Section 3-211.
§ 3-211. Definitions. Whenever used in this subchapter, the following
words and phrases shall be construed as defined in this section:
(a) The term "lobbyist" shall mean every person or organization
retained, employed or designated by any client to engage in lobbying.
The term "lobbyist" shall not include any officer or employee of the
city of New York, the State of New York, any political subdivision of
the State, or any public corporation, agency or commission, or the
United States when discharging his or her official duties.
(b) The term "client" shall mean every person or organization who
retains, employs or designates any person or organization to carry on
lobbying activities on behalf of such client.
(c) * (1) The term "lobbying" or "lobbying activities" shall mean any
attempt to influence:
(i) the passage or defeat of any local law or resolution by the city
council,
(ii) the approval or disapproval of any local law or resolution by the
mayor,
(iii) any determination made by an elected city official or an officer
or employee of the city with respect to the procurement of goods,
services or construction, including the preparation of contract
specifications, or the solicitation, award or administration of a
contract, or with respect to the solicitation, award or administration
of a grant, loan, or agreement involving the disbursement of public
monies,
(iv) any determination made by the mayor, the city council, the city
planning commission, a borough president, a borough board or a community
board with respect to zoning or the use, development or improvement of
real property subject to city regulation,
(v) any determination made by an elected city official or an officer
or employee of the city with respect to the terms of the acquisition or
disposition by the city of any interest in real property, with respect
to a license or permit for the use of real property of or by the city,
or with respect to a franchise, concession or revocable consent,
(vi) the adoption, amendment or rejection by an agency of any rule
having the force and effect of law,
(vii) the outcome of any rate making proceeding before an agency, or
(viii) any determination of a board or commission.
* NB Effective until May 16, 2014
* (1) The term "lobbying" or "lobbying activities" shall mean any
attempt to influence:
(i) any determination made by the city council or any member thereof
with respect to the introduction, passage, defeat, or substance of any
local legislation or resolution,
(ii) any determination made by the mayor to support, oppose, approve,
or disapprove any local legislation or resolution, whether or not such
legislation or resolution has been introduced in the city council,
(iii) any determination made by an elected city official or an officer
or employee of the city with respect to the procurement of goods,
services or construction, including the preparation of contract
specifications, or the solicitation, award or administration of a
contract, or with respect to the solicitation, award or administration
of a grant, loan, or agreement involving the disbursement of public
monies,
(iv) any determination made by the mayor, the city council, the city
planning commission, a borough president, a borough board or a community
board with respect to zoning or the use, development or improvement of
real property subject to city regulation,
(v) any determination made by an elected city official or an officer
or employee of the city with respect to the terms of the acquisition or
disposition by the city of any interest in real property, with respect
to a license or permit for the use of real property of or by the city,
or with respect to a franchise, concession or revocable consent,
(vi) the proposal, adoption, amendment or rejection by an agency of
any rule having the force and effect of law,
(vii) the decision to hold, timing or outcome of any rate making
proceeding before an agency,
(viii) the agenda or any determination of a board or commission,
(ix) any determination regarding the calendaring or scope of any city
council oversight hearing,
(x) the issuance, repeal, modification or substance of a mayoral
executive order, or
(xi) any determination made by an elected city official or an officer
or employee of the city to support or oppose any state or federal
legislation, rule or regulation, including any determination made to
support or oppose that is contingent on any amendment of such
legislation, rule or regulation, whether or not such legislation has
been formally introduced and whether or not such rule or regulation has
been formally proposed.
* NB Effective May 16, 2014
(2) The definition of the term "lobbying" or "lobbying activities"
shall not apply to any determination in an adjudicatory proceeding.
* (3) The following persons and organizations shall be deemed not to
be engaged in "lobbying activities":
(i) persons engaged in advising clients, rendering opinions and
drafting, in relation to proposed legislation, resolutions, rules,
rates, or other proposed legislative, executive or administrative
action, where such persons do not themselves engage in an attempt to
influence such action;
(ii) newspapers and other periodicals and radio and television
stations, and owners and employees thereof, provided that their
activities are limited to the publication or broadcast of news items,
editorials or other comment, or paid advertisements;
(iii) persons who participate as witnesses, attorneys or other
representatives in public rule making or rate making proceedings of an
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;
(iv) persons who appear before an agency in an adjudicatory
proceeding;
(v) persons who prepare or submit a response to a request for
information or comments by the city council or one of its committees,
the mayor, or other elected city official or an agency;
(vi) (A) contractors or prospective contractors who communicate with
or appear before city contracting officers or employees in the regular
course of procurement planning, contract development, the contractor
selection process, the administration of a contract, or the audit of a
contract, when such communications or appearances are made by such
contractors or prospective contractors personally, or through:
1. such officers and employees of the contractor or prospective
contractor who are charged with the performance of functions relating to
contracts;
2. subcontractors or prospective subcontractors who are or will be
engaged in the delivery of goods, services or construction pursuant to
the contract of such officers and employees of the subcontractor or
prospective subcontractor who are charged with the performance of
functions relating to contracts; or
3. persons who provide technical or professional services, as defined
in clause (B) of this subparagraph, on behalf of such contractor,
prospective contractor, subcontractor or prospective subcontractor.
(B) For the purposes of clause (A) of this subparagraph:
1. "technical services" shall be limited to advice and analysis
directly applying any engineering, scientific, or other similar
technical discipline;
2. "professional services" shall be limited to advice and analysis
directly applying any legal, accounting or other similar professional
discipline in connection with the following elements of the procurement
process only: dispute resolution, vendor protests, responsiveness and
responsibility determinations, determinations of prequalification,
suspensions, debarments, objections to registration pursuant to section
328 of the charter, contract interpretation, negotiation of contract
terms after the award of a contract, defaults, the termination of
contracts and audit of contracts. Any person who provides professional
services pursuant to this subparagraph in connection with elements of
the procurement process not specified above in this item, whether prior
to, in connection with or after the award of a contract, shall be deemed
to be engaged in lobbying activities, unless such person is deemed not
to be engaged in lobbying activities under another provision of this
paragraph; and
3. "city contracting officers or employees" shall not include elected
officials or deputies of elected officials or any person not duly
authorized to enter into and administer contracts and make
determinations with respect thereto; and
(vii) persons or organizations who advertise the availability of goods
or services with fliers, leaflets or other advertising circulars.
