Per the notice below published today in the New York State Register, the Commission on Ethics and Lobbying in Government has adopted emergency regulations to require lobbying training for both lobbyists and clients. Client lobbying training must be taken by the designated Chief Administrative Officer for the client.
Commission on Ethics and Lobbying in Government
EMERGENCY/PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Ethics Training for Lobbyists and Clients
I.D. No. ELG-01-23-00006-EP
Filing No. 1045
Filing Date: 2022-12-20
Effective Date: 2022-12-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following action:
Proposed Action: Amendment of Part 943 of Title 19 NYCRR.
Statutory authority: Executive Law, section 94(1), (5)(a), (8)(d); Legislative Law, art. 1-A, section 1-d(a) and (h)
Finding of necessity for emergency rule: Preservation of general welfare.
Specific reasons underlying the finding of necessity: The regulatory amendments are necessary to conform to the Ethics Commission Reform Act of 2022, L 2022, ch 56, § 1, Part QQ (“ECRA”) which mandated that the Commission on Ethics and Lobbying in Government (“Commission”) must develop and administer training courses for lobbyists and clients. Before ECRA, only lobbyists were required to take an online ethics course, as provided and set forth in Section 1-d(h) of the Lobbying Act. Since the lobbying regulations currently provide for training of lobbyists only, the regulatory amendments are necessary to conform the training provisions to include clients and facilitate the expeditious and efficient performance of the Commission’s training mandate. The emergency rule is necessary for the general welfare to enforce ethics laws that are critical matters of public interest. Therefore, upon Emergency Adoption, these amendments will take effect immediately.
Subject: Ethics training for lobbyists and clients.
Purpose: To establish requirements related to ethics training for lobbyists and clients mandated by law.
Text of emergency/proposed rule: Pursuant to the authority vested in section 94 of the Executive Law and Article 1-A of the Legislative Law, Part 943 of Title 19 of the Official Compilation of Codes, Rules and Regulations of the State of New York is amended, to be effective upon filing as an Emergency Adoption and upon publication of a Notice of Adoption in the New York State Register, to read as follows:
TITLE 19. DEPARTMENT OF STATE
CHAPTER XX. [JOINT COMMISSION ON PUBLIC ETHICS] COMMISSION ON ETHICS AND LOBBYING IN GOVERNMENT
PART 943 LOBBYING
Subdivision (b) of section 943.5 is amended to read as follows: (b) Online Ethics Training for Lobbyists and Clients
(1) All [Individual] Lobbyists (Principal Lobbyists and Individual Lobbyists) and all Clients (Contractual Clients and Beneficial Clients) listed on a Statement of Registration commencing with the biennial period 2023-2024 and thereafter, must complete [an] the online ethics training for Lobbyists and Clients, as provided by the Commission[;].
(i) For organizations that engage in lobbying activity as either a Lobbyist or Client, the organization’s Chief Administrative Officer is responsible for completing the training on behalf of the organization.
(2) Such training must be completed [by an Individual Lobbyist] once every three years, as follows:
(i) Complete the training within 60 days of the submission of the initial Statement of [r]Registration commencing with the 2023-2024 biennial period;
(ii) Complete the training again within three years of the date the Lobbyist or Client first or subsequently completed the training, if such Lobbyist or Client is still listed on an active Statement of Registration [registered to lobby] at such time; and/or
(iii) If there is a lapse in a Lobbyist[’s] or Client being listed on an active Statement of [r]Registration, such Lobbyist or Client must complete the training again within 60 days of either being listed on a Statement of [re-r]Registration [to lobby] or three years from the date such Lobbyist or Client last completed such training, whichever is later.
(iv) The 60-day period for completing training will be measured from the earliest submission date listing a Lobbyist or Client on a Statement of Registration, commencing with the 2023-2024 biennial period and thereafter.
(3) Lobbyists and Clients (including the Chief Administrative Officers of organizations engaged in lobbying activity as a Lobbyist or Client, as applicable) will be required to enter training compliance information into the Commission’s online lobbying application, as directed by the Commission.
This notice is intended: to serve as both a notice of emergency adoption and a notice of proposed rule making. The emergency rule will expire March 19, 2023.
Text of rule and any required statements and analyses may be obtained from: Carol Quinn, Commission on Ethics and Lobbying in Government, 540 Broadway, Albany, New York 12207, (518) 408-3976, email: carol.quinn@ethics.ny.gov
Data, views or arguments may be submitted to: Same as above.
