N.Y. Comp. Codes R. & Regs. tit. 19 § 943.10

Current through Register Vol. 46, No. 51, December 18, 2024

Section 943.10 - [Effective until 1/1/2025] Lobbyist Statement of Registration

(a) Purpose. The purpose of the Statement of Registration is to memorialize the engagement of the Lobbyist by the Client, and should reflect the then-current terms of the engagement at any point in time.

(b) Reporting Threshold.

(1) Pursuant to section 1-e of the Lobbying Act, every Lobbyist that incurs, expends, or receives or reasonably anticipates incurring, expending, or receiving more than $5,000 in combined Reportable Compensation and Expenses for Lobbying Activity on a State and/or local level, in any calendar year during the biennial period, must file a biennial Statement of Registration with the Commission.

(2) For purposes of determining whether the thresholds have been met, the amounts incurred, expended or received shall be computed cumulatively for all Lobbying Activities.

(c) For purposes of this section, "biennial" shall mean every two-year period commencing with the January 1, 2005 - December 31, 2006 period, and so on thereafter.

(d) Once a Lobbyist meets or anticipates meeting the cumulative $5,000 threshold, a Lobbyist must file a Statement of Registration for every Client for whom the Lobbyist lobbies, regardless of Compensation or Expenses paid by each Client individually.

(1) A Statement of Registration must be filed for each Lobbyist/Client relationship emanating from the same lobbying agreement or authorization to lobby for the same purpose.

(e) Due Dates. All Statements of Registration must be filed on a biennial basis by the following deadlines ("Due Dates"):

(1) January 1st of the first year of the biennial period if:

(i) the Lobbyist is providing services under an agreement that is in effect both th before December 15 of the year immediately preceding the first year of a biennial registration period and after January 1st of the first year of a biennial registration period; and

(ii) the Lobbyist reasonably anticipates combined Reportable Compensation and Expenses in excess of $5,000 for Lobbying Activities to be undertaken in the coming year.

(2) Within 15 days of being retained, employed, or designated to Lobby, if:

(i) the Lobbyist has been retained, employed, or designated to Lobby after December 15^th of the year preceding the first year of the biennial period, for activity in either year of the biennial period.

(a) Such Statement of Registration should be filed within 15 days of the date on which the Lobbyist has agreed to - or been authorized to - begin Lobbying Activity.

(b) The Commission considers such date to be the start date provided in the Lobbying Agreement or authorization, not the date of execution.

(c) No later than 10 days after exceeding the $5,000 threshold, if the Lobbyist actually incurs or receives combined Compensation and Expenses in excess of $5,000 before filing a Statement of Registration.

(f) A Statement of Registration is not deemed to be received unless and until the Statement is complete and includes the filing fee and all the required elements set forth in subsection 943.10(j).

(g)

(1) Any submitted Statement of Registration that is not timely filed will be subject to the late fee schedule set forth below:

DAYS LATE	ACTION
	First-Time Filer	All Other Filers
1 - 7 days	Grace Period/No Late Fee
8 - 14 days	$75 flat late fee	$150 flat late fee
15 - 30 days	$150 flat late fee	$300 flat late fee
31 - 90 days	$300 flat late fee	$500 flat late fee
91 - 180 days	$500 flat late fee	$1,000 flat late fee
181 days and more	$1,000 flat late fee	$2,000 flat late fee

A Lobbyist is considered a First-Time Filer only when the Lobbyist is required to file a Statement of Registration for the first time. First-Time Filer status applies to the first Statement of Registration received by the Commission from such Lobbyist and any other Statements received from such Lobbyist on that same day.

(2) Un-Executed Lobbying Agreement Form. A lobbyist who is prepared to register, but is awaiting the return of an executed lobbying agreement back from a Client may avoid the statutory late fees, provided the following criteria are met:

(i) A Statement of Registration or amendment is otherwise filed completely and timely with:

(a) a copy of the un-executed Agreement that was provided to the Client for signature; and

(b) a completed Un-Executed Lobbying Agreement form, as provided by the Commission;

(ii) No lobbying occurs and no compensation is received or billed until the executed Agreement is provided to the Commission;

(iii) The Agreement is executed within 30 days of the original submission of the Statement of Registration or amendment.