* NB Effective until May 16, 2014
* (3) The following persons and organizations shall be deemed not to
be engaged in "lobbying activities":
(i) persons engaged in advising clients, rendering opinions and
drafting, in relation to proposed legislation, resolutions, rules,
rates, or other proposed legislative, executive or administrative
action, where such persons do not themselves engage in an attempt to
influence such action;
(ii) newspapers and other periodicals and radio and television
stations, and owners and employees thereof, provided that their
activities are limited to the publication or broadcast of news items,
editorials or other comment, or paid advertisements;
(iii) persons who participate as witnesses, attorneys or other
representatives in public rule making or rate making proceedings of an
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;
(iv) persons who appear before an agency in an adjudicatory
proceeding;
(v) persons who prepare or submit a response to a request for
information or comments by the city council or one of its committees,
the mayor, or other elected city official or an agency;
(vi) (A) contractors or prospective contractors who communicate with
or appear before city contracting officers or employees in the regular
course of procurement planning, contract development, the contractor
selection process, the administration of a contract, or the audit of a
contract, when such communications or appearances are made by such
contractors or prospective contractors personally, or through;
1. such officers and employees of the contractor or prospective
contractor who are charged with the performance of functions relating to
contracts:
2. subcontractors or prospective subcontractors who are or will be
engaged in the delivery of goods, services or construction pursuant to
the contract of such officers and employees of the subcontractor or
prospective subcontractor who are charged with the performance of
functions relating to contracts; or
3. persons who provide technical or professional services, as defined
in clause (B) of this subparagraph, on behalf of such contractor,
prospective contractor, subcontractor or prospective subcontractor.
(B) For the purposes of clause (A) of this subparagraph:
1. "technical services" shall be limited to advice and analysis
directly applying any engineering, scientific, or other similar
technical discipline;
2. "professional services" shall be limited to advice and analysis
directly applying any legal, accounting or other similar professional
discipline in connection with the following elements of the procurement
process only: dispute resolution, vendor protests, responsiveness and
responsibility determinations, determinations of prequalification,
suspensions, debarments, objections to registration pursuant to section
328 of the charter, contract interpretation, negotiation of contract
terms after the award of a contract, defaults, the termination of
contracts and audit of contracts. Any person who provides professional
services pursuant to this subparagraph in connection with elements of
the procurement process not specified above in this item, whether prior
to, in connection with or after the award of a contract, shall be deemed
to be engaged in lobbying activities, unless such person is deemed not
to be engaged in lobbying activities under another provision of this
paragraph; and
3. "city contracting officers or employees" shall not include elected
officials or deputies of elected officials or any person not duly
authorized to enter into and administer contracts and make
determinations with respect thereto;
(vii) persons or organizations who advertise the availability of goods
or services with fliers, leaflets or other advertising circulars;
(viii) architects and engineers who communicate with or appear before
a community board with respect to any action of such board, provided
that the proceeding before the final decision-making board or commission
to which the action relates is an adjudicatory proceeding;
(ix) architects and engineers who perform design work and draft plans
pursuant to their state-issued professional license, or persons who work
under the direct supervision of an architect or engineer who holds such
a license, even if such work is proceeded or followed by lobbying or
lobbying activity as defined in paragraph one of this subdivision;
(x) (A) architects and engineers who communicate with or appear before
boards or commissions with respect to:
1. an authorization by the city planning commission pursuant to the
zoning resolution designed as minor by the city clerk; or
2. a decision related to real property by any other board or
commission designated as minor by the city clerk.
(B) For the purposes of clause (A) of this subparagraph, the city
clerk shall promulgate rules designating authorizations and decisions as
"minor" based on the following factors:
1. the size and cost of the relevant project;
2. the size, class, and/or value of the property to which the relevant
project relates; and
3. the size of the architecture or engineering firm typically involved
in the type of project at issue.
(C) For the purposes of this subparagraph, "class" shall mean any of
the classes of property defined in section 1802 of the real property tax
law; and
(xi) architects and engineers, or their designees, who perform work,
including communications with and appearances before boards or
commissions, on capital projects under the direction of a city agency,
provided that such work is performed pursuant to a contract, or
subcontract of such contract, between such architects or engineers and
the city agency directing such capital project.
* NB Effective May 16, 2014
(d) The term "organization" shall include any corporation, company,
foundation, association, labor organization, firm, partnership, society,
or joint stock company.
(e) The term "compensation" shall mean any salary, fee, gift, payment,
subscription, loan, advance or any other thing of value paid, owed,
given or promised by the client to the lobbyist for the purpose of
lobbying.
* (f) The term "expenditure" shall mean any expenses incurred by or
reimbursed to the lobbyist for lobbying.
* NB Effective until May 16, 2014
* (f) The terms "expenditure" or "expense" shall mean any expenditures
or expenses, respectively, incurred by or reimbursed to the lobbyist for
lobbying.
* NB Effective May 16, 2014
(g) The term "public servant" shall mean a public servant as defined
in subdivision nineteen of section two thousand six hundred one of the
charter.
(h) The term "fundraising activities" shall mean solicitation or
collection of contributions for a candidate for nomination for election,
or election, to the office of mayor, public advocate, comptroller,
borough president or member of the city council, or for the political
committee of any such candidate by a lobbyist, or the solicitation or
collection of contributions for any public servant who is a candidate
for nomination for election, or election, to any elective office, or for
the political committee of any such candidate by a lobbyist. For
purposes of this subchapter, the term "contribution" shall have the
meaning set forth in subdivision eight of section 3-702 of the
administrative code, and the term "political committee" shall have the
meaning set forth in subdivision eleven of such section. The term
"lobbyist" shall mean a lobbyist as defined in subdivision (a) of this
section and the spouse or domestic partner and unemancipated children of
the lobbyist, and if the lobbyist is an organization, the term
"lobbyist" shall mean only that division of the organization that
engages in lobbying activities and any officer or employee of such
lobbyist who engages in lobbying activities of the organization or is
employed in an organization's division that engages in lobbying
activities of the organization and the spouse or domestic partner and
unemancipated children of such officers or employees.
(i) The term "political consulting activities" shall mean the
activities of a lobbyist who for compensation by or on behalf of the
candidate or elected official, as applicable, (i) participates in the
campaign of any candidate for nomination for election, or election, to
the office of mayor, public advocate, comptroller, borough president or
member of the city council by providing political advice, or (ii)
participates in the campaign of any public servant who is a candidate
for nomination for election, or election, to any elective office by
providing political advice, or (iii) provides political advice to the
mayor, public advocate, comptroller, borough president or member of the
city council.
* (j) The terms "architect" or "architecture firm" shall include
landscape architects and landscape architecture firms, respectively.
* NB Effective May 16, 2014
Section 3-212
§ 3-212 Powers and duties of the city clerk. (a) In addition to any
other powers and duties specified by law, the city clerk shall have the
power and duty to administer and enforce all the provisions of this
subchapter, subpoena witnesses and records, issue advisory opinions to
those under its jurisdiction, conduct any investigation and audits
necessary to carry out the provisions of this subchapter, prepare
uniform forms for the statements and reports required by this subchapter
and promulgate such rules as he or she deems necessary for the proper
administration of this subchapter.
(b) In addition to any audits required to enforce the provisions of
this subchapter, the city clerk shall conduct random audits of the
statements and reports required to be filed by lobbyists and clients
pursuant to this subchapter. The city clerk shall select statements and
reports for random audit in a manner pursuant to which the identity of
any particular lobbyist or client whose statements or reports are
selected for audit is unknown to the city clerk. In conducting such
random audits, the city clerk shall require the production of such
witnesses and records as may have been relevant to the preparation of
the statements or reports audited.
