senate Bill S870

Amended

Relates to the registration fees for certain lobbying entities; repealer

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Bill Status


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed/Vetoed by Governor
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actions

  • 05 / Jan / 2011
    • REFERRED TO FINANCE
  • 04 / Jan / 2012
    • REFERRED TO FINANCE
  • 13 / Jan / 2012
    • AMEND AND RECOMMIT TO FINANCE
  • 13 / Jan / 2012
    • PRINT NUMBER 870A

Summary

Relates to the registration fees for certain lobbying entities; amends the definition of "lobbying" to include attempts to influence actions of public officials related to the procurement of goods or services, the terms of a request for bids or proposals or other procurement solicitation, the terms of the contract, the selection of a contractor, and the administration, implementation and enforcement of a contract.

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Bill Details

See Assembly Version of this Bill:
A5870
Versions:
S870
S870A
Legislative Cycle:
2011-2012
Current Committee:
Senate Finance
Law Section:
Legislative Law
Laws Affected:
Rpld §1-c subs (c), (m) & (n), §§1-k, 1-n & 1-t, amd Leg L, generally
Versions Introduced in Previous Legislative Cycles:
2009-2010: S4527, A649
2007-2008: A8241

Sponsor Memo

BILL NUMBER: S870

TITLE OF BILL :
An act to amend the legislative law, in relation to registration
filing fees for certain lobbying entities; and to repeal certain
provisions of such law relating thereto

PURPOSE :
The purpose of this bill is to increase public confidence in state and
local government by taking steps to regulate the interactions between
lobbyists and government officials.

SUMMARY OF PROVISIONS :

This bill would:

* Amend the definition of lobbying to include:

1. efforts to influence the adoption or terms of an executive order;

2. efforts to influence the action or determination of a public
official including any person or entity working in cooperation with
the official related to the award or denial of any contract or other
agreement, including but not limited to those for the procurement of
goods, commodities, services, construction, public works, or the
purchase, sale, or lease of real property or any interest in real
property, any revenue contract or any other similar transaction;

3. efforts related to the approval or the implementation and
administration of tribal-state compacts, memoranda of understanding,
or any other tribal-state agreement and any state actions relating to
class III gaming except to the extent barred by federal law;

4. efforts to influence the action or determination of any municipal
officer including any person or entity working in cooperation with the
officer related to the award or denial of any contract or other
agreement, including but not limited to those for the procurement of
goods, commodities, services, construction, public works, or the
purchase, sale, or lease of real property or any interest in real
property, any revenue contract or any other similar transaction; and

5. efforts to influence the implementation of rules and regulations;

* Provide the following exemptions from the definition of lobbying:

1. any activity relating to procurements made in accordance with
section 162 of the State Finance Law (preferred source contracts);

2. participation by a potential bidder or their representative in a
publicly noticed bid conference;

3. action taken by persons who have been tentatively awarded a
contract, or their representatives, who are communicating with an
agency or municipality to negotiate the contract;

4. participation in a bid protest or a request for a bid review;

5. submission of bid proposals;

6. communication with a designated agency or municipal contact person
regarding a request for bid or proposal; and

7. applications for licenses, certificates, and permits authorized by
other statutes;


* Raise the threshold of allowable expenditures and compensation at
which lobbyist registration is required from $2,000 to $5,000
annually, beginning in 2006;

* Provide that the lobbying compensation threshold may be computed
separately for state and municipal lobbying efforts;

* Require that lobbyists must disclose in all activity reports the
title of any contracts, and the identifying numbers of any contracts,
bids, request for proposals, or invitation for bids that they have
lobbied or expect to lobby on;

* Make advisory opinions of the commission binding with respect to the
person(s) to whom they are rendered;

* Prohibit payments that are contingent upon the adoption or terms of
an executive order, the acceptance of a bid or contract by any agency
or municipal official, or any other procurement related decision,
action or determination "regarding the procurement of goods,
commodities or services by an agency or municipal official;

* Define "restricted period" during which contacts regarding the
procurement are restricted;

* Define "revenue contract";

* Outline a procedure for "complaints regarding the procurement
process;

* Establish penalties for knowing and willful violation of the
restricted period parameters;

* Subject any proceeding or hearing conducted pursuant to the Lobbying
Act to the State Administrative Procedure Act and Article 73 of the
Civil Rights Law.

* Create an advisory council on procurement lobbying which shall
provide advice to the commission with respect to the implementation of
procurement lobbying provisions. The council shall also report
annually to the legislature as to the effectiveness of the provisions
and make recommendations on increasing effectiveness.

