Public Corporation (2018 and Prior Years)

A municipal corporation, including counties, cities, towns, villages and school districts, a district corporation, and a public benefit corporation as defined in section sixty-six of the N.Y. General Construction Law. 

Please see "Filing Information and Requirements" section for information related to the following topics:

• Forms
• Filing Fees
• Online Filing System
• Records Retention Requirements
• Late Fees
• Penalties

On September 20, 2018, the Commission hosted a Lobbying Overview Training session for Lobbyists, Clients of Lobbyists, Public Corporations, and other interested parties regarding the Commission's comprehensive lobbying regulations, which go into effect January 1, 2019.

For more information, go to the 'Lobbying Overview Training' page. 

Gifts to Public Officials

In general, you cannot offer or give a gift to any Public Official. It is only permissible to offer or give the gift if, under the circumstances, all of the following criteria are met:

• it is not reasonable to infer that the gift was intended to influence the Public Official; and
• the gift could not reasonably be expected to influence the Public Official, in the performance of his or her official duties; and
• it is not reasonable to infer that the gift was intended as a reward for any official action on the Public Official’s part.

In addition, no Lobbyist or Client may re-direct a gift to a third party, including a Charitable Organization, on behalf of or at the direction of a Public Official if such gift cannot be offered directly to the Public Official. Multiple permissible gifts given to a Public Official may also violate the gift prohibition if it can be reasonable to infer that the multiple gifts collectively were given with the intent to or could reasonably be expected to influence the Public Official or reward such Official’s actions.

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.

Certain items are excluded and are not considered Gifts, including:

• Food or beverage valued at $15 or less per occasion
• Gifts from family members or friends
• Promotional items with no substantial resale value
• Awards, plaques or other ceremonial items
• Meals for participants at a professional or educational program
• Complimentary attendance, including food and beverage, at a bona fide charitable event or a bona fide political event
• Complimentary attendance, including food and beverage, offered by the sponsor of a Widely Attended Event

Any Lobbyist, Public Corporation, or Client who violates this prohibition may be subject to civil penalties of up $25,000 or three times the value of the gift and/or a class A misdemeanor for a first violation, and a class E felony for a second violation within five years of the first.  Any Lobbyist convicted of or pleading guilty to such a felony may be barred from engaging in procurement lobbying for a period of one year from the date of the conviction.

For more details on gifts, see the Commission’s regulations at 19 NYCRR Part 934. 

Public Service Announcements

Generally, a public service announcement ("PSA") is a communication that is designed to promote programs, activities, or services of nonprofit organizations or federal, state, or local governments, or imparts information generally regarded as serving the public interest.

The Commission adopted regulations at 19 NYCRR Part 940 to provide guidance as to what constitutes a PSA; to clarify that an appearance in a PSA does not ordinarily constitute a “gift” under the Lobbying Act or the Public Officers Law; and to place limitations on when certain individuals – referred to as “Covered Officials” – who are also Candidates may appear in PSAs.

Examples of PSAs include, but are not limited to, communications regarding nonprofit or governmental outreach or awareness activities such as: breast cancer screening; heart disease prevention; domestic violence awareness and prevention; energy conservation; organ donation; emergency or other disaster relief; programs designed to encourage reading; job training and job fairs; and fund drives for charitable activities.

Covered Officials, as defined in Part 940, are prohibited from appearing in a PSA within 90 calendar days of an election in which he or she is a Candidate.  A knowing violation of this provision may subject the Covered Official to penalties contained in the Public Officers Law.

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. A violation of this provision can result in a civil penalty of up to $10,000 or the value of the contingent fee, as well as a Class A misdemeanor.

Are Public Corporations required to register in New York State?

The Lobbying Act requires public disclosure of the identities, activities, and expenditures of Lobbyists.  Every Public Corporation that reasonably anticipates incurring, expending, or receiving more than $5,000 in combined Reportable Compensation and Expenses for Lobbying Activity on a State and/or local level, in any calendar year during the biennial period is required to register and report with the Commission, regardless of when the threshold is reached during the biennial period.  

For purposes of determining whether the $5,000 threshold has been or will be met, a Public Corporation must calculate the reportable Compensation and Expenses for Lobbying Activities, whether it be before the State and/or a Municipality, in any calendar year during a biennial period (i.e., computed cumulatively).

Please note:  Individuals identified as Lobbyists must complete regular ethics training at least in once in any three-year period during which they are registered as a Lobbyist with JCOPE.  

Who must be listed as an additional Lobbyist on a Public Corporation Statement of Registration?

All individuals authorized to lobby by a Public Corporation must be listed as additional Lobbyists on the Registration.

Please note: Lobbyists who are retained by a Public Corporation must register separately with the Commission.

When is a Public Corporation required to register?