* (c) The city clerk shall prepare and post on the internet an annual
report relating to the administration and enforcement of the provisions
of this subchapter. Such report shall contain information regarding (i)
the number of complaints received from the public and the disposition of
such complaints; (ii) the number and amount of civil penalties imposed
pursuant to subdivisions (a), (b), (c) and (d) of section 3-223 of this
subchapter; (iii) the number and duration of orders issued pursuant to
subdivision (a) of section 3-223 of this subchapter; (iv) the number of
random audits conducted by the clerk and outcomes thereof; (v)
compliance programs developed and implemented for lobbyists and clients;
and (vi) such other information and analysis as the city clerk deems
appropriate. Such report shall be posted on the internet no later than
March first of each year and shall contain information relating to the
preceding calendar year.
* NB Effective until May 16, 2014
* (c) The city clerk shall prepare and post on the internet an annual
report relating to the administration and enforcement of the provisions
of this subchapter. Such report shall contain information regarding (i)
the number of complaints received from the public and the disposition of
such complaints; (ii) the number and amount of civil penalties imposed
pursuant to subdivisions (a), (b), (c) and (d) of section 3-223 of this
subchapter; (iii) the number and duration of orders issued pursuant to
subdivision (a) of section 3-223 of this subchapter; (iv) the number of
random audits conducted by the city clerk and outcomes thereof; (v)
compliance programs developed and implemented for lobbyists and clients;
(vi) the types and number of requests for assistance related to the
lobbying law received by the city clerk, and, as soon as practicable,
the average response and resolution times of such requests; (vii) the
number of lobbyists filing statements of registration pursuant to
section 3-213 of this subchapter for the first time; (viii) the subject
matter of lobbying activity most frequently reported by lobbyists; (ix)
the lobbying targets most frequently reported by lobbyists; (x) the
lobbyists that received the highest compensation; and (xi) such other
information and analysis as the city clerk deems appropriate. Such
report shall be posted on the internet no later than March first of each
year and shall contain information relating to the preceding calendar
year.
* NB Effective May 16, 2014
(d) The city clerk shall, as soon as practicable after the issuance of
an order pursuant to subdivision (a) of section 3-223 of this subchapter
or imposition of a civil penalty pursuant to subdivision (a), (b), (c)
or (d) of section 3-223 of this subchapter, post on the internet
information identifying the lobbyist or client who committed the
violation that resulted in the issuance of such order or imposition of
such penalty, the provision of law violated, the duration of such order
or the amount of such penalty.
* (e) Twenty-four months after the effective date of the section of
the local law that added this subdivision, the mayor and the city
council shall jointly appoint a commission to review and evaluate the
activities and performance of the city clerk in implementing the
provisions of this subchapter. Within six months of such appointment the
commission shall report to the mayor and city council on its review and
evaluation which report shall include any administrative and legislative
recommendations on strengthening the administration and enforcement of
this subchapter, as well as whether the commission would recommend
raising the dollar threshold for the filing of a statement of
registration. The commission shall be comprised of five members and the
mayor and the city council shall jointly designate a chair from among
the members.
* NB Effective until May 16, 2014
* (e) (1) The city clerk shall develop a protocol to review sources of
information that may assist the city clerk in identifying lobbyists
required to file statements of registration pursuant to section 3-213 of
this subchapter who have not filed. Such review shall include, but need
not be limited to, the following sources:
(i) statements of registration filed with the state joint commission
on public ethics pursuant to section 1-e of the legislative law that
contain information indicating that the lobbyist expects to engage in
"lobbying" or "lobbying activities" as defined in paragraph one of
subdivision c of section 3-211 of this subchapter;
(ii) notices of appearances compiled by city agencies, including, but
not limited to, the landmarks preservation commission and the city
planning commission, identifying the representative of an applicant; and
(iii) the "doing business database" as defined in subdivision twenty
of section 3-702 of the code.
(2) The city clerk shall work with city agencies and the city council
to develop notices and advertisements to be placed in print and
electronic media intended to reach persons and organizations doing
business with the city that will inform them of the requirements set
forth in this subchapter.
* NB Effective May 16, 2014
* (f) The city clerk shall develop an online training program for
lobbyists. Such program shall include information and training regarding
conduct that may subject lobbyists and clients to the criminal and civil
penalties set forth in this subchapter. As soon as practicable, the city
clerk, in conjunction with the department of investigation, shall
incorporate an anti-corruption component in such training.
* NB Effective December 17, 2015 or (see LL 129/2013 § 35), whichever
is earlier
* (g) Between thirty-six and forty-eight months after the effective
date of the section of the local law that amended this subdivision, the
mayor and the city council shall jointly appoint a commission to review
and evaluate the activities and performance of the city clerk in
implementing the provisions of this subchapter. Within six months of
such appointment the commission shall report to the mayor and city
council on its review and evaluation which report shall include any
administrative and legislative recommendations on improving the
administration and enforcement of this subchapter. The commission shall
be comprised of five members and the mayor and the city council shall
jointly designate a chair from among the members.
* NB Effective May 16, 2014
Section 3-213.
§ 3-213. Statement of registration. (a) (1) Every lobbyist shall
annually file with the city clerk, on forms prescribed by the city
clerk, a statement of registration for each calendar year, provided,
however, that the filing of such statement of registration shall not be
required of any lobbyist who in any year does not earn or incur an
amount in excess of five thousand dollars or, if the lobbyist is an
architect or engineer, or an architecture or engineering firm, ten
thousand dollars, of combined reportable compensation and expenses, as
provided in paragraph five of subdivision (b) of section 3-216 of this
subchapter, for the purposes of lobbying.
(2) Such filing shall be completed on or before January fifteenth by
those persons who have been retained, employed or designated as
lobbyists on or before December thirty-first of the previous calendar
year who reasonably anticipate that in the coming year they will earn or
incur combined reportable compensation and expenses in an amount in
excess of five thousand dollars or, if the lobbyist is an architect or
engineer, or an architecture or engineering firm, ten thousand dollars.
For those lobbyists retained, employed or designated after December
thirty-first, and for those lobbyists who, subsequent to their retainer,
employment or designation, reasonably anticipate combined reportable
compensation and expenses in excess of such amount, such filing must be
completed within fifteen days thereafter.
(3) Before a lobbyist files a statement of registration pursuant to
paragraph one of this subdivision, the lobbyist and its client shall
enroll in the electronic filing system.
(b) Such statements of registration shall be kept in electronic form
in the office of the city clerk and shall be available for public
inspection.