JUSTIFICATION :
The majority of procurement contracts entered into by the state are
subject to the rules of the competitive bidding process. However, that
does not prevent individuals from attempting to influence agency or
municipal officials when seeking a favorable decision on a submitted
bid, or in the way that the request for bids is issued. By including
government procurement and executive orders in the lobbying law, and
prohibiting contingency payment for this type of lobbying, the State
is instituting a strong protection of integrity of the procurement
process. In addition, the way in which regulations are implemented can
benefit groups, which in turn can prompt intense lobbying efforts. The
public should know when groups and individuals attempt to go around
the public process and influence decisions through informal
mechanisms.

The public concern really focuses on intensive and expensive efforts
to redirect the making of public policy. The threshold for lobbying
needs to be raised so that ordinary citizens' communications with
government in the ordinary course of business are not captured in the
definition of "lobbying."

Additionally, those subject to the provisions of the Lobbying Act will
be assured of fair procedures in any proceeding pursuant thereto.

LEGISLATIVE HISTORY :
2008: A.8241 (Kavanagh) - Governmental Operations
2007: A.8241 (Kavanagh) - Governmental Operations
of 2007.
2009-2010: S.4527/A.649 (Kavanagh)

FISCAL IMPACT ON THE STATE :
None.

EFFECTIVE DATE :
This act shall take effect immediately; provided,
however, that section one of this act shall take effect on the first
of January next succeeding the date on which this act shall have
become a law.
view bill text
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                   870

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                               (PREFILED)

                             January 5, 2011
                               ___________

Introduced  by Sens. KRUEGER, SERRANO -- read twice and ordered printed,
  and when printed to be committed to the Committee on Finance

AN ACT to amend the legislative law, in relation to registration  filing
  fees  for  certain lobbying entities; and to repeal certain provisions
  of such law relating thereto

  THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section  1.  Subdivision  (c) of section 1-c of the legislative law is
REPEALED and a new subdivision (c) is added to read as follows:
  (C) THE TERM  "LOBBYING"  OR  "LOBBYING  ACTIVITIES"  SHALL  MEAN  ANY
ATTEMPT TO INFLUENCE:
  (I)  THE  PASSAGE  OR DEFEAT OF ANY LEGISLATION BY EITHER HOUSE OF THE
STATE LEGISLATURE OR APPROVAL OR DISAPPROVAL OF ANY LEGISLATION  BY  THE
GOVERNOR;
  (II) THE ADOPTION OR TERMS OF AN EXECUTIVE ORDER;
  (III)  THE ADOPTION, REJECTION, OR IMPLEMENTATION OF ANY RULE OR REGU-
LATION HAVING THE FORCE AND EFFECT OF LAW BY A STATE AGENCY;
  (IV) THE OUTCOME OF ANY RATE MAKING PROCEEDING BY A STATE AGENCY;
  (V) ANY ACTION OR DETERMINATION BY A PUBLIC OFFICIAL OR BY A PERSON OR
ENTITY WORKING IN COOPERATION WITH A PUBLIC OFFICIAL OR BY EITHER  HOUSE
OF  THE  STATE LEGISLATURE OR BY THE UNIFIED COURT SYSTEM RELATED TO THE
AWARD OR DENIAL OF ANY CONTRACT OR OTHER AGREEMENT FOR  THE  PROCUREMENT
OF  GOODS,  COMMODITIES,  SERVICES,  CONSTRUCTION,  PUBLIC  WORKS OR THE
PURCHASE, SALE, OR LEASE OF REAL PROPERTY, OR ANY INTEREST IN REAL PROP-
ERTY, ANY REVENUE CONTRACT  OR  ANY  OTHER  SIMILAR  TRANSACTION,  WHICH
ACTIONS  OR  DETERMINATIONS  SHALL  INCLUDE  BUT SHALL NOT BE LIMITED TO
ACTIONS OR DETERMINATIONS SETTING THE PROCUREMENT METHODOLOGY, THE TERMS
OF A REQUEST FOR PROPOSALS OR INVITATION FOR BIDS OR  OTHER  PROCUREMENT
SOLICITATIONS  AND  THEIR  EVALUATION,  THE  TERMS  OF THE CONTRACT, THE

