New York Codes, Rules and Regulations
Title 19 - DEPARTMENT OF STATE
Chapter XX - Commission on ethics and lobbying in Government
Part 943 - LOBBYING
Section 943.5 - Lobbying Activities - General Provisions and Restrictions
Universal Citation: 19 NY Comp Codes Rules and Regs ยง 943.5
Current through Register Vol. 46, No. 12, March 20, 2024
(a) General Provisions
(1) All Lobbying Activities are
either Direct or Grassroots Lobbying.
(2) All Lobbying Activity is conducted by a
Lobbyist for the benefit of a Beneficial Client, but a Lobbyist and Beneficial
Client can be the same person or organization.
(3) All Lobbying Activity is conducted by a
Lobbyist that has been retained, employed, or designated by a Client. This
includes the person or Lobbying Organization that designates themselves to
lobby on their own behalf.
(4)
Reporting requirements under the Lobbying Act are not necessarily triggered by
engaging in Lobbying Activity alone, but rather when the criteria established
in subsection
943.9(a)(1)
have been satisfied.
(b) Online Ethics Training for Lobbyists and Clients
(1) All Lobbyists (Principal Lobbyists and
Individual Lobbyists) and all Clients (Contractual Clients and Beneficial
Clients) listed on a Statement of Registration commencing with the biennial
period 2023-2024 and thereafter, must complete the online ethics training for
Lobbyists and Clients, as provided by the Commission.
(i) For organizations that engage in lobbying
activity as either a Lobbyist or Client, the organization's Chief
Administrative Officer is responsible for completing the training on behalf of
the organization.
(2)
Such training must be completed once every three years, as follows:
(i) Complete the training within 60 days of
the submission of the initial Statement of Registration commencing with the
2023-2024 biennial period;
(ii)
Complete the training again within three years of the date the Lobbyist or
Client first or subsequently completed the training, if such Lobbyist or Client
is still listed on an active Statement of Registration at such time;
and/or
(iii) If there is a lapse in
a Lobbyist or Client being listed on an active Statement of Registration, such
Lobbyist or Client must complete the training again within 60 days of either
being listed on a Statement of Registration or three years from the date such
Lobbyist or Client last completed such training, whichever is later.
(iv) The 60-day period for completing
training will be measured from the earliest submission date listing a Lobbyist
or Client on a Statement of Registration, commencing with the 2023-2024
biennial period and thereafter.
(3) Lobbyists and Clients (including the
Chief Administrative Officers of organizations engaged in lobbying activity as
a Lobbyist or Client, as applicable) must enter training compliance information
into the Commission's online lobbying application, as directed by the
Commission.
(c) Restrictions
(1) All individuals or entities
required to be listed on a Statement of Registration are subject to the Gift
restrictions set forth in Part 934 of this Title.
(i) This prohibition applies to both the
Contractual Client and Beneficial Client.
(2) Pursuant to section 1-k of the Lobbying
Act prohibiting contingent retainers, no Client may pay and no Lobbyist may
receive Compensation in which the amount or rate is contingent on the outcome
or terms of any Attempt to Influence an activity listed in sections
1-c(c)(i)-(x) of the Lobbying Act.
(i) This
prohibition applies to both the Contractual Client and Beneficial
Client.
(3) Stock or
equity payments for Lobbying Activity are presumed impermissible when paid to
Retained Lobbyists, and, absent a showing in (i), below, are per
se a violation of the contingent retainer prohibition in Section 1-k
of the Lobbying Act.
(i) Except as provided
in (ii), below, this presumption can be overcome by a showing that the value of
stock or equity is not directly dependent on the outcome of the governmental
action.
(ii) The presumption cannot
be overcome if:
(a) the number of shares or
the size of the equity interest offered depends on the outcome of the lobbying;
or
(b) any aspect of the retained
lobbyist's shareholder rights- including seniority, conversion and other
options- depend on the outcome of the lobbying.
(iii) Application to the Commission is
required to approve any such stock or equity payments for Lobbying Activity.
The Commission shall respond to an application within 30 days or soon
thereafter and, in rendering a decision, consider factors including:
(a) The diversity of product or business
lines in the Beneficial Client's operations and the relative size or
importance- to the Beneficial Client- of the product or business that will be
impacted by the governmental action;
(b) The specific governmental action in
Lobbying Act section 1-c(c) that the Lobbyist is attempting to
influence;
(c) If the Lobbying
Activity includes any attempt to influence a state or municipal Governmental
Procurement:
(1) the value of the procurement
relative to the total capitalization of the Beneficial Client;
(2) any history of being awarded similar
procurements.
(d) Whether
stock is publicly traded or closely held;
(e) Whether the Lobbying Activity addresses a
Lobbying firm's entry or continued access to a geographic, demographic or
product market;
(f) The impact of
the governmental action on the Beneficial Client versus on similarly-situated
competitors;
(g) Any significant
trading activity or changes in price, appraisal, or valuation over the
preceding 12 months; and
(h) Other
such factors as determined by the Commission.
(4) Stock or equity compensation to Employee
or Designated Lobbyists is permissible, unless the number of shares, relative
size of the equity interest offered, or any aspect of the lobbyist's
shareholder rights - including seniority, conversion and other options - depend
on the outcome of the lobbying.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.