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New York Regulation of Lobbying Act 1040/81

*  Section 1. Legislative declaration. The legislature hereby declares
  that the operation of responsible democratic  government  requires  that
  the  fullest  opportunity  be  afforded  to the people to petition their
  government for the redress  of  grievances  and  to  express  freely  to
  appropriate  officials  their  opinions  on legislation and governmental
  operations; and that, to preserve and  maintain  the  integrity  of  the
  governmental decision-making process in this state, it is necessary that
  the  identity,  expenditures and activities of persons and organizations
  retained, employed or designated to influence the passage or  defeat  of
  any  legislation  by either house of the legislature or the approval, or
  veto, of any legislation by the governor and attempts to  influence  the
  adoption  or  rejection  of  any rule or regulation having the force and
  effect of law or the outcome of any rate making proceeding  by  a  state
  agency, be publicly and regularly disclosed.
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such
  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving
  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 2. Short title. This act shall be known and may be  cited  as  the
  "Lobbying act".
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such
  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving
  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 3. Definitions. As used in this act unless the  context  otherwise
  requires:
    (a)  The  term  "lobbyist"  shall  mean  every  person or organization
  retained, employed or designated by any client to  engage  in  lobbying.

  The  term  "lobbyist"  shall not include any officer, director, trustee,
  employee, counsel or agent of the state of  New  York  when  discharging
  their  official  duties;  except  those  officers,  directors, trustees,
  employees, counsels, or agents of colleges, as defined by section two of
  the education law.
    (b)  The  term  "client"  shall  mean every person or organization who
  retains, employs or designates any person or organization  to  carry  on
  lobbying activities on behalf of such client.
    (c)  The  term  "lobbying"  or  "lobbying  activities"  shall mean any
  attempt to influence the passage or defeat of any legislation by  either
  house  of  the  legislature  or  the  approval  or  disapproval  of  any
  legislation by the governor, or the adoption or rejection of any rule or
  regulation having the force and effect of law or the outcome of any rate
  making proceeding by a state  agency.  The  term  "lobbying"  shall  not
  include:
    (1)  Persons  engaged  in  drafting legislation, rules, regulations or
  rates, advising clients and rendering opinions on proposed  legislation,
  rules,  regulations  or  rates, where such professional services are not
  otherwise  connected  with  legislative  or  executive  action  on  such
  legislation,  or  administrative  action  on  such rules, regulations or
  rates;
    (2)  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  are  limited  to  the publication or broadcast of news items,
  editorials or other comment, or paid advertisements;
    (3)  Persons  who  participate  as  witnesses,  attorneys   or   other
  representatives  in  public  rule making or rate making proceedings of a
  state 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;
    (4) Persons who attempt to influence a state agency in an adjudicatory
  proceeding,  as  defined  by  section  one  hundred  two  of  the  state
  administrative procedure act; and
    (5) Persons who  prepare  or  submit  a  response  to  a  request  for
  information  or  comments  by  the legislature, the governor, or a state
  agency or a committee or officer of the legislature or a state agency.
    (d) The term  "organization"  shall  mean  any  corporation,  company,
  foundation,  association,  college  as  defined  by  section  two of the
  education law, labor organization,  firm,  partnership,  society,  joint
  stock company, state agency or public corporation.
    (e)  The term "state agency" shall mean any department, board, bureau,
  commission, division, office,  council,  committee  or  officer  of  the
  state,  whether  permanent or temporary, or a public benefit corporation
  or public authority at least one of whose members is  appointed  by  the
  governor,  authorized by law to make rules or to make final decisions in
  adjudicatory proceedings but shall not include the  judicial  branch  or
  agencies created by interstate compact or international agreement.
    (f)  The  term  "commission"  shall  mean the New York temporary state
  commission on lobbying created by section four of this act.
    (g) The term "expense"  or  "expenses"  shall  mean  any  expenditures
  incurred  by  or  reimbursed  to the lobbyist for lobbying but shall not
  include contributions reportable pursuant to  article  fourteen  of  the
  election law.