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD00876-02-1

S. 870                              2

SELECTION OF A CONTRACTOR, AND THE ADMINISTRATION,  IMPLEMENTATION,  AND
ENFORCEMENT OF A CONTRACT;
  (VI)  ANY  ACTION  OR  DECISION BY A PUBLIC OFFICIAL OR BY A PERSON OR
ENTITY WORKING IN COOPERATION WITH A PUBLIC OFFICIAL OR BY  A  MUNICIPAL
OFFICER  OR A PERSON OR ENTITY WORKING IN COOPERATION WITH THE MUNICIPAL
OFFICER IN RELATION TO THE APPROVAL OR DISAPPROVAL OR THE IMPLEMENTATION
AND ADMINISTRATION OF TRIBAL-STATE COMPACTS, MEMORANDA OF UNDERSTANDING,
OR ANY OTHER TRIBAL-STATE AGREEMENTS AND ANY STATE  ACTIONS  RELATED  TO
CLASS III GAMING AS PROVIDED IN 25 USC 2701, EXCEPT TO THE EXTENT DESIG-
NATION  OF SUCH ACTIVITIES AS "LOBBYING" IS BARRED BY THE FEDERAL INDIAN
GAMING REGULATORY ACT;
  (VII) THE PASSAGE OR DEFEAT OF ANY LOCAL LAW,  ORDINANCE,  RESOLUTION,
OR  REGULATION  BY  ANY  MUNICIPALITY  OR  SUBDIVISION  THEREOF  OR  THE
ADOPTION, REJECTION, OR  IMPLEMENTATION  OF  ANY  RULE,  REGULATION,  OR
RESOLUTION HAVING THE FORCE AND EFFECT OF A LOCAL LAW, ORDINANCE, RESOL-
UTION, OR REGULATION;
  (VIII)  ANY  RATE MAKING PROCEEDING BY ANY MUNICIPALITY OR SUBDIVISION
THEREOF; OR
  (IX) ANY ACTION OR DETERMINATION BY A MUNICIPAL OFFICER OR A PERSON OR
ENTITY WORKING IN COOPERATION WITH THE OFFICER RELATED TO THE  AWARD  OR
DENIAL  OF ANY CONTRACT OR OTHER AGREEMENT FOR THE PROCUREMENT OF GOODS,
COMMODITIES, SERVICES, CONSTRUCTION, PUBLIC WORKS OR THE PURCHASE, SALE,
OR LEASE OF REAL PROPERTY, OR ANY INTEREST IN REAL PROPERTY, ANY REVENUE
CONTRACT OR ANY OTHER SIMILAR TRANSACTION,  WHICH  ACTIONS  OR  DETERMI-
NATIONS  SHALL  INCLUDE  BUT SHALL NOT BE LIMITED TO ACTIONS OR DETERMI-
NATIONS SETTING THE PROCUREMENT METHODOLOGY, THE TERMS OF A REQUEST  FOR
PROPOSALS  OR INVITATION FOR BIDS OR OTHER PROCUREMENT SOLICITATIONS AND
THEIR EVALUATION, THE TERMS OF THE CONTRACT, THE SELECTION OF A CONTRAC-
TOR, AND  THE  ADMINISTRATION,  IMPLEMENTATION,  AND  ENFORCEMENT  OF  A
CONTRACT.
  THE TERM "LOBBYING" SHALL NOT INCLUDE:
  (1)  PERSONS  ENGAGED  IN  DRAFTING LEGISLATION, RULES, REGULATIONS OR
RATES, ADVISING CLIENTS AND RENDERING OPINIONS ON PROPOSED  LEGISLATION,
RULES,  REGULATIONS  OR  RATES, WHERE SUCH PROFESSIONAL SERVICES ARE NOT
OTHERWISE CONNECTED WITH LEGISLATIVE OR EXECUTIVE ACTION ON SUCH  LEGIS-
LATION, OR ADMINISTRATIVE ACTION ON SUCH RULES, REGULATIONS OR RATES;
  (2)   NEWSPAPERS  AND  OTHER  PERIODICALS  AND  RADIO  AND  TELEVISION
STATIONS, AND OWNERS AND EMPLOYEES THEREOF, PROVIDED THAT  THEIR  ACTIV-
ITIES IN CONNECTION WITH PROPOSED LEGISLATION, RULES, REGULATIONS, RATES
OR  CONTRACTS  OR OTHER AGREEMENTS FOR THE PROCUREMENT OF GOODS, COMMOD-
ITIES, SERVICES, CONSTRUCTION, OR PUBLIC WORKS BY A STATE AGENCY, MUNIC-
IPAL AGENCY, LOCAL LEGISLATIVE  BODY,  THE  STATE  LEGISLATURE,  OR  THE
UNIFIED  COURT SYSTEM OR CONTRACTS OR OTHER AGREEMENTS FOR THE PURCHASE,
SALE, OR LEASE OF REAL PROPERTY OR THE ACQUISITION  OR  GRANT  OF  OTHER
PROPERTY INTERESTS IN REAL PROPERTY BY A STATE AGENCY, MUNICIPAL AGENCY,
LOCAL  LEGISLATIVE  BODY,  THE  STATE  LEGISLATURE, OR THE UNIFIED COURT
SYSTEM, ARE LIMITED TO THE  PUBLICATION  OR  BROADCAST  OF  NEWS  ITEMS,
EDITORIALS OR OTHER COMMENTS, OR PAID ADVERTISEMENTS;
  (3) PERSONS WHO PARTICIPATE AS WITNESSES, ATTORNEYS OR OTHER REPRESEN-
TATIVES  IN  PUBLIC RULE MAKING OR RATE MAKING PROCEEDINGS OF A STATE OR
MUNICIPAL AGENCY, WITH RESPECT TO  ALL  PARTICIPATION  BY  SUCH  PERSONS
WHICH  IS  PART OF THE PUBLIC RECORD THEREOF AND ALL PREPARATION BY SUCH
PERSONS FOR SUCH PARTICIPATION;
  (4) PERSONS WHO ATTEMPT TO INFLUENCE A STATE OR MUNICIPAL AGENCY IN AN
ADJUDICATORY PROCEEDING, AS  "ADJUDICATORY  PROCEEDING"  IS  DEFINED  BY
SECTION ONE HUNDRED TWO OF THE STATE ADMINISTRATIVE PROCEDURE ACT;

