N.Y. Comp. Codes R. & Regs. tit. 19 § 943.15

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

Section 943.15 - [Effective 1/1/2025] Late Filings

(a) Pursuant to sections 1- e, 1-h, 1-i, 1-j, and 1-l of the Lobbying Act, the Commission may impose a fee for a late filing of a Statement of Registration, Registration Amendment, Bi-Monthly Report, Client SemiAnnual Report, and Disbursement of Public Monies Report.

(b) Any Statement of Registration, Registration Amendment, Bi-Monthly Report, Client Semi-Annual Report, or Disbursement of Public Monies 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
15-30days	$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

(c)

(i) With respect to Statements of Registration, a Lobbyist is considered a First-Time Filer only when the Lobbyist is required to file a Statement of Registration for the first time. First-Time Filer status applies to the first Statement of Registration received by the Commission from such Lobbyist and any other Statements received from such Lobbyist on that same day.

(ii) With respect to Bi-Monthly Reports, a Lobbyist is considered a First-Time Filer only when the Lobbyist is required to file a Bi-Monthly Report for the first time. First-Time filer status applies to the first BiMonthly Report received by the Commission from such Lobbyist and any other Reports received from such Lobbyist on that same day.

(iii) 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. First-Time Filer status applies to the first Client Semi- Annual Report received by the Commission from such Client and any other Reports received from such Client on that same day.

(d) Upon a determination that a filing is late, the Commission will send the Lobbyist or Client a billing notice stating such determination and assessing the late filing fee.

(1) The Commission may send up to three billing notices.

(2) Each billing notice will indicate that the Lobbyist or Client may request a waiver or reduction of a late filing fee, subject to the eligibility requirements set forth in this section.

(e) Eligibility for a Waiver or Reduction of Late Filing Fee.

(1) The Commission may consider a Lobbyist or Client's request for a waiver or reduction of late fees if one or more of the following has occurred:

(i) The death or serious illness of the Responsible Party or immediate family member thereof; or

(ii) A force majeure, including an extraordinary event or circumstance beyond the Responsible Party's control, such as a natural disaster or epidemic; or

(iii) Other mitigating factor that reasonably impacted the Lobbyist's or Client's ability to submit timely.

(2) If a Lobbyist or Client is eligible for a waiver or reduction pursuant to paragraph (1) of this subdivision, the Commission must consider the following factors when determining whether to grant or deny a waiver or reduction of late fees:

(i) Whether and how often the Lobbyist or Client has filed late in the past;

(ii) Whether the Lobbyist or Client has received a waiver or fee reduction in the current or previous biennial period;

(iii) The Lobbyist or Client organization's annual operating budget, as applicable, which means the estimated income and expenditures of the organization;

(iv) Whether the Lobbyist, as applicable, lobbies solely on its own behalf;

(v) For periodic reports, the number of lobbying matters and the amount of compensation and expenditures that were not timely reported during the relevant time period; and

(vi) the significance and reasonable impact of the event or occurrence, as described in subdivision (e)(1)(i)-(iii), upon the Lobbyist's or Client's ability to timely file the statements or reports.

(3) A Lobbyist or Client seeking a waiver or reduction of a late filing fee must submit the following to the Commission:

(i) A Late Fee Waiver Application, on a form supplied by the Commission, submitted by the Lobbyist or Client's Responsible Party; and

(ii) An affidavit providing:

(a) A narrative detailing the cause of the late filing, within the context of the eligibility requirements set forth in subdivision (e)(1)(i)-(iii);

(b) The applicant's annual operating budget, as applicable;

(c) Whether the applicant lobbies solely on its own behalf or also utilizes Retained Lobbyists;

(d) For periodic reports, the number of lobbying matters and the amount of compensation and expenditures that were not reported timely during the relevant period;

(e) How the applicant plans to mitigate risk of future late filings; and

(f) Any other factors the applicant deems helpful to the Commission relating to its analysis and determination.

(iii) The Commission may request additional evidence to support any statements made in the affidavit.

(4) The Late Fee Waiver Application and affidavit must be received by the Commission no later than the due date provided by the Commission in the third and final billing notice.

(5) The Commission will notify the applicant in writing of its determination regarding a Late Fee Waiver Application as soon as practicable. Any such determination made by the Commission is final.

(6) If a waiver or reduction request is denied, payment of the applicable late filing fee must be made no later than thirty (30) days from the date of the Commission's notice of denial.

(f) Technical Failure Causing Late Filing

(1) If there is a system-wide problem with the Commission's online Lobbying Application, the Commission may extend the applicable filing deadline to a date established by the Commission upon consideration of the nature and length of the system-wide problem.

(2) If, on the date a statutory filing is due, a Lobbyist or Client is unable to file a Statement or Report due to a technical failure of the Lobbying Application, the Lobbyist of Client may avoid a late filing fee and be granted a technical extension by the Commission only when:

(i) The Lobbyist or Client contacts the Commission before the filing deadline to resolve the technical issue that is preventing the filing of a Statement or Report by the filing deadline.

(ii) If, after the consultation described in subparagraph (i), the Lobbyist or Client remains unable to file the Statement or Report, the Lobbyist or Client must submit, by email, proof of the technical failure, no later than the close of business on the date of the filing deadline.

(iii) The following are acceptable as proof of a technical failure:

(a) A screenshot from the Commission's Lobbying Application containing the error message received when the filing was attempted;

(b) Evidence of electronic communications between the Lobbyist or Client and the Commission determining that a technical failure occurred and remains unresolved as of the filing deadline; or

(c) Similar evidence of a technical failure that the Commission deems appropriate.

(iv) Lobbyists or Clients who are unable to file a Statement or Report due to a technical failure of the Commission's Lobbying Application after the close of the Commission's office hours on the filing deadline may avoid a late filing fee and be granted a technical extension if they submit a time-stamped screenshot or photograph of the Commission's Lobbying Application display showing both the error message and that the time of the attempted filing was prior to the filing deadline.

(v) Under no circumstances will the following be considered a technical failure:

(a) Failure of the Lobbyist or the Client to change its Responsible Party;

(b) The Responsible Party's inability to retrieve, change or reset its password;

(c) Any technical failure that is reported after the filing deadline; or

(d) A Filing that has been saved in the Commission's Lobbying Application but has not been submitted.

(g) Late Fees and Penalties.

(1) Failure to file a Statement of Registration, Registration Amendment, Bi-Monthly Report, Client Semi-Annual Report, or Disbursement of Public Monies Report in a timely manner, as required by this Title, may also subject the Lobbyist or Client to civil penalties as prescribed in section 1-o(b)(i) of the Lobbying Act.

(2) Any outstanding late filing fees owed to the Commission by a Lobbyist or Client totaling $500 or more may be referred to the Attorney General's Office for collection.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 943.15

Adopted New York State Register July 17, 2024/Volume XLVI, Issue 29, eff. 1/1/2025