    (h) The term "compensation" shall mean any salary, fee, gift, payment,
  benefit,  loan, advance or any other thing of value paid, owed, given or
  promised to the lobbyist by  the  client  for  lobbying  but  shall  not

  include  contributions  reportable  pursuant  to article fourteen of the
  election law.
    (i)  The term "public corporation" shall mean a municipal corporation,
  a district corporation, or a public benefit corporation  as  defined  in
  section sixty-six of the general construction law.
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such
  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving
  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 4. New York temporary state  commission  on  lobbying.  (a)  There
  shall  be established a commission to be known as the New York temporary
  state commission on lobbying which shall consist  of  six  members.  The
  members  of the commission shall be appointed by the governor, provided,
  however, that one  member  shall  be  appointed  on  nomination  of  the
  temporary  president  of  the  senate,  one member shall be appointed on
  nomination of the speaker of the assembly, one member shall be appointed
  on nomination of the minority leader of the senate, and one member shall
  be appointed on nomination of the minority leader of  the  assembly.  Of
  the  two members appointed by the governor without prior nomination by a
  legislative leader, one shall be a member of the same political party as
  the temporary president of the senate and one shall be a member  of  the
  same  political  party as the minority leader of the senate. The term of
  office of the members shall be for two years commencing with  the  first
  day of January, nineteen hundred eighty-two. No member of the commission
  shall  hold any other state or local public office for which he receives
  compensation; nor shall any member be employed by the state or any local
  political subdivision. No person subject  to  the  jurisdiction  of  the
  commission  and  the provisions of this act may serve on the commission.
  The chairman and the vice chairman of the commission shall be elected by
  a majority of the members of the commission to serve a  one  year  term.
  The  chairman  shall be a member of a different political party than the
  chairman of the commission during the preceding term. The  chairman  and
  vice  chairman  shall  each  be  a member of a different major political
  party as such term is defined in the  election  law.  Vacancies  in  the
  membership of the commission occurring for any cause shall be filled for
  the  balance  of  the  unexpired term in the same manner as the original
  appointment of the member whose office becomes vacant. Any  matter  upon
  which  the commission must act by a vote of the membership must be by an
  affirmative vote of a majority of the members of the commission. No such
  vote may be taken until all  members  of  the  original  commission  are
  appointed;  thereafter,  each  member  shall  continue  to serve until a
  successor is appointed in  the  manner  provided  herein.  Each  of  the
  members  of  the  commission  shall  receive,  as  compensation  for his

  services hereunder, a per diem allowance  in  the  sum  of  one  hundred
  dollars  for  each  day  actually spent in the performance of his duties
  hereunder, not exceeding, however, the sum of five thousand  dollars  in
  any calendar year, and, in addition thereto, shall be reimbursed for all
  expenses  actually and necessarily incurred by him in the performance of
  his duties under this act.
    (b) The chief administrative officer of the commission  shall  be  the
  executive  director,  who shall be appointed jointly by the chairman and
  vice chairman of the commission and shall serve a two year term,  except
  that  he  may  be  removed  from  such  position  by joint action of the
  chairman and the vice chairman.
    (c) In addition to any other powers and duties specified by  law,  the
  commission shall have the power and duty to:
    (1) administer and enforce all the provisions of this act;
    (2) conduct any investigation necessary to carry out the provisions of
  this act. Pursuant to this power and duty, the commission may administer
  oaths  or  affirmations, subpoena witnesses, compel their attendance and
  require the production of  any  books  or  records  which  it  may  deem
  relevant or material;
    (3)  conduct  private and public hearings pursuant to article seven of
  the public officers law;
    (4) prepare uniform forms for the statements and reports  required  by
  this act;
    (5)  meet at least once during each reporting period as established by
  subdivision (a) of section eight of this act and may meet at such  other
  times  as  the  commission,  or  the chairman and vice chairman jointly,
  shall determine;
    (6) issue advisory opinions to those under its jurisdiction; and
    (7) submit by the first day of March next following the year for which
  such report is made to the governor and the members of  the  legislature
  an   annual  report  summarizing  the  commission's  work,  listing  the
  lobbyists and clients required to register pursuant to this act and  the
  expenses  and  compensation  reported  pursuant  to  this act and making
  recommendations with respect to this act. The commission shall make this
  report available free of charge to the public.
