NY-LEG Legislative Law NY

Cited by

New York State Joint Commission on Public Ethics v. Campaign for One New York, Inc. 53 Misc. 3d 983 N.Y. Sup. Ct. 2016-09-08 § 1-c, § 1-e, § 1-h
NYC C.L.A.S.H., Inc. v. New York State Office of Parks, Recreation & Historic Preservation 125 A.D.3d 105 N.Y. App. Div. 2014-12-31 § 87
Lynch v. City of New York 23 N.Y.3d 757 N.Y. 2014-06-30 § 50
Cohen v. New York State Legislative Task Force 35 Misc. 3d 425 N.Y. Sup. Ct. 2012-03-09 § 83-m
County of Nassau v. Nassau County Interim Finance Authority 33 Misc. 3d 227 N.Y. Sup. Ct. 2011-03-11 § 55
Warshawsky v. DiNapoli 73 A.D.3d 1357 N.Y. App. Div. 2010-05-20 § 50

Show all 104 citations

People v. Assi 14 N.Y.3d 335 N.Y. 2010-03-30 § 41, § 43
Urban Justice Center v. Silver 66 A.D.2d 567 N.Y. App. Div. 2009-10-22 § 16
Brodsky v. New York Yankees 26 Misc.3d 874 N.Y. Sup. Ct. 2009-07-29 § 62-a
Maron v. Silver 58 A.D.3d 102 N.Y. App. Div. 2008-11-13 § 5
New York Temporary State Commission on Lobbying v. Crane 49 A.D.3d 1066 N.Y. App. Div. 2008-03-20 § 1-d, § 1-p
Abbruzzese v. New York Temporary State Commission on Lobbying 43 A.D.3d 518 N.Y. App. Div. 2007-08-02 § 1-d
Urban Justice Center v. Pataki 38 A.D.3d 20 N.Y. App. Div. 2006-12-21 § 5-a
Urban Justice Center v. Pataki 10 Misc. 3d 939 N.Y. Sup. Ct. 2005-11-22 § 5-a
Norman v. Hynes 20 A.D.3d 125 N.Y. App. Div. 2005-07-05 § 12, § 5
Chavis v. New York Temporary State Commission on Lobbying 16 A.D.3d 886 N.Y. App. Div. 2005-03-17 § 1-b, § 1-d, § 1-n, § 1-p, § 1-q
People v. Norman 6 Misc. 3d 317 N.Y. Sup. Ct. 2004-09-01 § 12, § 5
Chavis v. New York Temporary State Commission on Lobbying 6 Misc. 3d 917 N.Y. Sup. Ct. 2004-08-09 § 1-a, § 1-c
New York Temporary State Commission on Lobbying v. Simmons 4 Misc. 3d 749 N.Y. Sup. Ct. 2004-04-06 § 1-c, § 1-d, § 1-e
Silver v. Pataki 274 A.D.2d 57 N.Y. App. Div. 2000-07-20 § 21
Faso v. Misasi 268 A.D.2d 145 N.Y. App. Div. 2000-05-25 § 36
Cohen v. State 94 N.Y.2d 1 N.Y. 1999-10-14 § 3, § 5
Cohen v. State 180 Misc. 2d 643 N.Y. Sup. Ct. 1999-05-21 § 5
Urbach v. Farrell 229 A.D.2d 275 N.Y. App. Div. 1997-04-17 § 62-a
Kalkstein v. DiNapoli 228 A.D.2d 28 N.Y. App. Div. 1997-01-23 § 60
Weston v. Sloan 84 N.Y.2d 462 N.Y. 1994-12-06 § 44
Winner v. Cuomo 176 A.D.2d 60 N.Y. App. Div. 1992-02-13 § 31
People v. Ohrenstein 77 N.Y.2d 38 N.Y. 1990-11-27 § 10, § 6, § 8, § 9
Golden v. Clark 76 N.Y.2d 618 N.Y. 1990-10-23 § 6, § 7
Forti v. New York State Ethics Commission 75 N.Y.2d 596 N.Y. 1990-04-05 § 80
Riker v. New York State Commission on Government Integrity 153 A.D.2d 158 N.Y. App. Div. 1990-01-25 § 60
People v. Ohrenstein, Babbush, Sanzillo & Montalto 153 A.D.2d 342 N.Y. App. Div. 1989-12-21 § 10, § 11, § 6, § 66-a, § 7, § 8, § 9
Sutka v. Conners 73 N.Y.2d 395 N.Y. 1989-05-02 § 50
People v. Ohrenstein 139 Misc. 2d 909 N.Y. Sup. Ct. 1988-06-15 § 10, § 11, § 16, § 6, § 8, § 9
McKechnie v. Ortiz 132 A.D.2d 472 N.Y. App. Div. 1987-07-16 § 50
Heimbach v. State 59 N.Y.2d 891 N.Y. 1983-06-16 § 40
McSpedon v. Roberts 117 Misc. 2d 679 N.Y. Sup. Ct. 1983-01-19 § 87
In re the Estate of Kenny 114 Misc. 2d 203 N.Y. Sur. Ct. 1982-06-08 § 43
Bindler v. Goldin 52 N.Y.2d 1 N.Y. 1980-12-18 § 24, § 50
Costiglio v. Strelzin 98 Misc. 2d 548 N.Y. Sup. Ct. 1978-11-27 § 60, § 62-a
Bloor v. State 93 Misc. 2d 899 N.Y. Ct. Cl. 1978-03-30 § 30, § 63
Bethlehem Steel Corp. v. Board of Education of the City School District of Lackawanna 61 A.D.2d 147 N.Y. App. Div. 1978-01-20 § 1
Periconi v. State 91 Misc. 2d 823 N.Y. Ct. Cl. 1977-10-19 § 41, § 44
Niagara Falls Urban Renewal Agency v. O'Hara 57 A.D.2d 471 N.Y. App. Div. 1977-05-27 § 55
In re Hecht 90 Misc. 2d 308 N.Y. Sup. Ct. 1977-04-21 § 62-a
City School District of Corning v. County of Chemung 54 A.D.2d 231 N.Y. App. Div. 1976-11-10 § 43
New York Public Interest Research Group, Inc. v. Steingut 40 N.Y.2d 250 N.Y. 1976-06-17 § 27, § 29, § 5, § 6, § 7
Civil Service Employees Ass'n v. Levitt 52 A.D.2d 100 N.Y. App. Div. 1976-05-11 § 5
New York Public Interest Research Group, Inc. v. Steingut 84 Misc. 2d 1012 N.Y. Sup. Ct. 1975-12-30 § 5
Civil Service Employees Ass'n v. Levitt 84 Misc. 2d 8 N.Y. Sup. Ct. 1975-10-28 § 5
Zimmerman v. State 76 Misc. 2d 193 N.Y. Ct. Cl. 1973-10-25 § 40
Gottlieb v. Duryea 38 A.D.2d 634 N.Y. App. Div. 1971-12-15 § 16
Adler v. Board of Elections 57 Misc. 2d 696 N.Y. Sup. Ct. 1968-07-30 § 3
Rice v. State 55 Misc. 2d 964 N.Y. Ct. Cl. 1968-02-13 § 5
Savatgy v. City of Kingston 20 N.Y.2d 258 N.Y. 1967-07-07 § 40, § 44
Caparco v. Kaplan 38 Misc. 2d 1058 N.Y. Sup. Ct. 1963-02-06 § 40
Franklin National Bank of Long Island v. Clark 26 Misc. 2d 724 N.Y. Sup. Ct. 1961-03-14 § 40, § 41, § 42, § 44
Whalen v. Wagner 2 Misc. 2d 89 N.Y. Sup. Ct. 1956-05-07 § 40
In re Di Brizzi 303 N.Y. 206 N.Y. 1951-07-11 § 60, § 62-a
People v. Roth 181 Misc. 612 N.Y. Magis. Ct. 1943-09-24 § 45, § 48
In re Pink 179 Misc. 46 N.Y. Sup. Ct. 1942-10-02 § 43
In re the Joint Legislative Committee to Investigate the Educational System 177 Misc. 27 N.Y. Sup. Ct. 1941-08-07 § 62-a
In re Joint Legislative Committee to Investigate the Educational System 285 N.Y. 1 N.Y. 1941-01-23 § 62-a
Kolb v. Holling 260 A.D. 120 N.Y. App. Div. 1940-06-28 § 4
Herlands v. Surpless 171 Misc. 914 N.Y. Sup. Ct. 1939-07-07 § 4
People ex rel. Buffalo & Fort Erie Public Bridge Authority v. Davis 277 N.Y. 292 N.Y. 1938-03-08 § 40
A. J. Corbin v. United States Shipping Board Merchant Fleet Co. 152 Misc. 895 N.Y. App. Term 1934-05-25 § 6
People ex rel. Hastings v. Hofstadter 258 N.Y. 425 N.Y. 1932-03-03 § 2, § 4, § 62-a
People ex rel. Hastings v. Hofstadter 234 A.D. 388 N.Y. App. Div. 1932-01-19 § 2
People ex rel. Hastings v. Hofstadter 142 Misc. 886 N.Y. Sup. Ct. 1932-01-13 § 2
Connolly v. Scudder 222 A.D. 591 N.Y. App. Div. 1928-02-01 § 60
Dunham v. Ottinger 127 Misc. 683 N.Y. Sup. Ct. 1926-07-23 § 60
Browne v. City of New York 241 N.Y. 96 N.Y. 1925-10-06 § 40
Durant v. Whedon 201 A.D. 196 N.Y. App. Div. 1922-05-03 § 48
In re the Application to Punish Leach 197 A.D. 702 N.Y. App. Div. 1921-07-01 § 61
Temple v. Brooks 165 A.D. 661 N.Y. App. Div. 1915-01-15 § 1, § 10, § 7
Temple v. Brooks 151 N.Y.S. 490 N.Y. App. Div. 1915-01-15 § 10, § 43, § 61, § 64, § 7
People v. Journal Co. 213 N.Y. 1 N.Y. 1914-11-10 § 1, § 48
People ex rel. New York Central & Hudson River Railroad v. Walsh 211 N.Y. 90 N.Y. 1914-04-14 § 4
People ex rel. Bonheur v. Christ 208 N.Y. 6 N.Y. 1913-03-25 § 48
People ex rel. Hawley v. Howard 137 N.Y.S. 496 N.Y. App. Div. 1912-09-27 § 39, § 46, § 5
People ex rel. Hawley v. Howard 152 A.D. 621 N.Y. App. Div. 1912-09-27 § 46
Helm v. Day 134 N.Y.S. 770 N.Y. Sup. Ct. 1912-04-09 § 40
In re Barnes 132 N.Y.S. 908 N.Y. App. Div. 1911-11-29 § 4
In re New York Cent. & H. R. Railroad 121 N.Y.S. 524 N.Y. App. Div. 1910-03-04 § 44
In re the New York Central & Hudson River Railroad 136 A.D. 760 N.Y. App. Div. 1910-03-04 § 44
People ex rel. Ammon v. Johnson 100 N.Y.S. 256 N.Y. App. Div. 1906-07-24 § 43
People ex rel. Ammon v. Johnson 20 N.Y. Crim. 373 N.Y. App. Div. 1906-07-24 § 43
People ex rel. Ammon v. Johnson 114 A.D. 876 N.Y. App. Div. 1906-07-24 § 43
In re Stickney's Estate 97 N.Y.S. 336 N.Y. App. Div. 1905-12-30 § 40, § 44
In re the Transfer Tax upon the Estate of Stickney 110 A.D. 294 N.Y. App. Div. 1905-12-30 § 40, § 44
In re Weeks' Estate 96 N.Y.S. 876 N.Y. App. Div. 1905-12-29 § 40
Davidson v. Witthaus 94 N.Y.S. 428 N.Y. App. Div. 1905-06-16 § 19, § 20, § 45, § 48
In re Troy Press Co. 88 N.Y.S. 115 N.Y. App. Div. 1904-05-11 § 48, § 80
People ex rel. Argus Co. v. Palmer 67 N.Y. St. Rep. 791 N.Y. Sup. Ct. 1895-05-15 § 72
People ex rel. Argus Co. v. Palmer 33 N.Y.S. 1088 N.Y. Sup. Ct. 1895-05-15 § 72
Davidson v. Witthaus 106 A.D. 182 N.Y. App. Div. § 45, § 48
In re Leach 115 Misc. 660 N.Y. Sup. Ct. § 61
In re the Appraisal of the Estate of Weeks 109 A.D. 859 N.Y. App. Div. § 40
In re the Investigation of the Administration & Conduct of Various Departments of the Government 235 A.D. 662 N.Y. App. Div. § 62-a
In re the Investigation of the Departments & Officials of Albany 74 Misc. 170 N.Y. Sup. Ct. § 4
In re the Transfer Tax on the Estate of Sabin 224 A.D. 702 N.Y. App. Div. § 43
People ex rel. Ammon v. Johnson 19 N.Y. Crim. 427 N.Y. App. Div. § 43
People ex rel. Argus Co. v. Palmer 12 Misc. 392 N.Y. Sup. Ct. § 72