• BY JANUARY 1 of the first year of the biennial period if the Public Corporation has employed or designated Lobbyists to provide services under an agreement that is in effect both before December 15 of the year immediately preceding the first year of a biennial registration period and after January 1 of the first year of a biennial registration period, and the Public Corporation reasonably anticipates combined Reportable Compensation and Expenses in excess of $5,000 for Lobbying Activities to be undertaken in the coming year.  The Public Corporation must ensure they have registered for all corresponding biennial registration periods.

• Public Corporations that have employed, or designated Lobbyists to Lobby after December 15 of the year preceding the first year of the biennial period, for activity in either year of the biennial period, are required to submit a biennial Statement of Registration within fifteen (15) days of the date on which the Public Corporation has authorized employed or designated Lobbyists to begin Lobbying Activity.

• If the Public Corporation actually expends, incurs or receives more than $5,000 of combined Reportable Compensation and Expenses, a Statement of Registration must be submitted no later than ten (10) days after exceeding the threshold.

Please note:  Timely reports are those that are received by the Commission’s office on or before the due date.  If a report is due on a weekend or a State holiday, the report must be received in the Commission's office on the first business day following the weekend or State holiday.  The Commission does not consider the postmarked date or declaration signature date as the date of receipt for filings.

Is there a Registration filing fee?

No.  Public Corporations are not required to submit a filing fee with their Biennial Public Corporation Statement of Registration.

Every Registration must disclose the following information:

• the name of the Public Corporation;
• the Public Corporation information, including the business addresses, phone and email contacts, the nature of business, and the Chief Administrative Officers’ names and titles;
• the names of all employed or designated Lobbyists authorized to perform lobbying services on behalf of the Public Corporation;
• the subject matter on which the Public Corporation expects to Lobby;
• the target(s) of the expected Lobbying, including the person, organization, entity, or legislative body before which the Public Corporation intends to Lobby;
• the government activity on which the Lobbying is expected to occur, which shall include the following:
  • bill, rule, regulation, rate number or brief description relative to the introduction or intended introduction of legislation or a resolution;
  • the title and identifying numbers of Procurement Contracts/documents or a general description of the Procurement;
  • the number or subject matter of an Executive Order of the Governor or Municipality; and
  • the subject matter of and tribes involved in tribal-state compacts;
• the level of government expected to be lobbied (State lobbying, local Lobbying or both);
• any Reportable Business Relationships.

Every Statement of Registration must include the following:

An executed Lobbying Agreement form, or a copy of a signed, written Lobbying agreement or written authorization. Copies of Lobbying agreements or written authorizations must contain the following:

1. 1. A start date, which is the first date the Public Corporation has agreed to or authorized Lobbyists to Lobby;
   2. Signatures of the Responsible Party for the Public Corporation, or another person with the authority to enter the Public Corporation into a binding contract;
   3. The date(s) of execution;
   4. A statement indicating that other services will be provided in addition to Lobbying, if applicable;
   5. A termination (end) date, which is the last date the Public Corporation has agreed to or authorized Lobbyists to Lobby;
      1. in the case of a month-to-month agreement, the termination (end) date shall be presumed to be the end of the current biennial period, unless otherwise specified; and
   6. The Compensation to be paid specifically for Lobbying services, including pay frequency and/or rate of pay.
      1. If the Lobbyist is a salaried employee, the Lobbyist’s prorated salary for Lobbying Activity must be reported.

A Statement of Registration is not deemed to be received unless and until the Statement is complete and an executed Lobbying Agreement.

Agreements or written authorizations may be mailed to the following address:

NYS Joint Commission on Public Ethics
540 Broadway
Albany, New York 12207

The Lobbying Act states that any Public Corporation required to file a Statement of Registration in a biennial period must also file Bi-monthly Reports, regardless of Compensation, Expenses, or Lobbying Activity.

Public Corporations must also include information pertaining to the Activity, Compensation and Expenses for any Retained Lobbyists in the Bi-Monthly Report.

Is a Bi-monthly Report still required to be filed if the Public Corporation does not have any reportable Compensation or Expenses for the reporting period?

Yes.  The Lobbying Act requires that a Bi-monthly Report be filed for each reporting period, even if no Compensation or Expenses have been paid or incurred.  Expense and Compensation fields should be completed with zeros for such periods.

NOTE: There is NO minimum activity or expenditure threshold requirement for filing any Bi-monthly Report.  Consequently, a Bi-monthly Report is required to be filed regardless of whether Compensation and Expenses were incurred, received or expended, or Lobbying Activity was engaged in during the two months covered by the Bi-monthly Report.  If Lobbying Activities terminated, the Public Corporation is required to file all required reports by their statutory due dates, reporting all Lobbying Activity up to the effective date of termination.