(c) Such statement of registration shall contain:
(1) the name, home and business addresses and business telephone
number of the lobbyist and the name and home and business addresses of
the spouse or domestic partner of the lobbyist, and if the lobbyist is
an organization the name, home and business addresses and business
telephone number of any officer or employee of such lobbyist who engages
in any lobbying activities or who is employed in an organization's
division that engages in lobbying activities of the organization and the
name and home and business addresses of the spouse or domestic partner
of such officers or employees, provided that, notwithstanding any
provision of this subchapter to the contrary, the home address of the
lobbyist, including, if the lobbyist is an organization, the home
address of any officer or employee of such lobbyist who engages in any
lobbying activities or who is employed in an organization's division
that engages in lobbying activities of the organization, and the names
and home and business addresses of spouses and domestic partners of such
lobbyists, officers and employees, whether contained in an original or
amended statement of registration, shall not be made available to the
public, but may be accessed by the campaign finance board for the sole
purpose of determining whether a campaign contribution is matchable
pursuant to section 3-702 of the New York City campaign finance act;
provided, however, that notwithstanding any other provision of law, in
making information on campaign contributions publicly available, the
campaign finance board shall not disclose that any specific contributor
is the spouse, domestic partner or unemancipated child of such a
lobbyist, officer or employee;
(2) the name, address and telephone number of the client by whom or on
whose behalf the lobbyist is retained, employed or designated;
(3) if such lobbyist is retained or employed pursuant to a written
agreement of retainer or employment, a copy of such shall also be
attached and if such retainer or employment is oral, a statement of the
substance thereof;
(4) a written authorization from the client by whom the lobbyist is
authorized to lobby, unless such lobbyist has filed a written agreement
of retainer or employment pursuant to paragraph three of this
subdivision;
(5) a description of the subject or subjects on which the lobbyist is
lobbying or expects to lobby, including information sufficient to
identify the local law or resolution, procurement, real property, rule,
rate making proceeding, determination of a board or commission, or other
matter on which the lobbyist is lobbying or expects to lobby;
* (6) the name of the person or agency before which the lobbyist is
lobbying or expects to lobby;
* NB Effective until May 16, 2014
* (6) the names of the persons and agencies before which the lobbyist
has lobbied or expects to lobby;
* NB Effective May 16, 2014
(7) if the lobbyist has a financial interest in the client, direct or
indirect, information as to the extent of such interest and the date on
which it was acquired; and
* (8) if the lobbyist is retained, employed or designated by more than
one client, a separate statement of registration shall be required for
each such client.
* NB Effective May 16, 2014
(d) * (1) Whenever there is a change in the information filed by the
lobbyist in the original statement of registration, an amended statement
shall be submitted to the city clerk on forms prescribed by the city
clerk within ten days after such change occurs, except as provided in
paragraph two of this subdivision; however, this shall not require the
lobbyist to amend the entire registration form.
* NB Effective until May 16, 2014
* (1) Whenever there is a change in the information filed by the
lobbyist in the statement of registration, other than a change to
information submitted pursuant to paragraphs five and six of subdivision
(c) of this section, an amended statement shall be submitted to the city
clerk on forms prescribed by the city clerk within ten days after such
change occurs, except as provided in paragraph two of this subdivision.
* NB Effective May 16, 2014
(2) Whenever a contribution, as defined in subdivision eight of
section 3-702 of the New York City campaign finance act, is made by the
unemancipated child of a lobbyist or by the unemancipated child of the
spouse or domestic partner of a lobbyist or, if the lobbyist is an
organization, by the unemancipated child of any officer or employee of
such lobbyist who engages in lobbying activities or who is employed in
an organization's division that engages in lobbying activities of the
organization or by the unemancipated child of the spouse or domestic
partner of any such officer or employee, in the calendar year for which
a statement of registration is filed, the lobbyist shall file an amended
statement of registration within forty-eight hours of the making of such
contribution. Such amended statement of registration shall contain the
name and the home address of such unemancipated child and the home and
business addresses of the unemancipated child's parent, if such parent's
home and business addresses were reported pursuant to paragraph one of
subdivision (c) of this section. Such amendment shall not require the
lobbyist to amend the entire registration form. If such contribution was
made in the calendar year for which a statement of registration is
filed, but before the filing of such statement of registration, then the
original statement of registration shall contain the name and the home
address of such unemancipated child and the home and business addresses
of the unemancipated child's parent, if such parent's home and business
addresses were reported pursuant to paragraph one of subdivision (c) of
this section. Notwithstanding any provision of this chapter to the
contrary, the names and addresses of unemancipated children shall not be
made available to the public, but may be accessed by the campaign
finance board for the sole purpose of determining whether a campaign
contribution is matchable pursuant to such section 3-702; provided,
however, that notwithstanding any other provision of law, in making
information on campaign contributions publicly available, the campaign
finance board shall not disclose that any specific contributor is the
spouse, domestic partner or unemancipated child of such a lobbyist,
officer or employee. For purposes of this paragraph, the term
"unemancipated child" shall mean any son, daughter, stepson or
stepdaughter who is under age eighteen, unmarried and living in the
household of such lobbyist or spouse or domestic partner of such
lobbyist or, if such lobbyist is an organization, living in the
household of such officer or employee or spouse or domestic partner of
such officer or employee.
(e) Each statement of registration filed annually by each lobbyist
shall be accompanied by a registration fee of one hundred fifty dollars.
An additional fee may be imposed not to exceed fifty dollars for each
client in excess of one identified on such statement.
(f) In the event of the retention, employment or designation of an
organization wherein more than one member of the organization will be
engaging in lobbying activities on behalf of a client, one statement of
registration shall be filed by the organization with a listing of all
such persons.
*(g) If the city clerk grants an extension allowing a lobbyist to file
a statement of registration later than the deadline contained in
paragraph two of subdivision (a) of this section, the city clerk shall
forward notice of such extension no later than the end of the following
business day to the mayor's office of contract services for inclusion in
the "doing business database" as defined in subdivision twenty of
section 3-702 of the code.
* NB Effective May 16, 2014
Section 3-214
* § 3-214 Monthly registration docket. It shall be the duty of the
city clerk to compile a monthly docket of statements of registration
containing all information required by section 3-213 of this subchapter.
Each such monthly docket shall contain all statements of registration
filed during such month and all amendments to previously filed
statements of registration. Copies shall be made available for public
inspection.
* NB Repealed May 16, 2014
Section 3-215
* § 3-215 Termination of retainer, employment or designation. Upon the
termination of a lobbyist's retainer, employment or designation, such
lobbyist and the client on whose behalf such service has been rendered
shall both give written notice to the city clerk within thirty days
after the lobbyist ceases the activity that required such lobbyist to
file a statement of registration; however, such lobbyist shall
nevertheless comply with the reporting requirements of section 3-216.1
of this subchapter and the reporting requirements for the last periodic
reporting period up to the date such activity has ceased as required by
this subchapter and both such parties shall each file the annual report
required by section 3-217 of this subchapter. The city clerk shall enter
notice of such termination in the appropriate monthly registration
docket required by section 3-214 of this subchapter.