Contents

ARTICLE 1 Short Title

§ 1 — Short title Cited in 3 cases

Short title. This chapter shall be known as the "Legislative

Law."

ARTICLE 1-A Lobbying Act

§ 1-a — Legislative declaration Cited in 1 case

Legislative declaration. The legislature hereby declares that

the operation of responsible democratic government requires that the

fullest opportunity be afforded to the people to petition their

government for the redress of grievances and to express freely to

appropriate officials their opinions on legislation and governmental

operations; and that, to preserve and maintain the integrity of the

governmental decision-making process in this state, it is necessary that

the identity, expenditures and activities of persons and organizations

retained, employed or designated to influence the passage or defeat of

any legislation by either house of the legislature or the approval, or

veto, of any legislation by the governor and attempts to influence the

adoption or rejection of any rule or regulation having the force and

effect of law or the outcome of any rate making proceeding by a state

agency, and the attempts to influence the passage or defeat of any local

law, ordinance, or regulation be publicly and regularly disclosed.

§ 1-b — Short title Cited in 1 case

Short title. This article shall be known and may be cited as

the "Lobbying act".

§ 1-c — Definitions Cited in 3 cases

Definitions. As used in this article unless the context

otherwise requires:

(a) The term "lobbyist" shall mean every person or organization

retained, employed or designated by any client to engage in lobbying.

The term "lobbyist" shall not include any officer, director, trustee,

employee, counsel or agent of the state, or any municipality or

subdivision thereof of New York when discharging their official duties;

except those officers, directors, trustees, employees, counsels, or

agents of colleges, as defined by section two of the education law.

(i) Any individual who stands convicted of a felony defined in article

two hundred or four hundred ninety-six or section 195.20 of the penal

law may not be retained, employed or designated by any client to engage

in lobbying for compensation.

(ii) Any individual who stands convicted of a misdemeanor defined in

article two hundred, article four hundred ninety-six, section 195.00 or

an attempt to commit a violation of section 195.20 of the penal law may

not be retained, employed or designated by any client to engage in

lobbying for compensation for a period of five years from the date of

conviction, provided that in the event such conviction is the result of

a plea agreement resulting in a plea to such charge in lieu of a plea or

conviction of a felony defined in section 195.20, article two hundred or

article four hundred ninety-six of the penal law, all parties to such

agreement may agree that the period of such bar may be for a period of

up to ten years from the date of conviction.

(b) The term "client" shall mean every person or organization who

retains, employs or designates any person or organization to carry on

lobbying activities on behalf of such client.

include any attempt to influence:

(i) the passage or defeat of any legislation or resolution by either

house of the state legislature including but not limited to the

introduction or intended introduction of such legislation or resolution

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.