S. 870                              3

  (5) PERSONS WHO PREPARE OR SUBMIT A RESPONSE TO A REQUEST FOR INFORMA-
TION  OR  COMMENTS  BY  THE  STATE LEGISLATURE, THE GOVERNOR, OR A STATE
AGENCY OR A COMMITTEE OR OFFICER OF THE LEGISLATURE OR A STATE AGENCY OR
BY A LEGISLATIVE OR EXECUTIVE BODY OR OFFICER OF  A  MUNICIPALITY  OR  A
COMMISSION, COMMITTEE OR OFFICER OF A MUNICIPAL LEGISLATIVE OR EXECUTIVE
BODY;
  (6) ANY ATTEMPT BY A CHURCH, ITS INTEGRATED AUXILIARY, OR A CONVENTION
OR  ASSOCIATION  OF CHURCHES THAT IS EXEMPT FROM FILING A FEDERAL INCOME
TAX RETURN UNDER PARAGRAPH 2(A)(I) OF SECTION 6033(A) OF TITLE 26 OF THE
UNITED STATES CODE OR A RELIGIOUS ORDER THAT IS  EXEMPT  FROM  FILING  A
FEDERAL  INCOME  TAX  RETURN UNDER PARAGRAPH (2)(A)(III) OF SUCH SECTION
6033(A) TO INFLUENCE PASSAGE OR DEFEAT OF  A  LOCAL  LAW,  ORDINANCE  OR
REGULATION  OR  ANY  RULE OR REGULATION HAVING THE FORCE AND EFFECT OF A
LOCAL LAW, ORDINANCE OR REGULATION;
  (7) ANY ACTIVITY RELATING  TO  PROCUREMENTS  MADE  UNDER  SECTION  ONE
HUNDRED  SIXTY-TWO  OF  THE  STATE  FINANCE  LAW  UNDERTAKEN  BY (I) THE
NON-PROFIT-MAKING AGENCIES APPOINTED PURSUANT TO PARAGRAPH E OF SUBDIVI-
SION SIX OF SECTION ONE HUNDRED SIXTY-TWO OF THE STATE  FINANCE  LAW  BY
THE  COMMISSIONER  OF  THE  OFFICE  OF CHILDREN AND FAMILY SERVICES, THE
COMMISSION FOR THE BLIND AND VISUALLY HANDICAPPED, OR  THE  COMMISSIONER
OF  EDUCATION, AND (II) THE QUALIFIED CHARITABLE NON-PROFIT-MAKING AGEN-
CIES FOR THE BLIND, AND QUALIFIED CHARITABLE NON-PROFIT-MAKING  AGENCIES
FOR  OTHER SEVERELY DISABLED PERSONS AS IDENTIFIED IN SUBDIVISION TWO OF
SECTION ONE HUNDRED SIXTY-TWO OF THE STATE FINANCE LAW;
  (8) PARTICIPANTS, INCLUDING THOSE APPEARING ON BEHALF OF A CLIENT,  IN
A PUBLICLY NOTICED CONFERENCE PURSUANT TO A REQUEST FOR PROPOSALS, INVI-
TATION FOR BIDS, OR OTHER SOLICITATIONS;
  (9)  PERSONS WHO HAVE BEEN TENTATIVELY AWARDED A CONTRACT OR REPRESENT
PERSONS WHO HAVE BEEN TENTATIVELY AWARDED A CONTRACT AND ARE ENGAGED  IN
COMMUNICATIONS  WITH  A  STATE  AGENCY  OR  MUNICIPALITY  SOLELY FOR THE
PURPOSE OF NEGOTIATING THE TERMS OF THE CONTRACT AFTER BEING NOTIFIED OF
SUCH AWARD OR PERSONS OR THEIR REPRESENTATIVES WHO ARE PURCHASING PURSU-
ANT TO AN EXISTING CONTRACT; OR PERSONS WHO CURRENTLY HOLD  A  FRANCHISE
AND  WHO  ARE  ENGAGED IN NEGOTIATING THE TERMS OF A TENTATIVE FRANCHISE
RENEWAL CONTRACT WITH A MUNICIPALITY, BUT SUCH  NEGOTIATIONS,  WHICH  DO
NOT  CONSTITUTE  LOBBYING,  DO  NOT  INCLUDE COMMUNICATIONS TO THE LOCAL
LEGISLATIVE BODY THAT MUST APPROVE THE CONTRACT;
  (10) PERSONS OR THE REPRESENTATIVES OF PERSONS WHO ARE A  PARTY  TO  A
PROTEST,  APPEAL  OR  OTHER  REVIEW  PROCEEDING  (INCLUDING THE APPARENT
SUCCESSFUL BIDDER OR PROPOSER AND HIS OR HER REPRESENTATIVE) OR  PERSONS
WHO  BRING COMPLAINTS OF ILLEGAL CONDUCT IN A PROCUREMENT PROCESS TO THE
COMPTROLLER'S OFFICE, THE ATTORNEY  GENERAL,  INSPECTOR  GENERAL,  OR  A
DISTRICT ATTORNEY;
  (11)  THE SUBMISSION OF A BID OR PROPOSAL (WHETHER SUBMITTED ORALLY OR
IN WRITING) IN RESPONSE TO A REQUEST FOR  PROPOSALS  OR  INVITATION  FOR
BIDS;
  (12) PROSPECTIVE BIDDERS OR PROPOSERS OR THEIR REPRESENTATIVES SUBMIT-
TING  WRITTEN  QUESTIONS TO A DESIGNATED AGENCY OR MUNICIPAL CONTACT SET
FORTH IN A REQUEST FOR PROPOSALS, OR INVITATION FOR BIDS; AND
  (13) APPLICATIONS FOR LICENSES, CERTIFICATES, AND  PERMITS  AUTHORIZED
BY OTHER STATUTES.
  S  2.  Subdivisions  (m) and (n) of section 1-c of the legislative law
are REPEALED and two new subdivisions (m) and (n) are added to  read  as
follows:
  (M)  THE TERM "RESTRICTED PERIOD" SHALL MEAN THE PERIOD OF TIME BEGIN-
NING WITH THE ISSUANCE OF A REQUEST FOR PROPOSAL, INVITATION  FOR  BIDS,