    * NB Chapter 2 of the laws of  1999  repealed,  effective  January  1,
  2000,  the  lobbying  act as enacted by section 1 of chapter 1040 of the
  laws of 1981. A new lobbying act was  enacted  as  Article  1-A  of  the
  legislative law.
    Section  5 of such chapter 2 transfers all of the functions and powers
  of the New York temporary state commission on lobbying created  by  such
  chapter  1040  to  the  New  York temporary state commission on lobbying
  created by Article 1-A of the legislative law with respect to  receiving
  the  periodic  and  annual  reports  required  to  be  filed pursuant to
  sections 8, 9 and 10 of the repealed chapter  1040.  Also,  pursuant  to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because of these provisions, the Commission will continue to  set  out
  the  full text of the repealed lobbying act through December 31, 2000 in
  order that lobbyists who were subject to the former lobbying act may  be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    *  §  5.  Statement  of  registration.  (a)  (1)  Every lobbyist shall
  annually file with the commission, on forms provided by the  commission,
  a  statement  of registration for each calendar year; provided, however,
  that the filing of such statement of registration shall not be  required

  of any lobbyist who (i) in any year does not expend, incur or receive an
  amount  in excess of two thousand dollars of reportable compensation and
  expenses, as provided in paragraph five of subdivision  (b)  of  section
  eight  of  this act, for the purposes of lobbying or (ii) is an officer,
  director, trustee or employee of any public corporation, when acting  in
  such  official  capacity; provided however, that nothing herein shall be
  construed to relieve any public corporation of the  obligation  to  file
  such statements and reports as required by this act.
    (2) Such filing shall be completed on or before January first by those
  persons who have been retained, employed or designated as lobbyist on or
  before  December  fifteenth who reasonably anticipate that in the coming
  year they will expend, incur or receive combined reportable compensation
  and expenses in an amount in excess of two thousand dollars;  for  those
  lobbyists retained, employed or designated after December fifteenth, and
  for  those  lobbyists  who  subsequent  to their retainer, employment or
  designation reasonably anticipate combined reportable  compensation  and
  expenses  in excess of such amount, such filing must be completed within
  fifteen days thereafter, but in no event later than ten days  after  the
  actual  incurring  or  receiving  of  such  reportable  compensation and
  expenses.
    (b) Such statements of registration shall be kept on file for a period
  of three years and shall  be  open  to  public  inspection  during  such
  period.
    (c) Such statement of registration shall contain:
    (1) the name, address and telephone number of the lobbyist;
    (2) the name, address and telephone number of the client by whom or on
  whose behalf the lobbyist is retained, employed or designated;
    (3)  if  such  lobbyist  is retained or employed pursuant to a written
  agreement of retainer or employment,  a  copy  of  such  shall  also  be
  attached  and if such retainer or employment is oral, a statement of the
  substance thereof;
    (4) a written authorization from the client by whom  the  lobbyist  is
  authorized  to lobby, unless such lobbyist has filed a written agreement
  of  retainer  or  employment  pursuant  to  paragraph  three   of   this
  subdivision;
    (5)  a  description  of  the  general subject or subjects on which the
  lobbyist is lobbying or expects to lobby;
    (6) the name of the person, organization, or legislative  body  before
  which the lobbyist is lobbying or expects to lobby; and
    (7)  if  the lobbyist is retained, employed or designated by more than
  one client, a separate statement of registration shall be  required  for
  each such client.
    (d)  Any  amendment  to  the  information filed by the lobbyist in the
  original statement of registration shall be submitted to the  commission
  on  forms  supplied  by  the  commission  within  ten  days  after  such
  amendment, however, this shall not require the  lobbyist  to  amend  the
  entire registration form.
    (e)  The  first  statement  of  registration  filed  annually  by each
  lobbyist shall be accompanied by a registration  fee  of  fifty  dollars
  except   that  no  registration  fee  shall  be  required  of  a  public
  corporation. No fee shall be required for any  subsequent  statement  of
  registration filed by a lobbyist during the same lobbying year.