The term "lobbying" shall not include:

(A) Persons engaged in drafting, advising clients on or rendering

opinions on proposed legislation, rules, regulations or rates, municipal

ordinances and resolutions, executive orders, procurement contracts, or

tribal-state compacts, memoranda of understanding, or any other

tribal-state agreements or other written materials related to Class III

gaming as provided in 25 U.S.C. § 2701, when such professional services

are not otherwise connected with state or municipal legislative or

executive action on such legislation, rules, regulations or rates,

municipal ordinances and resolutions, executive orders, procurement

contracts, or tribal-state compacts, memoranda of understanding, or any

other tribal-state agreements or other written materials related to

Class III gaming as provided in 25 U.S.C. § 2701;

(B) (i) Newspapers and other periodicals and radio and television

stations, and owners and employees thereof, provided that their

activities in connection with proposed legislation, rules, regulations

or rates, municipal ordinances and resolutions, executive orders,

tribal-state compacts, memoranda of understanding or other tribal-state

agreements related to Class III gaming as provided in 25 U.S.C. § 2701,

or procurement contracts by a state agency, municipal agency, local

legislative body, the state legislature, or the unified court system,

are limited to the publication or broadcast of news items, editorials or

other comments, or paid advertisements;

(ii) Communications with a professional journalist, or newscaster,

including an editorial board or editorial writer of a newspaper,

magazine, news agency, press association or wire service, relating to

news, as these terms are defined in section seventy-nine-h of the civil

rights law, and communications relating to confidential and

non-confidential news as described in subdivisions (b) and (c) of

section seventy-nine-h of the civil rights law respectively and

communications made pursuant to community outreach efforts for broadcast

stations required by federal law.

representatives in public proceedings of a state or municipal agency

with respect to all participation by such persons which is part of the

public record thereof and all preparation by such persons for such

participation;

(D) Persons who attempt to influence a state or municipal agency in an

adjudicatory proceeding, as "adjudicatory proceeding" is defined by

section one hundred two of the state administrative procedure act;

(E) Persons who prepare or submit a response to a request for

information or comments by the state legislature, the governor, or a

state agency or a committee or officer of the legislature or a state

agency, or by the unified court system, or by a legislative or executive

body or officer of a municipality or a commission, committee or officer

of a municipal legislative or executive body;

(F) Any attempt by a church, its integrated auxiliary, or a convention

or association of churches that is exempt from filing a federal income

tax return under paragraph 2(A)(i) of section 6033(a) of Title 26 of the

United States Code or a religious order that is exempt from filing a

federal income tax return under paragraph (2)(A)(iii) of such section

6033(a) to influence passage or defeat of a local law, ordinance,

resolution or regulation or any rule or regulation having the force and

effect of a local law, ordinance or regulation;

(G) Any activity relating to governmental procurements made under

section one hundred sixty-two of the state finance law undertaken by (i)

the non-profit-making agencies appointed pursuant to paragraph e of

subdivision six of section one hundred sixty-two of the state finance

law by the commissioner of the office of children and family services,

the commission for the blind, or the commissioner of education, and (ii)

the qualified charitable non-profit-making agencies for the blind, and

qualified charitable non-profit-making agencies for other severely

disabled persons as identified in subdivision two of section one hundred

sixty-two of the state finance law; provided, however, that any attempt

to influence the issuance or terms of the specifications that serve as

the basis for bid documents, requests for proposals, invitations for

bids, or solicitations of proposals, or any other method for soliciting

a response from offerers intending to result in a procurement contract

with a state agency, the state legislature, the unified court system, a

municipal agency or local legislative body shall not be exempt from the

definition of "lobbying" or "lobbying activities" under this

subparagraph;

(H) Participants, including those appearing on behalf of a client, in

a conference provided for in a request for proposals, invitation for

bids, or any other method for soliciting a response from offerers

intending to result in a procurement contract;

(I) Offerers who have been tentatively awarded a contract and are

engaged in communications with a state agency, either house of the state

legislature, the unified court system, a municipal agency or local

legislative body solely for the purpose of negotiating the terms of the

procurement contract after being notified of such award or, when a state

agency, either house of the state legislature, the unified court system,

a municipal agency or local legislative body is purchasing an article of

procurement pursuant to an existing state procurement contract, offerers

who are engaged in communications with the procuring entity solely for

the purpose of negotiating terms applicable to that purchase; or persons

who currently hold a franchise and who are engaged in negotiating the

terms of a tentative franchise renewal contract with a municipality, but

such negotiations, which do not constitute lobbying, do not include

communications to the local legislative body that must approve the

contract;

(J) (i) Offerers or other persons who are a party to a protest, appeal

or other review proceeding (including the apparent successful bidder or

proposer and his or her representatives) before the governmental entity

conducting the procurement seeking a final administrative determination,

or in a subsequent judicial proceeding; or

(ii) Offerers or other persons who bring complaints of alleged

improper conduct in a governmental procurement to the attorney general,

inspector general, district attorney, or court of competent

jurisdiction; or

(iii) Offerers or other persons who submit written protests, appeals

or complaints to the state comptroller's office during the process of

contract approval, where the state comptroller's approval is required by

law, and where such communications and any responses thereto are made in

writing and shall be entered in the procurement record pursuant to

section one hundred sixty-three of the state finance law; or

(iv) Offerers or other persons who bring complaints of alleged

improper conduct in a governmental procurement conducted by a municipal

agency or local legislative body to the state comptroller's office;

provided, however, that nothing in this paragraph shall be construed

as recognizing or creating any new rights, duties or responsibilities or

abrogating any existing rights, duties or responsibilities of any

governmental entity as it pertains to implementation and enforcement of

article eleven of the state finance law or any other provision of law

dealing with the governmental procurement process;

(K) The submission of a bid or proposal (whether submitted orally, in

writing or electronically) in response to a request for proposals,

invitation for bids or any other method for soliciting a response from

offerers intending to result in a procurement contract;

(L) Offerers submitting written questions to a designated contact of a

state agency, either house of the state legislature, the unified court

system, a municipal agency or local legislative body set forth in a

request for proposals, or invitation for bids or any other method for

soliciting a response from offerers intending to result in a procurement

contract, when all written questions and responses are to be

disseminated to all offerers who have expressed an interest in the

request for proposals, or invitation for bids, or any other method for

soliciting a response from offerers intending to result in a procurement

contract;

(M) Contacts during governmental procurements between designated staff

of a state agency, either house of the state legislature, the unified

court system, a municipal agency or local legislative body involved in

governmental procurements and officers or employees of bidders or

potential bidders, or officers or employees of subcontractors of bidders

or potential bidders, who are charged with the performance of functions

relating to contracts and who are qualified by education, training or

experience to provide technical services to explain, clarify or

demonstrate the qualities, characteristics or advantages of an article

of procurement. Such authorized contacts shall: (i) be limited to

providing information to the staff of a state agency, either house of

the state legislature, the unified court system, a municipal agency and

local legislative body to assist them in understanding and assessing the

qualities, characteristics or anticipated performance of an article of

procurement; (ii) not include any recommendations or advocate any

contract provisions; and (iii) occur only at such times and in such

manner as authorized under the procuring entity's solicitation or

guidelines and procedures. For the purposes of this paragraph, the term

"technical services" shall be limited to analysis directly applying any

accounting, engineering, scientific, or other similar technical

disciplines;

(N) Applications for licenses, certificates, and permits authorized by

statutes or local laws or ordinances;

(O) The activities of persons who are commission salespersons with

respect to governmental procurements;

(P) Communications made by an officer or employee of the offerer after

the award of the procurement contract when such communications are in

the ordinary course of providing the article of procurement provided by

the procurement contract and in the ordinary course of the assigned

duties of the officer or employee; provided, however, that nothing

herein shall exempt: (i) an officer or employee whose primary purpose of

employment is to engage in lobbying activities with regard to

governmental procurements, or (ii) an agent or independent contractor

hired by an offerer and whose primary duty is to engage in lobbying

activities with regard to governmental procurements; and

(Q) Persons who communicate with public officials where such

communications are limited to obtaining factual information related to

benefits or incentives offered by a state or municipal agency and where

such communications do not include any recommendations or advocate

governmental action or contract provisions, and further where such

communications are not otherwise connected with pending legislative or

executive action or determinations; provided, however, that any person

who is otherwise required to file a statement or report pursuant to this

article by virtue of engaging in lobbying activities as defined in this

section shall not be deemed to fall within the exception provided for

under this paragraph.