S. 870                              4

OR  SOLICITATION  OF  PROPOSALS,  OR  ANY  OTHER METHOD FOR SOLICITING A
RESPONSE FROM POTENTIAL CONTRACTORS INTENDING TO RESULT  IN  A  CONTRACT
WITH A STATE AGENCY, MUNICIPALITY, THE STATE LEGISLATURE, OR STATE JUDI-
CIARY AND ENDING WITH THE TENTATIVE AWARD OF THE CONTRACT.
  (N)  FOR  PURPOSES  OF THIS ARTICLE, A REVENUE CONTRACT SHALL MEAN ANY
WRITTEN AGREEMENT BETWEEN AN AGENCY OR MUNICIPALITY AND A PRIVATE  INDI-
VIDUAL  OR  BUSINESS ENTITY WHEREBY THE AGENCY  OR MUNICIPALITY GIVES OR
GRANTS A CONCESSION, A FRANCHISE OR ANY  CONSIDERATION  OTHER  THAN  THE
PAYMENT OF MONEY.
  S  3.  Paragraphs  5  and  6  of subdivision (c) of section 1-e of the
legislative law, as amended by chapter  1  of  the  laws  of  2005,  are
amended to read as follows:
  (5)  the following information on which the lobbyist expects to lobby:
(i) a description of the general subject or subjects, (ii) the  legisla-
tive  bill  numbers  of  any  bills OR RESOLUTIONS, (iii) the numbers or
subject matter (if there are  no  numbers)  of  gubernatorial  executive
orders  or  executive  orders issued by the chief executive officer of a
municipality, (iv) the subject matter of and tribes involved in  tribal-
state  compacts,  memoranda  of understanding, or any other state-tribal
agreements and any state actions related to class III gaming as provided
in 25 U.S.C. S 2701, (v) the rule, regulation, and ratemaking numbers of
any rules, regulations, rates, or municipal ordinances and  resolutions,
or  proposed  rules,  regulations, or rates, or municipal ordinances and
resolutions, and (vi) the titles and  any  identifying  numbers  of  any
procurement contracts, BIDS, REQUESTS FOR PROPOSALS, INVITATION FOR BIDS
and  other documents disseminated by a state agency, either house of the
state legislature, the unified court system, municipal agency  or  local
legislative body in connection with a governmental procurement;
  (6)  the  name  of  the  [person,  organization,  or legislative body]
PERSONS, ORGANIZATIONS AND LEGISLATIVE BODIES before which the  lobbyist
is lobbying or expects to lobby;
  S  4. Paragraph 3 of subdivision (b) of section 1-h of the legislative
law, as amended by chapter 14 of the laws of 2007, is amended to read as
follows:
  (3) the following information on which the lobbyist has lobbied: (i) a
description of the general subject or  subjects,  (ii)  the  legislative
bill  numbers  of any bills OR RESOLUTIONS, (iii) the numbers or subject
matter (if there are no numbers) of gubernatorial  executive  orders  or
executive  orders  issued  by  the  chief executive officer of a munici-
pality, (iv) the subject matter of and tribes involved  in  tribal-state
compacts,  memoranda  of understanding, or any other state-tribal agree-
ments and any state actions related to class III gaming as  provided  in
25  U.S.C. S 2701, (v) the rule, regulation, and ratemaking or municipal
ordinance or resolution numbers of any rules, regulations, or  rates  or
ordinance  or  proposed  rules, regulations, or rates or municipal ordi-
nances or resolutions, and (vi) the titles and any  identifying  numbers
of any procurement contracts, BIDS, REQUESTS FOR PROPOSALS OR INVITATION
FOR  BIDS  and  other  documents  disseminated by a state agency, either
house of the state legislature,  the  unified  court  system,  municipal
agency  or  local  legislative  body  in  connection with a governmental
procurement;
  S 5. Paragraph 3 of subdivision (b) of section 1-j of the  legislative
law,  as amended by chapter 1 of the laws of 2005, is amended to read as
follows:
  (3)  the  following  information  on  which  each  lobbyist  retained,
employed  or  designated  by  such client has lobbied, and on which such

