N.Y. Legislative Law § 1-c: Definitions

§ 1-c. Definitions. As used in this article unless the context

otherwise requires:

(a) The term "lobbyist" shall mean every person or organization

retained, employed or designated by any client to engage in lobbying.

The term "lobbyist" shall not include any officer, director, trustee,

employee, counsel or agent of the state, or any municipality or

subdivision thereof of New York when discharging their official duties;

except those officers, directors, trustees, employees, counsels, or

agents of colleges, as defined by section two of the education law.

(i) Any individual who stands convicted of a felony defined in article

two hundred or four hundred ninety-six or section 195.20 of the penal

law may not be retained, employed or designated by any client to engage

in lobbying for compensation.

(ii) Any individual who stands convicted of a misdemeanor defined in

article two hundred, article four hundred ninety-six, section 195.00 or

an attempt to commit a violation of section 195.20 of the penal law may

not be retained, employed or designated by any client to engage in

lobbying for compensation for a period of five years from the date of

conviction, provided that in the event such conviction is the result of

a plea agreement resulting in a plea to such charge in lieu of a plea or

conviction of a felony defined in section 195.20, article two hundred or

article four hundred ninety-six of the penal law, all parties to such

agreement may agree that the period of such bar may be for a period of

up to ten years from the date of conviction.

(b) The term "client" shall mean every person or organization who

retains, employs or designates any person or organization to carry on

lobbying activities on behalf of such client.

(c) The term "lobbying" or "lobbying activities" shall mean and

include any attempt to influence:

(i) the passage or defeat of any legislation or resolution by either

house of the state legislature including but not limited to the

introduction or intended introduction of such legislation or resolution

or approval or disapproval of any legislation by the governor;

(ii) the adoption, issuance, rescission, modification or terms of a

gubernatorial executive order;

(iii) the adoption or rejection of any rule or regulation having the

force and effect of law by a state agency;

(iv) the outcome of any rate making proceeding by a state agency;

(v) any determination: (A) by a public official, or by a person or

entity working in cooperation with a public official related to a

governmental procurement, or (B) by an officer or employee of the

unified court system, or by a person or entity working in cooperation

with an officer or employee of the unified court system related to a

governmental procurement;

(vi) the approval, disapproval, implementation or administration of

tribal-state compacts, memoranda of understanding, or any other

tribal-state agreements and any other state actions related to Class III

gaming as provided in 25 U.S.C. § 2701, except to the extent designation

of such activities as "lobbying" is barred by the federal Indian Gaming

Regulatory Act, by a public official or by a person or entity working in

cooperation with a public official in relation to such approval,

disapproval, implementation or administration;

(vii) the passage or defeat of any local law, ordinance, resolution,

or regulation by any municipality or subdivision thereof;

(viii) the adoption, issuance, rescission, modification or terms of an

executive order issued by the chief executive officer of a municipality;

(ix) the adoption or rejection of any rule, regulation, or resolution

having the force and effect of a local law, ordinance, resolution, or

regulation; or

(x) the outcome of any rate making proceeding by any municipality or

subdivision thereof.

The term "lobbying" shall not include:

(A) Persons engaged in drafting, advising clients on or rendering

opinions on proposed legislation, rules, regulations or rates, municipal

ordinances and resolutions, executive orders, procurement contracts, or

tribal-state compacts, memoranda of understanding, or any other

tribal-state agreements or other written materials related to Class III

gaming as provided in 25 U.S.C. § 2701, when such professional services

are not otherwise connected with state or municipal legislative or

executive action on such legislation, rules, regulations or rates,

municipal ordinances and resolutions, executive orders, procurement

contracts, or tribal-state compacts, memoranda of understanding, or any

other tribal-state agreements or other written materials related to

Class III gaming as provided in 25 U.S.C. § 2701;

