Legislation
SECTION 1-E
Statement of registration
Legislative (LEG) CHAPTER 32, ARTICLE 1-A
§ 1-e. 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 for years prior to two thousand
six and in excess of five thousand dollars in the year two thousand six
and the years thereafter of reportable compensation and expenses, as
provided in paragraph five of subdivision (b) of section one-h of this
article, 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 in this section shall
be construed to relieve any public corporation of the obligation to file
such statements and reports as required by this article. The amounts
expended, incurred, or received of reportable compensation and expenses
for lobbying activities shall be computed cumulatively for all lobbying
activities when determining whether the thresholds set forth in this
section have been met.
(2) (i) Through calendar year two thousand three, 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.
(ii) For calendar year two thousand four, such filings 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, two thousand three 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, two thousand three, 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.
(3) Commencing calendar year two thousand five and thereafter every
lobbyist shall biennially file with the commission, on forms provided by
the commission, a statement of registration for each biennial period
beginning with the first year of the biennial cycle commencing calendar
year two thousand five and thereafter; provided, however, that the
biennial filing of such statement of registration shall not be required
of any lobbyist who (i) in any year prior to calendar year two thousand
six 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 one-h of this article, for
the purposes of lobbying and commencing with calendar year two thousand
six does not expend, incur or receive an amount in excess of five
thousand dollars of reportable compensation, as provided in paragraph
five of subdivision (b) of section one-h of this article 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 in this section shall be
construed to relieve any public corporation of the obligation to file
such statements and reports as required by this article.
(4) Such biennial filings shall be completed on or before January
first of the first year of a biennial cycle commencing in calendar year
two thousand five and thereafter, by those persons who have been
retained, employed or designated as lobbyist on or before December
fifteenth of the previous calendar year and 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 in years prior to calendar year two thousand six and
five thousand dollars commencing in two thousand six; for those
lobbyists retained, employed or designated after the previous 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) (i) Such statements of registration shall be kept on file for a
period of three years for those filing periods where annual statements
are required, and shall be open to public inspection during such period;
(ii) Biennial statements of registration shall be kept on file for a
period of three biennial filing periods where biennial statements are
required, 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, and if the
lobbyist is an organization the names, addresses and telephone numbers
of any officer or employee of such lobbyist who engages in any lobbying
activities or who is employed in an organization's division that engages
in lobbying activities of the organization;
(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; such written retainer, or if it is oral, a statement
of the substance thereof, and any amendment thereto, shall be retained
for a period of three years;
(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) the following information on which the lobbyist expects to lobby:
(i) a description of the general subject or subjects, (ii) the
legislative bill numbers of any bills, (iii) the numbers or subject
matter (if there are no numbers) of gubernatorial executive orders or
executive orders issued by the chief executive officer of a
municipality, (iv) the subject matter of and tribes involved in
tribal-state compacts, memoranda of understanding, or any other
state-tribal agreements and any state actions related to class III
gaming as provided in 25 U.S.C. § 2701, (v) the rule, regulation, and
ratemaking numbers of any rules, regulations, rates, or municipal
ordinances and resolutions, or proposed rules, regulations, or rates, or
municipal ordinances and resolutions, and (vi) the titles and any
identifying numbers of any procurement contracts and other documents
disseminated by a state agency, either house of the state legislature,
the unified court system, municipal agency or local legislative body in
connection with a governmental procurement;
(6) the name of the person, organization, or legislative body before
which the lobbyist is lobbying or expects to lobby;
(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.
(8) (i) the name and public office address of any statewide elected
official, state officer or employee, member of the legislature or
legislative employee and entity with whom the lobbyist has a reportable
business relationship;
(ii) a description of the general subject or subjects of the
transactions between the lobbyist or lobbyists and the statewide elected
official, state officer or employee, member of the legislature or
legislative employee and entity; and
(iii) the compensation, including expenses, to be paid and paid by
virtue of the business relationship.
(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) (i) The first statement of registration filed annually by each
lobbyist for calendar years through two thousand three shall be
accompanied by a registration fee of fifty dollars except that no
registration fee shall be required of a public corporation. A fee of
fifty dollars shall be required for any subsequent statement of
registration filed by a lobbyist during the same calendar year; (ii) The
first statement of registration filed annually by each lobbyist for
calendar year two thousand four shall be accompanied by a registration
fee of one hundred dollars except that no registration fee shall be
required from any lobbyist who in any year does not expend, incur or
receive an amount in excess of five thousand dollars of reportable
compensation and expenses, as provided in paragraph five of subdivision
(b) of section one-h of this article, for the purposes of lobbying or of
a public corporation. A fee of one hundred dollars shall be required for
any subsequent statement of registration filed by a lobbyist during the
same calendar year; (iii) The first statement of registration filed
biennially by each lobbyist for the first biennial registration
requirements for calendar years two thousand five and two thousand six
and thereafter, shall be accompanied by a registration fee of two
hundred dollars except that no registration fee shall be required from
any lobbyist who in any year does not expend, incur or receive an amount
in excess of five thousand dollars of reportable compensation and
expenses, as provided in paragraph five of subdivision (b) of section
one-h of this article, for the purposes of lobbying or of a public
corporation. A fee of two hundred dollars shall be required for any
subsequent statement of registration filed by a lobbyist during the same
biennial period; (iv) The statement of registration filed after the due
date of a biennial registration shall be accompanied by a registration
fee that is prorated to one hundred dollars for any registration filed
after January first of the second calendar year covered by the biennial
reporting requirement. In addition to the fees authorized by this
section, the commission may impose a fee for late filing of a
registration statement required by this section not to exceed
twenty-five dollars for each day that the statement required to be filed
is late, except that if the lobbyist making a late filing has not
previously been required by statute to file such a statement, the fee
for late filing shall not exceed ten dollars for each day that the
statement required to be filed is late.