(d) The term "organization" shall mean any corporation, company,

foundation, association, college as defined by section two of the

education law, labor organization, firm, partnership, society, joint

stock company, state agency or public corporation.

(e) The term "state agency" shall mean any department, board, bureau,

commission, division, office, council, committee or officer of the

state, whether permanent or temporary, or a public benefit corporation

or public authority at least one of whose members is appointed by the

governor, authorized by law to make rules or to make final decisions in

adjudicatory proceedings but shall not include the judicial branch or

agencies created by interstate compact or international agreement.

(f) The term "commission" shall mean the commission on ethics and

lobbying in government created by section ninety-four of the executive

law.

(g) The term "expense" or "expenses" shall mean any expenditures

incurred by or reimbursed to the lobbyist for lobbying but shall not

include contributions reportable pursuant to article fourteen of the

election law.

(h) The term "compensation" shall mean 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 for lobbying but shall not

include contributions reportable pursuant to article fourteen of the

election law.

(i) The term "public corporation" shall mean a municipal corporation,

a district corporation, or a public benefit corporation as defined in

section sixty-six of the general construction law.

(j) The term "gift" shall mean anything of more than nominal value

given to a public official in any form including, but not limited to

money, service, loan, travel, lodging, meals, refreshments,

entertainment, discount, forbearance, or promise, having a monetary

value. The following are excluded from the definition of a gift:

(i) complimentary attendance, including food and beverage, at bona

fide charitable or political events;

(ii) complimentary attendance, food and beverage offered by the

sponsor of a widely attended event. The term "widely attended event"

shall mean an event: (A) which at least twenty-five individuals other

than members, officers, or employees from the governmental entity in

which the public official serves attend or were, in good faith, invited

to attend, and (B) which is related to the attendee's duties or

responsibilities or which allows the public official to perform a

ceremonial function appropriate to his or her position. For the purposes

of this exclusion, a public official's duties or responsibilities shall

include but not be limited to either (1) attending an event or a meeting

at which a speaker or attendee addresses an issue of public interest or

concern as a significant activity at such event or meeting; or (2) for

elected public officials, or their staff attending with or on behalf of

such elected officials, attending an event or a meeting at which more

than one-half of the attendees, or persons invited in good faith to

attend, are residents of the county, district or jurisdiction from which

the elected public official was elected;

(iii) awards, plaques, and other ceremonial items which are publicly

presented, or intended to be publicly presented, in recognition of

public service, provided that the item or items are of the type

customarily bestowed at such or similar ceremonies and are otherwise

reasonable under the circumstances, and further provided that the

functionality of such items shall not determine whether such items are

permitted under this paragraph;

(iv) an honorary degree bestowed upon a public official by a public or

private college or university;

(v) promotional items having no substantial resale value such as pens,

mugs, calendars, hats, and t-shirts which bear an organization's name,

logo, or message in a manner which promotes the organization's cause;

(vi) goods and services, or discounts for goods and services, offered

to the general public or a segment of the general public defined on a

basis other than status as a public official and offered on the same

terms and conditions as the goods or services are offered to the general

public or segment thereof;

(vii) gifts from a family member, member of the same household, or

person with a personal relationship with the public official, including

invitations to attend personal or family social events, when the

circumstances establish that it is the family, household, or personal

relationship that is the primary motivating factor; in determining

motivation, the following factors shall be among those considered: (A)

the history and nature of the relationship between the donor and the

recipient, including whether or not items have previously been

exchanged; (B) whether the item was purchased by the donor; and (C)

whether or not the donor at the same time gave similar items to other

public officials; the transfer shall not be considered to be motivated

by a family, household, or personal relationship if the donor seeks to

charge or deduct the value of such item as a business expense or seeks

reimbursement from a client;

(viii) contributions reportable under article fourteen of the election

law, including contributions made in violation of that article of the

election law;

(ix) travel reimbursement or payment for transportation, meals and

accommodations for an attendee, panelist or speaker at an informational

event or informational meeting when such reimbursement or payment is

made by a governmental entity or by an in-state accredited public or

private institution of higher education that hosts the event on its

campus, provided, however, that the public official may only accept

lodging from an institution of higher education: (A) at a location on or

within close proximity to the host campus; and (B) for the night

preceding and the nights of the days on which the attendee, panelist or

speaker actually attends the event or meeting;

(x) provision of local transportation to inspect or tour facilities,

operations or property located in New York state, provided, however,

that such inspection or tour is related to the individual's official

duties or responsibilities and that payment or reimbursement for

expenses for lodging or travel expenses to and from the locality where

such facilities, operations or property are located shall be considered

to be gifts unless otherwise permitted under this subdivision;

(xi) meals or refreshments when participating in a professional or

educational program and the meals or refreshments are provided to all

participants; and

(xii) food or beverage valued at fifteen dollars or less.

(k) 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 five thousand, and industrial development agencies in

jurisdictional subdivisions with a population of more than five

thousand; and public authorities, and public corporations.

(l) The term "public official" shall mean:

(i) the governor, lieutenant governor, comptroller or attorney

general;

(ii) members of the state legislature;

(iii) state officers and employees including:

(A) heads of state departments and their deputies and assistants other

than members of the board of regents of the university of the state of

New York who receive no compensation or are compensated on a per diem

basis,

(B) officers and employees of statewide elected officials,

divisions, commissions, councils or other state agencies,

(D) members or directors of public authorities, other than multi-state

authorities, public benefit corporations and commissions at least one of

whose members is appointed by the governor, and employees of such

authorities, corporations and commissions;

(iv) officers and employees of the legislature; and

(v) municipal officers and employees including an officer or employee

of a municipality, whether paid or unpaid, including members of any

administrative board, commission or other agency thereof and in the case

of a county, shall be deemed to also include any officer or employee

paid from county funds. No person shall be deemed to be a municipal

officer or employee solely by reason of being a volunteer firefighter or

civil defense volunteer, except a fire chief or assistant fire chief.

(m) The term "restricted period" shall mean the period of time

commencing with the earliest written notice, advertisement or

solicitation of a request for proposal, invitation for bids, or

solicitation of proposals, or any other method for soliciting a response

from offerers intending to result in a procurement contract with a state

agency, either house of the state legislature, the unified court system,

or a municipal agency, as that term is defined by paragraph (ii) of

subdivision (s) of this section, and ending with the final contract

award and approval by the state agency, either house of the state

legislature, the unified court system, or a municipal agency, as that

term is defined by paragraph (ii) of subdivision (s) of this section,

and, where applicable, the state comptroller.

(n) The term "revenue contract" shall mean any written agreement

between a state or municipal agency or a local legislative body and an

offerer whereby the state or municipal agency or local legislative body

gives or grants a concession or a franchise.

(o) The term "article of procurement" shall mean a commodity, service,

technology, public work, construction, revenue contract, the purchase,

sale or lease of real property or an acquisition or granting of other

interest in real property, that is the subject of a governmental

procurement.

(p) The term "governmental procurement" shall mean: (i) the public

announcement, public notice, or public communication to any potential

vendor of a determination of need for a procurement, which shall

include, but not be limited to, the public notification of the

specifications, bid documents, request for proposals, or evaluation

criteria for a procurement contract, (ii) solicitation for a procurement

contract, (iii) evaluation of a procurement contract, (iv) award,

approval, denial or disapproval of a procurement contract, or (v)

approval or denial of an assignment, amendment (other than amendments

that are authorized and payable under the terms of the procurement

contract as it was finally awarded or approved by the comptroller, as

applicable), renewal or extension of a procurement contract, or any

other material change in the procurement contract resulting in a

financial benefit to the offerer.

