Policies

POLICY:

In order to comply with the New York State Lobbying Act, Utica University requires the following:
 

• Faculty, staff, and paid lobbyists may not communicate with any elected or appointed state or municipal (local) official for the purpose of lobbying as defined by this policy unless such communication has been previously coordinated with and approved, in writing, by the vice president for advancement.

• Students, volunteers, and other individuals who plan to similarly communicate on behalf of the University but are not paid to do so must also notify the vice president for advancement

• No one affiliated with the University may give gifts of any kind to elected or appointed state or local officials without approval in advance from the vice president for advancement. Any exceptions to this policy must be approved in advance by the President of Utica University. (See Exceptions to the no-gift rule)

• In the event of unanticipated communication with any state or municipal elected or appointed official, if that communication constitutes lobbying on behalf of the University as defined by this policy, the individual must report that activity to the vice president for advancement after the fact.

• Other activities involving elected or appointed officials, as well as candidates running for office, may be subject to Utica University’s Political Activity policy.

SCOPE:

This policy applies to all Utica University faculty and staff members, students, and lobbyists hired by the University. This policy also applies to all volunteers, including alumni and trustees, who have been asked to lobby on behalf of the University and who have registered as lobbyists for other organizations. The New York State Lobbying Act applies only to lobbying within New York State. Individuals who plan to communicate with or give gifts to federal officials need not follow the procedures outlined in this policy, but may wish to consult with the vice president for advancement for assistance.

REASON FOR POLICY:

This policy was established to comply with the Guidelines to the Lobbying Act which governs the lobbying of all elected or appointed public officials in the State of New York. The legislature deems it necessary that in order “to preserve and maintain the integrity of the governmental decision-making process in this state, it is necessary that the identity, expenditures and activities of persons and organizations retained, employed or designated to influence the passage or defeat of any legislation by either house of the legislature or the approval, or veto, of any legislation by the governor and attempts to influence the adoption or rejection of any rule or regulation having the force and effect of law or the outcome of any rate making proceeding by a state agency, and the attempts to influence the passage or defeat of any local law, ordinance, or regulation be publicly and regularly disclosed.” Failure to comply with the New York State Lobbying Act may result in substantial penalties and fines for the University.

In all instances where the University’s annual cumulative costs for lobbying activities and expenses exceed $5,000 in a calendar year, the University is required to register with the New York Commission on Public Integrity, and both Bi-Monthly and Client Semi-Annual Reports must be submitted to the New York Commission on Public Integrity. This report must include a listing of persons who, as part of their paid responsibilities, lobby on behalf of the University for the express purpose of advancing the University’s programs or activities through legislation.

DEFINITIONS:

Gifts – Anything having a more than nominal monetary value given to an elected or appointed public official in any form, including, but not limited to, money, service, loan, travel, lodging, meals, refreshments, entertainment, discount, forbearance, or promise, unless that gift is also offered to the general public at no cost. (For exceptions to the No-Gift Rule, see below.)

Lobbying – Any and all interaction with elected or appointed state or municipal (city, county, and town) officials for the purpose of attempting to influence the passage or defeat of state or local legislation, rule or regulation having the force of law, or any state or local executive order, rate-making proceeding, governmental procurement, that directly or indirectly benefits Utica University.

Lobbyist – Any person who is paid by the University and who engages in lobbying with elected or appointed municipal or state officials in the State of New York. This potentially includes faculty and staff, as well as lobbyists hired by the University.

Public Officials – Under the New York State Lobbying Act, the following and their staffs: the Governor, Lieutenant Governor, State Comptroller, Attorney General, state agency heads (including the State Education Department), all members of the State Legislature (New York State Senate and Assembly), and the New York State Board of Regents, all members and staff of non-compensated state boards, as well as public authorities, public benefit corporations and commissions. The term also include municipal (local) officers and employees, whether paid or unpaid, and local administrative boards, agencies, and commissions.