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 for years prior to two thousand
six and in excess of five thousand dollars in the year two thousand six
and the years thereafter of reportable compensation and expenses, as
provided in paragraph five of subdivision (b) of section one-h of this
article, 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 in this section shall
be construed to relieve any public corporation of the obligation to file
such statements and reports as required by this article. The amounts
expended, incurred, or received of reportable compensation and expenses
for lobbying activities shall be computed cumulatively for all lobbying
activities when determining whether the thresholds set forth in this
section have been met.
(2) (i) Through calendar year two thousand three, 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.
(ii) For calendar year two thousand four, such filings 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, two thousand three 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, two thousand three, 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.
(3) Commencing calendar year two thousand five and thereafter every
lobbyist shall biennially file with the commission, on forms provided by
the commission, a statement of registration for each biennial period
beginning with the first year of the biennial cycle commencing calendar
year two thousand five and thereafter; provided, however, that the
biennial filing of such statement of registration shall not be required
of any lobbyist who (i) in any year prior to calendar year two thousand
six 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 one-h of this article, for
the purposes of lobbying and commencing with calendar year two thousand
six does not expend, incur or receive an amount in excess of five
thousand dollars of reportable compensation, as provided in paragraph
five of subdivision (b) of section one-h of this article 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 in this section shall be
construed to relieve any public corporation of the obligation to file
such statements and reports as required by this article.
(4) Such biennial filings shall be completed on or before January
first of the first year of a biennial cycle commencing in calendar year
two thousand five and thereafter, by those persons who have been
retained, employed or designated as lobbyist on or before December
fifteenth of the previous calendar year and 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 in years prior to calendar year two thousand six and
five thousand dollars commencing in two thousand six; for those
lobbyists retained, employed or designated after the previous 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) (i) Such statements of registration shall be kept on file for a
period of three years for those filing periods where annual statements
are required, and shall be open to public inspection during such period;
(ii) Biennial statements of registration shall be kept on file for a
period of three biennial filing periods where biennial statements are
required, 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, and if the
lobbyist is an organization the names, addresses and telephone numbers
of any officer or employee of such lobbyist who engages in any lobbying
activities or who is employed in an organization's division that engages
in lobbying activities of the organization;
(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; such written retainer, or if it is oral, a statement
of the substance thereof, and any amendment thereto, shall be retained
for a period of three years;
(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) the following information on which the lobbyist expects to lobby:
(i) a description of the general subject or subjects, (ii) the
legislative bill numbers of any bills, (iii) the numbers or subject
matter (if there are no numbers) of gubernatorial executive orders or
executive orders issued by the chief executive officer of a
municipality, (iv) the subject matter of and tribes involved in
tribal-state compacts, memoranda of understanding, or any other
state-tribal agreements and any state actions related to class III
gaming as provided in 25 U.S.C. § 2701, (v) the rule, regulation, and
ratemaking numbers of any rules, regulations, rates, or municipal
ordinances and resolutions, or proposed rules, regulations, or rates, or
municipal ordinances and resolutions, and (vi) the titles and any
identifying numbers of any procurement contracts and other documents
disseminated by a state agency, either house of the state legislature,
the unified court system, municipal agency or local legislative body in
connection with a governmental procurement;
(6) the name of the person, organization, or legislative body before
which the lobbyist is lobbying or expects to lobby;
(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.
(8) (i) the name and public office address of any statewide elected
official, state officer or employee, member of the legislature or
legislative employee and entity with whom the lobbyist has a reportable
business relationship;
(ii) a description of the general subject or subjects of the
transactions between the lobbyist or lobbyists and the statewide elected
official, state officer or employee, member of the legislature or
legislative employee and entity; and
(iii) the compensation, including expenses, to be paid and paid by
virtue of the business relationship.
(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) (i) The first statement of registration filed annually by each
lobbyist for calendar years through two thousand three shall be
accompanied by a registration fee of fifty dollars except that no
registration fee shall be required of a public corporation. A fee of
fifty dollars shall be required for any subsequent statement of
registration filed by a lobbyist during the same calendar year; (ii) The
first statement of registration filed annually by each lobbyist for
calendar year two thousand four shall be accompanied by a registration
fee of one hundred dollars except that no registration fee shall be
required from any lobbyist who in any year does not expend, incur or
receive an amount in excess of five thousand dollars of reportable
compensation and expenses, as provided in paragraph five of subdivision
(b) of section one-h of this article, for the purposes of lobbying or of
a public corporation. A fee of one hundred dollars shall be required for
any subsequent statement of registration filed by a lobbyist during the
same calendar year; (iii) The first statement of registration filed
biennially by each lobbyist for the first biennial registration
requirements for calendar years two thousand five and two thousand six
and thereafter, shall be accompanied by a registration fee of two
hundred dollars except that no registration fee shall be required from
any lobbyist who in any year does not expend, incur or receive an amount
in excess of five thousand dollars of reportable compensation and
expenses, as provided in paragraph five of subdivision (b) of section
one-h of this article, for the purposes of lobbying or of a public
corporation. A fee of two hundred dollars shall be required for any
subsequent statement of registration filed by a lobbyist during the same
biennial period; (iv) The statement of registration filed after the due
date of a biennial registration shall be accompanied by a registration
fee that is prorated to one hundred dollars for any registration filed
after January first of the second calendar year covered by the biennial
reporting requirement. In addition to the fees authorized by this
section, the commission may impose a fee for late filing of a
registration statement required by this section not to exceed
twenty-five dollars for each day that the statement required to be filed
is late, except that if the lobbyist making a late filing has not
previously been required by statute to file such a statement, the fee
for late filing shall not exceed ten dollars for each day that the
statement required to be filed is late.