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such

  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving
  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 6. Monthly registration docket.  It  shall  be  the  duty  of  the
  commission  to  compile  a  monthly docket of statements of registration
  containing all information required by section five of  this  act.  Each
  such  monthly  docket shall contain all statements of registration filed
  during such month and all amendments to previously filed  statements  of
  registration. Copies shall be made available for public inspection.
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such
  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving
  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 7. Termination of retainer, employment or  designation.  Upon  the
  termination  of  a  lobbyist's retainer, employment or designation, such
  lobbyist and the client on whose behalf such service has  been  rendered
  shall  both  give  written  notice  to the commission within thirty days
  after the lobbyist ceases the activity that required  such  lobbyist  to
  file   a   statement  of  registration;  however,  such  lobbyist  shall
  nevertheless  comply  with  the  reporting  requirements  for  the  last
  periodic  reporting  period  up  to the date such activity has ceased as
  required by this act and both such parties shall each  file  the  annual
  report  required by section nine of this act. The commission shall enter
  notice of such  termination  in  the  appropriate  monthly  registration
  docket required by section six of this act.
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such
  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving

  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because of these provisions, the Commission will continue to  set  out
  the  full text of the repealed lobbying act through December 31, 2000 in
  order that lobbyists who were subject to the former lobbying act may  be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    *  §  8.  Periodic  reports of certain lobbyists. (a) (1) Any lobbyist
  required to file a statement of registration pursuant to section five of
  this act who in any lobbying year expends, receives or  incurs  combined
  reportable  compensation  and  expenses  in  an  amount in excess of two
  thousand dollars, as provided in paragraph five of  subdivision  (b)  of
  this  section,  for  the  purpose  of  lobbying,  shall  file  with  the
  commission a first periodic written report, on  forms  supplied  by  the
  commission,  by  the  fifteenth  day  next  succeeding  the  end  of the
  reporting period in which the cumulative total for  such  lobbying  year
  equalled  such  sum.  Such  reporting  periods  shall be the period from
  January first to March thirty-first, April first to May thirty-first and
  June first to August thirty-first.
    (2) Any lobbyist making a report pursuant to  paragraph  one  of  this
  subdivision shall thereafter file with the commission, on forms supplied
  by the commission, a periodic report for each reporting period that such
  person  expends, receives or incurs combined reportable compensation and
  expenses in an amount in excess of five hundred dollars for the purposes
  of lobbying during such reporting period. Such report shall be filed not
  later than the fifteenth day next succeeding the end of  such  reporting
  period  and  shall include the amounts so expended, received or incurred
  during such reporting period and the cumulative total thereof during the
  lobbying year.
    (b) Such periodic report shall contain:
    (1) the name, address and telephone number of the lobbyist;
    (2) the name, address and telephone number of the client by whom or on
  whose behalf the lobbyist is retained, employed or designated;
    (3) a description of the general subject  or  subjects  on  which  the
  lobbyist has lobbied;
    (4)  the  name of the person, organization, or legislative body before
  which the lobbyist has lobbied;
    (5) (i) the compensation  paid  or  owed  to  the  lobbyist,  and  any
  expenses  expended, received or incurred by the lobbyist for the purpose
  of lobbying.
    (ii) 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 expense is 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;
    (B) expenses, not in  excess  of  five  hundred  dollars  in  any  one
  calendar  year,  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 shall be paid by check or
  substantiated by receipts and such checks and receipts shall be kept  on
  file by the lobbyist for a period of three years.
    (c)  (1)  All  such periodic reports shall be subject to review by the
  commission.
    (2) Such periodic reports shall be kept on file for  three  years  and
  shall be open to public inspection during such time.
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such
  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving
  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 9. Periodic reports of public corporations. (a)  1.  Every  public
  corporation  required  to  file  a statement of registration pursuant to
  section five of this act which in any lobbying year  expends  or  incurs
  expenses  in an amount in excess of two thousand dollars, as provided in
  paragraph five of subdivision (b) of this section, for  the  purpose  of
  lobbying shall file with the commission a first periodic written report,
  on  forms  supplied  by  the  commission,  by  the  fifteenth  day  next
  succeeding the end of the reporting period in which the cumulative total
  for such lobbying year equaled such sum. Such reporting periods shall be
  the period from January first to March thirty-first, April first to  May
  thirty-first, and June first to August thirty-first.