S. 870                              5

client has  lobbied:  (i)  a  description  of  the  general  subject  or
subjects, (ii) the legislative bill numbers of any bills OR RESOLUTIONS,
(iii)  the numbers or subject matter (if there are no numbers) of guber-
natorial executive orders or executive orders issued by the chief execu-
tive  officer  of  a municipality, (iv) the subject matter of and tribes
involved in tribal-state compacts, memoranda of  understanding,  or  any
other state-tribal agreements and any state actions related to class III
gaming  as  provided  in  25  U.S.C. 2701, (v) the rule, regulation, and
ratemaking or municipal resolution or ordinance numbers  of  any  rules,
regulations,  or  rates,  or  municipal  resolutions  or  ordinances  or
proposed rules, regulations, or rates, or municipal ordinances or resol-
utions and (vi) the titles and any identifying numbers of  any  procure-
ment  contracts, BIDS, REQUESTS FOR PROPOSALS OR INVITATION FOR BIDS and
other documents disseminated by a state  agency,  either  house  of  the
state  legislature,  the unified court system, municipal agency or local
legislative body in connection with a governmental procurement;
  S 6. Section 1-k of the legislative law is REPEALED and a new  section
1-k is added to read as follows:
  S  1-K.  CONTINGENT RETAINER. (A) NO CLIENT SHALL RETAIN OR EMPLOY ANY
LOBBYIST FOR COMPENSATION, THE RATE OR AMOUNT OF WHICH  COMPENSATION  IN
WHOLE OR PART IS CONTINGENT OR DEPENDENT UPON: (I) THE PASSAGE OR DEFEAT
OF  ANY  LEGISLATIVE  BILL OR THE APPROVAL OR VETO OF ANY LEGISLATION BY
THE GOVERNOR, THE ADOPTION OR  TERMS  OF  AN  EXECUTIVE  ORDER,  OR  THE
ADOPTION,  REJECTION,  OR IMPLEMENTATION OF ANY CODE, RULE OR REGULATION
HAVING THE FORCE AND EFFECT OF LAW, OR THE OUTCOME OF  ANY  RATE  MAKING
PROCEEDING  BY A STATE AGENCY OR THE ACCEPTANCE OF OR DECISION REGARDING
ANY BID OR CONTRACT BY A STATE AGENCY OR  AGREEMENT  FOR  THE  PURCHASE,
SALE,  OR  LEASE  OF REAL PROPERTY OR ANY INTEREST IN REAL PROPERTY, ANY
REVENUE CONTRACT OR ANY OTHER  SIMILAR  TRANSACTION,  WHICH  ACTIONS  OR
DETERMINATIONS  SHALL  INCLUDE  BUT  SHALL  NOT BE LIMITED TO ACTIONS OR
DETERMINATIONS SETTING THE  PROCUREMENT  METHODOLOGY,  THE  TERMS  OF  A
REQUEST FOR PROPOSALS OR INVITATION FOR BIDS OR OTHER PROCUREMENT SOLIC-
ITATIONS  AND THEIR EVALUATION, THE TERMS OF THE CONTRACT, THE SELECTION
OF A CONTRACTOR, AND THE ADMINISTRATION, IMPLEMENTATION, AND ENFORCEMENT
OF A CONTRACT, THE APPROVAL OR DISAPPROVAL OF A  TRIBAL-STATE  AGREEMENT
OR  (II)  THE PASSAGE OR DEFEAT OF ANY LOCAL LAW, ORDINANCE, RESOLUTION,
OR REGULATION  BY  ANY  MUNICIPALITY  OR  SUBDIVISION  THEREOF,  OR  THE
ADOPTION, REJECTION, OR IMPLEMENTATION OF ANY RULE, RESOLUTION, OR REGU-
LATION HAVING THE FORCE OR EFFECT OF A LOCAL LAW, ORDINANCE, RESOLUTION,
OR  REGULATION, OR THE OUTCOME OF ANY RATEMAKING PROCEEDING BY ANY MUNI-
CIPALITY OR SUBDIVISION THEREOF OR THE ACCEPTANCE OF OR DECISION REGARD-
ING ANY BID OR CONTRACT OR AGREEMENT FOR THE PURCHASE, SALE, OR LEASE OF
REAL PROPERTY OR GRANT OF OTHER INTEREST IN REAL PROPERTY BY  A  MUNICI-
PALITY,  THE  DECISION  OF  ANY MUNICIPAL OFFICIAL REGARDING PROCUREMENT
METHODOLOGY, TERMS OF BIDS  OR  SOLICITATIONS,  OR  THE  ADMINISTRATION,
IMPLEMENTATION,  AND  ENFORCEMENT  OF A CONTRACT. THIS SECTION SHALL NOT
APPLY TO COMMISSION  SALESPERSONS.  THE  TERM  "COMMISSION  SALESPERSON"
SHALL  MEAN  ANY  PERSON  THE  PRIMARY PURPOSE OF WHOSE EMPLOYMENT IS TO
CAUSE OR PROMOTE THE SALE OF, OR TO INFLUENCE OR INDUCE ANOTHER TO  MAKE
A PURCHASE OF GOODS, COMMODITIES, OR SERVICES, WHETHER SUCH PERSON IS AN
EMPLOYEE (AS THAT TERM IS DEFINED FOR TAX PURPOSES) OF OR AN INDEPENDENT
CONTRACTOR  FOR  A VENDOR, PROVIDED THAT AN INDEPENDENT CONTRACTOR SHALL
HAVE A WRITTEN CONTRACT FOR A TERM OF NOT LESS THAN SIX MONTHS OR FOR AN
INDEFINITE TERM, AND WHICH PERSON SHALL BE COMPENSATED, IN WHOLE  OR  IN
PART, BY THE PAYMENT OF A PERCENTAGE AMOUNT OF ALL OR A SUBSTANTIAL PART
OF  THE  SALES  WHICH  SUCH  PERSON  HAS CAUSED, PROMOTED, INFLUENCED OR