(B) (i) Newspapers and other periodicals and radio and television

stations, and owners and employees thereof, provided that their

activities in connection with proposed legislation, rules, regulations

or rates, municipal ordinances and resolutions, executive orders,

tribal-state compacts, memoranda of understanding or other tribal-state

agreements related to Class III gaming as provided in 25 U.S.C. § 2701,

or procurement contracts by a state agency, municipal agency, local

legislative body, the state legislature, or the unified court system,

are limited to the publication or broadcast of news items, editorials or

other comments, or paid advertisements;

(ii) Communications with a professional journalist, or newscaster,

including an editorial board or editorial writer of a newspaper,

magazine, news agency, press association or wire service, relating to

news, as these terms are defined in section seventy-nine-h of the civil

rights law, and communications relating to confidential and

non-confidential news as described in subdivisions (b) and (c) of

section seventy-nine-h of the civil rights law respectively and

communications made pursuant to community outreach efforts for broadcast

stations required by federal law.

(C) Persons who participate as witnesses, attorneys or other

representatives in public proceedings of a state or municipal agency

with respect to all participation by such persons which is part of the

public record thereof and all preparation by such persons for such

participation;

(D) Persons who attempt to influence a state or municipal agency in an

adjudicatory proceeding, as "adjudicatory proceeding" is defined by

section one hundred two of the state administrative procedure act;

(E) Persons who prepare or submit a response to a request for

information or comments by the state legislature, the governor, or a

state agency or a committee or officer of the legislature or a state

agency, or by the unified court system, or by a legislative or executive

body or officer of a municipality or a commission, committee or officer

of a municipal legislative or executive body;

(F) Any attempt by a church, its integrated auxiliary, or a convention

or association of churches that is exempt from filing a federal income

tax return under paragraph 2(A)(i) of section 6033(a) of Title 26 of the

United States Code or a religious order that is exempt from filing a

federal income tax return under paragraph (2)(A)(iii) of such section

6033(a) to influence passage or defeat of a local law, ordinance,

resolution or regulation or any rule or regulation having the force and

effect of a local law, ordinance or regulation;

(G) Any activity relating to governmental procurements made under

section one hundred sixty-two of the state finance law undertaken by (i)

the non-profit-making agencies appointed pursuant to paragraph e of

subdivision six of section one hundred sixty-two of the state finance

law by the commissioner of the office of children and family services,

the commission for the blind, or the commissioner of education, and (ii)

the qualified charitable non-profit-making agencies for the blind, and

qualified charitable non-profit-making agencies for other severely

disabled persons as identified in subdivision two of section one hundred

sixty-two of the state finance law; provided, however, that any attempt

to influence the issuance or terms of the specifications that serve as

the basis for bid documents, requests for proposals, invitations for

bids, or solicitations of proposals, or any other method for soliciting

a response from offerers intending to result in a procurement contract

with a state agency, the state legislature, the unified court system, a

municipal agency or local legislative body shall not be exempt from the

definition of "lobbying" or "lobbying activities" under this

subparagraph;

(H) Participants, including those appearing on behalf of a client, in

a conference provided for in a request for proposals, invitation for

bids, or any other method for soliciting a response from offerers

intending to result in a procurement contract;

(I) Offerers who have been tentatively awarded a contract and are

engaged in communications with a state agency, either house of the state

legislature, the unified court system, a municipal agency or local

legislative body solely for the purpose of negotiating the terms of the

procurement contract after being notified of such award or, when a state

agency, either house of the state legislature, the unified court system,

a municipal agency or local legislative body is purchasing an article of

procurement pursuant to an existing state procurement contract, offerers

who are engaged in communications with the procuring entity solely for

the purpose of negotiating terms applicable to that purchase; or persons

who currently hold a franchise and who are engaged in negotiating the

terms of a tentative franchise renewal contract with a municipality, but

such negotiations, which do not constitute lobbying, do not include

communications to the local legislative body that must approve the

contract;

