NEW YORK
TEMPORARY STATE COMMISSION
ON REGULATION OF LOBBYING

OPINION NO. 3 (78-3)

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FACTS

A law firm represents a group of industrial firms which belong to an association. The law firm has represented the association before the Public Service Commission in proceedings to establish electric rates. The services of the law firm are directed towards affecting "the outcome of a rate-making procedure".

The questions presented to the Commission are: (1) Is a law firm retained to represent clients before a State agency required to file a Statement of Registration and subsequent reports under the Regulation of Lobbying Act (hereinafter referred to as the Act)? (2) Is the law firm exempt under Section 12(a)(1) of the Act?

OPINION

The law firm is subject to the provisions of the Act and would be required to file a Statement of Registration and subsequent reports. Section 3(a) of the Act states the term "lobbyist shall mean and include every person, firm, corporation, or association retained, employed, or designated by any person, firm, corporation or association, or by a public corporation, who on behalf of such entity and pursuant to such retainer, employment, or designation, attempts to influence the passage or defeat of any legislation by either house of the legislature or the approval or disapproval of any legislation by the governor, or the adoption or rejection of any rule or regulation having the force and effect of law or the outcome of any rate-making proceeding by a State agency". (Underlining added).

"Lobbying" is defined in Section 3(b) of the Act to include "attempts to influence the passage or defeat of any legislation by either house of the legislature or the approval or disapproval of any legislation by the governor, or the adoption or rejection of any rule or regulation having the force and effect of law or the outcome of any rate-making proceeding by a state agency". (Underlining added). We do not believe that the law firm falls within the exception of Section 12(a)(1) of the Act which excludes certain professional services not otherwise connected with legislative or executive action.


APPROVED BY COMMISSION: OCTOBER 6, 1978

CONCURRING: CHAIRMAN S. STANLEY KREUTZER, VICE CHAIRMAN OWEN McGIVERN, MARGARET C. ANDRONACO, D. CLINTON DOMINICK, DANIEL GUTMAN, and DAVID C. TAIT.

/S/
________________________________________

S. STANLEY KREUTZER
Chairman


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