* NB Effective until May 16, 2014
* § 3-215 Termination of retainer, employment or designation. Upon the
termination of a lobbyist's retainer, employment or designation, such
lobbyist and the client on whose behalf such service has been rendered
shall both give notice to the city clerk in the electronic filing system
within thirty days after the lobbyist ceases the activity that required
such lobbyist to file a statement of registration; however, such
lobbyist shall nevertheless comply with the reporting requirements of
section 3-216.1 of this subchapter and the reporting requirements for
the last periodic reporting period up to the date such activity has
ceased as required by this subchapter and both such parties shall each
file the annual report required by section 3-217 of this subchapter.
* NB Effective May 16, 2014
Section 3-216.
§ 3-216. Periodic reports. (a) (1) Any lobbyist, except a lobbyist
described in paragraph two of this subdivision, required to file a
statement of registration pursuant to section 3-213 of this subchapter
who in any lobbying year earns or incurs combined reportable
compensation and expenses in an amount in excess of five thousand
dollars or, if the lobbyist is an architect or engineer, or an
architecture or engineering firm, ten thousand dollars, as provided in
paragraph five of subdivision (b) of this section, for the purpose of
lobbying, shall file with the city clerk periodic reports, on forms
prescribed by the city clerk, by the fifteenth day next succeeding the
end of the reporting period on which the cumulative total for such
lobbying year equalled such sum. Such reporting periods shall be the
period from January first through the last day of February, March first
though April thirtieth, May first through June thirtieth, July first
through August thirty-first, September first through October
thirty-first, and November first through December thirty-first.
* (2) Any lobbyist making a report pursuant to paragraph one of this
subdivision shall thereafter file with the city clerk, on forms
prescribed by the city clerk, a periodic report for each reporting
period that such person expends, receives or incurs combined reportable
compensation and expenses in an amount in excess of five hundred dollars
for the purposes of lobbying during such reporting period. Such report
shall be filed not later than the fifteenth day next succeeding the end
of such reporting period and shall include the amounts so expended,
received or incurred during such reporting period and the cumulative
total during the lobbying year.
* NB Effective until December 17, 2015 or (see LL 129/2013 § 35),
whichever is earlier
* (2) Any lobbyist that is an organization required to file a
statement of registration pursuant to section 3-213 of this subchapter
that lobbies solely on its own behalf by utilizing the services of its
employees and that, in any lobbying year, earns or incurs combined
reportable compensation and expenses in an amount in excess of five
thousand dollars, but equal to or less than ten thousand dollars, as
provided in paragraph five of subdivision (b) of this section, for the
purpose of lobbying, shall file with the city clerk periodic reports, on
forms prescribed by the city clerk, by the fifteenth day next succeeding
the end of the reporting period on which the cumulative total for such
lobbying year equaled such sum. Such reporting periods shall be the
period from January first to June thirtieth, and July first to December
thirty-first.
* NB Effective December 17, 2015 or (see LL 129/2013 § 35), whichever
is earlier
(3) Any lobbyist making a report pursuant to paragraph one or two of
this subdivision shall thereafter file with the city clerk, on forms
prescribed by the city clerk, a periodic report for each reporting
period that such person earns or incurs combined reportable compensation
and expenses in an amount in excess of one thousand dollars for the
purposes of lobbying during such reporting period. Such report shall be
filed not later than the fifteenth day next succeeding the end of such
reporting period and shall include the amounts so earned or incurred
during such reporting period and the cumulative total during the
lobbying year.
(b) Such periodic report shall contain:
(1) the name, address and telephone number of the lobbyist;
(2) the name, address and telephone number of the client by whom or on
whose behalf the lobbyist is retained, employed or designated;
(3) a description of the subject or subjects on which the lobbyist has
lobbied, including information sufficient to identify the local law or
resolution, procurement, real property, rule, rate making proceeding,
determination of a board or commission, or other matter on which the
lobbyist has lobbied;
* (4) the person or agency before which the lobbyist has lobbied;
* NB Effective until May 16, 2014
* (4) the names of the persons and agencies before which the lobbyist
has lobbied;
* NB Effective May 16, 2014
(5) * (i) the compensation paid or owed to the lobbyist, and any
expenses expended, received or incurred by the lobbyist for the purpose
of lobbying.
* NB Effective until May 16, 2014
* (i) the compensation paid or owed to the lobbyist, and any expenses
incurred by the lobbyist for the purpose of lobbying.
* NB Effective May 16, 2014
(ii) expenses required to be reported pursuant to subparagraph (i) of
this paragraph shall be listed in the aggregate if seventy-five dollars
or less and if more than seventy-five dollars such expenses shall be
detailed as to amount, to whom paid, and for what purpose; and where
such expense is more than seventy-five dollars on behalf of any one
person, the name of such person shall be listed.
(iii) for the purpose of this paragraph, expenses shall not include:
(A) personal sustenance, lodging and travel disbursements of such
lobbyist;
(B) expenses, not in excess of five hundred dollars in any one
calendar year, directly incurred for the printing or other means of
reproduction or mailing of letters, memoranda or other written
communications.
(iv) expenses paid or incurred for salaries other than that of the
lobbyist shall be listed in the aggregate.
(v) expenses of more than fifty dollars shall be paid by check or
substantiated by receipts.
* (vi) the expenses reimbursed by the client.
* NB Effective May 16, 2014
* (c) Notwithstanding any inconsistent provision of this section,
where a lobbyist required to file a statement of registration pursuant
to section 3-213 of this subchapter is not required to file a periodic
report pursuant to subdivision (a) or (b) of this section because he or
she has not expended, received or incurred compensation and expenses as
therein specified, he or she shall file a periodic report stating that
he or she has not expended, received or incurred such compensation and
expenses by the fifteenth day next succeeding the end of the reporting
period.
* NB Effective until May 16, 2014
* (c) Notwithstanding any inconsistent provision of this section,
where a lobbyist required to file a statement of registration pursuant
to section 3-213 of this subchapter is not required to file a periodic
report pursuant to subdivision (a) or (b) of this section because such
lobbyist has not earned or incurred compensation and expenses as therein
specified, such lobbyist shall file a periodic report stating that such
lobbyist has not earned or incurred such compensation and expenses by
the fifteenth day next succeeding the end of the reporting period.
* NB Effective May 16, 2014
* (d) (1) All such periodic reports shall be subject to review by the
city clerk.
(2) Such periodic reports shall be kept in electronic form in the
office of the city clerk and shall be available for public inspection.
* NB Effective until May 16, 2014
* (d) Whenever there is a change in the information filed by a
lobbyist in a report filed pursuant to this section, an amended report
shall be submitted to the city clerk on forms prescribed by the city
clerk.
* NB Effective May 16, 2014
* (e) (1) All such periodic reports shall be subject to review by the
city clerk.
(2) Such periodic reports shall be kept in electronic form in the
office of the city clerk and shall be available for public inspection.
* NB There are 2 sb (e)'s
* NB Effective May 16, 2014
* (e) If the city clerk grants an extension allowing a lobbyist to
file a periodic report later than the deadline contained in paragraph
one or two of subdivision (a) of this section, as applicable, the city
clerk shall forward notice of such extension no later than the end of
the following business day to the mayor's office of contract services
for inclusion in the "doing business database" as defined in subdivision
twenty of section 3-702 of the code.
