🏛️ Lobbying in New York: A Simple Guide for Nonprofits

This guide will help you as a non profit organization, understand the rules around lobbying. This includes aspects like the that laws apply, what you need to know about these rules and regulations and how to keep your lobbying and advocacy in efforts running smoothly.

You will find guides on:

  • When you might need to register or report your advocacy activities.
  • The basics of New York lobbying laws, all explained in a simplified language.
  • Common questions non profits usually ask in this realm.
  • A real life example of how those rules apply using a small student voting rights group.
  • A short list of helpful resources to learn more from.

When Your Lobbying Activities Need Registration in New York

Who You Lobby Can This Trigger Registration When it Counts
State Legislators Yes If your organization spends more than $5,000 in a year trying to influence state laws, including staff time, materials, and other costs. This also counts towards lobbying state executive officials or local officials
State Executive Officials Yes The same $5,000 rule applies if you are trying to influence executive orders or agency regulations. Totals are combined with legislative lobbying.
Local Legislators or Local Executive Officials Yes Now, if your organization is working to influence local laws, resolutions, or executive orders and spends more than $5,000 in a year. Remember, some cities like New York City, Nassau, and Suffolk have their own rules you will need to follow.

It’s important to keep in mind that there are special lobbying rules in New York for anyone attempting to influence procurement deals, rate-making decisions, or tribal-state compacts.
These are more complex areas of the law, so before engaging in this kind of lobbying, it is smart to seek professional legal advice to make sure you stay compliant.

⚖️ What Nonprofits Should Know About Lobbying in New York

  • Regulatory Updates: Ever since July 2022, New York’s lobbying laws have been handled by the Commission on Ethics and Lobbying in Government. This was replacing JCOPE. The rules remain largely the same but you should always check and verify the latest standards.
  • City Rules: If you are lobbying New York City officials, it is important to remember that the city has its own set of rules. And its own $5,000 registration threshold. If your organization crosses that limit, you will need to file reports with both the state and the city.
  • Reporting Deadlines: Lobbying reports in New York are due within 15 days after the close of each reporting period. Expenses over $75 must be itemized, so maintaining organized tracking systems for staff time and costs is important.

❓ FAQs About Lobbying in New York

How can our nonprofit get the most out of this guide?

This guide is here to help your nonprofit figure out whether New York State or City lobbying rules apply to the work you are already doing or planning to do, in advocacy. In many cases, those laws do apply, but not always. This guide explains how to tell the difference and what steps to take either way.
Inside, you will find clear explanations to help you:

  • Know which of your activities might require reporting requirements.
  • Adjust your advocacy plans to stay compliant without overcomplicating things.
  • Learn what needs to go into your reports if registration is required.
  • Find ways to reduce the paperwork burden while staying on the right side of the law.

Even though we touch slightly on federal IRS lobbying rules, our main focus is on the New York State and City regulations.
You can also find federal references in the extra resources section.
We also hope that this guide helps lawyers, advisors and funders who support nonprofit organizations like yours.
You are welcome to use our free hotline and library for one-on-one help.
Also, most of the examples here focus on state registration and reporting, since these rules apply to nearly all lobbying in New York.
Where local New York City rules differ, we have pointed them out clearly and added links for you to do deeper reading.

What kinds of activities actually count as lobbying in New York State?

In New York, the typical definition of lobbying is trying to influence government actions either at the state or local level.
This could mean talking to people like lawmakers, government staff, regulators or even mobilizing other people to do the same.

Lobbying happens when you try to influence:

  • The creation, amendment, or defeat of a law or resolution including budgets.
  • Executive orders by the Governor or mayors.
  • Agency rules or regulations that have the force of law.
  • Procurement and contract decisions, rate-making, or Tribal-State negotiations.

These laws apply not just to the State but also to local governments. From counties, cities, towns, or districts with more than 5,000 residents, and all school districts.

The term public official under New York law includes a range of people across different levels of government:

  • Top state leaders like the Governor, Lieutenant Governor, Comptroller, and Attorney General, and their entire teams.
  • State legislators and their staff.
  • State officers and employees, including those within state agencies, public corporations, or commissions that have at least one Governor-appointed member and possess authority to issue regulations or make final determinations in adjudicatory proceedings.
  • Municipal officers such as mayors, council members, and others who serve on boards or commissions at the city, county, or town level.

A State agency usually refers to any department, board, bureau, commission, office or any other entity within the New York State government. It includes public benefit corporations and public authorities with at least one Governor-appointed member. Given that they are legally authorized to issue regulations or make final decisions in adjudicatory matters.
Courts are usually not included, except when you are dealing with procurement-related issues that involve influencing court activities.
Any message or conversation you send directly to a public official or their team, it doesn’t matter how, is considered direct contact.
Even social media isn’t exempted. If you DM, tag, or link a public official’s account while encouraging people to act, that is still considered direct contact.
Sometimes, even public messages count as lobbying. That is called grassroots communication. It applies only when three specific rules are met.

Your message must:

  • Talk about a government decision or action,
  • Clearly take a side on it, and
  • Encourage people to act.

A call to action is basically when you urge people to speak up and contact a public official, or motivate others to join in, about a specific government decision.Even if you simply include a public official’s contact information without asking anyone to call them, that can still count as a call to action. Adding a petition, or a pre-written email or text, can also qualify as a call to action if your message meets the three conditions mentioned above. Even a public event, like a rally, can qualify as lobbying when you tell people to take action on a bill or policy.

Remember, things like government contracts, rate-setting, and Tribal-State agreements also count as government actions, and extra rules may apply here.

Procurement lobbying: When it comes to government contracts, New York’s lobbying rules can get pretty complicated! Even if you are not trying to win a contract, some of your actions could still trigger New York’s procurement lobbying rules. Let us say you ask an agency to add a rule to their RFP, like requiring vendors to speak a certain language. That could qualify as procurement lobbying.