(q) The term "offerer" shall mean the individual or entity, or any

employee, agent or consultant of such individual or entity, that

contacts a state agency, either house of the state legislature, the

unified court system, a municipal agency or local legislative body about

a governmental procurement provided, however, that a governmental agency

or its employees that communicate with the procuring agency regarding a

governmental procurement in the exercise of its oversight duties shall

not be considered an offerer.

(r) The term "procurement contract" shall mean any contract or other

agreement, including an amendment, extension, renewal, or change order

to an existing contract (other than amendments, extensions, renewals, or

change orders that are authorized and payable under the terms of the

contract as it was finally awarded or approved by the comptroller, as

applicable), for an article of procurement involving an estimated

annualized expenditure in excess of fifteen thousand dollars. Grants,

article XI-B state finance law contracts, program contracts between

not-for-profit organizations, as defined in article XI-B of the state

finance law, and the unified court system, intergovernmental agreements,

railroad and utility force accounts, utility relocation project

agreements or orders, contracts governing organ transplants, contracts

allowing for state participation in trade shows, and eminent domain

transactions shall not be deemed procurement contracts.

(s) The term "municipal agency" shall mean: (i) any department, board,

bureau, commission, division, office, council, committee or officer of a

municipality, whether permanent or temporary; or (ii) an industrial

development agency, located in a jurisdictional subdivision of the state

with a population of more than fifty thousand, or local public benefit

corporation, as that term is defined in section sixty-six of the general

construction law.

(t) The term "local legislative body" shall mean the board of

supervisors, board of aldermen, common council, council, commission,

town board, board of trustees or other elective governing board or body

of a municipality now or hereafter vested by state statute, charter or

other law with jurisdiction to initiate and adopt local laws, ordinances

and budgets, whether or not such local laws, ordinances or budgets

require approval of the elective chief executive officer or other

official or body to become effective.

(u) The term "commission salesperson" shall mean any person the

primary purpose of whose employment is to cause or promote the sale of,

or to influence or induce another to make a purchase of an article of

procurement, whether such person is an employee (as that term is defined

for tax purposes) of or an independent contractor for a vendor, provided

that an independent contractor shall have a written contract for a term

of not less than six months or for an indefinite term, and which person

shall be compensated, in whole or in part, by the payment of a

percentage amount of all or a substantial part of the sales which such

person has caused, promoted, influenced or induced, provided, however,

that no person shall be considered a commission salesperson with respect

to any sale to or purchase by a state agency, either house of the state

legislature, the unified court system, a municipal agency or local

legislative body if the percentage amount of any commission payable with

respect to such sale or purchase is substantially in excess of any

commission payable with respect to any comparable sale to a purchaser

that is not a state agency, either house of the state legislature, the

unified court system, a municipal agency or local legislative body;

further, provided, however, that any person that is required to file a

statement or report pursuant to this article by virtue of engaging in

lobbying activities as defined in paragraphs (i) through (iv) and (vi)

through (x) of subdivision (c) of this section shall not be deemed to be

a "commission salesperson" for purposes of this article.

(v) The term "unified court system" shall, for the purposes of this

article only, mean the unified court system of the state of New York, or

the office of court administration, where appropriate, other than town

and village justice courts in jurisdictions with a population under

fifty thousand, when it acts solely in an administrative capacity to

engage in governmental procurements and shall not include the unified

court system or any court of the state judiciary when it acts to hear

and decide cases of original or appellate jurisdiction or otherwise acts

in its judicial, as opposed to administrative, capacity.

(w) The term "reportable business relationship" shall mean a

relationship in which compensation is paid by a lobbyist or by a client

of a lobbyist, in exchange for any goods, services or anything of value,

the total value of which is in excess of one thousand dollars annually,

to be performed or provided by or intended to be performed or provided

by (i) any statewide elected official, state officer, state employee,

member of the legislature or legislative employee, or (ii) any entity in

which the lobbyist or the client of a lobbyist knows or has reason to

know the statewide elected official, state officer, state employee,

member of the legislature or legislative employee is a proprietor,

partner, director, officer or manager, or owns or controls ten percent

or more of the stock of such entity (or one percent in the case of a

corporation whose stock is regularly traded on an established securities

exchange).

§ 1-d — Lobby-related powers of the commission Cited in 4 cases

Lobby-related powers of the commission. In addition to any

other powers and duties provided by section ninety-four of the executive

law, the commission shall, with respect to its lobbying-related

functions only, have the power and duty to:

(a) administer and enforce all the provisions of this article;

(b) conduct a program of random audits subject to the terms and

conditions of this section. Any such program shall be carried out in the

following manner:

(i) The commission may randomly select reports or registration

statements required to be filed by lobbyists or clients pursuant to this

article for audit. Any such selection shall be done in a manner pursuant

to which the identity of any particular lobbyist or client whose

statement or report is selected for audit is unknown to the commission,

its staff or any of their agents prior to selection.

(ii) The commission shall develop protocols for the conduct of such

random audits. Such random audits may require the production of books,

papers, records or memoranda relevant and material to the preparation of

the selected statements or reports, for examination by the commission.

Any such protocols shall ensure that similarly situated statements or

reports are audited in a uniform manner.

(iii) The commission shall contract with an outside accounting entity,

which shall monitor the process pursuant to which the commission selects

statements or reports for audit and carries out the provisions of

paragraphs (i) and (ii) of this subdivision and certifies that such

process complies with the provisions of such paragraphs.

(iv) Upon completion of a random audit conducted in accordance with

the provisions of paragraphs (i), (ii) and (iii) of this subdivision,

the commission shall determine whether there is reasonable cause to

believe that any such statement or report is inaccurate or incomplete.

Upon a determination that such reasonable cause exists, the commission

may require the production of further books, records or memoranda,

subpoena witnesses, compel their attendance and testimony and administer

oaths or affirmations, to the extent the commission determines such

actions are necessary to obtain information relevant and material to

investigating such inaccuracies or omissions;

law. Any hearing may be conducted as a video conference in accordance

with the provisions of subdivision four of section one hundred four of

the public officers law;

(d) prepare uniform forms for the statements and reports required by

this article;

(e) meet at least once during each bi-monthly reporting period of the

year as established by subdivision (a) of section one-h of this article

and may meet at such other times as the commission, or the chair and

vice-chair jointly, shall determine;

(f) issue advisory opinions to those under its jurisdiction. Such

advisory opinions, which shall be published and made available to the

public, shall not be binding upon such commission except with respect to

the person to whom such opinion is rendered, provided, however, that a

subsequent modification by such commission of such an advisory opinion

shall operate prospectively only; and

(g) submit by the first day of March next following the year for which

such report is made to the governor and the members of the legislature

an annual report summarizing the commission's work, listing the

lobbyists and clients required to register pursuant to this article and

the expenses and compensation reported pursuant to this article and

making recommendations with respect to this article. The commission

shall make this report available free of charge to the public.

(h) provide an online ethics training course for lobbyists and clients

listed on a statement of registration submitted pursuant to section

one-e of this article. The curriculum for the course shall include, but

not be limited to, explanations and discussions of the statutes and

regulations of New York concerning ethics in the public officers law,

the election law, the legislative law, summaries of advisory opinions,

underlying purposes and principles of the relevant laws, and examples of

practical application of these laws and principles. The commission shall

prepare those methods and materials necessary to implement the

curriculum. Through calendar year two thousand twenty-six, each lobbyist

and client shall complete such training course at least once in any

three-year period during which the lobbyist or client is listed on a

statement of registration submitted pursuant to section one-e of this

article in accordance with procedures adopted by the commission.

Commencing with the two thousand twenty-seven--two thousand twenty-eight

biennial period and thereafter, each lobbyist and client shall complete

such training course at least once in each biennial period and at least

once every two years during which the lobbyist or client is listed on a

statement of registration submitted pursuant to section one-e of this

article, in accordance with procedures adopted by the commission.

(i) impose a fee for failure to complete the online ethics training

course in a timely manner as required by this section, not to exceed

twenty-five dollars for each day that the lobbyist or client is late, in

accordance with procedures adopted by the commission.