* NB There are 2 sb (e)'s
* NB Effective May 16, 2014
Section 3-216.1
§ 3-216.1 Fundraising and political consulting reports.
(a) Any lobbyist required to file a statement of registration pursuant
to section 3-213 of this subchapter who in any calendar year to which
the statement of registration relates, or in the six months preceding
such calendar year, engages in fundraising or political consulting
activities shall file with the city clerk, on forms prescribed by the
city clerk, a fundraising and/or political consulting report. Such
report shall be filed in accordance with the schedule applicable to the
filing of periodic reports, provided that the first fundraising and/or
political consulting report filed in any calendar year shall include
information on fundraising and/or political consulting activities that
occurred in any period beginning six months preceding the calendar year
to which the statement of registration relates through the end of the
reporting period for which the report is filed, to the extent such
information has not been reported in a fundraising and/or political
consulting report filed in the preceding calendar year. Each subsequent
fundraising and/or political consulting report filed in or with respect
to the calendar year to which the statement of registration relates
shall include information on fundraising and/or political consulting
activities that occurred since the end of the reporting period for which
the previous report was filed through the end of the reporting period
for which the current report is filed. Such activities shall be reported
whether they are conducted directly by the lobbyist, or through any
other entity of which such lobbyist is a principal. Such fundraising
and/or political consulting reports shall be filed not later than the
fifteenth day next succeeding the end of such reporting period.
(b) Such fundraising and/or political consulting report shall contain:
(1) the name, address and telephone number of the lobbyist and the
individuals employed by the lobbyist engaged in such fundraising and/or
political consulting activities;
(2) the name, address and telephone number of the candidate, public
servant, or elected official to whom or on whose behalf the lobbyist
provided fundraising and/or political consulting services;
(3) * (i) the compensation paid or owed to the lobbyist for such
fundraising and/or political consulting activities.
* NB Effective until May 16, 2014
* (i) the compensation paid or owed to the lobbyist and any expenses
incurred by the lobbyist for such fundraising and/or political
consulting activities;
* NB Effective May 16, 2014
(ii) a list of all persons or entities with whom the lobbyist
contracted for the purpose of providing fundraising and/or political
consulting services;
(4) in the case of fundraising activities, the total dollar amount
raised for each candidate for which such activities were performed.
(c) All such fundraising and/or political consulting reports shall be
subject to review by the city clerk.
* (d) Such fundraising and/or political consulting reports shall be
kept in electronic form in the office of the city clerk and shall be
available for public inspection.
* NB Effective until May 16, 2014
* (d) Whenever there is a change in the information filed by a
lobbyist in a report filed pursuant to this section, an amended report
shall be submitted to the city clerk on forms prescribed by the city
clerk.
* NB Effective May 16, 2014
* (e) Such fundraising and/or political consulting reports shall be
kept in electronic form in the office of the city clerk and shall be
available for public inspection.
* NB Effective May 16, 2014
Section 3-217
§ 3-217 Annual reports. (a) Annual reports shall be filed by:
(1) every lobbyist required to file a statement of registration
pursuant to section 3-213 of this subchapter;
(2) any client retaining, employing or designating a lobbyist or
lobbyists, if during the year such client owed an amount in excess of
five thousand dollars or, if the lobbyist is an architect or engineer,
or an architecture or engineering firm, ten thousand dollars, of
combined reportable compensation and expenses, as provided in paragraph
five of subdivision (c) of this section, for the purposes of lobbying.
(b) Such report pursuant to paragraph one of subdivision (a) of this
section shall be filed with the city clerk, on forms prescribed by the
city clerk, by the fifteenth day of January next following the year for
which such report is made and shall contain on an annual cumulative
basis all the information required in periodic reports by section 3-216
of this subchapter and all the information required in fundraising
and/or political consulting reports by section 3-216.1 of this
subchapter.
(c) Such report pursuant to paragraph two of subdivision (a) of this
section shall be filed with the city clerk on forms prescribed by the
city clerk by the fifteenth day of January next following the year for
which such report is made and shall contain:
(1) the name, address and telephone number of the client;
(2) the name, address and telephone number of each lobbyist retained,
employed or designated by such client;
(3) a description of the subject or subjects on which each lobbyist
retained, employed or designated by such client has lobbied, including
information sufficient to identify the local law or resolution,
procurement, real property, rule, rate making proceeding, determination
of a board or commission, or other matter on which each lobbyist
retained, employed or designated by such client has lobbied;
* (4) the person or agency before which such lobbyist has lobbied;
* NB Effective until May 16, 2014
* (4) the names of the persons and agencies before which such lobbyist
has lobbied;
* NB Effective May 16, 2014
(5) * (i) the compensation paid or owed to each such lobbyist, and any
other expenses paid or incurred by such client for the purpose of
lobbying.
* NB Effective until May 16, 2014
* (i) the compensation earned by each such lobbyist, and any other
expenses paid or incurred by such client for the purpose of lobbying.
* NB Effective May 16, 2014
(ii) any expenses required to be reported pursuant to subparagraph (i)
of this paragraph shall be listed in the aggregate if seventy-five
dollars or less and if more than seventy-five dollars such expenses
shall be detailed as to amount, to whom paid, and for what purpose; and
where such expense is more than seventy-five dollars on behalf of any
one person, the name of such person shall be listed.
(iii) for the purposes of this paragraph, expenses shall not include:
(A) personal sustenance, lodging and travel disbursements of such
lobbyist and client;
(B) expenses, not in excess of five hundred dollars, directly incurred
for the printing or other means of reproduction or mailing of letters,
memoranda or other written communications.
(iv) expenses paid or incurred for salaries other than that of the
lobbyist shall be listed in the aggregate.
(v) expenses of more than fifty dollars must be paid by check or
substantiated by receipts.
(d) (1) All such annual reports shall be subject to review by the city
clerk.
(2) Such annual reports shall be kept in electronic form in the office
of the city clerk and shall be available for public inspection.
Section 3-218
§ 3-218 Contingent retainer. 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 legislative, executive or
administrative action where efforts by a lobbyist to influence such
action are subject to the jurisdiction of the city clerk, and no person
shall accept such a retainer or employment.