There are a few exceptions when a state agency asks for your opinion on an RFP, but they are narrow. Even if you are invited to give feedback, it is best to double-check how the lobbying laws apply.

If you think your work might count as procurement lobbying, check out the detailed rules in Section 943.8 here https://ethics.ny.gov/system/files/documents/2018/05/part-943-comprehensive-lobbying-regulations-5918.pdf and the Plain Language Guide to Procurement Lobbying on the state’s ethics website at https://ethics.ny.gov/system/files/documents/2018/03/plain-language-guide-procurement-lobbying31518.pdf.

It is also a good idea to get legal advice, since these rules can be confusing.

Are there separate lobbying rules for New York City?

Yes! If your nonprofit organization communicates with New York City officials to influence policy or funding decisions, that activity must be reported at both the State and City levels albeit this depends on how much money you spend.
Generally speaking, should your NYC-related lobbying costs, like staff time or expenses, go over $5,000, then you will need to file a report with the New York City Clerk’s Lobbying Bureau-in addition to your State report.
Only your NYC lobbying counts toward the City’s $5,000 threshold. State or federal lobbying doesn’t.

The table below shows scenarios where an organization may be required to register with the State, the City, or both, depending on total and prorated expenses.

NYS Lobbying Spending NYC Lobbying Spending Who You Register With
$3,000 $3,000 NYS only
$2,000 $2,000 Neither
$0 $6,000 Both NYS and NYC

So, if your organization needs to register for lobbying in New York City, you will almost always need to register with New York State too. Meeting the City’s spending threshold usually means you have already met the State’s too.

For the most part, New York City and State have very similar lobbying rules. We have pointed out some differences in this guide where the two systems don’t quite match up.

When it comes to lobbying in New York City, the rules apply to a variety of government activities, including:

  • Decisions made by the City Council or its members and their staff about introducing, passing, defeating, or shaping local laws and resolutions.
  • Choices made by the Mayor or their team to back, oppose, or block any local law or rule. Whether or not it is already before the City Council.
  • Procurement or purchasing decisions made at the City level.
  • Determinations by City officials, such as members of the City Planning Commission, borough presidents, or community boards, about zoning, land use, or property matters.
  • Any proposal, amendment, or rejection of City agency rules that carry legal force.
  • Items added to or determined by the agendas of City boards or commissions.
  • Scheduling or defining the scope of City Council oversight hearings.
  • Issuing, repealing, or modifying Mayoral executive orders.
  • Decisions by City officials to take a stance on State or federal laws or regulations.

In most cases, New York City’s lobbying rules line up closely with New York State’s. But there are a couple of exceptions. For example, lobbying around land use or zoning issues, or trying to influence when or how a City Council oversight hearing is scheduled, may be considered lobbying in the City but not necessarily by the State.

Also, just filling out a City Council discretionary funding form doesn’t qualify as lobbying. What does count is when you actively try to influence the process afterward. For instance, by reaching out to a Councilmember to follow up on that funding request.

How are IRS lobbying limits different from the state and local reporting requirements?

If your organization is tax-exempt, you are expected to follow two sets of rules: one, federal tax laws set by the IRS and any state or local lobbying regulations that apply where you operate.

The IRS focuses on how much lobbying a nonprofit is allowed to do. This is in contrast to state and local laws that emphasize transparency. This requires disclosure of who is lobbying, how much they are spending, and what they are trying to influence. These two systems operate separately, and the specific state requirements can differ significantly.

If your organization is a 501(c)(3), you will need to list your lobbying activity on your annual Form 990. But don’t worry, this only applies to legislative lobbying. Anything aimed at executive or agency officials isn’t considered lobbying under IRS rules, and there is no registration required.

If your nonprofit is a 501(c)(3) public charity, like a community foundation, you are allowed to lobby as long as you stay within the limits set by the IRS. You can measure those limits using one of two methods: the insubstantial part test or the 501(h) expenditure test.

You can read more on this here:
https://afj.org/resource/public-charities-can-lobby-guidelines-for-501c3-public-charities-2/

Organizations that fall under 501(c)(4), 501(c)(5), or 501(c)(6), like social welfare organizations, labor unions, and trade associations, don’t have the same restrictions and can lobby as much as they like under federal law.

You can read more on this here:https://afj.org/resource/being-a-player-a-guide-to-the-irs-lobbying-regulations-for-advocacy-charities/

Every nonprofit involved in advocacy should maintain clear records of its lobbying costs and staff time. These records will help you meet the reporting requirements of both the IRS and any state or local authorities, which often differ in what details they expect.

At the federal level, the Lobbying Disclosure Act (LDA) comes into play. Some organizations must register and report if they do significant lobbying with Congress or federal agencies. But if your organization only reaches out once in a while, like sending an occasional letter or holding a few meetings, you likely don’t need to register.

Read more here:
https://afj.org/wp-content/uploads/2018/06/Understanding_the_Lobbying_Disclosure_Act.pdf

Is supporting or opposing a ballot measure count as lobbying?

In most cases, no. Under New York State law, supporting or opposing a ballot question isn’t lobbying, even though the IRS considers it to be. The only exception is if you are trying to influence lawmakers to place a constitutional amendment on the ballot. That is considered lobbying activity.

Otherwise, ballot measure work falls under campaign finance rules, not lobbying laws. If your organization plans to get involved in a ballot initiative, be sure to check the campaign finance reporting requirements that apply in your area.

The Lawyers Alliance for New York provides a helpful summary here: https://lawyersalliance.org/userFiles/uploads/legal_alerts/Ballot_Measures_Legal_Alert.pdf

In New York City, influencing City Council members about starting a Charter Revision Commission counts as lobbying. But speaking to the public about a charter proposal already on the ballot would fall under campaign finance reporting, not lobbying.

At what point do you need to register for lobbying in New York?

If your organization expects to spend over $5,000 in a single calendar year on lobbying efforts targeting New York State or local officials, you must register as a lobbyist with the state and file regular reports. This total includes both staff time and related expenses tied to lobbying. However, note that interactions with federal officials, even those representing New York, do not count toward the $5,000 registration threshold.

