NY Legis L § 1-J (2021)
2021 New York Laws LEG - Legislative Article 1-A - Lobbying Act 1-J - Semi-Annual Reports.

§  1-j. 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.  (c) (1) All such semi-annual reports shall be subject to review by the 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  (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  client  or 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  joint commission on public ethics shall promulgate regulations to implement these requirements.