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.
Who should complete the form?
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?
Filing Due Date*
January 1 - March 31
April 1 - June 30
July 1 - September 30
October 1 - December 31
Retention Schedule and Access
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.
Contact Lobbying Filings Specialist
For technical assistance, or help with registrations, lobbyist bi-monthly reports, client semi-annual reports, and other lobbying-related disclosure forms, the Lobbying line is available from 8:30 A.M. to 4:30 P.M. Eastern Time, Monday through Friday, by contacting the phone number or email address below.
Contact us by phone:
New York State Joint Commission on Public Ethics
Albany, New York 12207