(J) (i) Offerers or other persons who are a party to a protest, appeal

or other review proceeding (including the apparent successful bidder or

proposer and his or her representatives) before the governmental entity

conducting the procurement seeking a final administrative determination,

or in a subsequent judicial proceeding; or

(ii) Offerers or other persons who bring complaints of alleged

improper conduct in a governmental procurement to the attorney general,

inspector general, district attorney, or court of competent

jurisdiction; or

(iii) Offerers or other persons who submit written protests, appeals

or complaints to the state comptroller's office during the process of

contract approval, where the state comptroller's approval is required by

law, and where such communications and any responses thereto are made in

writing and shall be entered in the procurement record pursuant to

section one hundred sixty-three of the state finance law; or

(iv) Offerers or other persons who bring complaints of alleged

improper conduct in a governmental procurement conducted by a municipal

agency or local legislative body to the state comptroller's office;

provided, however, that nothing in this paragraph shall be construed

as recognizing or creating any new rights, duties or responsibilities or

abrogating any existing rights, duties or responsibilities of any

governmental entity as it pertains to implementation and enforcement of

article eleven of the state finance law or any other provision of law

dealing with the governmental procurement process;

(K) The submission of a bid or proposal (whether submitted orally, in

writing or electronically) in response to a request for proposals,

invitation for bids or any other method for soliciting a response from

offerers intending to result in a procurement contract;

(L) Offerers submitting written questions to a designated contact of a

state agency, either house of the state legislature, the unified court

system, a municipal agency or local legislative body set forth in a

request for proposals, or invitation for bids or any other method for

soliciting a response from offerers intending to result in a procurement

contract, when all written questions and responses are to be

disseminated to all offerers who have expressed an interest in the

request for proposals, or invitation for bids, or any other method for

soliciting a response from offerers intending to result in a procurement

contract;

(M) Contacts during governmental procurements between designated staff

of a state agency, either house of the state legislature, the unified

court system, a municipal agency or local legislative body involved in

governmental procurements and officers or employees of bidders or

potential bidders, or officers or employees of subcontractors of bidders

or potential bidders, who are charged with the performance of functions

relating to contracts and who are qualified by education, training or

experience to provide technical services to explain, clarify or

demonstrate the qualities, characteristics or advantages of an article

of procurement. Such authorized contacts shall: (i) be limited to

providing information to the staff of a state agency, either house of

the state legislature, the unified court system, a municipal agency and

local legislative body to assist them in understanding and assessing the

qualities, characteristics or anticipated performance of an article of

procurement; (ii) not include any recommendations or advocate any

contract provisions; and (iii) occur only at such times and in such

manner as authorized under the procuring entity's solicitation or

guidelines and procedures. For the purposes of this paragraph, the term

"technical services" shall be limited to analysis directly applying any

accounting, engineering, scientific, or other similar technical

disciplines;

(N) Applications for licenses, certificates, and permits authorized by

statutes or local laws or ordinances;

(O) The activities of persons who are commission salespersons with

respect to governmental procurements;

(P) Communications made by an officer or employee of the offerer after

the award of the procurement contract when such communications are in

the ordinary course of providing the article of procurement provided by

the procurement contract and in the ordinary course of the assigned

duties of the officer or employee; provided, however, that nothing

herein shall exempt: (i) an officer or employee whose primary purpose of

employment is to engage in lobbying activities with regard to

governmental procurements, or (ii) an agent or independent contractor

hired by an offerer and whose primary duty is to engage in lobbying

activities with regard to governmental procurements; and

(Q) Persons who communicate with public officials where such

communications are limited to obtaining factual information related to

benefits or incentives offered by a state or municipal agency and where

such communications do not include any recommendations or advocate

governmental action or contract provisions, and further where such

communications are not otherwise connected with pending legislative or

executive action or determinations; provided, however, that any person

who is otherwise required to file a statement or report pursuant to this

article by virtue of engaging in lobbying activities as defined in this

section shall not be deemed to fall within the exception provided for

under this paragraph.

(d) The term "organization" shall mean any corporation, company,

foundation, association, college as defined by section two of the

education law, labor organization, firm, partnership, society, joint

stock company, state agency or public corporation.