S. 870                              6

INDUCED, PROVIDED, HOWEVER, THAT NO PERSON SHALL BE CONSIDERED A COMMIS-
SION SALESPERSON WITH RESPECT TO ANY SALE TO OR PURCHASE BY AN AGENCY OF
THE STATE OR MUNICIPALITY IF THE PERCENTAGE  AMOUNT  OF  ANY  COMMISSION
PAYABLE WITH RESPECT TO SUCH SALE OR PURCHASE IS SUBSTANTIALLY IN EXCESS
OF  ANY  COMMISSION  PAYABLE  WITH  RESPECT  TO ANY COMPARABLE SALE TO A
PURCHASER THAT IS NOT AN AGENCY OF THE STATE OR MUNICIPALITY.
  (B) NO PERSON SHALL ACCEPT SUCH A RETAINER OR EMPLOYMENT. A  VIOLATION
OF THIS SECTION SHALL BE A CLASS A MISDEMEANOR.
  S  7. Section 1-n of the legislative law is REPEALED and a new section
1-n is added to read as follows:
  S 1-N. RESTRICTED CONTACTS. 1.  DURING THE RESTRICTED PERIOD, A POTEN-
TIAL CONTRACTOR OR ITS  REPRESENTATIVE  SHALL  NOT  ENGAGE  IN  LOBBYING
ACTIVITIES CONCERNING A PENDING CONTRACT DECISION BY MAKING CONTACT WITH
AN  OFFICER,  EMPLOYEE, AGENT, CONSULTANT OR OTHER REPRESENTATIVE OF THE
CONTRACTING AGENCY OR MUNICIPALITY, INCLUDING THE EXECUTIVE CHAMBER IF A
STATE AGENCY IS THE CONTRACTING ENTITY OR, IF  THE  LEGISLATURE  IS  THE
CONTRACTING  ENTITY,  ANY ELECTED LEGISLATOR OR LEGISLATIVE STAFF, OR IF
THE JUDICIARY IS THE CONTRACTING ENTITY, ANY JUDICIAL OFFICER OR  STAFF,
WHO  IS  NOT DESIGNATED BY THE CONTRACTING ENTITY AS A CONTACT PERSON TO
WHOM SUCH COMMUNICATION MUST BE DIRECTED.  THE PROHIBITION SET FORTH  IN
THE  PRECEDING  SENTENCE  SHALL  NOT  APPLY TO ANY CONTACTS DESCRIBED IN
SUBDIVISION TWO OF THIS SECTION.
  2. A COMPLAINT BY A POTENTIAL CONTRACTOR OR REPRESENTATIVE OF A POTEN-
TIAL CONTRACTOR REGARDING THE CONTRACTING PROCESS MAY BE MADE IN WRITING
TO THE GENERAL COUNSEL'S  OFFICE  OF  THE  STATE  AGENCY,  MUNICIPALITY,
LEGISLATIVE  BODY  OR  JUDICIAL  ENTITY CONDUCTING THE PROCUREMENT. SUCH
OFFICE SHALL UPON RECEIPT HAVE FIVE BUSINESS DAYS  TO  ISSUE  A  WRITTEN
RESPONSE TO THE COMPLAINANT.  NOTHING IN THIS SECTION SHALL BE DEEMED TO
PREVENT OR DELAY ANY PERSON FROM, AT ANY TIME, SUBMITTING A COMPLAINT OR
AN  APPEAL  REGARDING  THE PROCUREMENT OR CONTRACTING PROCESS TO (I) THE
STATE COMPTROLLER; (II) THE INSPECTOR GENERAL; (III) THE ATTORNEY GENER-
AL; (IV) A DISTRICT ATTORNEY; OR (V) ANY OTHER LAW ENFORCEMENT AGENCY.
