike lobbyist and public corporation bimonthly reports required by Sections 1-h and 1-i, the NYS Lobbyist Disbursement of Public Monies Reports are required to be filed only for bimonthly reporting periods during which the lobbyist has made any attempts to influence a public official with respect to disbursement of public monies, or receives compensation or reimbursement of expenses for such activities.
If a report is required to be filed, the schedule for filing reports is as follows:
January 1 - last day of February -- (Report is due March 15)
March 1 - April 30 -- (Report is due May 15)
May 1 - June 30 -- (Report is due July 15)
July 1 - August 31 -- (Report is due September 15)
September 1 - October 31 -- (Report is due November 15)
November 1 - December 31 -- (Report is due January 15)
Please note: Timely reports are those that are RECEIVED in the Commission's office on or before the due date.
What are reportable compensation and reportable expenses?
"Reportable Compensation" shall mean and include any salary, fee, gift, payment, benefit, loan, advance, or any other thing of value paid, owed, given, or promised to the lobbyist by the client, or employer, for activities covered by Section 1-l. For reporting purposes, "Reportable Compensation" shall include any such compensation paid or owed to the lobbyist for such purposes.
Reportable expenses are any expenses expended, received or incurred for activities covered by Section 1-l.
Reportable expenses include, but are not limited to, the following:
- Advertising, telephone, electronic advocacy, food, beverages, tickets, entertainment, parties, receptions or similar events, advocacy rallies, consultant services, courier services, and expenses for non-lobbying support staff and retained lobbyists payments for lobbying employees' salaries.
- Any item that is exempt as a gift in Section 1 (c)(j) of the Lobbying Act must be reported if it is part of your lobbying effort.
What expenses are not required to be reported?
- Expenses for political contributions pursuant to Article 14 of the Election law.
- Payments or expenses incurred by the lobbyist for their own personal sustenance, travel, and lodging.
- General office rent and utility expenses of the lobbyist.
- Expenses directly incurred for printing, mailing, and reproduction of letters, memoranda, or other written communications are not reportable until such expenses exceed $500 in any calendar year; however, once this amount has been exceeded, the entire cost is reportable.
- Ordinary membership dues paid to an organization that is registered to lobby.
How should my expenses be reported?
All expenses must be disclosed in Part VI, including expenses that are or will be reimbursed, during the period in which they are incurred or expended. In addition, if the lobbyist receives the reimbursement for these expenses during the reporting period, they must also disclose this amount in Part V under reimbursed expenses.
Can certain expenses be estimated?
Yes. In cases where it is not possible to determine exact dollar amounts (such as photocopying, phone bills, in-house printing and reproduction expenses), good faith estimates of such costs, based on generally accepted accounting procedures, may be used.
If I have been retained or employed to lobby on both a state and local level, how should expenses and compensation be reported?
Compensation and expenses for local and state level lobbying must be reported on the same form. At this time, the Commission is not requiring that local compensation or expenses be reported separately from state compensation and expenses.
Does a Lobbyist Disbursement of Public Monies Report have to be filed if a registered lobbyist does not have any compensation or expenses for the reporting period?
Unlike lobbyist and public corporation bimonthly reports required by sections 1-h and 1-i, the NYS Lobbyist Disbursement of Public Monies Reports are required to be filed only for bimonthly reporting periods during which the lobbyist has made any attempts to influence a public official with respect to disbursement of public monies, or receives compensation or reimbursement of expenses for such activities.
What should the lobbyist do if a report cannot be filed by the statutory due date?
Requests for extensions of filing time can be made in writing and must be received in the Commission's office prior to the filing due date. Such request must contain good cause and shall be granted at the discretion of the Executive Director of the Commission.
If a report is due on a weekend or a State holiday, when should the report be filed?
The report must be received in the Commission's office on the first business day following the weekend or State holiday.
What are the retention requirements for Lobbyist Disbursement of Public Monies Bimonthly Reports?
These records should be retained for a period of three years.
PLEASE NOTE: All sections of the reporting forms must be completed. If a section of the report does not apply for a particular reporting period, fill in "0" in all numeric sections and none, or N/A, in all other sections. Reports with blank or incomplete sections will be returned for proper completion. Please note that this may cause you to be late and incur late filing fees.
MISCELLANEOUS INFORMATION
Are there any prohibitions in the Lobbying Act?
There are two prohibitions in the Lobbying Act:
The Lobbying Act prohibits retaining or employing any lobbyist and the acceptance of any such retainer or employment by any lobbyist where the compensation is contingent on the outcome of such lobbying activity. This is a Class A misdemeanor.
The Lobbying Act also prohibits an individual or entity required to be listed on a Statement of Registration pursuant to Article 1-A of the Legislative Law from offering or giving a gift to a Public Official. (Definitions of "gift" and "Public Official" can be found in the Lobbying Act.) Any lobbyist, public corporation or client who violates this prohibition shall be guilty of a class A misdemeanor for a first violation and a class E felony for a second violation within five years of the first. Further, such lobbyist, public corporation or client is also subject to a civil penalty in an amount not to exceed the greater of $25,000 or three times the amount of the gift.
Effective January 2006, the Lobbying Act prohibits a person or organization required to file a statement or report pursuant to this article from engaging in lobbying activities concerning a governmental procurement during the restricted period as defined in §1-c(n) of the Act by contacting:
any other person within the procuring entity other than the designated contact; or
any person in a state agency other than the state agency conducting the governmental procurement.
A first-time violation of this provision may subject the person or organization to a civil penalty of up to $10,000. Subsequent violations of this provision within four years of the initial violation may subject the person or organization to a civil penalty fine of up to $25,000.
What if my filing is late?
First time filers will be charged a late filing fee of no more than $10 per day for each day the required filing is late. All others may be charged a late filing fee of $25 per day for each day the required filing is late.
Are there any other penalties for not filing a required statement or report?
Failure to file a statement or report may subject the lobbyist to a civil penalty fine not to exceed the greater of $25,000 or three times the amount the person failed to report properly. In addition, a lobbyist may be guilty of a Class A misdemeanor for a first time failure and a Class E felony for subsequent failures within five years of the first.
FREEDOM OF INFORMATION
Are a lobbyist's statement and reports publicly available?
Yes. Pursuant to the New York State Freedom of Information Law (FOIL), any lobbying statement or report filed with the Commission is accessible to the public for a period of three years (for annual filings) and three biennial periods or six years (for biennial filings). The public may access these filings in one of three ways:
- These reports are directly accessible through the website www.nyintegrity.org; or
- By mailing, faxing or emailing a written FOIL request for copies of records to the Records Access Officer. Please note that the Commission on Public Integrity waives copying fees, except for extremely voluminous requests; or
- By making an appointment with the Records Access Officer to inspect and copy documents at the Commission's offices. With a prior appointment, inspection may occur on days that the Commission is regularly open for business from 9:00 am to 5:00 pm.