§ 1-e — Statement of registration Cited in 2 cases

Statement of registration. (a) (1) Every lobbyist shall

annually file with the commission, on forms provided by the commission,

a statement of registration for each calendar year; provided, however,

that the filing of such statement of registration shall not be required

of any lobbyist who (i) in any year does not expend, incur or receive an

amount in excess of two thousand dollars for years prior to two thousand

six and in excess of five thousand dollars in the year two thousand six

and the years thereafter of reportable compensation and expenses, as

provided in paragraph five of subdivision (b) of section one-h of this

article, for the purposes of lobbying or (ii) is an officer, director,

trustee or employee of any public corporation, when acting in such

official capacity; provided however, that nothing in this section shall

be construed to relieve any public corporation of the obligation to file

such statements and reports as required by this article. The amounts

expended, incurred, or received of reportable compensation and expenses

for lobbying activities shall be computed cumulatively for all lobbying

activities when determining whether the thresholds set forth in this

section have been met.

(2) (i) Through calendar year two thousand three, such filing shall be

completed on or before January first by those persons who have been

retained, employed or designated as lobbyist on or before December

fifteenth who reasonably anticipate that in the coming year they will

expend, incur or receive combined reportable compensation and expenses

in an amount in excess of two thousand dollars; for those lobbyists

retained, employed or designated after December fifteenth, and for those

lobbyists who subsequent to their retainer, employment or designation

reasonably anticipate combined reportable compensation and expenses in

excess of such amount, such filing must be completed within fifteen days

thereafter, but in no event later than ten days after the actual

incurring or receiving of such reportable compensation and expenses.

(ii) For calendar year two thousand four, such filings shall be

completed on or before January first by those persons who have been

retained, employed or designated as lobbyist on or before December

fifteenth, two thousand three who reasonably anticipate that in the

coming year they will expend, incur or receive combined reportable

compensation and expenses in an amount in excess of two thousand

dollars; for those lobbyists retained, employed or designated after

December fifteenth, two thousand three, and for those lobbyists who

subsequent to their retainer, employment or designation reasonably

anticipate combined reportable compensation and expenses in excess of

such amount, such filing must be completed within fifteen days

thereafter, but in no event later than ten days after the actual

incurring or receiving of such reportable compensation and expenses.

(3) Commencing calendar year two thousand five and thereafter every

lobbyist shall biennially file with the commission, on forms provided by

the commission, a statement of registration for each biennial period

beginning with the first year of the biennial cycle commencing calendar

year two thousand five and thereafter; provided, however, that the

biennial filing of such statement of registration shall not be required

of any lobbyist who (i) in any year prior to calendar year two thousand

six does not expend, incur or receive an amount in excess of two

thousand dollars of reportable compensation and expenses, as provided in

paragraph five of subdivision (b) of section one-h of this article, for

the purposes of lobbying and commencing with calendar year two thousand

six does not expend, incur or receive an amount in excess of five

thousand dollars of reportable compensation, as provided in paragraph

five of subdivision (b) of section one-h of this article for the

purposes of lobbying or (ii) is an officer, director, trustee or

employee of any public corporation, when acting in such official

capacity; provided however, that nothing in this section shall be

construed to relieve any public corporation of the obligation to file

such statements and reports as required by this article.

(4) Such biennial filings shall be completed on or before January

first of the first year of a biennial cycle commencing in calendar year

two thousand five and thereafter, by those persons who have been

retained, employed or designated as lobbyist on or before December

fifteenth of the previous calendar year and who reasonably anticipate

that in the coming year they will expend, incur or receive combined

reportable compensation and expenses in an amount in excess of two

thousand dollars in years prior to calendar year two thousand six and

five thousand dollars commencing in two thousand six; for those

lobbyists retained, employed or designated after the previous December

fifteenth, and for those lobbyists who subsequent to their retainer,

employment or designation reasonably anticipate combined reportable

compensation and expenses in excess of such amount, such filing must be

completed within fifteen days thereafter, but in no event later than ten

days after the actual incurring or receiving of such reportable

compensation and expenses.

(b) (i) Such statements of registration shall be kept on file for a

period of three years for those filing periods where annual statements

are required, and shall be open to public inspection during such period;

(ii) Biennial statements of registration shall be kept on file for a

period of three biennial filing periods where biennial statements are

required, and shall be open to public inspection during such period.

(1) the name, address and telephone number of the lobbyist, and if the

lobbyist is an organization the names, addresses and telephone numbers

of any officer or employee of such lobbyist who engages in any lobbying

activities or who is employed in an organization's division that engages

in lobbying activities of the organization;

(2) the name, address and telephone number of the client by whom or on

whose behalf the lobbyist is retained, employed or designated;

(3) if such lobbyist is retained or employed pursuant to a written

agreement of retainer or employment, a copy of such shall also be

attached and if such retainer or employment is oral, a statement of the

substance thereof; such written retainer, or if it is oral, a statement

of the substance thereof, and any amendment thereto, shall be retained

for a period of three years;

(4) a written authorization from the client by whom the lobbyist is

authorized to lobby, unless such lobbyist has filed a written agreement

of retainer or employment pursuant to paragraph three of this

subdivision;

(5) the following information on which the lobbyist expects to lobby:

(i) a description of the general subject or subjects, (ii) the

legislative bill numbers of any bills, (iii) the numbers or subject

matter (if there are no numbers) of gubernatorial executive orders or

executive orders issued by the chief executive officer of a

municipality, (iv) the subject matter of and tribes involved in

tribal-state compacts, memoranda of understanding, or any other

state-tribal agreements and any state actions related to class III

gaming as provided in 25 U.S.C. § 2701, (v) the rule, regulation, and

ratemaking numbers of any rules, regulations, rates, or municipal

ordinances and resolutions, or proposed rules, regulations, or rates, or

municipal ordinances and resolutions, and (vi) the titles and any

identifying numbers of any procurement contracts and other documents

disseminated by a state agency, either house of the state legislature,

the unified court system, municipal agency or local legislative body in

connection with a governmental procurement;

(6) the name of the person, organization, or legislative body before

which the lobbyist is lobbying or expects to lobby;

(7) if the lobbyist is retained, employed or designated by more than

one client, a separate statement of registration shall be required for

each such client.

(8) (i) the name and public office address of any statewide elected

official, state officer or employee, member of the legislature or

legislative employee and entity with whom the lobbyist has a reportable

business relationship;

(ii) a description of the general subject or subjects of the

transactions between the lobbyist or lobbyists and the statewide elected

official, state officer or employee, member of the legislature or

legislative employee and entity; and

(iii) the compensation, including expenses, to be paid and paid by

virtue of the business relationship.

(d) Any amendment to the information filed by the lobbyist in the

original statement of registration shall be submitted to the commission

on forms supplied by the commission within ten days after such

amendment, however, this shall not require the lobbyist to amend the

entire registration form.

(e) (i) The first statement of registration filed annually by each

lobbyist for calendar years through two thousand three shall be

accompanied by a registration fee of fifty dollars except that no

registration fee shall be required of a public corporation. A fee of

fifty dollars shall be required for any subsequent statement of

registration filed by a lobbyist during the same calendar year; (ii) The

first statement of registration filed annually by each lobbyist for

calendar year two thousand four shall be accompanied by a registration

fee of one hundred dollars except that no registration fee shall be

required from any lobbyist who in any year does not expend, incur or

receive an amount in excess of five thousand dollars of reportable

compensation and expenses, as provided in paragraph five of subdivision

(b) of section one-h of this article, for the purposes of lobbying or of

a public corporation. A fee of one hundred dollars shall be required for

any subsequent statement of registration filed by a lobbyist during the

same calendar year; (iii) The first statement of registration filed

biennially by each lobbyist for the first biennial registration

requirements for calendar years two thousand five and two thousand six

through the thirty-first day of March two thousand twenty-six shall be

accompanied by a registration fee of two hundred dollars except that no

registration fee shall be required from any lobbyist who in any year

does not expend, incur or receive an amount in excess of five thousand

dollars of reportable compensation and expenses, as provided in

paragraph five of subdivision (b) of section one-h of this article, for

the purposes of lobbying or of a public corporation. A fee of two

hundred dollars shall be required for any subsequent statement of

registration filed by a lobbyist during the same biennial period through

the thirty-first day of March two thousand twenty-six; (iv) The

statement of registration filed after the due date of a biennial

registration for calendar years two thousand five and two thousand six

through the thirty-first day of March two thousand twenty-six shall be

accompanied by a registration fee that is prorated to one hundred

dollars for any such registration filed after January first of the

second calendar year covered by the biennial reporting requirement; (v)

Beginning with the first statement of registration filed by each

lobbyist on or after the first day of April two thousand twenty-six and

thereafter, there shall be an annual registration fee of two hundred and

fifty dollars for each calendar year in which such registration remains

in effect, except that no registration fee shall be required from any

lobbyist who in any year does not expend, incur or receive an amount in

excess of five thousand dollars of reportable compensation and expenses,

as provided in paragraph five of subdivision (b) of section one-h of

this article, for the purposes of lobbying or of a public corporation.