(a) An amended Statement of Registration that includes the executed Agreement must be submitted within 10 days of the execution date; and

(iv) The lobbyist has not previously received an extension from the Commission related to that particular Statement of Registration or amendment.

(h) If the Commission determines that the Lobbyist had access to the information that was not filed, and knowingly and willfully failed to include the information, the Lobbyist may be subject to a civil penalty not to exceed $25,000 for a failure to timely file a complete and accurate statement.

(i) Filing Fee.

(1) A $200 filing fee (payable in U.S. dollars) must be submitted with each Statement of Registration for the biennial period that the Lobbyist reasonably anticipates exceeding $5,000 in combined Reportable Compensation and Expenses for any year in the biennial period. A Statement of Registration submitted without such a filing fee shall be deemed incomplete.

(2) No fee is required if the Lobbyist will not exceed $5,000 in such Compensation and Expenses for that Client, however, a fee is required if the Lobbyist later exceeds the $5,000 threshold.

(3) Any biennial Statement of Registration submitted to cover Lobbying conducted only during the second year of the biennial period shall be accompanied by a prorated registration fee of $100.

(4) Statement of Registrations that are filed late and cover either the entire biennial period or a portion of both years within the biennial period shall not be prorated.

(5) No filing fee is required of any Public Corporations required to file a biennial public corporation registration statement.

(6) Filings fees are non-refundable.

(j) Required Contents of a Statement of Registration.

Every Statement of Registration filed shall include the following:

(1) An executed Lobbying Agreement form, as provided by the Commission, or a copy of a signed, written Lobbying agreement or written authorization.

Note: When a Lobbying contract or agreement exists, a Lobbyist may either submit such contract/agreement with a Statement of Registration or use the Lobbying Agreement form provided by the Commission; in such a case, however, a Lobbyist may not submit a written authorization in lieu of the contract/agreement.

(i) Copies of Lobbying agreements or written authorizations must contain the following:

(a) A start date, which is the first date the Lobbyist has agreed to or been authorized to Lobby;

(b) Signatures of the Responsible Party for the Contractual Client and Lobbyist, or another person with the authority to enter the Lobbyist into a binding contract;

(c) The date(s) of execution;

(d) A statement indicating that other services will be provided in addition to Lobbying, if applicable;

(e) A termination date, which is the last date the Lobbyist has agreed to or been authorized to Lobby;

(1) in the case of a month-to-month agreement, the termination date shall be presumed to be the end of the current biennial period, unless otherwise specified; and

(f) The Compensation to be paid specifically for Lobbying services, including pay frequency and/or rate of pay.

(1) If the Lobbyist is retained for Lobbying, the actual Compensation must be reported.

(2) If the retainer is based on a daily or hourly rate, the fee per day or per hour must be reported.

(3) If multiple parties with multiple hourly rates will be covered by the retainer, all rates shall be disclosed.

(4) If the Lobbyist is an Employed Lobbyist, as defined in Part 943.3(h), the Lobbyist's prorated salary for Lobbying Activity must be reported.

(ii) If the Lobbyist is retained under terms of an oral agreement, a written summary of such terms may be submitted with a Statement of Registration. In addition to the requirements listed in subsection 943.10(j)(1) such authorization must be signed by Responsible Party.

(2) The name of the Principal Lobbyist.

(i) If an individual Lobbyist is an employee or partner of an organization or firm, the organization or firm should always be identified as the Principal Lobbyist unless the individual has been retained in his individual capacity.

(ii) The Principal Lobbyist should only be listed as an individual if the Lobbyist conducts business in his own name.

(iii) A Public Corporation that lobbies on its own behalf is the Principal Lobbyist.

(3) The name of all Individual Lobbyists to perform lobbying services on behalf of the Client; provided, however:

(i) in the case of a Lobbying Organization that incurs no Compensation for Individual Lobbyists and only Expenses, no Individual Lobbyists need be identified on the Statement of Registration;

(ii) in the case of a Statement of Registration by a Public Corporation, in addition to any Individual Lobbyists, list any officer or employee of such Public Corporation who engages in any Lobbying Activities.