Bi-monthly Report due dates

The first Bi-monthly Report is due by the 15^th day of the month following the end of the relevant reporting period.  There are twelve reporting periods in every two-year registration cycle.

Please note: Timely reports are those that are received by the Commission's office on or before the due date.  If a report is due on a weekend or a State holiday, the report must be received in the Commission's office on the first business day following the weekend or State holiday.  The Commission does not consider the postmarked date or declaration signature date as the date of receipt for filings.

Is the January/February Bi-monthly Report always the first Bi-monthly Report required to be submitted?

No.  The first Bi-monthly Report required for submission is determined by either:

1. The date on which the Public Corporation has employed or designated Lobbyists to begin Lobbying Activity if the Public Corporation reasonably anticipates combined Reportable Compensation and Expenses in excess of $5,000 for Lobbying Activities to be undertaken in the calendar year.  The start date can dictate which Bi-monthly Report is required to be filed first.

1.1 Example.  If the start date is January 1, the January/February Bi-monthly Report is the first Report required to be filed.

OR

2. The date on which the Public Corporation incurs, expends, or receives more than $5,000 in combined Reportable Compensation and Expenses for Lobbying Activity on a State and/or local level.  Exceeding the threshold can also dictate which Bi-monthly Report is required to be filed first.

2.1 Example.  If you began lobbying January 1, and did not anticipate exceeding the threshold, but then did exceed in the month of May, the first Bi-Monthly Report filed is the Report covering the May - June time period (due July 15).  This Bi-monthly Report must disclose all Lobbying Activities engaged in, Compensation received, and Expenditures incurred from January (when actual Lobbying Activity began) through June (after the threshold was exceeded).  Thereafter, each Bi-Monthly Report will only disclose Lobbying Activities, Compensation and Expenditures engaged, received or incurred within the applicable 2-month time period.

In summary, if the first required Bi-monthly Report filed by a Public Corporation for a calendar year is not the Report covering the January – February period (due March 15), the Report should disclose all Lobbying Activities engaged in, Compensation received, and Expenditures incurred during the year up to and including the period covered by the Report.

Every Bi-monthly Report must disclose the following information:

1. The name, address, and telephone number of the Public Corporation;
2. The names of all Lobbyists engaged in Lobbying Activities on behalf of the Public Corporation, including their address, and telephone number;
3. The subject matter(s) on which Lobbying occurred; and
4. The governmental action that the Lobbyist Attempted to Influence which shall include the following, as applicable:
   1. The bill, rule, regulation, or rate number, if available, on which Lobbying occurred;
   2. The title and identifying numbers of Procurement Contracts/documents on which Lobbying occurred;
   3. The number or subject matter of an Executive Order of the Governor or Municipality on which Lobbying occurred;
   4. The subject matter of and tribes involved in tribal-state compacts on which Lobbying occurred; and /or
   5. 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.
5. The name of the person, organization, or legislative body before which the Public Corporation, or its lobbyists, has lobbied.
6. All reportable Lobbying Compensation and Expenses (as defined) paid or owed by the Public Corporation for the current period only.

Are Public Corporations required to file Disbursement of Public Monies Reports?

Yes.  The Lobbying Act states a NYS Lobbyist Disbursement of Public Monies Report (DPM) must be completed by a Public Corporation when:

• the Public Corporation is otherwise already required to file a Statement of Registration with the Commission; and
• reasonably anticipates that during the calendar year they will expend, incur, or receive combined Reportable Compensation and Expenses in an amount in excess of $5,000 in connection with:
  • any attempts to influence a determination by a Public Official, or by a person or entity working in cooperation with a Public Official with respect to the solicitation, award or administration of a grant, loan, or agreement involving the Disbursement of Public Monies in excess of $15,000, other than a governmental procurement as defined in Section 1-c.

The $5,000 threshold relates only to Compensation and Expenses attributable to the activities described above, and is in addition to and separate from the similar threshold for registration set forth in Section 1-e of the Lobbying Act.

Is a DPM Report still required to be filed if a registered Public Corporation does not have any DPM reportable Compensation or Expenses for the reporting period?

No.  DPM Reports are only required to be filed for Bi-monthly reporting periods during which the Public Corporation has made any Attempts to Influence a Public Official, or by a person or entity working in cooperation with a Public Official with respect to the solicitation, award or administration of a grant, loan, or agreement involving the Disbursement of Public Monies in excess of $15,000, other than a governmental procurement as defined in Section 1-c, regardless of whether the grant, loan or agreement payment is received.

What are the DPM reporting periods and when are they due?

These separate reports are required to be filed in accordance with the same schedule applicable to the filing of Bi-monthly Reports.  The first DPM Bi-monthly is due by the 15th day of the month following the end of the relevant reporting period.

