IPCPR Legislative | Political Involvement in New York

Political Involvement in New York

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Requirements for Political Involvement in New York

“Lobbyist” means any person or organization retained, employed, or designated by any client to engage in lobbying. “Lobbyist” does not include any officer, director, trustee, employee, counsel, or agent of the state, or any municipality of subdivision thereof of New York when discharging their official duties, except those officers, directors, trustees, employees, counsels, or agents of colleges.

 

N.Y. Leg. Law § 1-c(a)

 

“Lobbying” or “lobbying activities” include any attempt to influence:

  • The passage or defeat of any legislation or resolution by either house of the state legislature, including the introduction or intended introduction of such legislation or resolution or approval or disapproval of any legislation by the governor
  • The adoption, issuance, rescission, modification, or terms of a gubernatorial executive order
  • The adoption or rejection of any rule or regulation having the force and effect of law by a state agency
  • The outcome of any rate making proceeding by a state agency
  • Any determination:
    • By a public official, or by a person or entity working in cooperation with a public official related to a governmental procurement, or
    • By an officer or employee of the unified court system, or by a person or entity working in cooperation with an officer or employee of the unified court system related to a governmental procurement
  • The approval, disapproval, implementation, or administration of tribal-state compacts, memoranda of understanding, or any other tribal-state agreements and any other state actions related to Class III gaming as provided in 25 U.S.C. § 2701, except to the extent designation of such activities as “lobbying” is barred by the federal Indian Gaming Regulatory Act, by a public official or by a person or entity working in cooperation with a public official in relation to such approval, disapproval, implementation, or administration
  • The passage or defeat of any local law, ordinance, resolution, or regulation by any municipality or subdivision thereof
  • The adoption, issuance, rescission, modification, or terms of an executive order issued by the Chief Executive Officer of a municipality
  • The adoption or rejection of any rule, regulation, or resolution having the force and effect of a local law, ordinance, resolution, or regulation, or
  • The outcome of any rate making proceeding by any municipality or subdivision thereof

 

“Lobbying” does not include:

  • Persons engaged in drafting, advising clients on or rendering opinions on proposed legislation, rules, regulations or rates, municipal ordinances and resolutions, executive orders, procurement contracts, or tribal-state compacts, memoranda of understanding, or any other tribal-state agreements or other written materials related to Class III gaming, when such professional services are not otherwise connected with state or municipal legislative or executive action on such legislation, rules, regulations or rates, municipal ordinances and resolutions, executive orders, procurement contracts, or tribal-state compacts, memoranda of understanding, or any other tribal-state agreements or other written materials related to Class III gaming
  • Newspapers and other periodicals and radio and television stations, and owners and employees thereof, provided that their activities in connection with proposed legislation, rules, regulations or rates, municipal ordinances and resolutions, executive orders, tribal-state compacts, memoranda of understanding or other tribal-state agreements related to Class III gaming, or procurement contracts by a state agency, municipal agency, local legislative body, the state legislature, or the unified court system, are limited to the publication or broadcast of news items, editorials or other comments, or paid advertisements
  • Persons who participate as witnesses, attorneys, or other representatives in public proceedings of a state or municipal agency with respect to all participation by such persons which is part of the public record thereof and all preparation by such persons for such participation
  • Persons who attempt to influence a state or municipal agency in an adjudicatory proceeding
  • Persons who prepare or submit a response to a request for information  or  comments by the state legislature, the governor, or a state agency or a committee or officer of the legislature or a state agency, or by the unified court system, or by a legislative or executive body or officer of a municipality or a commission, committee or officer of a municipal legislative or executive body
  • Any attempt by a church, its integrated auxiliary, or a convention or association of churches that is exempt from filing a federal income tax return or a religious order that is exempt from filing a federal income tax return to influence passage or defeat of a local law, ordinance, resolution, or regulation or any rule or regulation having the force and effect of a local law, ordinance, or regulation
  • Any activity relating to governmental procurements undertaken by (i) the non-profit-making agencies appointed by the commissioner of the office of children and family services, the commission for the blind and visually handicapped, or the commissioner of education, and (ii) the qualified charitable non-profit-making agencies for the blind, and qualified charitable non-profit-making agencies for other severely disabled persons as identified in subdivision two of section one hundred sixty-two of the state finance law; provided, however, that any attempt to influence the issuance or terms of the specifications that serve as the basis for bid documents, requests for proposals, invitations for bids, or solicitations of proposals or any other method for soliciting a response from offerers intending to result in a procurement contract with a state agency, the state legislature, the unified court system, a municipal agency or local legislative body will not be exempt
  • Participants, including those appearing on behalf of a client, in a conference provided for in a request for proposals, invitation for bids, or any other method for soliciting a response from offerers intending to result in a procurement contract
  • Offerers who have been tentatively awarded a contract and are engaged in communications with a state agency, either house of the state legislature, the unified court system, a municipal agency, or local legislative body solely for the purpose of negotiating the terms of the procurement contract after being notified of such award or, when a state agency, either house of the state legislature, the unified court system, a municipal agency, or local legislative body is purchasing an article of procurement pursuant to an existing state procurement contract, offerers who are engaged in communications with the procuring entity solely for the purpose of negotiating terms applicable to that purchase; or persons who currently hold a franchise and who are engaged in negotiating  the terms of a tentative franchise renewal contract with a municipality, but such negotiations, which do not constitute lobbying, do not include communications to the local legislative body that must approve the contract
  • (i) Offerers or other persons who are a party to a protest, appeal, or other review proceeding (including the apparent successful bidder or proposer and his or her representatives) before the governmental entity conducting the procurement seeking a final administrative determination, or in a subsequent judicial proceeding; or (ii) Offerers or other persons who bring complaints of alleged improper conduct in a governmental procurement to the attorney  general, inspector general, district attorney, or court of competent jurisdiction; or (iii) Offerers or other persons who submit written protests, appeals, or complaints to the state comptroller’s office during the process of contract approval, where the state comptroller’s approval is required by law, and where such communications and any responses thereto are made in writing and will be entered in the procurement record; or (iv) Offerers or other persons who bring complaints of alleged improper conduct in a governmental procurement conducted by a  municipal agency or local legislative body to the state comptroller’s office; provided, however, that nothing in this paragraph will be construed as recognizing or creating any new rights, duties, or responsibilities or abrogating any existing rights, duties, or responsibilities of any governmental entity as it pertains to implementation and enforcement of article eleven of the state finance law or any other provision  of  law dealing with the governmental procurement process
  • The submission of a bid or proposal (whether submitted orally, in writing, or electronically) in response to a request for proposals, invitation for bids or any other method for soliciting a response from offerers intending to result in a procurement contract
  • Offerers submitting written questions to a designated contact of a state agency, either house of the state legislature, the unified court system, a municipal agency, or local legislative body set forth in a request for proposals, or invitation for bids, or any other method for soliciting a response from offerers intending to result in a procurement contract, when all written questions and responses are to be disseminated to all offerers who have expressed an interest in the request for proposals, or invitation for bids, or any other method for soliciting a response from offerers intending to result in a procurement contract
  • Contacts during governmental procurements between designated staff of a state agency, either house of the state legislature, the unified court system, a municipal agency, or local legislative body involved in governmental procurements and officers or employees of bidders or potential bidders, or officers or employees of subcontractors of bidders or potential bidders, who are charged with the performance of functions relating to contracts and who are qualified by education, training, or experience to provide technical services to explain, clarify, or demonstrate the qualities, characteristics, or advantages of an article of procurement. Such authorized contacts will: (i) be limited to providing information to the staff of a state agency, either house of the state legislature, the unified court system, a municipal agency, and local legislative body to assist them in understanding and assessing the qualities, characteristics, or anticipated performance of an article of procurement; (ii) not include any recommendations or advocate any contract provisions; and (iii) occur only at such times and in such manner as authorized under the procuring entity’s solicitation or guidelines and procedures. For the purposes of this paragraph, the term “technical  services” will be limited to analysis directly applying any accounting, engineering, scientific, or other similar technical disciplines
  • Application for licenses, certificates, and permits authorized by statutes or local laws or ordinances
  • The activities of persons who are commission salespersons with respect to governmental procurements
  • Communications made by an officer or employee of the offerer after the award of the procurement contract when such communications are in the ordinary course of providing the article of procurement provided by the procurement contract and in the ordinary course of the assigned duties of the officer or employee; provided, however, that nothing herein shall exempt: (i) an officer or employee whose primary purpose of employment is to engage in lobbying activities with regard to governmental procurements; or (ii) an agent or independent contractor hired by an offerer and whose primary duty is to engage in lobbying activities with regard to governmental procurements
  • Persons who communicate with public officials where such communications are limited to obtaining factual information related to benefits or incentives offered by a state or municipal agency and where such communications do not include any recommendations or advocate governmental action or contract provisions, and further where such communications are not otherwise connected with pending legislative or executive action or determinations; provided, however, that any person who is otherwise required to file a statement or report pursuant to this article by virtue of engaging in lobbying activities as defined in this section will not be deemed to fall within the exception