As explained in more detail below, this threshold takes into account both the prorated staff pay and lobbying-related expenses. But everyday overhead costs, such as rent or utilities, do not need to be included or reported when calculating whether you meet the registration trigger.

The items that are listed below must be monitored closely when determining your trigger calculation for both direct and grassroots lobbying activities. A registered lobbyist is required to disclose any expense over $75 in complete detail. This includes the payee, the date, and the intended purpose under one of more than 30 separate reporting categories. Planning ahead is also important. Start by creating dependable systems for tracking staff hours and recording expenses to ensure every lobbying cost is categorized correctly. That is if your organization expects to exceed the trigger amount under New York’s registration and reporting requirements.

When you can see that your lobbying costs will likely pass the $5,000 mark, it is a good idea to register right away instead of waiting. You will still need to report all the spending that brought you to that point, and keeping up with expenses as they occur makes the process much smoother than sorting through old records after the fact.

  • Calculated staff compensation for lobbying-related duties that may meet the threshold for registration:

When adding up staff compensation, it is the combined total for everyone on your team. But only those directly working on lobbying efforts count. Support staff like copy editors, ad creators, photographers, video editors, web managers, or clerical employees don’t fall under the lobbyist category. Their work-related costs should be reported separately as non-lobbyist staff expenses.

The lobbyist compensation figure should include prorated amounts for both salary and any bonuses connected to lobbying work. However, benefits like insurance or retirement contributions are excluded. Keep in mind that lobbyists cannot be paid based on whether their lobbying efforts succeed. Look at the FAQ below for more on these restrictions.

Any reasonable approach can be used to record prorated staff time, given that your calculations are well-documented. Be sure to keep these records for a minimum of three years or five years when it comes to New York City lobbying.

  • Expenses connected to lobbying activities that may affect registration requirements:

The types of costs that count toward the lobbying registration threshold are those made specifically for lobbying purposes. These expenses generally fall into four main categories: advertising, advocacy, social events, and social media.

Advertising: This category covers more than just the cost of buying digital or print ads or paying for printing and postage (over $500 for print materials). It also includes the prorated time of non-lobbyist staff or consultants who help design campaigns, create graphics and content, manage media buys, handle social media posts, or conduct related market research.

Advocacy: Any expense directly tied to your lobbying outreach may fall into this category. That includes the prorated time your team spends preparing events where lobbying happens, creating targeted communication lists, maintaining bill-tracking subscriptions, and conducting legislative analysis. Remember, only lobbying-specific costs apply, not everyday organizational overhead.

Social Events: You can count expenses like booth rentals, A/V equipment, travel arrangements (such as buses), meals, T-shirts, and lodging for Lobby Day participants. Staff time dedicated to event preparation and printing materials over the $500 threshold are also part of this category.

Social Media: Expenses here can include staff time (excluding lobbyists) dedicated to managing your organization’s social media for lobbying efforts, plus the cost of designing and sponsoring lobbying-focused posts or ads.

Exclude Everyday Operating Expenses from Lobbying Reports

You don’t need to include your regular operating costs when reporting lobbying expenses. These overhead items, like rent, office utilities, or shared digital tools, are only counted if they are used exclusively for lobbying. If your staff use the same resources, such as MailChimp accounts or mobile phones, for both lobbying and other projects, those shared costs stay off your lobbying expense report.

New York City Rules: For lobbying within New York City, registration applies only to the portion of staff pay and direct lobbying expenses connected to City officials. Regular overhead or administrative expenses are not included in determining whether you have reached the threshold.

Are There Any Exceptions to Lobbying Rules?

Yes. Not every interaction with a public official qualifies as lobbying. If your contact doesn’t fall under New York State or New York City’s official definition of lobbying, it won’t count toward the $5,000 registration and reporting threshold.

Time spent choosing which issues your organization will advocate on doesn’t count as lobbying activity. It crosses into lobbying only when you start working for or against a particular legislative or regulatory measure.

It usually doesn’t count as lobbying when you meet with public officials just to share information about your organization’s work. As long as you are not requesting support or action on any particular legislation, regulation, or funding issue.

Not everything that appears to be lobbying under the technical definition actually counts as lobbying. The regulations spot certain exceptions, and the time or expenses related to those exempt activities don’t need to be included in your registration totals.

The most common exceptions that apply to nonprofit organizations are listed below.

  • Legislative and Rule Evaluation: When your organization pays for legal advice or analysis to better understand upcoming legislation or government actions, that alone does not qualify as lobbying. But once the analysis informs your lobbying work, those related costs become reportable and count toward your registration threshold.
  • Public Agency Hearings: Work related to attending or preparing for a public hearing held by a State or local agency is not lobbying, provided the hearing is public and your input goes on record. But this exemption does not apply to legislative or budget hearings unless you have been specifically invited to share information under the designated exception.
  • Requests for Information: Supplying information, analysis, or comments when a government office, such as a state agency, legislative committee, or individual public officer, formally requests it is not lobbying. This also covers testifying at hearings for proposed laws or budgets, provided your participation was by invitation, not something you initiated or lobbied for.
  • Standard RFP Responses: Under both New York State and New York City lobbying laws, just submitting a written proposal or bid in response to an RFP generally does not fall under lobbying activity. That said, any subsequent contact or advocacy directed at government staff about the RFP might qualify as lobbying. So it is best to review the details carefully and get legal advice when participating in procurement processes.

New York City Rules: In New York City, testifying at a public hearing where anyone is welcome to speak does not count as lobbying. This interpretation is a bit broader than what is allowed under State rules. Giving more flexibility to organizations sharing input in open hearings.

How Does the State Registration Process Work?

Once your organization crosses or expects to cross the $5,000 lobbying threshold, you are required to register as a lobbyist through the Commission on Ethics and Lobbying in Government. This body was established in July 2022, succeeding the Joint Commission on Public Ethics (JCOPE) and now manages all lobbying related filings.

