N.Y. Comp. Codes R. & Regs. tit. 19 § 933.2

Current through Register Vol. 46, No. 50, December 11, 2024

Section 933.2 - Definitions

(a)Bona fide charitable event shall mean a function the primary purpose of which is to provide financial support to a charitable organization.

(b)Bona fide political event shall mean a function the primary purpose of which is to provide financial support to political organization(s) or political candidate(s).

(c)Charitable organization shall mean:

(1) an entity as defined in Executive Law section 171-a(1) that is registered with the Office of the Attorney General, as required by Executive Law section 172, unless otherwise exempted from filing pursuant to Executive Law section 172-a; or

(2) an entity organized and operated exclusively for charitable purposes and qualified as an exempt organization by the United States Department of Treasury under section 501(c)(3) of the Internal Revenue Code; or

(3) a person who requests contributions for the relief of any individual, specified by name at the time of the solicitation, if all of the contributions collected, without any deductions whatsoever, are paid to or for the benefit of the named beneficiary, provided the individual has submitted a form entitled "charitable solicitation for the relief of an individual" with the Charities Bureau of the Office of Attorney General prior to the event.

(d)Client shall mean every person or organization as defined in section 1-c(b) of article 1-A of the Legislative Law.

(e)Commission shall mean the New York State Joint Commission on Public Ethics.

(f)Complimentary attendance shall mean the waiver of all or part of a registration or admission fee, or waiver of all or part of a fee or charge for the provision of food, beverages, entertainment, instruction, or materials. Complimentary attendance shall include the awarding of continuing education credits or certification for attendance at a program provided such credits or certification are offered to all attendees. Complimentary attendance shall not include travel, lodging, or items of more than nominal value. For a State officer or employee (as defined in subdivision [v] of this section), the acceptance of payment or reimbursement for travel or lodging is governed by Part 931 of this Title.

(g)Covered person shall mean:

(1) State officer or employee as defined in subdivision (v) of this section;

(2) legislative employee as defined in subdivision (m) of this section; or

(3) legislative member as defined in subdivision (n) of this section.

(h)Educational program shall mean formal instruction provided to attendees. Factors to be considered in assessing whether a program is educational include, but are not limited to: the curriculum; whether the entity providing the program, or the instructors, are accredited, certified, or otherwise qualified to provide the program; to whom the program is presented to; and where and how the program is presented.

(i)Family member of any covered person shall have the same meaning as the term relative set forth in Public Officers Law section 73(1)(m).

(j)Gift shall mean anything of more than nominal value in any form including, but not limited to: money; service; loan; travel; lodging; meals; refreshments; entertainment; discount; or a forbearance of an obligation or a promise that has a monetary value. Notwithstanding the preceding sentence, the exclusions contained in section 933.4 of this Part are not gifts and do not need to be analyzed under section 933.3 of this Part.

(k)Informational event shall mean an event or meeting the primary purpose of which is to provide information about a subject or subjects related to a covered person's official responsibilities.

(l)Interested source shall mean any person or entity who on his or her own behalf, or on behalf of an entity, satisfies any one of the following:

(1) is regulated by, negotiates with, appears before in other than a ministerial matter, seeks to contract with or has contracts with, or does other business with:

(i) the legislative member, the legislative employee, or the State officer or employee, in his or her official capacity;

(ii) the State agency with which the State officer or employee is employed or affiliated; or

(iii) any other State agency when the State officer or employee's agency is to receive the benefits of the contract; or

(2) with respect to a legislative member or a legislative employee, is required to be listed on a statement of registration pursuant to section 1-e(a)(1) of article 1-A of the Legislative Law, or is the spouse or unemancipated child of any person required to be listed on a statement of registration pursuant to section 1-e(a)(1) of article 1-A of the Legislative Law; or

(3) with respect to State officers and employees, is required to be listed on a statement of registration pursuant to section 1-e(a)(1) of article 1-A of the Legislative Law and lobbies or attempts to influence actions, decisions, or policies of the State agency with which the State officer or employee is employed or affiliated; or

(4) with respect to State officers and employees, is the spouse or unemancipated child of any individual satisfying the requirements of paragraph (3) of this section; or

(5) is involved in any action or proceeding, in which administrative and judicial remedies thereto have not been exhausted, and which is adverse to either:

(i) the State officer or employee in his or her official capacity; or

(ii) the State agency with which the State officer or employee is employed or affiliated; or

(6) has received or applied for funds from the State agency with which the covered person is employed or affiliated at any time during the previous 12 months up to and including the date of the proposed or actual receipt of the item or service of more than nominal value.

(m)Legislative employee shall mean any officer or employee of the New York State Legislature but it shall not include any Legislature member.

(n)Legislative member shall mean any elected member of the New York State Legislature.

(o)Lobbyist shall mean every person or organization as defined in section 1-c(a) of article 1-A of the Legislative Law.

(p)Ministerial matter shall mean an administrative act carried out in a prescribed manner not allowing for substantial personal discretion.

(q)Nominal value is not defined in the Public Officers Law or Legislative Law article 1-A. The commission, however, generally deems an item or service with a fair market value of $15 or less as having a nominal value.

(r)Political candidate shall mean any individual meeting any of the requirements in Public Officers Law section 73-a(2)(a)(iii)-(viii), including the current office holder.

(s)Political organization shall mean any entity that is affiliated with or a subsidiary of a political party including, without limitation, a partisan political club or committee, or a campaign or fund-raising committee for a political party or political candidate.

(t)Professional program shall mean a program that provides information, such as trends in an industry or discipline, which would benefit the administration or operation of the State and would enable a covered person to perform his or her duties more effectively. It shall not include a program, the primary purpose of which is the promotion or marketing of products or services for purchase or lease by the State.

(u)State agency shall mean any civil department; State department; or division, board, commission, or bureau of any State department or civil department; any public benefit corporation, public authority, or commission at least one of whose members is appointed by the Governor. State agency shall also include the State University of New York or the City University of New York, including all their constituent units except:

(1) community colleges of the State University of New York; and

(2) the independent institutions operating statutory or contract colleges on behalf of the State.

(v)State officer(s) or employee(s) shall mean:

(1) statewide elected officials (governor, lieutenant governor, comptroller, and attorney general of the State of New York);

(2) heads of civil departments and State departments and their respective deputies and assistants other than members of the Board of Regents of the University of the State of New York who receive no compensation or are compensated on a per diem basis;

(3) officers and employees of statewide elected officials;

(4) officers and employees of State departments, boards, bureaus, divisions, commissions, councils, or other State agencies other than officers of such boards, commissions or councils who receive no compensation or are compensated on a per diem basis;

(5) employees of public authorities (other than multi-state authorities), public benefit corporations, and commissions at least one of whose members of such public authorities, public benefit corporations, and commissions is appointed by the governor; and

(6) members or directors of public authorities (other than multi-state authorities), public benefit corporations, and commissions identified in paragraph (5) of this subdivision who receive compensation other than on a per diem basis.

(w)Widely attended event shall mean an event as defined in section 933.4(a)(7)(i) of this Part.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 933.2

Adopted, New York State Register, Volume XXXVI, Issue 24, effective 6/18/2014