Lobbyists

Who must file Bi-monthly Reports?

Any Principal Lobbyist required to file a Statement of Registration for a Client in a biennial period must also file Bi-monthly Reports, regardless of Compensation, Expenses, or Lobbying Activity.

Bi-monthly Report due dates

The first Bi-monthly Report is due by the 15th day of the month following the end of the relevant reporting period.  There are twelve reporting periods in every two-year registration cycle.

PLEASE NOTE: Timely reports are those that are received by the Commission's office on or before the due date. If a report is due on a weekend or a State holiday, the report must be received in the Commission's office on the first business day following the weekend or State holiday. The Commission does not consider the postmarked date or declaration signature date as the date of receipt for Filings.

A person or organization who engages in Lobbying Activity and includes Retained, Employed, and Designated Lobbyists.  While Lobbyist includes officers, directors, trustees, employees, counsels, or agents of colleges, as defined by section two of the Education Law, the term does not include any other officer, director, trustee, employee, counsel or agent of the State, or any Municipality or subdivision thereof when discharging their official duties.

Please see "Filing Information and Requirements" section for information related to the following topics:

• Forms
• Filing Fees
• Filing Online 
• Records Retention Requirements
• Late Fees
• Penalties

Is registration required in New York State?

The Lobbying Act requires public disclosure of the identities, activities, and expenditures of Lobbyists. Every Lobbyist that reasonably anticipates incurring, expending, or receiving more than $5,000 in combined Reportable Compensation and Expenses for Lobbying Activity on a State and/or local level, in any calendar year during the biennial period is required to register and report with the Commission, regardless of when the threshold is reached during the biennial period.

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.

Please note:   Individuals identified as Lobbyists must complete regular ethics training at least once in any three-year period during which they are registered as a Lobbyist with JCOPE. 

When is a Lobbyist required to register?

• By January 1 of the first year of the biennial period if the Lobbyist is providing services under an agreement that is in effect both before December 15 of the year immediately preceding the first year of a biennial registration period and after January 1 of the first year of a biennial registration period, and the Lobbyist reasonably anticipates combined Reportable Compensation and Expenses in excess of $5,000 for Lobbying Activities to be undertaken in the coming year. The Lobbyist must also ensure they have registered for all corresponding biennial registration periods.

• Lobbyists retained, employed, or designated to Lobby after December 15 of the year preceding the first year of the biennial period, for activity in either year of the biennial period, are required to submit a biennial Statement of Registration within 15 days of the date on which the Lobbyist has agreed to – or been authorized to – begin Lobbying Activity.

• If a Lobbyist actually expends, incurs or receives more than $5,000 of combined reportable compensation and expenses, a Statement of Registration must be submitted no later than 10 days after exceeding the threshold.

Please note:  Timely reports are those that are received by the Commission's office on or before the due date.  If a report is due on a weekend or a State holiday, the report must be received in the Commission's office on the first business day following the weekend or State holiday.  The Commission does not consider the postmarked date or declaration signature date as the date of receipt for filings.

Is there a Registration filing fee?

Yes.  A $200 non-refundable registration fee (payable in US dollars) is required to be submitted with each biennial Lobbyist Statement of Registration for each Client for whom the Lobbyist reasonably anticipates exceeding $5,000 in combined Reportable Compensation and Expenses in any calendar year within the biennial period. 

A prorated $100 non-refundable registration fee is required with each biennial Lobbyist Statement of Registration submitted after January 1 of the second calendar year of the biennial period that the Lobbyist reasonably anticipates exceeding $5,000 in combined reportable compensation and expense for that calendar year within the biennial period. 

Please note: The prorated $100 registration fee does not apply to any biennial Lobbyist Registrations that are filed late and cover the entire biennial period, or a portion of both calendar years within the biennial period.  In these instances, the $200 registration fee would be due at time of submission.

Every Registration must disclose the following information:

• the name and contact information of the Principal Lobbyist 
• if applicable, the name and contact information of Sub-Lobbyist(s) and/or Co-Lobbyist(s)
• the name(s) of each Individual Lobbyist performing lobbying services on behalf of the Client;
• the subject matter on which the Lobbyist expects to Lobby;
• the target(s) of the expected Lobbying, including the person, organization, entity, or legislative body before which the Lobbyist intends to Lobby;
• the government activity on which the Lobbying is expected to occur, which includes the following:
  • bill, rule, regulation, rate number or brief description relative to the introduction or intended introduction of legislation or a resolution;
  • the title and identifying numbers of Procurement Contracts/documents or a general description of the Procurement;
  • the number or subject matter of an Executive Order of the Governor or Municipality; and
  • the subject matter of and tribes involved in tribal-state compacts;
• the Contractual Client information, (and if applicable, the Beneficial Client information) 
• the level of government expected to be lobbied (State lobbying, local Lobbying or both);
• any Reportable Business Relationships;
• an executed Lobbying Agreement form, or a copy of a signed, written Lobbying agreement (if a contract exists) or a written authorization for the Lobbyist to lobby signed by the Client (if a contract does not exist).

