Instructions for Clients Filing Online

Instructions for Client User ID Requests

If you have filed as a Client using paper forms at any time since 2003, the Commission has already created a User Profile from the Client name listed on your previous Semi-Annual Report. Please scroll through the Client name list first to see if this name is listed. If your name is listed, select this name and continue completing this form to receive your User ID and Password. Otherwise, use the following directions to get your User ID Request.

If you will be filing online for the first time, it will be necessary for you to apply for a Client User ID and Password before you can file your Client Semi-Annual Reports online.

Client:

The employer, person, or organization on whose behalf a Lobbyist engages in lobbying activities.

Client Name:

You must report the full legal name of the Client. Do not use abbreviations or acronyms. In the case of a Client that begins with "New York" or "New York State," list "New York" or "New York State" in parenthesis after the rest of the Client name. Examples: "New York Association of Counties" is listed as "Association of Counties (NY)," "New York State Sheriff's Association" is listed as "Sheriff's Association (NYS)."

If there is already information for the Client in the Commission's current database, you may be able to retrieve this data by clicking on "Retrieve info." If data populates the remaining fields on this form, you must review and, if necessary, make corrections to the data. If no data appears, you must complete the fields as required.

Responsible Person:

The User ID and Password will be issued to the person responsible for filing the Client Semi-Annual Reports.

After you have completed and submitted this form, you will be directed to print and sign an application form that must be NOTARIZED and mailed to the Commission before you will receive your User ID and Password.

Your User ID and Password will be sent to the e-mail provided on your application. Please be sure your e-mail is correct before you hit the submit button.

PLEASE NOTE: Keep your User ID and Password in a safe place. Do not reveal your Password to anyone, including Commission Staff. Commission Staff do not have knowledge of, nor access to your Password. If you forget your Password, the person listed as the responsible party on your affidavit must send a signed written request to our office before a Password will be resent.

If any of the information that you have provided to obtain the User ID and Password changes, you must inform the Commission of these changes by updating your Client Profile through the View/Manage the Client Profile section of the Client menu.

Instructions for Client Profile Update Form

You must use this form to update the Profile information you provided on your User ID request. Upon approval, these changes will automatically be applied to any future Semi-Annual Reports you will file.

An explanation of all changes must be noted in the Comment Box
Changes made to the Client name will be subject to Commission approval and may need additional documentation.
Changes made to the responsible person name will require that a new electronic filing authorization form/application be printed, signed by the new person and submitted to the Commission's office prior to approval. This form must also be NOTARIZED. Upon Commission approval, the old User ID and Password will be denied access and a new User ID and Password will be sent to the e-mail listed on the Profile Update form.

Instructions for On-Line Client Semi-Annual Report Form

A Client Semi-Annual Report must be filed by any Client retaining, employing or designating a Lobbyist or Lobbyists, whether or not any such Lobbyist was required to file a Bimonthly Report, if an amount in excess of $2,000 ($5,000 beginning in January 2006) of combined reportable compensation and expenses for lobbying was expended or incurred during the year on a state or local level.

It is important to know that the $2,000 ($5,000 beginning in January 2006) reporting threshold is determined on an annual basis. Consequently, once the threshold has been exceeded for the year, all Semi-Annual Reports due after the annual threshold is met must be filed (i.e., If the Client exceeds the threshold and files a January/June Semi-Annual Report, then a July/December Semi-Annual Report must be filed, even if no monies are expended between July and December).

IMPORTANT: For a Client that retains or employs multiple Lobbyists, it is important these Lobbyist(s) register using the same exact Client name. Different variations of the same Client name will cause the Commission's computer application to send out delinquent report notices and possibly cause you to be referred for a Civil Penalty. If your "Client name" varies between your Lobbyists, a separate Client Semi-Annual Report will be required to be filed for EACH Lobbyist, including the accompanying $50, nonrefundable, filing fee.

There are two Semi-Annual reporting periods:

January - June 30 (Report is due July 15)
July 1 - December 31 (Report is due January 15)

Client Information:

If any of the pre-filled Client information changes, you must make changes to your Client Profile through the View/Manage the Client Profile section of the Client menu.

Third Party Beneficiary:

A third party beneficiary is the name of the individual or organization on whose behalf the Client has retained, employed or designated a Lobbyist to lobby. While in most instances a Client retains, employs or designates a Lobbyist to lobby for itself, there are situations when a Client will engage the services of the Lobbyist on behalf of an entity other than the Client itself. In these situations, the name of the third party must be disclosed. Please contact a staff member if you are unclear as to whether your Contract/Authorization is considered a "third party" arrangement.

