New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter XX - Commission on ethics and lobbying in Government › Part 938 - Source of Funding Regulations › Section 938.3 - Contribution Reporting Requirements

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Commencing with the Client Semi-Annual
				Report due on January 15, 2013, and for each Client Semi-Annual Report
				thereafter, a Client Filer is required to disclose Contributions received in
				accordance with the provisions of subdivisions (b), (c) (d), and (e) of this
				section.
(b) For the purpose of
				satisfying Legislative Law § 1-h(c)(4), a Client Filer whose lobbying
				activity is performed on its own behalf and not pursuant to retention by a
				client need only report Contribution(s) received from each Source in a Client
				Semi-Annual Report and is not additionally required to report such
				Contribution(s) on a Lobbyist Bi-Monthly Report.
(c) When a Client Filer has met the
				Expenditure Threshold during the first client semi-annual reporting period of
				the calendar year (January 1st - June 30th), the Client Filer shall aggregate
				all such Contributions, regardless of the amount, received from each Source. If
				the sum of such Contributions is more than $2,500, then a Client Filer is
				required to disclose the information in subdivision (e) of this section for
				each Contribution. If the sum of the Contributions received from each Source is
				$2,500 or less, then a Client Filer is not required to disclose any
				Contribution(s) from the Source in the Client Semi-Annual Report that covers
				the first reporting period of the calendar year.
(d) When a Client Filer has met the
				Expenditure Threshold during the second client semi-annual reporting period of
				a calendar year (July 1st - December 31st), the Client Filer uses the following
				to determine whether any Contribution(s) received from a Source shall be
				disclosed in the Client Semi-Annual Report covering the second reporting period
				of the calendar year:
(1) if during the
				previous reporting period (January 1st - June 30th), the Client Filer did not
				meet the Expenditure Threshold, then no Contribution(s) received from any
				Source during that first reporting period are to be added to Contribution(s)
				received from any Source during the second reporting period.
(2) if during the previous reporting period
				(January 1st - June 30th), the Client Filer did not receive any Contribution(s)
				from the Source, a Client Filer shall add all Contributions, regardless of the
				amount, received from the Source during the second reporting period of the
				calendar year. If the sum of such Contributions is more than $2,500, then a
				Client Filer is required to disclose the information in subdivision (e) of this
				section for each Contribution.
If the sum of the Contributions received from a Source is
				  $2,500 or less, then a Client Filer is not required to disclose any
				  Contribution(s) from the Source in the Client Semi-Annual Report that covers
				  the second reporting period of the calendar year;
(3) if during the previous reporting period
				(January 1st - June 30th), the Client Filer met the Expenditure Threshold and
				received Contributions(s) from a Source in excess of $2,500, then the Client
				Filer shall disclose all Contributions, regardless of the amount, received from
				the Source during the second client semi-annual reporting period of the
				calendar year;
(4) if during the
				previous reporting period (January 1st - June 30th), the Client Filer met the
				Expenditure Threshold and received Contributions(s) from a Source in an amount
				totaling $2,500 or less, then the Client Filer shall add all Contributions,
				regardless of the amount, received from a Source over the calendar year. If the
				sum of such Contributions is more than $2,500, then a Client Filer is required
				to disclose the information in subdivision (e) of this section for each
				Contribution received during the calendar year. If the sum of the Contributions
				received from each Source is $2,500 or less, then a Client Filer is not
				required to disclose any Contribution(s) from the Source.
Example 1: Jane Doe contributes $1,000 on May 4, 2017 to
				  Client Filer. Source Jim Smith, contributes $2,000 on October 30, 2017. Client
				  Filer knows that Jane and Jim live in the same household.
For the purpose of filing the Client Semi-Annual Report due
				  on July 16, 2017 (covering the period January 1, 2017 through June 30, 2017),
				  Client Filer is not required to report the Contribution from Jane Doe.
For the purpose of filing the Client Semi-Annual Report due
				  on January 15, 2018 (covering the period July 1, 2017 through December 31,
				  2017), if the Client Filer met the Expenditure Threshold during both reporting
				  periods, the Client Filer must aggregate the Contributions from Jane Doe and
				  Jim Smith as one Source because they have an Affiliate Relationship. The two
				  Contributions exceed $2,500 when aggregated, therefore the Client Filer must
				  disclose each Contribution in the Client Semi-Annual Report due on January 15,
				  2018.
Example 2: XYZ Corp. contributes $1,500 on March 3, 2017. ABC
				  Corp is XYZ Corp's parent and contributes $1,500 on May 6, 2017. On November
				  12, 2017, ABC Corp contributes an additional $500. On December 2, 2017, XYZ
				  Corp. contributes an additional $1,500. The Client Filer is aware of the
				  corporate relationship between ABC Corp and XYZ Corp.
For the purpose of filing the Client Semi-Annual Report due
				  on July 15, 2017 (covering the period January 1, 2017 through June 30, 2017),
				  XYZ Corp and ABC Corp have an Affiliate Relationship and therefore are deemed a
				  Source. The Contributions from XYZ Corp and ABC Corp must be aggregated. The
				  sum of the Contributions received from the one Source consisting of ABC Corp
				  and XYZ Corp between January 1, 2017 and June 30, 2017 exceeds $2,500.
				  Therefore, if the Client Filer met the Expenditure Threshold for this period,
				  it must disclose both the Contributions received on March 3 and May 6 in Client
				  Semi-Annual Report due on July 15, 2017.
For the purpose of filing the Client Semi-Annual Report due
				  on January 15, 2018 (covering the period July 1, 2017 through December 31,
				  2017), if the Client Filer met the Expenditure Threshold for this second
				  period, the Client Filer must disclose the November 12 and December 2
				  Contributions even though these two Contributions are less than $2,500
				  individually and in total.
The requirement to disclose the November 12 and December 2
				  Contributions arises from the facts that (i) the Source (comprised of XYZ Corp
				  and ABC Corp, because they have an Affiliate Relationship) made aggregate
				  Contributions in excess of $2,500 during the prior reporting period in the same
				  calendar year and (ii) the Client Filer met the Expenditure Threshold during
				  both reporting periods in the calendar year. Therefore, the Client Filer must
				  list as one Source each of those two Contributions made by XYZ Corp and ABC
				  Corp in the second reporting period of the calendar year on the Client
				  SemiAnnual Report, together with the information required in 938.3(e).
If the Client Filer did not meet the Expenditure Threshold
				  during the second reporting period of the calendar year, then the Client Filer
				  is not required to disclose the November 12 and December 2
				  Contributions.