INSTRUCTIONS FOR COMPLETING THE NOTICE OF APPEARANCE FORM

INSTRUCTIONS FOR COMPLETING THE NOTICE OF APPEARANCE FORM

GENERAL INFORMATION

The Public Integrity Reform Act of 2011 transferred authority from the Commission on Public Integrity to the Joint Commission on Public Ethics. L.2011, c.399, § 15 et seq. Therefore, Legislative Law § 1-q gives the Joint Commission on Public Ethics oversight authority for the provisions of Section 166 of the Executive Law as it relates to the form and filing of a record of appearances before regulatory agencies. Each regulatory agency, as that term is defined by Section 166, is required to file the prescribed form with the Commission by the 15th day of the month following the end of each calendar quarter.

For whom should a record of appearance form be completed?

Section 166 of the Executive Law requires a regulatory agency to maintain for public inspection, a record of who appears before it, for a fee as a third party (i.e., an attorney, agent, lobbyist or representative) on behalf of a person or organization subject to the regulatory jurisdiction of the agency. This usually occurs in an enforcement, formal permit, or application matter.

A lobbyist is a person or organization, other than a New York State government employee acting in an official capacity, who appears for the purposes of influencing the adoption or rejection of proposed rules, regulations, rates, legislation, including the State Budget or the specifications or award of a state procurement contract. An "appearance," for lobbying purposes, can be a personal visit, letter, telephone call, conversation at a meeting, or any other type of contact, but does not include "on the record" proceedings or hearings.

What if the individual appearing does not complete a form?

In cases where the individual does not fill out the form, the agency official/representative involved with the appearance should complete the form to the best of their ability.

Who is responsible for filing the forms with the Commission?

The following New York State Agencies required to file notice of appearance forms with the Commission under section 166 of the Executive Law, are listed below:

  • Department of Agriculture and Markets
  • Department of Education
  • Department of Environmental Conservation
  • Department of Financial Services
  • Department of Health
  • Department of Homes and Community Renewal
  • Department of Labor (Industrial Board of Appeals)
  • Department of Law (Attorney General)
  • Liquor Authority
  • Department of Public Service
  • Department of State


Each agency should designate an individual to coordinate this program. This individual will be responsible for disseminating information concerning this program to other agency officials/representatives. He or she will also act as a liaison for the agency with the Commission, and will gather and submit the completed forms to the Commission according to the following schedule.

What are the dates to submit record of appearance forms to the Commission?

Quarter Covered:Submit to Commission by:
January 1 - March 31April 15th
April 1 - June 30July 15th
July 1 - September 30October 15th
October 1 - December 31January 15th

How long will forms remain on file for public inspection at the Commission?

Forms will be retained at the Commission for a period of three years.

Who will have access to these forms?

All forms submitted to the Commission are open to public inspection. Information that is confidential as a matter of law need not be furnished.