    2. Any public corporation making a report pursuant to paragraph one of
  this  subdivision  shall  thereafter  file with the commission, on forms
  supplied by the commission, a periodic report for each reporting  period
  that  such public corporation expends or incurs expenses in an amount in
  excess of five hundred dollars for the purposes of lobbying during  such
  reporting  period.  Such  report  shall  be  filed  not  later  than the
  fifteenth day next succeeding the end of such reporting period and shall
  include the amount so expended during  such  reporting  period  and  the
  cumulative total thereof during the lobbying year.
    (b) Such periodic report shall contain:
    1. the name, address and telephone number of such public corporation;
    2.  the  name, address and telephone number of each lobbyist retained,
  employed or designated by such public corporation;
    3. copies of all agreements relating to each such retainer, employment
  or designation, and if such retainer, employment or designation be oral,
  a statement of the substance of such agreement;
    4. a description of the general  subject  or  subjects  on  which  the
  lobbyist has lobbied, and on which such public corporation has lobbied;

    5.  the  name  of  the person, organization or legislative body before
  which the public corporation, or its lobbyists, has lobbied;
    6.  (i) the compensation paid or owed to the lobbyist and any expenses
  expended, received or incurred  by  the  lobbyist  for  the  purpose  of
  lobbying;  provided,  however,  any  such  expenses  paid by such public
  corporation to a lobbyist for the purpose of lobbying on behalf of  such
  public  corporation  shall  be  itemized  in  the same manner as if such
  public corporation had directly paid or incurred such expenses.
    (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 each such
  lobbyist;
    (B) expenses, not in  excess  of  five  hundred  dollars  in  any  one
  calendar  year,  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 compensation other than that of
  each 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 public corporation for a period of three years.
    (c) 1. All such periodic reports shall be subject  to  review  by  the
  commission.
    2.  Such  periodic reports shall be kept on file for a period of three
  years and shall be open to public inspection during such period.
    * NB Chapter 2 of the laws of  1999  repealed,  effective  January  1,
  2000,  the  lobbying  act as enacted by section 1 of chapter 1040 of the
  laws of 1981. A new lobbying act was  enacted  as  Article  1-A  of  the
  legislative law.
    Section  5 of such chapter 2 transfers all of the functions and powers
  of the New York temporary state commission on lobbying created  by  such
  chapter  1040  to  the  New  York temporary state commission on lobbying
  created by Article 1-A of the legislative law with respect to  receiving
  the  periodic  and  annual  reports  required  to  be  filed pursuant to
  sections 8, 9 and 10 of the repealed chapter  1040.  Also,  pursuant  to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because of these provisions, the Commission will continue to  set  out
  the  full text of the repealed lobbying act through December 31, 2000 in
  order that lobbyists who were subject to the former lobbying act may  be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 10. Annual reports. (a) Annual reports shall be filed by:
    (1)  every lobbyist or public corporation required to file a statement
  of registration or a periodic report pursuant to section eight  or  nine
  of this act;
    (2)  any  client  retaining,  employing  or  designating a lobbyist or
  lobbyists, whether or not any such  lobbyist  was  required  to  file  a
  periodic  report,  if  during the year such client expended, received or
  incurred an amount  in  excess  of  two  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 pursuant to paragraph one of subdivision (a) of this
  section shall be filed with the commission, on  forms  supplied  by  the
  commission,  by the fifteenth day of January next following the year for
  which such report is made and shall  contain  on  an  annual  cumulative
  basis  all the information required in periodic reports by section eight
  or nine of this act.
    (c) Such report pursuant to paragraph two of subdivision (a)  of  this
  section  shall  be  filed  with the commission, on forms supplied by the
  commission, 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) a description of the general subject or  subjects  on  which  each
  lobbyist  retained,  employed  or designated by such client has lobbied,
  and on which such client has lobbied;
    (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.
    (d) (1) All such annual reports shall be  subject  to  review  by  the
  commission.
    (2)  Such  annual  reports shall be kept on file for a period of three
  years and shall be open to public inspection during such period.