Section 3-219
§ 3-219 Obligations of lobbyists.--Any person who is required to file
a statement of registration under this subchapter has the following
obligations:
a. To abstain from doing any act, with the express purpose and intent
of placing a member of the city council, the mayor or any officer or
employee charged by law with making a decision on a matter pending or
proposed, under personal obligation to him or her or to his or her
employer.
b. Never to knowingly deceive or attempt to deceive a member of the
city council, the mayor or any officer or employee charged by law with
making a decision on a local law, resolution or matter pending or
proposed, as to any material fact pertinent to any pending or proposed
local law, resolution or matter.
c. Never to cause or influence the introduction of any local law or
resolution at the city council for the purpose of thereafter being
employed to secure its granting, denial, confirmation, rejection,
passage or defeat.
d. To abstain from any attempt to create a fictitious appearance of
public favor or disfavor of any proposed local law or resolution before
the city council or to cause any communication to be sent to a member of
the city council, or the mayor, or any officer or employee charged by
law with making a decision on a matter pending or proposed, in the name
of any fictitious person or in the name of any real person, except with
the consent of such real person.
e. Not to represent, either directly or indirectly through word of
mouth or otherwise, that he or she can control or obtain the vote or
action of the mayor, any member of the city council, or any employee or
officer of the city charged by law with making a decision on a matter
pending or proposed, or the approval or disapproval of any local law or
resolution by the mayor of the city of New York.
f. Not to represent or solicit representation of, an interest adverse
to such person's employer nor to represent employers whose interests are
known to such person to be adverse.
g. To retain all books, papers and documents necessary to substantiate
the financial reports required to be made under this subchapter for a
period of five years.
* h. To complete a training program on the requirements of this
subchapter, developed by the city clerk, as follows:
(1) Each lobbyist required to file a statement of registration
pursuant to section 3-213 of this subchapter that (i) lists five or more
officers or employees who engage in lobbying activities or who are
employed in the division that engages in lobbying activities and (ii)
identifies thirty or more clients on whose behalf such organization has
been retained shall designate two officers or employees to complete the
training program biennially. At least one such officer or employee shall
have engaged in lobbying activities in the year prior to such training.
(2) All other lobbyists required to file a statement of registration
pursuant to section 3-213 of this subchapter shall designate at least
one officer or employee to complete the training program biennially.
(3) Any lobbyist filing a statement of registration pursuant to
section 3-213 of this subchapter for the first time shall designate at
least one officer or employee who shall register for such training
program within fifteen days of the lobbyist's commencement of lobbying.
* NB Effective December 17, 2014
Section 3-220
* § 3-220 Retention of records.--Every person to whom this subchapter
is applicable shall keep for at least five years a detailed and exact
account of:
(1) all compensation of any amount or value whatsoever;
(2) the name and address of every person paying or promising to pay
compensation of fifty dollars or more and the date thereof;
(3) all expenditures made by or on behalf of the client; and
(4) the name and address of every person to whom any item of
expenditure exceeding fifty dollars is made, the date thereof and
receipted bill for said expenditure.
* NB Effective until May 16, 2014
* § 3-220 Retention of records. Every person to whom this subchapter
is applicable shall keep for at least five years a detailed and exact
account of:
(a) all compensation of any amount or value whatsoever;
(b) the name and address of every person paying or promising to pay
compensation of fifty dollars or more and the date thereof;
(c) all expenditures made by or on behalf of the client; and
(d) the name and address of every person to whom any item of
expenditure exceeding fifty dollars is made, the date thereof and
receipted bill for such expenditure.
* NB Effective May 16, 2014
Section 3-221
* § 3-221 Filing of statements and reports. Any statement or report
required by this subchapter shall be filed by electronic transmission in
a standard format as required by the city clerk. Statements, reports,
dockets and any other information required to be kept on file in the
office of the city clerk for public inspection pursuant to this
subchapter shall be kept in a computerized database and shall be posted
on the internet as soon as practicable.
* NB Effective until May 16, 2014
* § 3-221 Filing of statements and reports. (a) Any statement or
report required by this subchapter shall be filed by electronic
transmission in a standard format as required by the city clerk.
Statements, reports and any other information required to be kept on
file in the office of the city clerk for public inspection pursuant to
this subchapter shall be kept in a computerized database and shall be
posted on the internet as soon as practicable.
** (b) The computerized database maintained pursuant to subdivision
(a) of this section shall be searchable by, at a minimum, lobbyist name,
client name, person or agency before which lobbying activities took
place, and the local law number with year, bill number, resolution
number, rule number, or other information sufficient to identify the
matter on which lobbying has occurred.;
** NB Effective December 17, 2015 or (see LL 129/2013 § 35), whichever
is earlier
* NB Effective May 16, 2014
Section 3-222.
* § 3-222. Certification. All statements and reports required under
this subchapter shall contain the following declaration: "I certify that
all statements made on this statement are true and correct to the best
of my knowledge and belief and I understand that the wilful making of
any false statement of material fact herein will subject me to the
provisions of law relevant to the making and filing of false instruments
and will render such statement null and void."
* NB Effective until May 16, 2014
* § 3-222 Certification. All statements and reports required under
this subchapter shall contain the following declaration: "I certify that
all statements made on this statement are true and correct to the best
of my knowledge and belief and I understand that the willful making of
any false statement of material fact herein will subject me to the
provisions of law relevant to the making and filing of false instruments
and will render such statement null and void."
* NB Effective May 16, 2014
Section 3-223
§ 3-223 Penalties. * (a) Except as provided for in subdivision (b) of
this section, any person or organization who knowingly and wilfully
violates any provision of this subchapter shall be guilty of a class A
misdemeanor. In addition to such criminal penalties, said person or
organization shall be subject to a civil penalty, in an amount not to
exceed thirty thousand dollars, to be assessed by the city clerk, or an
order to cease all lobbying activities subject to the jurisdiction of
the city clerk for a period of time as determined by said clerk not to
exceed sixty days, or both such civil penalty and order.
* NB Effective until May 16, 2014
* (a) Except as provided for in subdivision (b) of this section, any
person or organization who knowingly and willfully violates any
provision of this subchapter shall be guilty of a class A misdemeanor.
In addition to such criminal penalties, such person or organization
shall be subject to a civil penalty, in an amount not to exceed thirty
thousand dollars, to be assessed by the city clerk, or an order to cease
all lobbying activities subject to the jurisdiction of the city clerk
for a period of time as determined by such clerk not to exceed sixty
days, or both such civil penalty and order.
* NB Effective May 16, 2014
(b) Any person or organization who violates a cease and desist order
of the city clerk issued under subdivision a of this section or enters
into a contingency agreement or accepts or pays any contingency fees as
proscribed in section 3-218 of this subchapter, shall be guilty of a
class A misdemeanor. In addition to such criminal penalties, said person
or organization shall be subject to a civil penalty, in an amount not to
exceed thirty thousand dollars, to be assessed by the city clerk.
* (c) The city clerk shall designate by rule penalties for late filing
of any statement or report required by this subchapter, which shall
conform with the schedule established by the New York Temporary State
Commission on Lobbying, or any successor thereto, for such charges.
Following a failure to make and file any such statement or report, the
city clerk shall notify the person or organization of such fact by
certified mail that such filing must be made within fourteen business
days of the date of mailing of such notice. The failure to file any
statement or report within such time shall constitute a class A
misdemeanor. In addition to such criminal and late penalties, said
person or organization shall be subject to a civil penalty, in an amount
not to exceed twenty thousand dollars, to be assessed by the city clerk.
For the purposes of this subdivision, the chief administrative officer
of any organization required to file a statement or report shall be the
person responsible for making and filing such statement or report unless
some other person prior to the due date thereof has been duly designated
to make and file such statement or report.