When you know your lobbying costs will exceed the $5,000 limit, it is usually best to register early. Since you will still have to report the expenses that brought you to that point, keeping your expense records up to date throughout the year is generally easier than piecing them together later on.

Registration is typically done through the Commission’s online Lobbying Application (LA) system and should be completed within 10 days of exceeding the $5,000 mark. Missing registration entirely can carry heavy penalties, but if you are only slightly late, the late fees are not too harsh.

For guidance on the more complicated steps of registration, check out the Commission’s instructional video available here: https://ethics.ny.gov/lobbying-info-center.

The Commission’s guide titled Lobbyist and Public Corporation Statement of Information may feel technical, but it is a useful reference if you want to follow along with the online registration steps: https://ethics.ny.gov/system/files/documents/2020/12/registration-and-registrationamendment-information_final-12_17_20-.pdf.

Need help? Call the Commission Filer Hotline at 800-873-8442, Option 1, to connect with the Lobbying Unit, or drop a message to Registrations@ethics.ny.gov.

Step-by-Step Guide to Your Initial Registration

If your organization relies solely on internal staff for lobbying, follow these steps to complete your first registration.

In cases where your organization hires an outside lobbyist firm, most of the tasks related to registration and reporting will be handled by the firm itself. That said, it is very important to maintain communication with them and seek further guidance to ensure that you fulfill any semi-annual reporting obligations that apply to your organization as their client.

  • Create or log into a NY.gov ID account

To begin registering your organization, the staff member responsible must use a personal NY.gov ID (my.ny.gov). If they don’t yet have a profile on the Commission’s Lobbying Application (the LA). This portal is the same system that lets you access many New York State services, such as the DMV. You can start by logging into your existing account or creating a new one here: https://public.ethics.ny.gov/enrollment/

  • Create a personal LA profile

Next, your picked staff member should set up their own individual user profile on the Commission’s Lobbying Application (LA) to proceed with registration.

  • Set up your organization’s profile in the LA system

For organizations new to lobbying, you will usually need to create a fresh organizational profile. The Commission’s video tutorial offers tips on this step: https://ethics.ny.gov/lobbying-info-center

  • Assign a responsible person as CAO and an optional Delegated Administrator

Your organization must appoint a Chief Administrative Officer (CAO) for the account. If you like, you can also add a Delegated Administrator to handle filing submissions in place of the CAO.

  • Add your staff who will lobby

Add any employees who will be performing lobbying activities as “Individual Lobbyists.” This step is easier if done before starting your registration. Staff who only support lobbying behind the scenes do not need to be listed.

  • Include only employees who directly communicate with public officials as Individual Lobbyists, volunteers and unpaid staff are not required.
  • Staff engaged solely in grassroots lobbying or support roles for direct lobbying do not need listing.
  • If your organization’s lobbying is only grassroots, you will list no Individual Lobbyists, but registration and reporting rules still apply.
  • Board members who actively lobby may need to appear as “Designated Lobbyists,” so check with them before submitting.
  • Begin filing your organization’s registration in the LAOnce you have reached this step, you can begin filling out your organization’s registration statement in LA. While the form covers a lot of details, some sections won’t apply if your lobbying is carried out entirely by your own employees rather than a lobbying firm.
  • Using only your organization’s staff for lobbying means your organization acts as the Principal Lobbyist, the Contractual Client, and the Beneficial Client. Separate profiles for these roles are unnecessary. Fill out the registration using your existing organizational profile and include only business contact information because these records are part of the public record.
  • Co-Lobbyists and Sub-Lobbyists generally are not relevant when you are using internal staff, because these labels mainly cover external lobbyists operating under one contract.
  • For employed staff who will lobby, complete the Lobbying Agreement Form-Employed Lobbyists when the system asks for a Lobbying Agreement. Estimate the total annual prorated compensation for all your Individual Lobbyists combined, based on anticipated lobbying time. The Commission doesn’t require your employment agreements or offer letters to be uploaded. https://ethics.ny.gov/system/files/documents/2022/06/celg_lobbying-agreement-form-employed-lobbyists-6_28_22.pdf
  • Record the specific lobbying topics your organization anticipates engaging with during the registration timeframe.
  • Focus of Lobbying: This part asks for specifics about the issues or legislation you might lobby on and the public officials you intend to approach. It is fine to leave items as unknown or not determined at this stage if you don’t have complete information. There is no need to list every legislator or subject.
  • Business Relationships to Report: Your organization must report any reportable business relationships (RBRs) involving state officials. This includes agreements, formal or informal, to pay more than $1,000 to a state official or an entity they significantly own. Payments made by your board members, senior managers, or employed lobbyists can also create an RBR. Refer to the FAQ for more on identifying reportable relationships.

To register, your organization must pay a $200 filing fee. New York State runs on a two-year cycle starting in January of odd years. If you register for the first time during the second half of the cycle, the fee is reduced to $100.

Remember, all staff listed as Individual Lobbyists need to finish the required Ethics for Lobbyists training within 60 days after your organization registers. You can preview the training here: https://ethics.ny.gov/ethics-lobbyists-training

New York City Rules:

  • In New York City, lobbyist registration is renewed every year, compared with the State’s biennial system.
  • The steps for registration and reporting in New York City are much like the New York State process, but organizations planning to exceed the City threshold should consult the Lobbying Bureau’s resources. Find details and rules here: https://www.cityclerk.nyc.gov/content/lobbying-bureau
  • All lobbyists in the City must complete a required training program.

What is the deadline for periodic lobbying reports?

Following registration, your organization is required to provide bi-monthly reports.  Each bi-monthly report, as its name implies, is due 15 days following the conclusion of the two-month period it covers.

Here are the Reporting Period Due Date:

Reporting Period Due Date
January – February March 15
March – April May 15
May – June July 15
July – August September 15
September – October November 15
November – December January 15 following year


Keep in mind that you need to have very strong staff timekeeping and expense tracking systems in place in order to have the necessary documents at hand for creating these reports within the very short 15-day window so that you don’t miss this tight deadline.After registering, unless you cancel your registration early, your organization must provide reports for the current biennial period, regardless of whether you have lobbied since your last report.