    * NB Chapter 2 of the laws of  1999  repealed,  effective  January  1,
  2000,  the  lobbying  act as enacted by section 1 of chapter 1040 of the
  laws of 1981. A new lobbying act was  enacted  as  Article  1-A  of  the
  legislative law.
    Section  5 of such chapter 2 transfers all of the functions and powers
  of the New York temporary state commission on lobbying created  by  such
  chapter  1040  to  the  New  York temporary state commission on lobbying
  created by Article 1-A of the legislative law with respect to  receiving
  the  periodic  and  annual  reports  required  to  be  filed pursuant to
  sections 8, 9 and 10 of the repealed chapter  1040.  Also,  pursuant  to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.

    Because of these provisions, the Commission will continue to  set  out
  the  full text of the repealed lobbying act through December 31, 2000 in
  order that lobbyists who were subject to the former lobbying act may  be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    *  §  11.  Contingent  retainer.  No client shall retain or employ any
  lobbyist for compensation, the rate or amount of which  compensation  in
  whole  or  part is contingent or dependent upon the passage or defeat of
  any legislative bill or the approval or veto of any legislation  by  the
  governor,  or  the adoption or rejection of any code, rule or regulation
  having the force and effect of law or the outcome  of  any  rate  making
  proceeding  by a state agency and no person shall accept such a retainer
  or  employment.  A  violation  of  this  section  shall  be  a  class  A
  misdemeanor.
    *  NB  Chapter  2  of  the laws of 1999 repealed, effective January 1,
  2000, the lobbying act as enacted by section 1 of chapter  1040  of  the
  laws  of  1981.  A  new  lobbying  act was enacted as Article 1-A of the
  legislative law.
    Section 5 of such chapter 2 transfers all of the functions and  powers
  of  the  New York temporary state commission on lobbying created by such
  chapter 1040 to the New York  temporary  state  commission  on  lobbying
  created  by Article 1-A of the legislative law with respect to receiving
  the periodic and  annual  reports  required  to  be  filed  pursuant  to
  sections  8,  9  and  10 of the repealed chapter 1040. Also, pursuant to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 13. Enforcement. (a) All statements  and  reports  required  under
  this  act  shall  be  subject  to a declaration by the person making and
  filing such statement and report that the information is  true,  correct
  and  complete  to  the best knowledge and belief of the signer under the
  penalties of perjury.
    (b) (1) Following a failure to make and file  a  statement  or  report
  required  by  this  act,  the  commission  shall  notify  the  person or
  organization of such fact by certified mail, and that such  filing  must
  be made within fifteen days of the date of such notice.
    (2)  The  failure  to  file  any  statement  or report within the time
  provided for in paragraph one of this  subdivision  shall  constitute  a
  class A misdemeanor.
    (3)  Upon  receipt  of notice of such failure from the commission, the
  attorney general or other appropriate authority shall take  such  action
  as he deems appropriate to secure compliance with the provisions of this
  act.
    (c)  The  commission  shall  be charged with the duty of reviewing all
  statements and reports required under this act for  violations,  and  it
  shall  be  their  duty,  if  they deem such to be wilful, to report such
  determination to the attorney general or other appropriate authority.
    * NB Chapter 2 of the laws of  1999  repealed,  effective  January  1,
  2000,  the  lobbying  act as enacted by section 1 of chapter 1040 of the
  laws of 1981. A new lobbying act was  enacted  as  Article  1-A  of  the
  legislative law.

    Section  5 of such chapter 2 transfers all of the functions and powers
  of the New York temporary state commission on lobbying created  by  such
  chapter  1040  to  the  New  York temporary state commission on lobbying
  created by Article 1-A of the legislative law with respect to  receiving
  the  periodic  and  annual  reports  required  to  be  filed pursuant to
  sections 8, 9 and 10 of the repealed chapter  1040.  Also,  pursuant  to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because of these provisions, the Commission will continue to  set  out
  the  full text of the repealed lobbying act through December 31, 2000 in
  order that lobbyists who were subject to the former lobbying act may  be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    *  §  13-a. Record of appearances. The commission shall promulgate all
  rules  or  regulations  and  any  procedures,  forms,  or   instructions
  necessary  to  implement  the provisions of section 166 of the executive
  law relating to the quarterly filing of the record of appearances before
  regulatory agencies.