(iii) an independent contractor may only be identified as an Employed Lobbyist if the person meets the criteria established in subsection 943.3(h);

(4) The subject matter on which the Lobbyist expects to Lobby;

(5) The target(s) of the expected Lobbying, including the person, organization, entity, or legislative body before which the Lobbyist intends to Lobby;

(6) The government activity on which the Lobbying is expected to occur, which shall include the following, as known at the time of filing:

(i) bill, rule, regulation, rate number or brief description relative to the introduction or intended introduction of legislation or a resolution;

(ii) the title and identifying numbers of Procurement Contracts/documents or a general description of the Procurement;

(iii) the number or subject matter of an Executive Order of the Governor or Municipality; and

(iv) the subject matter of and tribes involved in tribal-state compacts;

(7) Client information for all Contractual and Beneficial Clients, which shall include the Clients' names, business addresses, phone and email contacts, the nature of business, and the Chief Administrative Officers' names and titles.

(i) if the Registration relates to Lobbying on behalf of a Structured Coalition or a Member of an Unstructured Coalition, the Client information for Contractual and Beneficial Clients shall be governed by the rules set forth in Section 943.9(h)(3)(iv) and (v).

(8) The level of government expected to be lobbied which shall indicate whether the expected Lobbying will be State lobbying, local Lobbying or both;

(9) The identities of any Co-Lobbyists or Sub-Lobbyists, as described in subsection 943.9(h), if applicable; and

(10) Any Reportable Business Relationships in accordance with and as defined in section 943.14.

(k) Amendments to Lobbyist Statement of Registration.

(1) Except as provided in subsection 943.10(k)(3), any change - permanent or temporary - to the terms of an agreement or authorization for Lobbying requires an amended Lobbyist Statement of Registration form, which must be completed and filed with the Commission within 10 days of such change. Such amendment must include:

(i) The name of the Lobbyist and Client;

(ii) The new or changed information; and

(iii) The signature of the Responsible Party or designee, if applicable.

(2) A Lobbyist must, within 10 days of the change, amend a Statement of Registration to reflect any changes to the:

(i) Individual Lobbyists authorized to Lobby for the Client;

(ii) Level of Lobbying (State vs. local);

(iii) Terms of Compensation; or

(iv) Engagement start and termination dates, including when the parties wish to continue the lobbying arrangement beyond the termination date. Failure to make such amendments are subject to the imposition of late fees as set forth in subsection 943.10(g).

(3) Changes to the subject matter or targets of Lobbying do not require an amended Statement of Registration.

(4) No filing fee is required for a Registration Amendment provided the original Statement of Registration filing fee has already been paid for the applicable biennial period.

(5)After the termination of the Agreement, any decision by a Lobbyist to waive, writedown, or otherwise reduce the prior Compensation and Expenses owed to the Lobbyist by the Client does not require an Amended Statement of Registration.

(l) Termination of Lobbying Agreement/Authorization.

(1) If a Lobbying agreement or authorization terminates on the date specified in the agreement or authorization, then neither the Lobbyist or the Client must notify the Commission in writing of such termination. Likewise, if the termination takes effect at the end of the biennial registration cycle, written notification of termination is not required. However, if the agreement or authorization is terminated before the termination date, both the Lobbyist and the Client must notify the Commission in writing within 30 days after the Lobbyist ceases Lobbying Activity.

(m) Withdrawals.

(1) A Lobbyist may request that a Statement of Registration be withdrawn, provided the request is made consistent with and meets the criteria set forth in procedures implemented by the Commission.

(2) A Statement of Registration that has been withdrawn pursuant to this subpart is not considered information provided by a Lobbyist under Section 1-s of the Lobbying Act.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 943.10

Adopted New York State Register May 9, 2018/Volume XL, Issue 19, eff. 1/1/2019

Amended New York State Register February 10, 2021/Volume XLIII, Issue 06, eff. 2/10/2021