You will have to incur late fees for missing these deadlines though this won’t have severe repercussions as long as you aren’t too late.

A Client Semi-Annual Report may be required in addition to Bi-Monthly Reports for organizations who hire outside (or “retained”) lobbyists.  While filing this report is not necessary if your organization taps into internal staff or board members to lobby, it is good to be aware of the obligation to prevent confusion as you navigate around the laws.

If your organization is required to submit a Client Semi-Annual Report, then you are expected to get tailored guidance from your lobbyist. You may also want to get in touch with the Commission for more details on this.

New York City Rules:

  • Theoretically, organizations that only use their own employees to lobby and that exceed the $5,000 New York City trigger threshold but fall below $10,000 in annual lobbying expenses can only file New York City reports twice a year. This is for the months of January through June (due July 15) and July through December (due January 15).
    However, as of the time of creating this guide, the City’s E-Lobby system had not yet adopted this modified filing status, so all filers are still required to submit Bi-Monthly Reports on the same reporting schedule as the State.
  • In addition to the periodic reports, companies who hire external lobbyists could also have to submit a New York City Client Annual Report.
  • Keep in mind that practically all lobbying activity in New York City needs to be reported to New York State as well.

What details are included in the regular lobbying reports?

You are expected to include your organization’s and any individuals’ contact details for those who participated in lobbying on your behalf during the relevant period. Again, it is worth noting that even a small amount of lobbying by one or more employees or designated lobbyists (such as board members) must be reported for each period after your organization is registered.

If any additional new staff or directors begin to conduct direct lobbying communications on your behalf, you may need to add new Individual Lobbyists or Designated Lobbyists to your organizational profile. If you have direct contact with public authorities through your current individual lobbyists, you can reduce the number of staff who must register as lobbyists.

Additionally, the Bi-Monthly Report needs to specify the area of lobbying you are involved in, the government action you were trying to influence, and the public official you were attempting to influence (including the intended target of any grassroots lobbying).

The most important requirement is that the Bi-Monthly Report include all reportable staff compensation (prorated for lobbying) and costs incurred within the pertinent time frame.

The reportable expense categories are more or less those previously mentioned in the section on trigger calculation.

New York City Rules:

The New York City periodic reports, just like the New York State reporting, include information about the employee or employees who did lobbying. It also contains the lobbying target, compensation, and expenses incurred during the relevant reporting period, and a description of the subject or subjects lobbied (i.e., the government action).

Q: What constitutes an “expenditure” that needs to be reported?

Reportable lobbying expenses in New York State are classified as either lobbyist compensation or lobbying-related expenses, as was covered above when we looked at the trigger requirements for registration.

If you have any non-lobbying employees who assist with lobbying efforts then their salaries are considered as expenses rather than compensation. You are required to prorate them and report them just like those salaries of your listed individual lobbyists.

Salary and other remuneration, such as any year-end bonuses connected to the lobbyist’s work but excluding perks, must be prorated when reporting lobbyist compensation and non-lobbying staff time.

Remember that lobbyists are not allowed to get paid based on the effectiveness of their efforts. You can read more information about these restrictions on our FAQ section below.

According to the Commission’s rules, lobbyist and non-lobbying staff time must be prorated using a “good faith methodology,” but no specific accounting method is required.

If there are any other non-compensation expenses that total more than $75, they must be itemized. Otherwise, if the sum is less, they can be combined.

There is no explicit list of the types of expenses that need to be disclosed in the regulations.  Nevertheless, the rules specifically prohibit filing fees, printing or postal costs that don’t total more than $500, and travel, food, and accommodation expenses paid by individual lobbyists (but not non-lobbyist employees).

Also, New York does not mandate that office overhead costs like rent, utilities, and phones be apportioned to lobbying efforts.

As we had looked at in detail in the registration trigger FAQ above, the Lobbying Application system itself offers a comprehensive deep dive of more than 30 reportable spending categories in the fields of advocacy, social events, advertising, and social media.

It is important that you understand that although the Lobbying Application menus might also seem to offer ways to record overhead costs like internet, cell phones, and so forth, the rules explicitly state that these costs are not obligated to be reported or prorated.  Only when the cost is solely for lobbying that your organization would not have otherwise incurred for your other non-lobbying activity should you record lobbying expenses in these areas.

You can always seek clarifications from the Commission for advice directly if your organization spends money on lobbying and you aren’t sure if it needs to be reported.

You can also seek advice directly from the Commission if your organization incurs a cost related to lobbying and you are unsure if it needs to be reported.

Last but not least, keep in mind that time and funds spent on any federal lobbying you conducted are not deemed reportable in New York, even if it was directed at federal legislators in New York State or was conducted there.

Records and receipts:

You must pay by check or provide a receipt for all expenses involving your lobbying efforts that total $50 or more.  Records of checks or receipts must be kept for three years after the date on which the expense was supposed to be recorded.

Gift ban:

Members of the immediate family and registered lobbyists are not allowed to give public officials anything of more than “nominal value,” with a few exceptions. A registered lobbyist would be wise to get legal counsel before giving a public official free tickets to a gala or anything else of value.

Additionally, it is important to remember that laws governing lobbying expenses nearly always have complex intersections with local ethics and “gift ban” legislation. Even if your organization has not triggered lobbyist registration, such state and municipal regulations frequently still apply and may be applicable to a wider variety of authorities.

Before you provide presents to or cover the costs of any public officials at the state or local level, you should be sure you comprehend the nuances of both sets of regulations.  The Commission has provided additional information on this here https://ethics.ny.gov/gifts.

New York City Rules:

  • New York City typically uses the same guidelines as New York State on the types of costs that must be reported. You can check out the NYC E-Lobbyist User Guide which provides further information on this.
    https://www1.nyc.gov/html/misc/pdf/elobbyist_user_guide.pdf
  • Documents need to be kept for five years rather than three.
  • Just like the State’s gift restriction, New York City also has similar stipulations.