    * NB Chapter 2 of the laws of  1999  repealed,  effective  January  1,
  2000,  the  lobbying  act as enacted by section 1 of chapter 1040 of the
  laws of 1981. A new lobbying act was  enacted  as  Article  1-A  of  the
  legislative law.
    Section  5 of such chapter 2 transfers all of the functions and powers
  of the New York temporary state commission on lobbying created  by  such
  chapter  1040  to  the  New  York temporary state commission on lobbying
  created by Article 1-A of the legislative law with respect to  receiving
  the  periodic  and  annual  reports  required  to  be  filed pursuant to
  sections 8, 9 and 10 of the repealed chapter  1040.  Also,  pursuant  to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because of these provisions, the Commission will continue to  set  out
  the  full text of the repealed lobbying act through December 31, 2000 in
  order that lobbyists who were subject to the former lobbying act may  be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    *  §  14.  Publication  of  statement  on  lobbying  regulations.  The
  commission shall publish a statement  on  lobbying  regulations  setting
  forth  the  requirements  of  this act in a clear and brief manner. Such
  statement shall contain an explanation of the  registration  and  filing
  requirements and the penalties for violation thereof, together with such
  other  information as the commission shall determine, and copies thereof
  shall be made available to the public at convenient locations throughout
  the state.
    * NB Chapter 2 of the laws of  1999  repealed,  effective  January  1,
  2000,  the  lobbying  act as enacted by section 1 of chapter 1040 of the
  laws of 1981. A new lobbying act was  enacted  as  Article  1-A  of  the
  legislative law.
    Section  5 of such chapter 2 transfers all of the functions and powers
  of the New York temporary state commission on lobbying created  by  such
  chapter  1040  to  the  New  York temporary state commission on lobbying
  created by Article 1-A of the legislative law with respect to  receiving
  the  periodic  and  annual  reports  required  to  be  filed pursuant to
  sections 8, 9 and 10 of the repealed chapter  1040.  Also,  pursuant  to
  section 7 of such chapter 2, any action or proceeding commenced prior to

  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because  of  these provisions, the Commission will continue to set out
  the full text of the repealed lobbying act through December 31, 2000  in
  order  that lobbyists who were subject to the former lobbying act may be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.
    * § 15. Separability clause. If any part or provision of this  act  or
  the  application  thereof to any person or organization is adjudged by a
  court of competent jurisdiction to be  unconstitutional,  such  judgment
  shall  not  affect  or  impair  any  other  part  or  provision  or  the
  application thereof to any other person or organization,  but  shall  be
  confined in its operation to the part, provision, person or organization
  directly  involved  in the controversy in which such judgment shall have
  been rendered.
    * NB Chapter 2 of the laws of  1999  repealed,  effective  January  1,
  2000,  the  lobbying  act as enacted by section 1 of chapter 1040 of the
  laws of 1981. A new lobbying act was  enacted  as  Article  1-A  of  the
  legislative law.
    Section  5 of such chapter 2 transfers all of the functions and powers
  of the New York temporary state commission on lobbying created  by  such
  chapter  1040  to  the  New  York temporary state commission on lobbying
  created by Article 1-A of the legislative law with respect to  receiving
  the  periodic  and  annual  reports  required  to  be  filed pursuant to
  sections 8, 9 and 10 of the repealed chapter  1040.  Also,  pursuant  to
  section 7 of such chapter 2, any action or proceeding commenced prior to
  January  1,  2000  under  the  old  lobbying  act  shall  be  continued,
  prosecuted and defended pursuant to the old lobbying act as in effect on
  December 31, 1999.
    Because of these provisions, the Commission will continue to  set  out
  the  full text of the repealed lobbying act through December 31, 2000 in
  order that lobbyists who were subject to the former lobbying act may  be
  adequately apprised of the responsibilities and obligations imposed upon
  them as continued by sections 5 and 7 of chapter 2 of the laws of 1999.

  
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Last modified: September 11, 2016