Information that must be provided on a Lobbying Agreement Form/Contract/Authorization

The Lobbying Agreement Form, copies of Lobbying agreements, or written authorizations must contain the following:

• A start date, which is the first date the Lobbyist has agreed to or been authorized to Lobby;
• 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;
• The date(s) of execution;
• A statement indicating whether other services will or will not be provided in addition to Lobbying;
• A termination (end) date, which is the last date the Lobbyist has agreed to or been authorized to Lobby;
  • in the case of a month-to-month agreement, the termination (end) date shall be presumed to be the end of the current biennial period, unless otherwise specified; and
• The Compensation to be paid specifically for Lobbying services, including pay frequency and/or rate of pay.
  • If the Lobbyist is retained for Lobbying, the actual Compensation must be reported.
  • If the retainer is based on a daily or hourly rate, the fee per day or per hour must be reported.
  • If multiple parties with multiple hourly rates will be covered by the retainer, all rates shall be disclosed.
  • If the Lobbyist is a salaried employee, the Lobbyist’s prorated salary for Lobbying Activity must be reported.
• 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, and must be signed by Responsible Party.

A Statement of Registration is not deemed to be received unless and until the Statement is complete and includes the filing fee and executed Lobbying Agreement.

Agreements or written authorizations may be mailed to the following address:

NYS Joint Commission on Public Ethics
540 Broadway
Albany, New York 12207

The Lobbying Act states a NYS Lobbyist Disbursement of Public Monies Report ("DPM") must be completed by a Lobbyist when:

• the Lobbyist is otherwise already required to file a Statement of Registration with the Commission; and
• reasonably anticipates that during the calendar year they will expend, incur, or receive combined Reportable Compensation and Expenses in an amount in excess of $5,000 in connection with:
  • any attempts to influence a determination by a Public Official, or by a person or entity working in cooperation with a Public Official with respect to the solicitation, award or administration of a grant, loan, or agreement involving the Disbursement of Public Monies in excess of $15,000, other than a governmental procurement as defined in Section 1-c.

The $5,000 threshold relates only to Compensation and Expenses attributable to the activities described above, and is in addition to and separate from the similar threshold for Lobbyist Registration set forth in Section 1-e of the Lobbying Act.

Is a DPM Report still required to be filed if a registered Lobbyist does not have any DPM reportable Compensation or Expenses for the reporting period?

No.  DPM Reports are only required to be filed for Bi-monthly reporting periods during which the Lobbyist has made any Attempts to Influence a Public Official, or by a person or entity working in cooperation with a Public Official with respect to the solicitation, award or administration of a grant, loan, or agreement involving the Disbursement of Public Monies in excess of $15,000, other than a governmental procurement as defined in Section 1-c, regardless of whether the grant, loan or agreement payment is received.

What are the DPM reporting periods and when are they due?

These separate reports are required to be filed in accordance with the same schedule applicable to the filing of Bi-monthly Reports.  The first DPM Bi-monthly is due by the 15th day of the month following the end of the relevant reporting period.

DPM due dates:

DPM Reports must disclose the following information:

1. The name, address, email address, and telephone number of the Principal Lobbyist and the individuals employed by the Principal Lobbyist engaged in such Public Monies Lobbying Activities;
2. The name, address, email address, and telephone number of the Client by whom or on whose behalf the Principal Lobbyist is retained, employed or designated on whose behalf the Lobbyist has engaged in Public Monies Lobbying Activities;
3. The identities of any other parties to the Lobbying, including all Lobbyists and Clients;
4. A description of the grant, loan, or agreement involving the Disbursement of Public Monies on which the Principal Lobbyist has lobbied;
5. The name of the person, organization, or legislative body before which the Principal Lobbyist has engaged in Public Monies Lobbying Activities; and,
6. All Reportable Compensation paid or owed to the Principal Lobbyist, and any Expenses expended, received, or incurred by the Principal Lobbyist related to Public Monies Lobbying Activities.

What is required if a lobbying agreement terminates before the end of a biennial registration period?

If a lobbying agreement or authorization terminates on the date specified in the agreement or authorization, then neither the Principal Lobbyist or the Contractual Client must notify the Commission in writing of such termination.

Likewise, if the contract terms expire at the end of the biennial registration period, written notification of a termination is not required. 

However, if the agreement or authorization is terminated before the termination date, both the Principal Lobbyist and Contractual Client must notify the Commission in writing within 30 days after the Lobbyist ceases Lobbying Activity. 

In addition, both parties must still file all required reports by their statutory due dates, reporting all Lobbying Activity up to the effective date of termination.

Can an approval termination be withdrawn after submission?

Yes.  A Lobbyist may request withdrawal of a Termination in writing or by email if Lobbying Activities will resume during the biennial registration cycle.

Once the Termination is 'withdrawn', an Amended Lobbyist Statement of Registration form must be completed and filed within 10 days of the change, and include a 'new' written agreement or written authorization from the Client.