Lobbyist Information and Compensation:

You must fill in the required information and compensation paid or owed to each Lobbyist that has lobbied for this Client during the current period. The name of each Lobbyist that has filed a Registration for this Client will automatically appear after you click Add New Lobbyist in this part of the Semi-Annual Report. You should review these names and delete any that did not perform lobbying services or receive/incur compensation during this period. Please note, however, that this will delete the name for this period only, not permanently. If a Lobbyist no longer has authorization or a Contract to lobby for this Client, you must submit a termination notice by going to the Client Termination of Lobbyist Registration Contract/Authorization form in the Client Registration Contract/ Authorization Termination menu in the Client menu.

In addition to the Lobbyist name, all Lobbyist fields will populate (address, phone number, type of lobbyist, type of lobbying). Please review this information to ensure it is accurate and current, and make any changes that are necessary.

If after reviewing the list of registered Lobbyists you need to add additional Lobbyists, you may do so on this form by clicking on Add New Lobbyist.

Compensation:

"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 during that period.

Expenses:

"Reportable Expenses" shall mean any expenditures paid or incurred by the Client or reimbursed to the Lobbyist for lobbying activities, except with respect to those items and events specifically exempted from the definition of a gift. 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, expenses for non lobbying support staff, and courier services.

The following are not reportable Lobbying expenses:

Payments or expenses incurred for the Lobbyist's and Client's personal sustenance, lodging and travel.
Expenses directly incurred for the printing, reproduction and mailing of letters, memoranda, or other written communications, which do not exceed $500 in any calendar year. Once the $500 threshold is met, however, the entire cost must be reported.
General office overhead (e.g. rent, heat, electricity).
Contributions reportable pursuant to Article 14 of the Election Law.
Ordinary membership dues paid to an organization that is registered to lobby.

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 date and purpose for which it was paid. You must also indicate if the expense was related to a procurement or nonprocurement lobbying effort. If any portion of this expense is attributable to one individual in an amount in excess of $75, and is not specifically exempted from the definition of gift (Section 3(G) of the Guidelines), that individual's identity must be disclosed. Expenses below $75 may be reported in the aggregate.

In addition, if the Client reimburses the Lobbyist for expenses during the reporting period, such reimbursement must also be reported in the expense section of the Semi-Annual Report during the period in which the expenses were actually reimbursed.

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.

All compensation and expenses must be disclosed for the Semi-Annual period in which they are paid, owed, or incurred.

Subject, Person Lobbied, Bill Number, Procurement Contract, Executive Order and Tribal-State Compact fields:

In order to expedite data entry of large numbers of data items in these fields, you may choose to copy and paste data from another document into any these fields. (See copy and paste directions at the bottom of these Client Instructions.)

Record Keeping and Documentation of Expenses:

A Client must be able to document any expense of more than $50 by a 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 Lobbying Act. These audits may require Clients to produce books, records, papers or memoranda relevant and material to the preparation of the selected filings. Failure to retain records as required, may subject a Client to a Civil Penalty of $2,000.

Declaration:

If the individual responsible for filing the report has changed, you must inform the Commission prior to submitting your report by updating the Client Profile through the View/Manage the Client Profile section of the Client menu.

FILING FEE: ALL FEE PAYMENTS ARE NONREFUNDABLE UPON SUBMISSION OF YOUR SEMI-ANNUAL FORM.

Each Client Semi-Annual Report must be accompanied by a $50 nonrefundable 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. No additional fee is required for amended Semi-Annual Reports, provided an original is on file for that period. A fee may be charged for a returned check.

Please note: Public Corporations required to file Client Semi-Annual Reports are required to pay the $50 Client Semi-Annual Report filing fee.

Payment Mode: Client Fees May Be Paid By Credit Card or By Check As Follows:

Credit Card Payment: You may choose to pay your $50 fee online with Visa, MasterCard or American Express. Please review the rate schedule carefully since all fees are nonrefundable.

Check Payment: You must type in your check or money order number on your Client Semi-Annual Report Form. Upon receiving your confirmation number for your Client Semi-Annual Report, you must write this number on your check to facilitate processing. A fee may be charged for a returned check.