Q: If your nonprofit is registered, are there any additional particular reporting requirements?

If your organization is obliged to register as a lobbyist in New York, there are a number of special reports that may need to be filed under specific conditions.  We have touched on these specific reporting requirements in passing in the context in which they can arise, but we will go into more depth below on how to assess whether your company may be subject to them.

  • New York State’s Reportable Business ties Report:

If your organization has any Reportable Business Ties (or “RBRs”) with State officials, you must declare them if you are required to register as a lobbyist in New York State.

These are characterized as a legal or informal arrangement made by your organization to give a state official or an organization in which the state official owns a sizable share more than $1,000.  If a state official receives payment from a board member, senior management, or hired lobbyist for your company, there may also be an RBR.

The Commission’s Reportable Business Relationship Questionnaire is a good tool to use to record that you asked your board members, senior management, and hired lobbyists if there were any RBRs that needed to be disclosed.

https://ethics.ny.gov/system/files/documents/2019/01/rbr-questionnaire-final-1219.pdf

There are some questions on this questionnaire that are too general, so it’s usually best to start by looking at the list of “State Persons” that can initially lead to a reportable business relationship.

Well, several circumstances can lead to an RBR. For example, if your organization enters into a contract with a State employee who also serves as an adjunct professor at a state university. Also, when one of your board members joins a law firm that has a State legislator as a partner, or when your organization rents an Albany apartment from a State employee landlord for use during lobbying trips.

For guidance on disclosing any RBRs, you can use the State’s user guide: https://ethics.ny.gov/system/files/documents/2020/12/reportable-business-relationshipfiling-instructions_final-12_14_2020.pdf.

New York State’s Source of Funding Report

Some 501(c)(4)s and other non-501(c)(3) tax exempt organizations that engage in substantial lobbying at the New York State and local level may be subject to a Source of Funding report requirement. This is only necessary if your organization spends more than $15,000 and more than 3% of your total annual budget on New York lobbying in a single year. It is important to note that the 501(c)(3)s are exempt from this potential reporting obligation

Every donor who contributed more than $2,500 to the organization overall throughout the year must be listed by the organization in order for it to be eligible to submit this report.  When a company uses its own employees to lobby, this report is reported on the Client Semi-Annual report, which is typically not required.

In situations where disclosing some or possibly all of your contributors could “cause harm, threats, harassments, or reprisals to the donor or their property,” you might be eligible to ask the Commission for a disclosure exemption.  The Commission must use the criteria outlined in New York State’s Source of Funding Regulations, 19 N.Y.C.R.R. Part 938, which can be found here: https://ethics.ny.gov/system/files/documents/2021/02/19-nycrr-part-938-source-offunding-regulations_2.10.21.pdf, to make such decisions upon written request.

To learn more about the Source of Funds disclosure regulations and how to figure out how much to reveal (you will often just declare a portion of the entire donation amount), follow these guidelines: This document can be found at https://ethics.ny.gov/system/files/documents/2021/06/2021-2022-sof-instructions-final6 13 21.pdf.

• The Disbursement of Public Monies Report for New York State

In addition to the complex procurement lobbying regulations that may occasionally be relevant to your efforts to secure a State grant, there is a unique report known as the Disbursement of Public Monies Report that may also be relevant.
This report is only necessary if your organization is already required to register, you spend at least $5,000 directly lobbying for the desired distribution of funds, and you are attempting to influence the allocation of more than $15,000 in state funding (to your organization or elsewhere).  Regardless of whether you received the desired allocation outcome, you must complete this report whenever you meet this unique trigger throughout a bi-monthly period.

Here are further steps on how to submit this special report: https://ethics.ny.gov/system/files/documents/2021/03/2021_2022-dpm-filinginstructions-final-3_26_21.pdf

The Funding Disclosure Report of the New York Department of State

Article 7-A of the Executive Law of New York mandates that some organizations submit financial reports to the Department of State, and this donor disclosure report is a distinct, non-lobbyist requirement.  This prospective filing requirement, which typically only applies to a small percentage of 501(c)(3) organizations but may apply to many 501(c)(4) organizations, is outlined in Executive Law Sections 172-e and 172-f.

Only 501(c)(3) organizations will be subject to this financing reporting requirement if they make in-kind contributions to a 501(c)(4) organizations that spends more than $15,000 and more than 3% of its annual budget on lobbying in New York in a single year, or $10,000 or more.

Moreover, if 501(c)(4) organizations spend more than $10,000 in a calendar year on one or more written communications that are distributed to more than 500 individuals and support or oppose specific laws, executive branch rulings, or public official actions, they are subject to this reporting requirement.  The work of 501(c)(4)s located outside of New York might potentially be included in this filing requirement.

Notably, a federal court in 2019 declared that previous iterations of Executive Law 172-2 and 172-f were unconstitutional under the First Amendment and so permanently barred their implementation.  The existing versions of these laws are not subject to any new rulings.

You can use this Lawyers Alliance for New York fact sheet for more info:
https://lawyersalliance.org/userFiles/uploads/legal_alerts/New_NY_Department_of_Stat e_Reporting_Requirements.pdf for additional details.

You can also visit the Department of State’s website for more info:
https://dos.ny.gov/financial-reports-be-filed-certain-not-profitorganizations for further details on how to file.

You should seek legal counsel regarding the status of any possible injunctions against enforcement if your organization thinks you might have to submit these reports.

New York City Regulations:

• The Paid Political Consulting Report for New York City

All political fundraising, even when done as a volunteer or personal project, and paid political consulting must be disclosed by registered lobbyists in New York City.
The reporting requirement covers a six-month lookback period before the start of the lobbyist’s first registration year, and it might also apply to the lobbyist’s close relatives.  This submission is made electronically through the E-lobbyist system in New York City.