Withdrawal requests must be signed and/or submitted via email by the responsible person, designated person, or registered Lobbyist.  Determination of a withdrawal request is made at the discretion of the Commission.

NOTE:  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 for this Client.

What if an Individual Lobbyist terminates their relationship with the Principal Lobbyist?

If an Individual Lobbyist will no longer be a part of the lobbying effort, then a Termination for the Individual Lobbyist must be completed for each Registration in which the Individual Lobbyist’s name appears.  The terminated Individual Lobbyist’s name will immediately be removed from the applicable Registration upon submission in the Lobbying Application.  However, the terminated Individual Lobbyist’s name will continue to appear on any previously submitted Filings which their name had been listed on.

Please be aware if the terminated Individual Lobbyist is required to be listed on the next Bi-monthly Report, do not submit the Termination until after the Bi-monthly Report has been submitted so the Individual Lobbyist’s name will appear on the Report.

The terminated Individual Lobbyist’s name will also continue to appear on the list of Individual Lobbyists in the Organization Profile, unless a Profile Update is submitted to remove the Individual Lobbyist’s name.  Once the Individual Lobbyist's name is removed from the Profile, the name will not be available for selection on any future Filings.

However, if the Individual Lobbyist’s name remains on the list of Individual Lobbyists in the Organization Profile, their name will be available for selection on future Registrations.  The Individual Lobbyist’s name will not be available for selection on future Bi-monthlies unless a Registration Amendment is submitted and processed.

A terminated Individual Lobbyist may be re-added as an Individual Lobbyist at any time by submitting a Profile Update and a Registration Amendment (or Registration Amendments) to add the Individual Lobbyist’s name again.  However, if the Individual Lobbyist’s name was not previously removed from the Profile, only a Registration Amendment needs to be submitted to re-add the Lobbyist’s name.  Please be aware the Individual Lobbyist’s name will not populate to a future Bi-monthly Report until the Registration Amendment is processed.

RECAP – TO REMOVE INDIVIDUAL LOBBYIST:

1. Submit a Termination for each Registration in which the Individual Lobbyist’s name appears (making sure to only submit the Termination after submission of any Bi-monthly Report in which the Individual Lobbyist must be listed).
2. Submit a Profile Update to remove the Individual Lobbyist’s name.

RECAP – TO ADD BACK AN INDIVIDUAL LOBBYIST:

1. Submit a Profile Update to add the Individual Lobbyist’s name (if it had been previously removed from the Organization Profile).
2. Submit a Registration Amendment (or Amendments) to add the Individual Lobbyist’s name.

NOTE:  This may also require submission of an amended agreement/authorization.

Gifts to Public Officials

In general, you cannot offer or give a Gift to any Public Official. It is only permissible to offer or give the Gift if, under the circumstances, all of the following criteria are met:

• It is not reasonable to infer that the Gift was intended to influence the Public Official; and
• The Gift could not reasonably be expected to influence the Public Official, in the performance of his or her official duties; and
• It is not reasonable to infer that the Gift was intended as a reward for any official action on the Public Official’s part.

In addition, no Lobbyist or Client may re-direct a Gift to a third party, including a Charitable Organization. Multiple permissible Gifts given to a Public Official may also violate the Gift prohibition.

Certain items are excluded and are not considered Gifts, including:

• Food or beverage valued at $15 or less per occasion
• Gifts from family members or friends
• Promotional items with no substantial resale value
• Awards, plaques or other ceremonial items
• Meals for participants at a professional or educational program
• Complimentary attendance, including food and beverage, at a Bona Fide Charitable Event or a Bona Fide Political Event
• Complimentary attendance, including food and beverage, offered by the sponsor of a Widely Attended Event

Any Lobbyist, Public Corporation, or Client who violates this prohibition may be subject to civil penalties of up $25,000 or three times the value of the gift and/or shall be guilty of a class A misdemeanor for a first violation, and a class E felony for a second violation within five years of the first.  Any Lobbyist convicted of or pleading guilty to such a felony may be barred from engaging in lobbying for a period of one year from the date of the conviction.

For more details on Gifts, see the Commission’s regulations at 19 NYCRR Part 934. 

Public Service Announcements

Generally, a public service announcement ("PSA") is a communication that is designed to promote programs, activities, or services of nonprofit organizations or federal, state, or local governments, or imparts information generally regarded as serving the public interest.

The Commission adopted regulations to provide guidance as to what constitutes a PSA; to clarify that an appearance in a PSA does not ordinarily constitute a “gift” under the Lobbying Act or the Public Officers Law; and to place limitations on when certain individuals – referred to as “Covered Officials” – who are also Candidates may appear in PSAs.

For more details on Public Service Announcements, see the Commission’s regulations at 19 NYCRR Part 940. 

Contingent Retainers

No Client may pay and no Lobbyist may receive Compensation in which the amount or rate is contingent on the outcome or terms of any Attempt to Influence an activity listed in sections 1-c(c)(i)-(x) of the Lobbying Act. A violation of this provision can result in a civil penalty of up to $10,000 or the value of the contingent fee, as well as a Class A misdemeanor.