(e) The term "state agency" shall mean any department, board, bureau,

commission, division, office, council, committee or officer of the

state, whether permanent or temporary, or a public benefit corporation

or public authority at least one of whose members is appointed by the

governor, authorized by law to make rules or to make final decisions in

adjudicatory proceedings but shall not include the judicial branch or

agencies created by interstate compact or international agreement.

(f) The term "commission" shall mean the commission on ethics and

lobbying in government created by section ninety-four of the executive

law.

(g) The term "expense" or "expenses" shall mean any expenditures

incurred by or reimbursed to the lobbyist for lobbying but shall not

include contributions reportable pursuant to article fourteen of the

election law.

(h) The term "compensation" shall mean any salary, fee, gift, payment,

benefit, loan, advance or any other thing of value paid, owed, given or

promised to the lobbyist by the client for lobbying but shall not

include contributions reportable pursuant to article fourteen of the

election law.

(i) The term "public corporation" shall mean a municipal corporation,

a district corporation, or a public benefit corporation as defined in

section sixty-six of the general construction law.

(j) The term "gift" shall mean anything of more than nominal value

given to a public official in any form including, but not limited to

money, service, loan, travel, lodging, meals, refreshments,

entertainment, discount, forbearance, or promise, having a monetary

value. The following are excluded from the definition of a gift:

(i) complimentary attendance, including food and beverage, at bona

fide charitable or political events;

(ii) complimentary attendance, food and beverage offered by the

sponsor of a widely attended event. The term "widely attended event"

shall mean an event: (A) which at least twenty-five individuals other

than members, officers, or employees from the governmental entity in

which the public official serves attend or were, in good faith, invited

to attend, and (B) which is related to the attendee's duties or

responsibilities or which allows the public official to perform a

ceremonial function appropriate to his or her position. For the purposes

of this exclusion, a public official's duties or responsibilities shall

include but not be limited to either (1) attending an event or a meeting

at which a speaker or attendee addresses an issue of public interest or

concern as a significant activity at such event or meeting; or (2) for

elected public officials, or their staff attending with or on behalf of

such elected officials, attending an event or a meeting at which more

than one-half of the attendees, or persons invited in good faith to

attend, are residents of the county, district or jurisdiction from which

the elected public official was elected;

(iii) awards, plaques, and other ceremonial items which are publicly

presented, or intended to be publicly presented, in recognition of

public service, provided that the item or items are of the type

customarily bestowed at such or similar ceremonies and are otherwise

reasonable under the circumstances, and further provided that the

functionality of such items shall not determine whether such items are

permitted under this paragraph;

(iv) an honorary degree bestowed upon a public official by a public or

private college or university;

(v) promotional items having no substantial resale value such as pens,

mugs, calendars, hats, and t-shirts which bear an organization's name,

logo, or message in a manner which promotes the organization's cause;

(vi) goods and services, or discounts for goods and services, offered

to the general public or a segment of the general public defined on a

basis other than status as a public official and offered on the same

terms and conditions as the goods or services are offered to the general

public or segment thereof;

(vii) gifts from a family member, member of the same household, or

person with a personal relationship with the public official, including

invitations to attend personal or family social events, when the

circumstances establish that it is the family, household, or personal

relationship that is the primary motivating factor; in determining

motivation, the following factors shall be among those considered: (A)

the history and nature of the relationship between the donor and the

recipient, including whether or not items have previously been

exchanged; (B) whether the item was purchased by the donor; and (C)

whether or not the donor at the same time gave similar items to other

public officials; the transfer shall not be considered to be motivated

by a family, household, or personal relationship if the donor seeks to

charge or deduct the value of such item as a business expense or seeks

reimbursement from a client;

(viii) contributions reportable under article fourteen of the election

law, including contributions made in violation of that article of the

election law;