Public comment will be received until: 60 days after publication of this notice.
Regulatory Impact Statement
1. Statutory Authority: Executive Law § 94(1)(a) provides the Commission on Ethics and Lobbying in Government (“Commission”) with the responsibility to administer, enforce and interpret New York State’s ethics and lobbying laws. Subsection 94(5)(a)(i) authorizes the Commission to adopt, amend and rescind any rules and regulations pertaining to the statutes within its jurisdiction. Subsection 94(8)(d) requires the Commission to develop and administer training courses for lobbyists and clients of lobbyists. Legislative Law Article 1-A Section 1-d(h) authorizes and requires the Commission to provide an online ethics training course for lobbyists and sets forth requirements related thereto.
2. Legislative Objectives: The Ethics Commission Reform Act of 2022 (“ECRA”) established the Commission on Ethics and Lobbying in Government as the agency responsible for administering, enforcing and interpreting New York State’s ethics and lobbying laws, including the provision of mandatory ethics training for lobbyists and clients.
3. Needs and Benefits: This Emergency Adoption and Proposed Rule amends 19 NYCRR Part 943 to conform to new Section 94 of the Executive Law, established by ECRA, which mandates that the Commission must develop and administer training courses for lobbyists and clients. Before ECRA, only lobbyists were required to take an online ethics course, as set forth in Section 1-d(h) of the Lobbying Act. Since the lobbying regulations currently provide for training of lobbyists only, the regulatory amendments are necessary to conform the training provisions to include clients and facilitate the expeditious and efficient performance of the Commission’s training mandate.
4. Costs:
a. Costs to regulated parties for implementation and compliance: Minimal.
b. Costs to the agency, State and local governments for the implementation and continuation of the rule: No costs to such entities.
c. Cost information is based on the fact that there will be minimal costs to regulated parties and state and local government for training staff on changes to the requirements. The cost to the agency is based on the estimated slight increase in staff resources to implement the regulations.
5. Local Government Mandates: The Emergency Adoption and Proposed Rule does not impose new programs, services, duties or responsibilities upon any county, city, town, village, school district, fire district or other special district.
6. Paperwork: This regulation may require the preparation of additional forms or paperwork. Such additional paperwork is expected to be minimal.
7. Duplication: This regulation does not duplicate any existing federal, state or local regulations.
8. Alternatives: ECRA repealed and replaced Section 94 of the Executive Law to establish the Commission on Ethics and Lobbying in Government as the agency responsible for administering, enforcing and interpreting the State’s ethics and lobbying laws. It further established a mandatory ethics training requirement for both lobbyists and clients. Therefore, there is no alternative to amending the Commission’s existing regulations to conform to ECRA.
9. Federal Standards: This regulation does not exceed any minimum standards of the federal government with regard to a similar subject area.
10. Compliance Schedule: Compliance with the emergency regulation will take effect on the date it is filed with the Department of State. The Proposed Rulemaking will take effect upon adoption.
Regulatory Flexibility Analysis
A Regulatory Flexibility Analysis for Small Businesses and Local Governments is not submitted with this Notice of Emergency Adoption and Proposed Rulemaking because the rulemaking will not impose any adverse economic impact on small businesses or local governments, nor will it require or impose any reporting, record-keeping, or other affirmative acts on the part of these entities for compliance purposes. The Commission on Ethics and Lobbying in Government makes this finding based on the fact that the rule implements current law and, therefore, imposes no new requirements on such entities.
Rural Area Flexibility Analysis
A Rural Area Flexibility Analysis is not submitted with this Notice of Emergency Adoption and Proposed Rulemaking because the rulemaking will not impose any adverse economic impact on rural areas, nor will it require or impose any reporting, record-keeping, or other affirmative acts on the part of rural areas. The Commission on Ethics and Lobbying in Government makes this finding based on the fact that the rule implements current law and, therefore, imposes no new requirements on such entities. Rural areas are not affected.
Job Impact Statement
A Job Impact Statement is not submitted with this Notice of Emergency Adoption and Proposed Rulemaking because the proposed rulemaking will have limited, if any, impact on jobs or employment opportunities. This regulation implements current law and, therefore, imposes no new requirements. This regulation does not relate to job or employment opportunities.