An annual registration fee of two hundred fifty dollars shall be

required for any subsequent statement of registration filed by a

lobbyist during the same biennial period and for each calendar year in

which such registration remains in effect; (vi) In addition to the fees

authorized by this section, the commission may impose a fee for late

filing of a registration statement required by this section not to

exceed twenty-five dollars for each day that the statement required to

be filed is late, except that if the lobbyist making a late filing has

not previously been required by statute to file such a statement, the

fee for late filing shall not exceed ten dollars for each day that the

statement required to be filed is late.

§ 1-f — Monthly registration docket

Monthly registration docket. It shall be the duty of the

commission to compile a monthly docket of statements of registration

containing all information required by section one-e of this article.

Each such monthly docket shall contain all statements of registration

filed during such month and all amendments to previously filed

statements of registration. Copies shall be made available for public

inspection.

§ 1-g — Termination of retainer, employment or designation

Termination of retainer, employment or designation. Upon the

termination of a lobbyist's retainer, employment or designation, such

lobbyist and the client on whose behalf such service has been rendered

shall both give written notice to the commission within thirty days

after the lobbyist ceases the activity that required such lobbyist to

file a statement of registration; however, such lobbyist shall

nevertheless comply with the bi-monthly reporting requirements up to the

date such activity has ceased as required by this article and both such

parties shall each file the semi-annual report required by section one-j

of this article. The commission shall enter notice of such termination

in the appropriate monthly registration docket required by section one-f

of this article.

§ 1-h — Bi-monthly reports of certain lobbyists Cited in 1 case

Bi-monthly reports of certain lobbyists. (a) Any lobbyist

required to file a statement of registration pursuant to section one-e

of this article who in any lobbying year reasonably anticipates that

during the year such lobbyist will expend, incur or receive combined

reportable compensation and expenses in an amount in excess of five

thousand dollars, as provided in paragraph five of subdivision (b) of

this section, for the purpose of lobbying, shall file with the

commission a bi-monthly written report, on forms supplied by the

commission, by the fifteenth day next succeeding the end of the

reporting period in which the lobbyist was first required to file a

statement of registration. Such reporting periods shall be the period of

January first to the last day of February, March first to April

thirtieth, May first to June thirtieth, July first to August

thirty-first, September first to October thirty-first and November first

to December thirty-first.

(b) Such bi-monthly report shall contain:

(1) the name, address and telephone number of the lobbyist;

(2) the name, address and telephone number of the client by whom or on

whose behalf the lobbyist is retained, employed or designated;

(3) the following information on which the lobbyist has lobbied: (i) a

description of the general subject or subjects, (ii) the legislative

bill numbers of any bills, (iii) the numbers or subject matter (if there

are no numbers) of gubernatorial executive orders or executive orders

issued by the chief executive officer of a municipality, (iv) the

subject matter of and tribes involved in tribal-state compacts,

memoranda of understanding, or any other state-tribal agreements and any

state actions related to class III gaming as provided in 25 U.S.C. §

2701, (v) the rule, regulation, and ratemaking or municipal ordinance or

resolution numbers of any rules, regulations, or rates or ordinance or

proposed rules, regulations, or rates or municipal ordinances or

resolutions, and (vi) the titles and any identifying numbers of any

procurement contracts and other documents disseminated by a state

agency, either house of the state legislature, the unified court system,

municipal agency or local legislative body in connection with a

governmental procurement;

(4) the name of the person, organization, or legislative body before

which the lobbyist has lobbied;

(5) (i) the compensation paid or owed to the lobbyist, and any

expenses expended, received or incurred by the lobbyist for the purpose

of lobbying.

(ii) expenses required to be reported pursuant to subparagraph (i) of

this paragraph shall be listed in the aggregate if seventy-five dollars

or less and if more than seventy-five dollars such expenses shall be

detailed as to amount, to whom paid, and for what purpose; and where

such expense is more than seventy-five dollars on behalf of any one

person, the name of such person shall be listed.

(iii) for the purposes of this paragraph, expenses shall not include:

(A) personal sustenance, lodging and travel disbursements of such

lobbyist;

(B) expenses, not in excess of five hundred dollars in any one

calendar year, directly incurred for the printing or other means of

reproduction or mailing of letters, memoranda or other written

communications.

(iv) expenses paid or incurred for salaries other than that of the

lobbyist shall be listed in the aggregate.

(v) expenses of more than fifty dollars shall be paid by check or

substantiated by receipts and such checks and receipts shall be kept on

file by the lobbyist for a period of three years.

commission.

(2) Such bi-monthly reports shall be kept on file for three years and

shall be open to public inspection during such time.

(3) In addition to the filing fees authorized by this article, the

commission may impose a fee for late filing of a bi-monthly report

required by this section not to exceed twenty-five dollars for each day

that the report required to be filed is late, except that if the

lobbyist making a late filing has not previously been required by

statute to file such a report, the fee for late filing shall not exceed

ten dollars for each day that the report required to be filed is late.

(4) Any lobbyist registered pursuant to section one-e of this article

whose lobbying activity is performed on its own behalf and not pursuant

to retention by a client:

(i) that has spent over fifteen thousand dollars in the aggregate for

reportable compensation and expenses for lobbying, either during the

calendar year, or during the twelve-month period, prior to the date of

this bi-monthly report, and

(ii) at least three percent of whose total expenditures during the

same period were devoted to lobbying in New York shall report to the

commission the names of each source of funding that has contributed over

two thousand five hundred dollars from a single source that were used to

fund the lobbying activities reported and the amount of each

contribution received from each identified source of funding; provided,

however, that amounts received from each identified source of funding

shall not be required to be disclosed if such amounts constitute

membership dues, fees, or assessments charged by the reporting entity to

enable an individual or entity to be a member of the reporting entity.

This disclosure shall not require disclosure of the sources of funding

whose disclosure, in the determination of the commission based upon a

review of the relevant facts presented by the reporting lobbyist, may

cause harm, threats, harassment, or reprisals to the source or to

individuals or property affiliated with the source. The reporting

lobbyist may appeal the commission's determination and such appeal shall

be heard by a judicial hearing officer who is independent and not

affiliated with or employed by the commission, pursuant to regulations

promulgated by the commission. The reporting lobbyist shall not be

required to disclose the sources of funding that are the subject of such

appeal pending final judgment on appeal.