(ix) travel reimbursement or payment for transportation, meals and

accommodations for an attendee, panelist or speaker at an informational

event or informational meeting when such reimbursement or payment is

made by a governmental entity or by an in-state accredited public or

private institution of higher education that hosts the event on its

campus, provided, however, that the public official may only accept

lodging from an institution of higher education: (A) at a location on or

within close proximity to the host campus; and (B) for the night

preceding and the nights of the days on which the attendee, panelist or

speaker actually attends the event or meeting;

(x) provision of local transportation to inspect or tour facilities,

operations or property located in New York state, provided, however,

that such inspection or tour is related to the individual's official

duties or responsibilities and that payment or reimbursement for

expenses for lodging or travel expenses to and from the locality where

such facilities, operations or property are located shall be considered

to be gifts unless otherwise permitted under this subdivision;

(xi) meals or refreshments when participating in a professional or

educational program and the meals or refreshments are provided to all

participants; and

(xii) food or beverage valued at fifteen dollars or less.

(k) The term "municipality" shall mean any jurisdictional subdivision

of the state, including but not limited to counties, cities, towns,

villages, improvement districts and special districts, with a population

of more than five thousand, and industrial development agencies in

jurisdictional subdivisions with a population of more than five

thousand; and public authorities, and public corporations.

(l) The term "public official" shall mean:

(i) the governor, lieutenant governor, comptroller or attorney

general;

(ii) members of the state legislature;

(iii) state officers and employees including:

(A) heads of state departments and their 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,

(B) officers and employees of statewide elected officials,

(C) officers and employees of state departments, boards, bureaus,

divisions, commissions, councils or other state agencies,

(D) members or directors of public authorities, other than multi-state

authorities, public benefit corporations and commissions at least one of

whose members is appointed by the governor, and employees of such

authorities, corporations and commissions;

(iv) officers and employees of the legislature; and

(v) municipal officers and employees including an officer or employee

of a municipality, whether paid or unpaid, including members of any

administrative board, commission or other agency thereof and in the case

of a county, shall be deemed to also include any officer or employee

paid from county funds. No person shall be deemed to be a municipal

officer or employee solely by reason of being a volunteer firefighter or

civil defense volunteer, except a fire chief or assistant fire chief.

(m) The term "restricted period" shall mean the period of time

commencing with the earliest written notice, advertisement or

solicitation of a request for proposal, invitation for bids, or

solicitation of proposals, or any other method for soliciting a response

from offerers intending to result in a procurement contract with a state

agency, either house of the state legislature, the unified court system,

or a municipal agency, as that term is defined by paragraph (ii) of

subdivision (s) of this section, and ending with the final contract

award and approval by the state agency, either house of the state

legislature, the unified court system, or a municipal agency, as that

term is defined by paragraph (ii) of subdivision (s) of this section,

and, where applicable, the state comptroller.

(n) The term "revenue contract" shall mean any written agreement

between a state or municipal agency or a local legislative body and an

offerer whereby the state or municipal agency or local legislative body

gives or grants a concession or a franchise.

(o) The term "article of procurement" shall mean a commodity, service,

technology, public work, construction, revenue contract, the purchase,

sale or lease of real property or an acquisition or granting of other

interest in real property, that is the subject of a governmental

procurement.

(p) The term "governmental procurement" shall mean: (i) the public

announcement, public notice, or public communication to any potential

vendor of a determination of need for a procurement, which shall

include, but not be limited to, the public notification of the

specifications, bid documents, request for proposals, or evaluation

criteria for a procurement contract, (ii) solicitation for a procurement

contract, (iii) evaluation of a procurement contract, (iv) award,

approval, denial or disapproval of a procurement contract, or (v)

approval or denial of an assignment, amendment (other than amendments

that are authorized and payable under the terms of the procurement

contract as it was finally awarded or approved by the comptroller, as

applicable), renewal or extension of a procurement contract, or any

other material change in the procurement contract resulting in a

financial benefit to the offerer.

(q) The term "offerer" shall mean the individual or entity, or any

employee, agent or consultant of such individual or entity, that

contacts a state agency, either house of the state legislature, the

unified court system, a municipal agency or local legislative body about

a governmental procurement provided, however, that a governmental agency

or its employees that communicate with the procuring agency regarding a

governmental procurement in the exercise of its oversight duties shall

not be considered an offerer.