Q: Does New York have any unique regulations regarding lobbying coalitions?

Yes, but don’t freak out!

For coalitions that lobby together, New York State has implemented some new regulations that may seem complicated. However, for smaller organizations, they frequently don’t apply to your work at all or don’t significantly alter how you should consider your possible lobbying registration or reporting requirements.

Only when coalition members choose to combine their financial and/or in-kind resources for the primary goal of lobbying under a common agenda, or when they use the coalition’s name when lobbying, do these special New York coalition rules apply.  Informal coalitions of organizations only coordinating their ideas on their independent advocacy activities conducted under their own names are exempt from the regulations.

If your organization chooses to join a coalition in which the New York coalition rules are applicable, you must ascertain whether the coalition will be regarded as structured or unstructured and how you will be required to notify the State of any lobbying activities connected to the coalition.

  • A coalition is considered structured if it has a name, a bank account, and a designated president, treasurer, or other position. Members of this type of alliance contribute money, which is subsequently utilized to purchase advertisements or employ lobbyists. This means that the members’ payments to the coalition do not count toward their personal registration trigger threshold, nor do they subject them to any reporting obligations of their own.  Coalitions with this structure typically do not include smaller grassroots organizations
  • On the other hand, a coalition that lacks a shared bank account or a designated president, treasurer, or other leader yet uses a coalition name in lobbying correspondence is said to be unstructured. If registration is triggered, each coalition member lists lobbying expenses and remuneration connected to the coalition on their own organization’s periodic reports. Somewhat confusingly (because no money necessarily changes hands), in the periodic report the coalition-related compensation and costs is recorded as a “coalition member contribution.”  Keep in mind that you only have to register your coalition work and any additional lobbying you have done this year if the total exceeds the $5,000 registration threshold.

Regardless, unless you are attempting to serve as the designated reporting member of a structured coalition, your organization is exempt from having to worry about other members’ contributions as a coalition member subject to New York’s specific coalition requirements.

Our guide does not cover the intricate reporting requirements for structured coalitions.  The position works best for companies that regularly have access to knowledgeable New York lobbying counsel and have enough staff resources to monitor and report member contributions.

New York City Rules:

New York City does not currently have a coalition concept like the one for New York State.

Q: Does any lobbying report have to list our organization’s donors?

Donor disclosure may be required if your organization is not a 501(c)(3) nonprofit.

There are certain 501(c)(4)s and other non-501(c)(3) tax-exempt organizations that may be required to submit a Source of Funding report if they engage in substantial lobbying at the state and municipal levels of New York.
This report is only necessary if, in a single year, your organization spends more than $15,000 and more than 3% of its total annual budget on lobbying in New York.  More information on the requirements for this report can be found in the special reporting FAQ above.

Q: When lobbying, how must our lobbyists identify themselves?

While wearing badges or ID cards is not required when lobbying in New York, it is a good idea to introduce yourself and your organization to a public official when you are meeting with them for the first time.

New York City Rules:

Additionally, there are no particular standards for lobbyist identity in New York City.

Q: Do we need to know about any additional limitations on lobbyists?
As we have already covered, New York State forbids paying lobbyists contingency fees based on winning or losing a covered government decision, in addition to the gift ban and the need to file Reportable Business Relationships and Disbursement of Public Funds reports.

Nonetheless, the political activities of lobbyists, including campaign contributions, are unrestricted in New York State.

New York City Regulations:

Even when lobbyists work in their individual capacities, they are subject to stricter restrictions on their political activity. The general public may have higher contribution limitations than lobbyists registered in New York City, and they are not eligible for campaign contribution matching.  Additionally, those from their immediate family are also subject to the same restrictions.

New York City lobbyists are required to disclose all political donations, including volunteer and personal contributions, as well as paid political consulting.  The reporting requirement covers the six months before the lobbyist’s first registration, plus it can also apply to the lobbyist’s close relatives.  For further information, you can refer to the special reporting FAQ.

Sample Case Study: Students Take Action Now

Take a case scenario of Students Take Action Now, a small, hypothetical 501(c)(3) advocacy organization focused on improving civic engagement among college students in New York state. The organization wants to influence a Bill A1101, currently pending in the New York State Assembly, which would expand early voting access for students on college campuses.

In this case, although 501(c)(3)s can engage in some lobbying whilst following strict registration and reporting rules under New York State law.

Planned Advocacy Activities for the Campaign:

  • Using volunteer phone banking, emails, and direct physical mailings to contact its student constituents and encourage them to call their Assembly member over the bill.
  • Organizing a virtual Zoom lobby event or holding an in-person Lobby Day to visit with lawmakers over Bill A1101. The Lobby Day event could involve renting a bus, purchasing T-shirts for the volunteers, and distributing little swag items to the lawmakers. If Zoom is used, it could also mean paying for an upgraded the Zoom account.
  • Presenting the viewpoint of students on Bill A1101 to a State Assembly committee.
  • Having a staff member speak with the mayor regarding a related but distinct local ordinance under consideration.
ACTIVITY REPORTING GUIDELINES
Student Involvement If the outreach messages include Bill A1101, state clearly whether you support or oppose it, and contain a clear call to action, this will be classified as grassroots lobbying.

In that case, prorated pay for the organization’s outreach workers as well as non-overhead charges (such as the $500 cost of a print mailer and the lunch for phone bankers, but not regular phone or email system costs) will be applied toward New York’s $5,000 registration requirement.
Day of Lobbying Prorated pay to the organization’s employees involved in this outreach, along with the non-overhead costs of the Lobby Day (such as the bus, T-shirts, and volunteer meals, but not the Zoom account), will be deducted from New York’s $5,000 registration requirement because this is a direct lobbying operation.

In lieu of swag gifts, Students Take Action Now ought to think about providing educational resources about the entity; if these materials were lobbying-specific, their price would exceed $500, which would count against the trigger level.