PROCEDURE:

1. Requirements for Individuals who Engage in Lobbying Activities on Behalf of Utica University
 

1. All University faculty, staff, students, volunteers, and paid lobbyists seeking to meet or otherwise communicate with any elected or appointed state or local official with the intent of discussing matters that would directly or indirectly benefit the University must submit the Lobbying Request Form to the vice president for advancement and obtain his/her approval before engaging in that activity. The written request must include:
   
   
   1. Name of the official with whom the requester wishes to meet
       
   2. Date and time when the interaction will take place
       
   3. Purpose of such contact and the intended outcomes
       
2. At the conclusion of the interaction, faculty, staff, students, and paid lobbyists must provide a written report to the vice president for advancement stating:
   
   
   1. Name of the individual engaged in the lobbying activity
       
   2. Name of the person or entity lobbied
       
   3. Date, location, and subject matter of the lobbying activity, including any bill numbers of pending legislation, or in the case of rules or regulations, those identifying numbers
       
   4. Amount of time spent lobbying
       
   5. Any expenses incurred traveling to, during, or returning from the lobbying activity
      vi. Whether the lobbying activity was, or was not, the sole purpose of the travel
       
3. Individuals lobbying on behalf of the University may not give gifts to elected or appointed state or local officials. State lobbying laws stipulate that no legislator can receive a gift of any value, unless that gift is also offered to the general public at no cost.
    
4. Individuals who have unanticipated communication with any state or municipal elected or appointed official should report that communication to the vice president for advancement following the procedure outlined in paragraph b above, if that communication constitutes lobbying on behalf of the University as defined by this policy.
    
5. Individuals who have questions regarding whether their communication with state or municipal elected or appointed officials constitutes lobbying, or whether a presentation to a state or municipal elected or appointed official constitutes a gift, should contact the vice president for advancement.

2. Reporting Lobbying Compensation and Expenditures
 
RESPONSIBILITY:

It is the responsibility of all members of the Utica University community who lobby on the University’s behalf to request permission to engage in, and provide documentation of, all lobbying activities, and to refrain from giving gifts that do not meet the New York State Commission on Public Integrity’s guidelines for permissible items, and to confer with the vice president for advancement if there is any question as to whether an interaction with a state or municipal elected or appointed official constitutes lobbying and/or gift-giving. It is the responsibility of the vice president for advancement to review requests and either give or deny permission to speak to public officials, and to inform the reporting agent of all such activities. It is the responsibility of the reporting agent to file reports as required by state law.

ENFORCEMENT:

Enforcement of Utica University policies is the responsibility of the office listed in the Resources/Questions section of each policy. The responsible office will contact the appropriate authority regarding faculty or staff members, students, vendors, or visitors who violate policies.

Utica University acknowledges that University policies may not anticipate every possible issue that may arise. The University therefore reserves the right to make reasonable and relevant decisions regarding the enforcement of this policy. All such decisions must be approved by an officer of the University (i.e. president, vice president for academic affairs, or vice president for financial affairs).

RESOURCES/QUESTIONS:

Related Utica University policies include the Political Activity policy.

Please note that other Utica University policies may apply or be related to this policy. To search for related policies, use the Keyword Search function of the online policy manual.

For any questions or additional information, please contact the Office of the Vice President for Institutional Advancement. Copies of the New York State Lobbying Act that includes the actual legislation and guidelines for its use and application, as well as detailed protocol for interactions with any municipal or state official, can be accessed through this URL http://www.nyintegrity.org/law/lobbying.html.
A copy is additionally on file at the Offices of the President, the Vice President for Advancement, and the General Counsel.  
 
Exceptions to the No-Gift Rule
 

1. Complimentary attendance (including food or drink, provided that food is not part of a meal, and that such food and drink is provided to all attendees) at bona fide charitable events, where the University is the sponsor of the event, or at “widely attended events,” where attendance by the public official is part of his or her official duties, or where the public official performs a ceremonial functions, such as participation in a panel or as the speaker, etc.;
    
2. Meals or refreshments when participating in an educational program;
    
3. Awards, plaques or other ceremonial items, provided these are presented publicly;
    
4. Honorary degrees;
    
5. Promotional items such as mugs, pens, tee shirts, calendars or hats that bear the name or logo of the University that have no substantial resale value; and
    
6. Travel reimbursement, including transportation, meals and accommodations at informational events held by colleges or universities on campus in certain instances and with certain restrictions.

For further information, refer to Section 1-c (J) of the New York State Lobbying Act