2023 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  commission  on ethics and lobbying in government shall promulgate
regulations to implement these requirements.