* NB Effective until May 16, 2014
* (c) (1) Following a failure to make and file any statement or report
required by this subchapter, the city clerk shall notify the person or
organization of such fact by certified mail that such filing must be
made within fourteen business days of the date of mailing of such
notice. The failure to file any statement or report within such time
shall constitute a class A misdemeanor. In addition to such criminal
penalties, such person or organization shall be subject to a civil
penalty, in an amount not to exceed twenty thousand dollars, to be
assessed by the city clerk. For the purposes of this subdivision, the
chief administrative officer of any organization required to file a
statement or report shall be the person responsible for making and
filing such statement or report unless some other person prior to the
due date thereof has been duly designated to make and file such
statement or report.
(2) Any lobbyist or client who has never previously filed a statement
of registration or any other report required by this subchapter shall be
charged a late filing penalty of ten dollars for each day a required
statement or report is late. If more than one statement or report is
late, the total late filing penalty shall be equal to the sum of ten
dollars per day multiplied by the number of such late statements or
reports. Any other lobbyist or client shall be charged a late filing
penalty of twenty-five dollars for each day a required statement or
report is late. If more than one statement or report is late, the total
late filing penalty shall be equal to the sum of twenty-five dollars per
day multiplied by the number of such late statements or reports. Late
filing penalties may be waived or reduced at the discretion of the city
clerk. A lobbyist or client seeking a waiver or reduction of late filing
penalties shall submit documentation as required by the city clerk. A
decision to grant such a waiver or reduction shall be made in writing by
the city clerk. The city clerk shall take the following factors into
account in determining whether a waiver or reduction is appropriate:
(i) whether and how often the lobbyist or client has filed late in the
past;
(ii) the annual operating budget of the lobbyist or client;
(iii) whether the lobbyist lobbies solely on its own behalf;
(iv) for periodic reports, the number of lobbying matters, number of
hours spent working on those matters, and amount of compensation and
expenditures that were not reported during the relevant period; and
(v) the significance of the impediments to timely filing faced by the
lobbyist or client.
* NB Effective May 16, 2014
(d) Any person or organization who violates any provision of this
subchapter not punishable under subdivisions (a), (b) or (c) of this
section shall be subject to a civil penalty, in an amount not to exceed
twenty thousand dollars, to be assessed by the city clerk.
(e) Any civil penalty to be assessed under subdivision (d) of this
section, or any order issued under subdivision (a) of this section, may
only be imposed or issued after written notice of violation and the
expiration of fourteen business days from the date of mailing of such
notice. If such violation is cured within such fourteen-day period, then
such civil penalty or order shall not be imposed or issued.
(f) The amount of any assessment made or duration of order issued
pursuant to this section shall be determined only after a hearing at
which the party shall be entitled to appear and be heard. Any assessment
imposed under this section may be recovered in an action brought by the
corporation counsel.
(g) The city clerk shall be charged with the duty of reviewing all
statements and reports required under this subchapter for violations,
and it shall be his duty, if he deems such to be wilful, to report such
determination to the department of investigation. Where the city clerk
receives a report or otherwise suspects that a criminal violation of
law, other than a violation of this subchapter, has been or may have
been committed, the city clerk shall report any information relating
thereto to the department of investigation.
(h) The department of investigation shall provide assistance to the
city clerk for the purpose of training personnel who are responsible for
the administration and enforcement of the provisions of this subchapter.
The city clerk shall develop compliance programs for lobbyists and
clients.
* (i)(1) The city clerk shall by rule establish an amnesty program for
any lobbyist who was required to have filed, but has never filed, a
statement of registration pursuant to section 3-213 of this subchapter,
or any client who was required to have filed, but has never filed, an
annual report pursuant to section 3-217 of this subchapter, at any time
on or after December tenth, two thousand six.
(2) Any lobbyist or client intending to participate in the amnesty
program may file a written notice of intent to participate with the city
clerk on forms prescribed by the city clerk, stating his, her or its
intention to participate in such program, at any time prior to the
effective date of the amnesty program. The city clerk shall not assess
any late filing penalties or any civil penalties authorized by this
section that could be assessed against any such lobbyist or client for
the period from December tenth, two thousand six to the date of the
filing of such notice. Any lobbyist or client filing a notice pursuant
to this paragraph shall comply with all applicable provisions of this
subchapter beginning on the day of such filing.
(3) Any lobbyist or client intending to participate in the amnesty
program, including any lobbyist or client who has filed a notice
pursuant to paragraph two of this subdivision, shall file a written
application on forms prescribed by the city clerk on or after the
effective date of the amnesty program, but prior to the expiration of
such program. Such application shall include a summary, which shall meet
the requirements of the city clerk, of the lobbying activities,
fundraising activities or political consulting activities performed by
such lobbyist or received by such client from one year prior to the
effective date of the amnesty program until the date of such application
or valid filing pursuant to paragraph two of this subdivision. Such
amnesty program shall provide that upon the filing of such application
and upon compliance with all applicable provisions of this subchapter,
the city clerk shall waive any late filing penalties and any civil
penalties authorized by this section that could be assessed against any
such lobbyist or client for the period from December tenth, two thousand
six to the date of the filing of such application or, if the lobbyist or
client made a valid filing pursuant to paragraph two of this
subdivision, to the date of such filing. In addition, any such lobbyist
or client shall not be subject to any criminal penalties authorized by
this section for the period from December tenth, two thousand six to the
date of the filing of such application or, if the lobbyist or client
made a valid filing pursuant to paragraph two of this subdivision, to
the date of such filing.
(4) The term of the amnesty program established pursuant to this
subdivision by rule of the city clerk shall not exceed six months, after
which no application for amnesty shall be accepted. Prior to the
commencement of, and during the term of, the amnesty program, the city
clerk shall publicize the amnesty program so as to maximize public
awareness of and participation in such program. The city clerk shall
consult with city agencies and the city council to develop notices and
advertisements to be placed in print and electronic media that are
intended to reach persons and organizations doing business with the
city.
(5) Notwithstanding any provision of this subdivision to the contrary,
any lobbyist or client who is the subject of any criminal investigation
relating to any violation of this subchapter and any lobbyist or client
who is a party to any criminal litigation in any court of this state or
the United States relating to any violation of this subchapter shall be
ineligible to file the notice pursuant to paragraph two of this
subdivision or the application pursuant to paragraph three of this
subdivision or to otherwise receive relief from late filing penalties,
or civil or criminal penalties under the amnesty program established
pursuant to this subdivision.
(6) The city clerk shall promulgate such rules, issue forms and
instructions, and take any and all other actions necessary to implement
the provisions of this subdivision.
* NB Effective May 16, 2014
To the extent possible under law, Friends of Devin Balkind for Public Advocate has waived all copyright and related or neighboring rights to New York City Administrative Code. This work is published from: United States.
Special thanks to Benjarmin Kallos and Thom Neale who made this content publicly available as a bulk download.