 

N.Y. Leg. Law § 1-c(c)

 

“Client” means every person or organization who retains, employs, or designates any person or organization to carry on lobbying activities on behalf of such client.

 

N.Y. Leg. Law § 1-c(b)

Every lobbyist who expends, incurs, or receives, or expects to expend, incur, or receive, an amount in excess of $5,000 of reportable compensation and expenses for the purposes of lobbying must file a biennial Statement of Registration and a signed, written lobbying agreement/authorization for each client with the New York State Joint Commission on Public Ethics. A Registration Statement requires a $200 registration fee and must be filed by January 1st or within 15 days of being retained, employed, or designated to lobby.

 

N.Y. Leg. Law § 1-e: Statement of registration

 

Any lobbyist required to file a Registration Statement must also file a Bi-Monthly Report for each client on or before March 15th, May 15th, July 15th, September 15th, November 15th, and January 15th of each year. All clients of registered lobbyists are required to file two Client Semi-Annual Reports per year, on or before July 15th and January 15th.

 

N.Y. Leg. Law § 1-h: Bi-monthly reports of certain lobbyists
N.Y. Leg. Law § 1-i: Bi-monthly reports of public corporations
N.Y. Leg. Law § 1-j: Semi-annual reports

 

Registration Statements, Bi-Monthly Reports, Client Semi-Annual Reports, and all amendments to such filings may be submitted electronically through the Joint Commission on Public Ethics Lobbying Online Filing System at https://onlineapps.jcope.ny.gov/Lobbywatch/.

 

New York Joint Commission on Public Ethics (JCOPE): Lobbying Forms and Instructions
http://www.jcope.ny.gov/forms/lobbying.html

 

Lobbying Disclosure: How to File in New York State
http://www.jcope.ny.gov/training/LobbyingHowToFile.pdf

 

Instructions for Lobbyists Filing Online
http://www.jcope.ny.gov/forms/lob/lob_online.html

 

Lobbyist Registration Statement
http://www.jcope.ny.gov/forms/lob/pdf/Lobbyist%20Statement%20of%20Registration%202012%20FF.pdf

 

Lobbyist Bi-Monthly Report
http://www.jcope.ny.gov/forms/lob/pdf/Lobbyist%20Bimonthly%20Report%202012%20FF.pdf

 

Client Semi-Annual Report
http://www.jcope.ny.gov/forms/lob/pdf/Client%20Semi%20Annual%20with%20SF%20Writeable%20Form.pdf

 

New York Joint Commission on Public Ethics (JCOPE): Lobbying Online Filing System
https://onlineapps.jcope.ny.gov/Lobbywatch/

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