(r) The term "procurement contract" shall mean any contract or other

agreement, including an amendment, extension, renewal, or change order

to an existing contract (other than amendments, extensions, renewals, or

change orders that are authorized and payable under the terms of the

contract as it was finally awarded or approved by the comptroller, as

applicable), for an article of procurement involving an estimated

annualized expenditure in excess of fifteen thousand dollars. Grants,

article XI-B state finance law contracts, program contracts between

not-for-profit organizations, as defined in article XI-B of the state

finance law, and the unified court system, intergovernmental agreements,

railroad and utility force accounts, utility relocation project

agreements or orders, contracts governing organ transplants, contracts

allowing for state participation in trade shows, and eminent domain

transactions shall not be deemed procurement contracts.

(s) The term "municipal agency" shall mean: (i) any department, board,

bureau, commission, division, office, council, committee or officer of a

municipality, whether permanent or temporary; or (ii) an industrial

development agency, located in a jurisdictional subdivision of the state

with a population of more than fifty thousand, or local public benefit

corporation, as that term is defined in section sixty-six of the general

construction law.

(t) The term "local legislative body" shall mean the board of

supervisors, board of aldermen, common council, council, commission,

town board, board of trustees or other elective governing board or body

of a municipality now or hereafter vested by state statute, charter or

other law with jurisdiction to initiate and adopt local laws, ordinances

and budgets, whether or not such local laws, ordinances or budgets

require approval of the elective chief executive officer or other

official or body to become effective.

(u) The term "commission salesperson" shall mean any person the

primary purpose of whose employment is to cause or promote the sale of,

or to influence or induce another to make a purchase of an article of

procurement, whether such person is an employee (as that term is defined

for tax purposes) of or an independent contractor for a vendor, provided

that an independent contractor shall have a written contract for a term

of not less than six months or for an indefinite term, and which person

shall be compensated, in whole or in part, by the payment of a

percentage amount of all or a substantial part of the sales which such

person has caused, promoted, influenced or induced, provided, however,

that no person shall be considered a commission salesperson with respect

to any sale to or purchase by a state agency, either house of the state

legislature, the unified court system, a municipal agency or local

legislative body if the percentage amount of any commission payable with

respect to such sale or purchase is substantially in excess of any

commission payable with respect to any comparable sale to a purchaser

that is not a state agency, either house of the state legislature, the

unified court system, a municipal agency or local legislative body;

further, provided, however, that any person that is required to file a

statement or report pursuant to this article by virtue of engaging in

lobbying activities as defined in paragraphs (i) through (iv) and (vi)

through (x) of subdivision (c) of this section shall not be deemed to be

a "commission salesperson" for purposes of this article.

(v) The term "unified court system" shall, for the purposes of this

article only, mean the unified court system of the state of New York, or

the office of court administration, where appropriate, other than town

and village justice courts in jurisdictions with a population under

fifty thousand, when it acts solely in an administrative capacity to

engage in governmental procurements and shall not include the unified

court system or any court of the state judiciary when it acts to hear

and decide cases of original or appellate jurisdiction or otherwise acts

in its judicial, as opposed to administrative, capacity.

(w) The term "reportable business relationship" shall mean a

relationship in which compensation is paid by a lobbyist or by a client

of a lobbyist, in exchange for any goods, services or anything of value,

the total value of which is in excess of one thousand dollars annually,

to be performed or provided by or intended to be performed or provided

by (i) any statewide elected official, state officer, state employee,

member of the legislature or legislative employee, or (ii) any entity in

which the lobbyist or the client of a lobbyist knows or has reason to

know the statewide elected official, state officer, state employee,

member of the legislature or legislative employee is a proprietor,

partner, director, officer or manager, or owns or controls ten percent

or more of the stock of such entity (or one percent in the case of a

corporation whose stock is regularly traded on an established securities

exchange).