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 938.2 - Definitions. For purposes of this Part
Current through Register Vol. 45, No. 52, December 27, 2023
(a) Affiliate Relationship shall mean:
(b) Client Filer shall mean:
(c) Client Semi-Annual Report shall mean the semi-annual reports filed with the Commission pursuant to Legislative Law § 1-j.
(d) Coalition shall have the meaning described in section 9 of Part 943 of this Title.
(e) Contribution shall mean any payment to, or for the benefit of, the Client Filer and which is intended to fund, in whole or in part, the Client Filer's activities or operations. Contribution shall include equity investments in limited liability companies, general partnerships, and corporations; provided, however, Contribution shall not include publicly traded stocks or shares. Contribution shall not mean:
(f) Expenditure Threshold consists of the following two requirements:
A Client Filer who is a member of a Coalition must include all amounts it has contributed to the Coalition when determining whether such Client Filer has exceeded the Expenditure Threshold.
(g) Expenditure Threshold Period is determined according to the following:
Any Client Filer that does not meet the Expenditure Threshold using the Twelve-Month Calculation must then determine whether it has met the Expenditure Threshold using the Calendar-Year Calculation, and if it has, then the Client Filer is deemed to have met the statutory Expenditure Threshold. To illustrate for the 2016 Client Semi-Annual Reports:
Client Semi-Annual Filing Date |
Twelve-Month Calculation Dates |
Calendar Year Calculation Dates |
January 15, 2016 (covering July 1, 2015 - December 31, 2015) |
January 1, 2015 - December 31, 2015 |
January 1, 2015 - December 31, 2015 |
July 15, 2016 (covering January 1, 2016 - June 30, 2016) |
July 1, 2015 - June 30, 2016 |
January 1, 2016 - June 30, 2016 |
(h) Reportable Amount of Contribution(s) shall mean, for each Contribution not specifically designated for lobbying in New York, the product of:
The Reportable Amount of Contribution shall also include, in addition to the amount yielded by this formula, any Contribution specifically designated for lobbying in New York. The Reportable Amount of Contribution shall not include any amounts contributed for membership dues, fees, or assessments.
(i) Reportable Compensation and Expenses: the phrase "reportable compensation and expenses" shall mean "compensation" and "expenses," devoted to lobbying in New York, as those terms are defined below:
(j) Responsible Party shall mean the Client Filer's Chief Administrative Officer or designee who is responsible for filing the Client Semi-Annual Reports and/or Source of Funding Disclosure with the Commission.
(k) Source shall mean any person, corporation, partnership, organization, or entity that makes a Contribution. A Source includes any persons, corporations, partnerships, organizations, or entities with an Affiliate Relationship. To determine if reporting is required pursuant to section 938.3 of this Part, a Client Filer shall aggregate the Contributions from each person, corporation, partnership, organization, or entity with an Affiliate Relationship. If such reporting is required, the Client Filer shall report, consistent with section 938.3 of this Part, Contributions from each person, corporation, partnership, organization, or entity with the Affiliate Relationship.
(l) Source of Funding Disclosure shall mean the section within the Client Semi-Annual Report completed by Client Filers who serve only as a Beneficial Client and, thus, are only responsible for the source of funding disclosure section of the Client Semi-Annual Report, as prescribed by subsection 943.9(h) of this Title.
(m) Total Expenditures shall mean the sum of any and all payments of cash or cash equivalents made in the ordinary course of business, or a charge against available funds in settlement of an obligation made in the ordinary course of business. Total expenditures also includes a promise to pay, or a promise of a payment or a transfer of anything of value made in the ordinary course of business for goods and services that have been provided or performed.
Amended, New York State Register May 21, 2014/Volume XXXVI, Issue 20, eff. 5/21/2014
Amended New York State Register February 15, 2017/Volume XXXIX, Issue 07, eff. 2/15/2017
Amended New York State Register May 9, 2018/Volume XL, Issue 19, eff. 1/1/2019
Amended New York State Register February 10, 2021/Volume XLIII, Issue 06, eff. 2/10/2021