The disclosure shall not apply to:

(i) any corporation registered pursuant to article seven-A of the

executive law that is qualified as an exempt organization by the United

States Department of the Treasury under I.R.C. § 501(c)(3); provided,

however, that this disclosure shall apply to any in-kind donations of

staff, staff time, personnel, offices, office supplies, financial

support of any kind or any other resources to any corporation or entity

that is qualified as an exempt organization by the United States

Department of the Treasury under I.R.C. 501(c)(4) when such in-kind

donations are over two thousand five hundred dollars and from any

corporation or entity that is qualified as an exempt organization by the

United States Department of the Treasury under I.R.C. 501(c)(3). In such

case the entity receiving such in-kind donations shall disclose the fair

market value and identify the I.R.C. 501(c)(3) entity providing such

in-kind donations and give notice within a reasonable time to the

501(c)(3) entity that it shall be required to file a report with the

department of law pursuant to section one hundred seventy-two-e of the

executive law;

(ii) any corporation registered pursuant to article seven-A of the

executive law that is qualified as an exempt organization by the United

States Department of the Treasury under I.R.C. § 501(c)(4) and whose

primary activities concern any area of public concern determined by the

commission to create a substantial likelihood that application of this

disclosure requirement would lead to harm, threats, harassment, or

reprisals to a source of funding or to individuals or property

affiliated with such source, including but not limited to the area of

civil rights and civil liberties and any other area of public concern

determined pursuant to regulations promulgated by the commission to form

a proper basis for exemption on this basis from this disclosure

requirement; or

(iii) any governmental entity.

The commission on ethics and lobbying in government shall promulgate

regulations to implement these requirements.

§ 1-i — Bi-monthly reports of public corporations

Bi-monthly reports of public corporations. (a) Every public

corporation required to file a statement of registration pursuant to

section one-e of this article which in any lobbying year reasonably

anticipates that during the year it will expend or incur expenses in an

amount in excess of five thousand dollars, as provided in paragraph six

of subdivision (b) of this section, for the purpose of lobbying shall

file with the commission a bi-monthly written report, on forms supplied

by the commission, by the fifteenth day next succeeding the end of the

reporting period in which the public corporation was first required to

file a statement of registration. Such reporting periods shall be the

period of January first to the last day of February, March first to

April thirtieth, May first to June thirtieth, July first to August

thirty-first, September first to October thirty-first and November first

to December thirty-first.

(b) Such bi-monthly report shall contain:

(1) the name, address and telephone number of such public corporation;

(2) the name, address and telephone number of each lobbyist retained,

employed or designated by such public corporation;

(3) copies of any amendments relating to a retainer, employment or

designation, as filed in the original statement of registration pursuant

to section one-e of this article;

(4) a description of the general subject or subjects, the legislative

bill numbers of any bills and the rule, regulation, and ratemaking

numbers of any rules, regulations, or rates or proposed rules,

regulations, or rates on which the lobbyist has lobbied, and on which

such public corporation has lobbied;

(5) the name of the person, organization or legislative body before

which the public corporation, or its lobbyists, has lobbied;

(6) (i) the compensation paid or owed to the lobbyist and any expenses

expended, received or incurred by the lobbyist for the purpose of

lobbying; provided, however, any such expenses paid by such public

corporation to a lobbyist for the purpose of lobbying on behalf of such

public corporation shall be itemized in the same manner as if such

public corporation had directly paid or incurred such expenses.

(ii) any expenses required to be reported pursuant to subparagraph (i)

of this paragraph shall be listed in the aggregate if seventy-five

dollars or less and if more than seventy-five dollars such expenses

shall be detailed as to amount, to whom paid, and for what purpose; and

where such expenses are more than seventy-five dollars on behalf of any

one person, the name of such person shall be listed.

(iii) for the purposes of this paragraph, expenses shall not include:

(A) personal sustenance, lodging and travel disbursements of each such

lobbyist;

(B) expenses, not in excess of five hundred dollars in any one

calendar year, directly incurred for the printing or other means of

reproduction or mailing of letters, memoranda or other written

communications.

(iv) expenses paid or incurred for compensation other than that of

each lobbyist shall be listed in the aggregate.

(v) expenses of more than fifty dollars must be paid by check or

substantiated by receipts and such checks and receipts shall be kept on

file by such public corporation for a period of three years.

commission.

(2) Such bi-monthly reports shall be kept on file for a period of

three years and shall be open to public inspection during such period.

(3) In addition to the filing fees authorized by this article, the

commission may impose a fee for late filing of a bi-monthly report

required by this section not to exceed twenty-five dollars for each day

that the report required to be filed is late, except that if the public

corporation making a late filing has not previously been required by

statute to file such a report, the fee for late filing shall not exceed

ten dollars for each day that the report required to be filed is late.

§ 1-j — Semi-annual reports

Semi-annual reports. (a) Semi-annual reports shall be filed by

any client retaining, employing or designating a lobbyist or lobbyists,

whether or not any such lobbyist was required to file a bi-monthly

report, if such client reasonably anticipates that during the year such

client will expend or incur an amount in excess of five thousand dollars

of combined reportable compensation and expenses, as provided in

paragraph five of subdivision (c) of this section, for the purposes of

lobbying.

(b) Such report shall be filed with the commission, on forms supplied

by the commission, by the fifteenth day of July of the year and by the

fifteenth day of January next following the year for which such report

is made and shall contain:

(1) the name, address and telephone number of the client;

(2) the name, address and telephone number of each lobbyist retained,

employed or designated by such client;

(3) the following information on which each lobbyist retained,

employed or designated by such client has lobbied, and on which such

client has lobbied: (i) a description of the general subject or

subjects, (ii) the legislative bill numbers of any bills, (iii) the

numbers or subject matter (if there are no numbers) of gubernatorial

executive orders or executive orders issued by the chief executive

officer of a municipality, (iv) the subject matter of and tribes

involved in tribal-state compacts, memoranda of understanding, or any

other state-tribal agreements and any state actions related to class III

gaming as provided in 25 U.S.C. 2701, (v) the rule, regulation, and

ratemaking or municipal resolution or ordinance numbers of any rules,

regulations, or rates, or municipal resolutions or ordinances or

proposed rules, regulations, or rates, or municipal ordinances or

resolutions and (vi) the titles and any identifying numbers of any

procurement contracts and other documents disseminated by a state

agency, either house of the state legislature, the unified court system,

municipal agency or local legislative body in connection with a

governmental procurement;

(4) the name of the person, organization, or legislative body before

which such client has lobbied;

(5) (i) the compensation paid or owed to each such lobbyist, and any

other expenses paid or incurred by such client for the purpose of

lobbying.

(ii) any expenses required to be reported pursuant to subparagraph (i)

of this paragraph shall be listed in the aggregate if seventy-five

dollars or less and if more than seventy-five dollars such expenses

shall be detailed as to amount, to whom paid, and for what purpose; and

where such expenses are more than seventy-five dollars on behalf of any

one person, the name of such person shall be listed.

(iii) for the purposes of this paragraph, expenses shall not include:

(A) personal sustenance, lodging and travel disbursements of such

lobbyist and client;

(B) expenses, not in excess of five hundred dollars, directly incurred

for the printing or other means of reproduction or mailing of letters,

memoranda or other written communications.

(iv) expenses paid or incurred for salaries other than that of the

lobbyist shall be listed in the aggregate.

(v) expenses of more than fifty dollars must be paid by check or

substantiated by receipts and such checks and receipts shall be kept on

file by such client for a period of three years.

(6) (i) the name and public office address of any statewide elected

official, state officer or employee, member of the legislature or

legislative employee and entity with whom the client of a lobbyist has a

reportable business relationship;

(ii) a description of the general subject or subjects of the

transactions between the client of a lobbyist and the statewide elected

official, state officer or employee, member of the legislature or

legislative employee and entity; and

(iii) the compensation, including expenses, to be paid and paid by

virtue of the business relationship.

commission.

(2) Such semi-annual reports shall be kept on file for a period of

three years and shall be open to public inspection during such period.

(3) Each semi-annual report filed by a client pursuant to this section

shall be accompanied by a filing fee of fifty dollars. In addition to

the filing fees authorized by this article, the commission may impose a

fee for late filing of a semi-annual report required by this section not

to exceed twenty-five dollars for each day that the report required to

be filed is late, except that if the client making a late filing has not

previously been required by statute to file an annual or semi-annual

report, the fee for late filing shall not exceed ten dollars for each

day that the report required to be filed is late.

(4) Any client of a lobbyist that is required to file a semi-annual

report and:

(i) that has spent over fifteen thousand dollars in the aggregate for

reportable compensation and expenses for lobbying, either during the

calendar year, or during the twelve-month period, prior to the date of

this semi-annual report, and