Miscellaneous: Your Client Semi-Annual Report submission will not be approved until the Commission receives your $50 filing fee.

To facilitate processing and approval time, please write your Client Semi-Annual Report confirmation number on your check (if not paying by credit card) and mail promptly to the Commission at: New York State Commission on Public Integrity, 540 Broadway, Albany, New York 12207.

Instructions for On-line Client Semi-Annual Report Amendment Form

Use this form if any of the information that you provided in your Semi-Annual Report needs to be amended/changed after it has been submitted.

Since such changes will be reviewed and approved by the Commission, you must provide a detailed explanation of changes in the Comments Box.

Please note: Pre-filled Client information can only be changed by going to the View/Manage the Client Profile section of the Client menu. Similarly, the responsible person name appearing in the Declaration certification section can only be changed by updating the Client Profile.

No filing fee is required for amended Semi-Annual Reports, provided an original is on file for that filing period.

Instructions for On-Line Client Termination of Lobbyist Registration Contract/Authorization Form

If the lobbying Contract/Authorization with your Lobbyist is terminated prior to the end of the biennial period (for 2005-2006 and beyond) or the calendar year (for 2004 and previous years) for which the Lobbyist is registered, and you do not anticipate that it will be extended, you must complete this form within 30 days of such termination date. (Your Lobbyist is also required to complete a similar form 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.

Miscellaneous Client Information

Lobbying Act Prohibitions:

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 a Client from offering or giving a gift with a value exceeding $75 to a Public Official. (Definitions of "gift" and "Public Official" can be found in the Statute.) A violation of this provision is a Class A misdemeanor for first time offenders and a Class E felony for those previously convicted of same within the preceding five years. Further, such Client is subject to a Civil Penalty fine of up to $25,000.

Effective January 2006, the Lobbying Act prohibits a Lobbyist from engaging in lobbying activities concerning a governmental procurement during the restricted period as defined in §1-c(m) of the Act by contacting any other person within the procuring agency who has not been designated to receive communication relative to the government procurement; 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 Lobbyist to a Civil Penalty of up to $10,000. Subsequent violations of this provision within four years of the initial violation may subject a Lobbyist to a Civil Penalty fine of up to $25,000 and such Lobbyist will be prohibited from engaging in lobbying for a period of four years.

Late Filings:

First time filers will be charged a late filing fee of $10 per day for each day the required filing is late. All others will be charged a late filing fee of $25 per day for each day the required filing is late.

Penalties for Non-Filers:

Failure to file a statement or report may subject the Client to a Civil Penalty fine of up to $25,000. In addition, a Client may be guilty of a Class A misdemeanor for a first time failure and a Class E felony for subsequent failures.

Miscellaneous Filing Information

Copy and Paste directions for Subject, Person Lobbied, Bill Number, Procurement Contract, Executive Order and Tribal-State Compact Fields:

Full Page:

Open Up documents from which you would like to extract data.
From the menu at the top of the screen select, Edit and then hit the Select All button. This will capture all the data on the document page.
Select Edit > Copy and this will copy all contents in the document.
Minimize document and go to on-line application. Go to appropriate section on the form (Add New Subject, Add New Person or Add New Bill), and click to open this text box. Make sure the mouse cursor is in this section and select Edit > Paste. All data that you just copied from the document is pasted in the exact same format into this form's text box.

Portion of Page:

If you only want to copy a certain portion of text on a page, do the following:

Open up document from which you would like to extract data.
Highlight with mouse only the portion of text that you want to copy.
Select Edit > Copy and this will copy all the text content that you highlighted.
Minimize document and go to on-line application. Go to appropriate section on the form (Add New Subject, Add New Person, etc.) and click to open this text box. Make sure the mouse cursor is in this section and select Edit > Paste. All data that you just copied from the document is pasted in the exact same format into this form's text box.

Saving your forms to work on later:

You may choose to save your partially completed Client Semi-Annual Report or Semi-Annual Report Amendment Form to finish at a later time rather than submit immediately. It is important to note that a saved form cannot be counted as a submission for filing purposes or to meet filing deadlines. Nor can Commission staff retrieve or submit a report you have chosen to save. Please be sure to review your saved form queue found on the Client menu page on a regular basis to finish and submit all of your saved reports by their filing deadlines to avoid late fees or Civil Penalty fines.

Please Note: If you do not save your form and there is no activity for 30 minutes while logged on to this application, the application will automatically log you off and your data will be lost.

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