DPM due dates:

Please note:  Timely reports are those that are received by the Commission's office on or before the due date.  If a report is due on a weekend or a State holiday, the report must be received in the Commission's office on the first business day following the weekend or State holiday.  The Commission does not consider the postmarked date or declaration signature date as the date of receipt for filings.

DPM Reports must disclose the following information:

1. The name, address, and telephone number of the Public Corporation and the individuals employed by the Public Corporation engaged in such Public Monies Lobbying Activities;
2. A description of the grant, loan, or agreement involving the Disbursement of Public Monies on which the Public Corporation has lobbied;
3. The name of the person, organization, or legislative body before which the Public Corporation has engaged in Public Monies Lobbying Activities; and
4. All reportable Compensation paid or owed to the Lobbyist, and any Expenses expended, received or incurred by the Public Corporation, related to Public Monies Lobbying Activities.

Is a Public Corporation required to file a Client Semi-Annual Report?

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 that is registered as a lobbyist is not required to also file a Client Semi-Annual Report.

However, a Public Corporation that only retains a Lobbyist or Lobbyists, and reasonably anticipates that during the year an amount in excess of $5,000 in combined Reportable Compensation and Expenses for Lobbying will be expended or incurred, is required to file a Client Semi-Annual Report.

Public Corporations that are required to file a Client Semi-Annual Report must also disclose:

• any Reportable Business Relationships
• Source of Funding Disclosures

What is required if a lobbying agreement terminates before the end of the biennial registration period?

Section 1-g of the Lobbying Act generally requires written notification of the termination within 30 days of the termination date.

However, if the contract terms expire at the end of the biennial registration period, written notification of a termination is not required.

In addition, all required reports must be filed by their statutory due dates, reporting all Lobbying Activity up to the effective date of termination.

Can an Approved Termination be withdrawn after submission?

Yes.  A Public Corporation may request withdrawal of a Termination if Lobbying Activities will resume during the biennial registration cycle.

Once the Termination is 'withdrawn' (rejected), an Amended Public Corporation Statement of Registration form must be completed and filed within 10 days of the change, and include a 'new' written agreement or written authorization.

Withdrawal requests must be signed and/or submitted via email by the responsible person, or designated person.  Determination of a withdrawal request is made at the discretion of the Commission.

What if an additional Lobbyist terminates their relationship with the Public Corporation?

If an additional Lobbyist will no longer be a part of the lobbying effort, then a Termination for the additional Lobbyist must be completed for the Registration in which the additional Lobbyist’s name appears.  The terminated additional Lobbyist’s name will immediately be removed from the applicable Registration upon submission in the Online Filing System.  However, the terminated additional Lobbyist’s name will continue to appear on any previously submitted Filings which their name had been listed on.

Please be aware if the terminated additional Lobbyist is required to be listed on the next Bi-monthly Report, do not submit the Termination until after the Bi-monthly Report has been submitted so the additional Lobbyist’s name will appear on the Report.

The terminated additional Lobbyist’s name will also continue to appear on the list of additional Lobbyists in the Profile, unless a Profile Update is submitted to remove the additional Lobbyist’s name.  Once the additional Lobbyist name is removed from the Profile, the Lobbyist’s name will not be available for selection on any future Filings.

However, if the additional Lobbyist’s name remains on the list of additional Lobbyists in the Profile, their name will be available for selection on future Registrations.  The additional Lobbyist’s name will not be available for selection on future Bi-monthlies unless a Registration Amendment is submitted and processed.

A terminated additional Lobbyist may be re-added as an additional Lobbyist at any time by submitting a Profile Update and a Registration Amendment (or Registration Amendments) to add the Lobbyist’s name again.  However, if the additional Lobbyist’s name was not previously removed from the Profile, only a Registration Amendment needs to be submitted to re-add the Lobbyist’s name.  Please be aware the additional Lobbyist’s name will not populate to a future Bi-monthly Report until the Registration Amendment is processed.

RECAP – TO REMOVE ADDITIONAL LOBBYIST:

1. Submit a Termination for the Registration in which the additional Lobbyist’s name appears (making sure to only submit the Termination after submission of any Bi-monthly Report in which the additional Lobbyist must be listed).
2. Submit a Profile Update to remove the additional Lobbyist’s name.

RECAP – TO ADD BACK AN ADDITIONAL LOBBYIST:

1. Submit a Profile Update to add the additional Lobbyist’s name (if it had been previously removed from the Profile).
2. Submit a Registration Amendment to add the additional Lobbyist’s name.

NOTE:  This may also require submission of an amended agreement/authorization.

DISCLAIMER

The following sample letters are provided and intended to aid the lobbying community. They may not cover every possible situation that may occur. If additional assistance is required, Commission staff should be contacted. The content of all correspondence is the responsibility of the sender and is subject to review and final approval by the NYS Joint Commission on Public Ethics.