  S 8. Section 1-t of the legislative law is REPEALED and a new  section
1-t is added to read as follows:
  S  1-T.  ADVISORY  COUNCIL ON PROCUREMENT LOBBYING. (A) THERE SHALL BE
WITHIN THE COMMISSION, AN ADVISORY COUNCIL ON PROCUREMENT LOBBYING.  THE
COUNCIL SHALL BE COMPOSED OF NINE MEMBERS AS FOLLOWS:
  (I)  THE COMMISSIONER OF THE OFFICE OF GENERAL SERVICES, OR HIS OR HER
DESIGNEE;
  (II) THE STATE COMPTROLLER, OR HIS OR HER DESIGNEE;
  (III) THE ATTORNEY GENERAL, OR HIS OR HER DESIGNEE;
  (IV) ONE MEMBER APPOINTED BY THE TEMPORARY PRESIDENT OF THE SENATE;
  (V) ONE MEMBER APPOINTED BY THE SPEAKER OF THE ASSEMBLY;
  (VI) ONE MEMBER APPOINTED BY THE SENATE MINORITY LEADER;
  (VII) ONE MEMBER APPOINTED BY THE ASSEMBLY MINORITY LEADER;
  (VIII) ONE MEMBER APPOINTED BY THE GOVERNOR  WHO  SHALL  BE  REPRESEN-
TATIVE OF PUBLIC AUTHORITIES OR PUBLIC BENEFIT CORPORATIONS; AND
  (IX) ONE MEMBER APPOINTED BY THE CHIEF JUDGE OF THE COURT OF APPEALS.
  (B) THE MEMBERS OF THE COUNCIL SHALL RECEIVE NO COMPENSATION FOR THEIR
SERVICES,  BUT  SHALL  BE  ALLOWED  THEIR  ACTUAL AND NECESSARY EXPENSES
INCURRED IN THE PERFORMANCE OF THEIR DUTIES.
  (C) THE COUNCIL SHALL PROVIDE ADVICE TO THE COMMISSION WITH RESPECT TO
THE IMPLEMENTATION OF THE PROVISIONS OF THIS ARTICLE AS SUCH  PROVISIONS
PERTAIN TO PROCUREMENT LOBBYING.
  (D)  THE COUNCIL SHALL ANNUALLY REPORT TO THE LEGISLATURE ANY PROBLEMS
IN THE  IMPLEMENTATION  OF  THE  PROVISIONS  OF  THIS  ARTICLE  AS  SUCH

S. 870                              7

PROVISIONS PERTAIN TO PROCUREMENT LOBBYING. THE COUNCIL SHALL INCLUDE IN
THE REPORT ANY RECOMMENDED CHANGES TO INCREASE THE EFFECTIVENESS OF THAT
IMPLEMENTATION.
  (E)  THE  COUNCIL  SHALL,  BY  OCTOBER THIRTIETH, TWO THOUSAND ELEVEN,
SUBMIT A REPORT TO THE LEGISLATURE ON THE  EFFECTS  OF  THE  PROCUREMENT
PROVISIONS AS SET FORTH IN THIS ARTICLE INCLUDING BUT NOT LIMITED TO ANY
CHANGES  IN  THE  NUMBER  AND  NATURE OF VENDORS AND PROSPECTIVE VENDORS
AFTER JANUARY FIRST, TWO THOUSAND EIGHT.
  S 9. This act shall take effect immediately; provided,  however,  that
section  one  of this act shall take effect on the first of January next
succeeding the date on which this act shall have become a law.

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