Unless they are board members directly lobbying on behalf of Students Take Action Now, student volunteers do not need to be added to the organization’s registration or periodic reports if registration is necessary.
Engaging the Committee It is not seen as lobbying if the legal committee hosting the hearing has invited the students or the public at large to testify.  Otherwise, the prorated staff time for preparation and testimony will have to be counted by Students Take Action Now.

Since the purpose of the testimony is to present a student viewpoint, the organization should think about permitting a student volunteer to testify, particularly if doing so would reduce the total prorated staff salary to a level that would prevent registration.
Engaging the Mayor The organization’s total New York State registration and reporting threshold will be impacted if its interactions with the Mayor qualify as lobbying.

They will also need to take into account New York City’s spending threshold and possibly report if this city-level engagement were aimed at the mayor of New York City (or any other official in the city).But as stated, it is difficult to see the effort reaching the $5,000 NYC threshold.
In a Nutshell Students Take Action Now will not be required to register if it can maintain its total staff salaries and nonoverhead costs below the $5,000 threshold.  However, if the organization believes it may approach the trigger limit and/or may undertake more lobbying efforts throughout the year, it would still need to closely monitor the time and expenses of its employees.

📚 References and Support Resources

TECHNICAL HOTLINE OF BOLDER ADVOCACY:

For more specialized inquiries, the team at the free Technical Hotline of Bolder Advocacy is always pleased to assist advocacy lawyers and charities.  You can reach the team of specialists at Bolder Advocacy by calling 866-NP-LOBBY (866-675-6229) or sending an email to advocacy@afj.org.

NEW YORK STATE RESOURCES:

The Commission on Ethics and Lobbying in Government (previously known as “JCOPE”) is one of the resources of New York State.  Here are several very useful tools from the New York State regulator, such as written advice, training videos, and webinars:  www.ethics.ny.gov/lobbying-overview

o New York State’s lobbying regulations, 19 N.Y.C.R.R. Part 943, are available here:

https://ethics.ny.gov/system/files/documents/2018/05/part-943-comprehensive-lobbyingregulations-5918.pdf

o New York State’s Source of Funding Regulations, 19 N.Y.C.R.R. Part 938, are available here:

https://ethics.ny.gov/system/files/documents/2021/02/19-nycrr-part-938-source-of-fundingregulations_2.10.21.pdf

  • Video Tutorial

A video overview of the New York State laws, and tutorial on the online filing system is available

here (select “Lobbying Overview Training and Demonstration” for the video and associated PDF

deck): https://ethics.ny.gov/lobbying-info-center

  • Other Guides

o How to File an Initial Registration Guide:

https://ethics.ny.gov/system/files/documents/2020/12/registration-and-registration-amendmentinformation_final-12_17_20-.pdf

o How to File Bi-Monthly Reporting Guide:

https://ethics.ny.gov/system/files/documents/2021/02/how-to-file-a-bi-monthly-report-andamendment-in-la_final-2_23_21.pdf

o Plain Language Guide to Procurement Lobbying:

https://ethics.ny.gov/system/files/documents/2018/03/plain-language-guide-procurementlobbying31518.pdf

o Coalition Filing Requirements:

https://ethics.ny.gov/system/files/documents/2022/07/coalition-filing-requirements-finalrebranded_7_5_22.pdf

o Reportable Business Transaction Filing Instructions:

https://ethics.ny.gov/system/files/documents/2020/12/reportable-business-relationship-filinginstructions_final-12_14_2020.pdf

  • Mandatory Ethics Training for Lobbyists

https://ethics.ny.gov/ethics-lobbyists-training

  • Additional Queries

For inquiries concerning registration and reporting in New York State, contact the Commission’s lobbying hotline at 800-87-Ethics (800-873-8442), which is open Monday through Friday from 8:30 a.m. to 4:30 p.m.; for inquiries concerning registration and reporting, contact Helpdesk@ethics.ny.gov via email; and for inquiries pertaining to legal matters, contact a Commission attorney at 800-87-Ethics (800-873-8442 (option 2 for Attorney of the Day) or via email at legal@ethics.ny.gov.

ADDITIONAL RESOURCES:

NEW YORK CITY RESOURCES:

  • New York City Lobbying Bureau

New York City’s Lobbying Law and Rules are enforced by the Lobbying Bureau, a section of the

City Clerk’s office. The Lobbying Bureau provides some useful resources and a FAQ here:

https://www.cityclerk.nyc.gov/content/lobbying-bureau

  • Full Text of New York City Lobbying Ordinance and Rules

New York City’s lobbying ordinance can be found here:

https://www.cityclerk.nyc.gov/content/lobbying-bureau/lobbying-law-admin-code

The Rules of the City of New York with respect to lobbying can be found here:

https://www.cityclerk.nyc.gov/content/nyc-lobbying-rules

  • Mandatory Lobbyist Training

Information about New York City’s mandatory training for lobbyists is available here:

https://www.cityclerk.nyc.gov/content/training

  • NYC E-Lobbyist User Guide

A User Guide for how to use the online filing system for New York City is available here:

https://www1.nyc.gov/html/misc/pdf/elobbyist_user_guide.pdf

LAWYERS ALLIANCE FOR NEW YORK RESOURCES:

Attorneys Alliance for New York is a nonprofit organization that offers business and legal services to nonprofit and community development organizations in New York State. It is not connected to the Democracy Capacity Project or Alliance for Justice’s Bolder Advocacy program.

  • Advocacy Tools and FAQs

Lawyers Alliance provides some helpful tools and a FAQ related to lobbying here:

https://lawyersalliance.org/advocacy

  • How Do New York State Lobbying Disclosure Rules Apply to Social Media?

https://lawyersalliance.org/userFiles/uploads/legal_alerts/Social_Media_Lobbying_Legal_Alert_Nov_

2018_FINAL.pdf

  • Lobbying Webinars

Two informative recorded webinars are available from Lawyers Alliance for a small fee here:

https://lawyersalliance.org/recorded-webinars.

  • Question Hotline

Lawyers Alliance also offers a help line at (212) 219-1800 x224