N.Y. Comp. Codes R. & Regs. tit. 19 § 943.12

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

Section 943.12 - [Effective until 1/1/2025] Client Semi-Annual Report

(a) Reporting Periods and Due Dates. The two reporting periods for Client Semi-Annual Reports are as follows:

(1) January 1 - June 30, for which the Report is due by July 15^th; and

(2) July 1 - December 31, for which the Report is due by January 15^th.

(b) Late Fees and Penalties. Failure to file a Client Semi-Annual Report in a timely manner as required by this section subjects the Client to civil penalties as prescribed by section 1- o(b)(i) of the Lobbying Act and/or late fees as prescribed in section 1-j(c)(iii) of the Lobbying Act. In addition, the submission of false filings subjects the Lobbyist or Client to a civil penalty as prescribed by section 1-o(b)(ii) of the Lobbying Act.

Any Client Semi-Annual Report that is not timely filed will be subject to the late fee schedule set forth below:

Days Late	Action
	First-Time Filer	All Other Filers
1 - 7 days	Grace Period/No Late Fee
8 - 14 days	$75 flat late fee	$150 flat late fee
15 - 30 days	$150 flat late fee	$300 flat late fee
31 - 90 days	$300 flat late fee	$500 flat late fee
91 - 180 days	$500 flat late fee	$1,000 flat late fee
181 days and more	$1,000 flat late fee	$2,000 flat late fee

A Client is considered a First-Time Filer only when the Client is required to file a Client Semi-Annual Report for the first time.

(c) Filing Fee. Each Client Semi-Annual Report must be accompanied by a $50 non-refundable filing fee (payable in US dollars). No additional filing fee is required for amended Client Semi-Annual Reports provided an original fee is on file for that period.

(d) When Required.

(1) A Client Semi-Annual Report must be filed by any Client retaining, employing or designating a Lobbyist or Lobbyists, whether or not any such Lobbyist was required to file a Statement of Registration or Bi-Monthly Report, if it is reasonably anticipated that during the year an amount in excess of $5,000 in combined Reportable Compensation and Expenses for Lobbying will be expended or incurred.

(i) If a Client is required to file a Client Semi-Annual Report solely by virtue of its status as a Lobbying Organization, i.e., through its use of Employed or Designated Lobbyists, and the Client has filed Lobbyist Bi-Monthly Reports for the bi-monthly reporting periods that fall in the same Client semi-annual reporting period, then no Client Semi-Annual Report is required, other than source of funding disclosures prescribed by Part 938 of this Title and section 1-j(c)(4) of the Lobbying Act.

(2) If the $5,000 reporting threshold is exceeded in the January/June period, then a July/December Client Semi-Annual Report must be filed even if no further monies are expended, unless the written agreement or authorization with the Client's Lobbyist is terminated on or before June 30th.

(3) If a January/June Client Semi-Annual Report is filed and the $5,000 reporting threshold has not been met for the year, then a July/December Client Semi-Annual Report is not required.

(e) Responsible Party. The Responsible Party of the Client or another duly designated and reported to the Commission (prior to the due date for such Report) is responsible for signing and filing all Client reports. Any such designation must be signed by the Responsible Party and Designee.

(f) Contents of a Client Semi-Annual Report. A Client Semi-Annual Report must include the following information:

(1) The type of Lobbying which shall indicate whether the Lobbying involved non-procurement Lobbying, Procurement Lobbying or both;

(2) The Client Information which shall include the Client's name, address, e-mail address, and business and fax numbers

(i) If the Report relates to Lobbying on behalf of a Structured Coalition or a Member of an Unstructured Coalition, the Client information for Contractual and Beneficial Clients shall be governed by the rules set forth in Section 943.9(h)(3)(iv) and (v);

(3) The Lobbyist Information which shall include the type of Lobbyist, level of government lobbying (State and/or local), Lobbyist name and address;

(4) All Reportable Expenses (as defined in section 943.9) expended, received or incurred for Lobbying for the current period only;

(5) All Reportable Lobbying Compensation (as defined in section 943.9) paid or owed to Lobbyists, including Retained Lobbyists, Employed Lobbyists, and Designated Lobbyists, for the current period only;

(6) The identities of any Co-Lobbyists or Sub-Lobbyists as described in subsection 943.9(h), if applicable;

(7) The subject matter(s) on which Lobbying occurred;

(8) The governmental action that the Client or the Client's Lobbyist Attempted to Influence which shall include the following, as applicable:

(i) The bill, rule, regulation, or rate number, if available, on which Lobbying occurred;

(ii) The title and identifying numbers of Procurement Contracts/documents on which Lobbying occurred;

(iii) The number or subject matter of an Executive Order of the Governor or Municipality on which Lobbying occurred;

(iv) The subject matter of and tribes involved in tribal-state compacts on which Lobbying occurred; and/or

(v) In the event Lobbying is conducted in order to influence the introduction, intended introduction, or issuance of State legislation or a State resolution, a brief description of such activity.

(9) The name of the person, organization, or legislative body before which the Client or Client's Lobbyist has lobbied:

(i) In the case of Direct Lobbying, the name of the Public Official or Public Official's office or the legislative committee, as applicable, with whom the Client or Client's Lobbyist engaged in direct communication;

(ii) In the case of Grassroots Lobbying, the intended target of the Lobbying Activity, which may be a person, State Agency, Municipality or legislative body;

(10) Any Reportable Business Relationships in accordance with and as defined in section 943.14, provided, however, Clients who Lobby on their own behalf need only report such relationships in their Lobbyist Statement of Registration; and

(11) Any Sources of Funding, if applicable, in accordance with Part 938 of this Title.

(g) Public Corporations. Notwithstanding the provisions of this section, a Public Corporation that is required to file a Statement of Registration under section 1-e of the Lobbying Act is required to file Bi-Monthly Reports that disclose information on any Retained Lobbyists; as a result, the Public Corporation is not required to file a Client Semi-Annual Report.

(h) Withdrawals.

(1) A Client may request that a Semi-annual Report be withdrawn, provided the request is made consistent with and meets the criteria set forth in procedures implemented by the Commission.

(2) A Semi-Annual Report that has been withdrawn pursuant to this subpart is not considered information provided by a Lobbyist under Section 1-s of the Lobbying Act.

(i) A Client has a duty to amend a Semi-Annual Report after a change to the information filed, including when a previously reported payment is written down, written off, or otherwise modified for bookkeeping purposes. However, after the termination of the Agreement, any decision by a Lobbyist to write down, write off, or otherwise modify a previously reported payment does not require an Amended Semi- Annual Report.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 943.12

Adopted 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