Current Issues In New York Lobbying Law Compliance

New York Advocacy

Association

Howard S. Weiss, Esq.

Lobbyist And Client Registration Process

Davidoff Malito & Hutcher LLP

The Regulation Of Lobbying

Laws and Rules Governing The City of Laws and Rules Governing The City of New York’s Regulation of LobbyingNew York’s Regulation of Lobbying

New York City Administrative Code Title 3 New York City Administrative Code Title 3 (Elected Officials), Chapter 2 (City Council and (Elected Officials), Chapter 2 (City Council and Clerk), Subchapter 2 (Regulation of Lobbying), Clerk), Subchapter 2 (Regulation of Lobbying), Section 3-211 Section 3-211 et seq.et seq.

Rules of The City of New York, Title 51 (City Rules of The City of New York, Title 51 (City Clerk), Chapter 1 (Lobbying), Section 1-01 Clerk), Chapter 1 (Lobbying), Section 1-01 et et seq.seq.

Advisory Opinions of the City ClerkAdvisory Opinions of the City Clerk

A request for an advisory opinion must set forth A request for an advisory opinion must set forth a statement of the actual facts prompting your a statement of the actual facts prompting your inquiry --the City Clerk will not issue an advisory inquiry --the City Clerk will not issue an advisory opinion based upon a hypothetical set of facts.opinion based upon a hypothetical set of facts.

The RegulatorsThe Regulators

The City Clerk, who is given a broad range of The City Clerk, who is given a broad range of powers to administer and enforce the Lobbying powers to administer and enforce the Lobbying Law:Law:subpoena witnesses and records; issue advisory subpoena witnesses and records; issue advisory opinions; conduct investigations and audits; opinions; conduct investigations and audits; conduct random audits; prepare uniform forms for conduct random audits; prepare uniform forms for the statements and reports; and promulgate rules.the statements and reports; and promulgate rules.

The Department of Investigation, which is given The Department of Investigation, which is given limited responsibility tolimited responsibility to act on reports from the City Clerk concerning act on reports from the City Clerk concerning

willful violations of the registration or reporting willful violations of the registration or reporting provisions of the Lobbying Law, andprovisions of the Lobbying Law, and

Assist the City Clerk by training to the Clerk’s Assist the City Clerk by training to the Clerk’s employees who administer and enforce the employees who administer and enforce the Lobbying Law.Lobbying Law.

The LobbyistThe Lobbyist

Every person or organization Every person or organization retained, employed or designated by retained, employed or designated by any client to engage in any client to engage in lobbyinglobbying Organization includes any corporation, Organization includes any corporation,

company, foundation, association, labor company, foundation, association, labor organization, firm, partnership, society, organization, firm, partnership, society, or joint stock company or joint stock company

The ClientThe Client

Any person or organization who Any person or organization who retains, employs or designates any retains, employs or designates any other person or organization to carry other person or organization to carry on on lobbying activitieslobbying activities on behalf of on behalf of such client such client

Lobbyist Registration

The Lobbyist’s Obligation To RegisterThe Lobbyist’s Obligation To Register

Every lobbyist is required to file an annual Every lobbyist is required to file an annual statement of registration with the City Clerk, statement of registration with the City Clerk, subject to a minimum threshold of compensation subject to a minimum threshold of compensation and expenses related and expenses related lobbying purposeslobbying purposes

The filing of a statement of registration is The filing of a statement of registration is notnot required of any lobbyist who in any year does required of any lobbyist who in any year does not expend, incur or receive an amount in not expend, incur or receive an amount in excess of $2,000 of reportable compensation excess of $2,000 of reportable compensation and expenses for the and expenses for the purposes ofpurposes of lobbying lobbying

the threshold is the amount of the threshold is the amount of compensation or expenses from all clients compensation or expenses from all clients that will be received or expended for that will be received or expended for lobbying purposeslobbying purposes within any year within any year

"Compensation" "Compensation"

Any salary, fee, gift, payment, Any salary, fee, gift, payment, subscription, loan, advance or any subscription, loan, advance or any other thing of value paid, owed, other thing of value paid, owed, given or promised by the client to the given or promised by the client to the lobbyist for the purpose of lobbyist for the purpose of lobbying lobbying

““Lobbying and Lobbying and Lobbying Activity”Lobbying Activity”

The attempt to The attempt to influence…influence…

The passage or defeat of any local The passage or defeat of any local law or resolution by the City Councillaw or resolution by the City Council

The approval or disapproval of any The approval or disapproval of any local law or resolution by the Mayorlocal law or resolution by the Mayor

The adoption, amendment or The adoption, amendment or rejection by an agency of any rule rejection by an agency of any rule having the force and effect of law having the force and effect of law

The outcome of any rate making The outcome of any rate making proceeding before an agencyproceeding before an agency

Any determination made by the Mayor, the City Any determination made by the Mayor, the City Council, the City Planning Commission, a Borough Council, the City Planning Commission, a Borough President, a Borough Board or a Community Board President, a Borough Board or a Community Board with respect to zoning or the use, development or with respect to zoning or the use, development or improvement of real property subject to city improvement of real property subject to city regulationregulation

Any determination made by an elected city official or Any determination made by an elected city official or an officer or employee of the city with respect toan officer or employee of the city with respect to the terms of the acquisition or disposition by the the terms of the acquisition or disposition by the

city of any interest in real property, city of any interest in real property, a license or permit for the use of real property of a license or permit for the use of real property of

or by the city, or or by the city, or a franchise, concession or revocable consenta franchise, concession or revocable consent

Any determination of a board or commissionAny determination of a board or commission

Any determination made by an Any determination made by an elected city official or an officer or elected city official or an officer or employee of the city with respect toemployee of the city with respect to the procurement of goods, services or the procurement of goods, services or

construction, including the preparation construction, including the preparation of contract specifications, or the of contract specifications, or the solicitation, award or administration of a solicitation, award or administration of a contract, orcontract, or

the solicitation, award or administration the solicitation, award or administration of a grant, loan, or agreement involving of a grant, loan, or agreement involving the disbursement of public moniesthe disbursement of public monies

The terms “Lobbying" and The terms “Lobbying" and “Lobbying Activities" does “Lobbying Activities" does notnot apply to any determination in apply to any determination in an adjudicatory proceeding. an adjudicatory proceeding.

The following persons and The following persons and organizations are deemed organizations are deemed notnot to to

be engaged in "lobbying be engaged in "lobbying activities" activities"

Persons engaged in advising clients, Persons engaged in advising clients, rendering opinions and drafting, in rendering opinions and drafting, in relation to proposed legislation, relation to proposed legislation, resolutions, rules, rates, or other resolutions, rules, rates, or other proposed legislative, executive or proposed legislative, executive or administrative action, administrative action, where such where such persons do not themselves engage in persons do not themselves engage in an attempt to influence such actionan attempt to influence such action

Newspapers and other periodicals Newspapers and other periodicals and radio and television stations, and and radio and television stations, and owners and employees thereof, owners and employees thereof, provided that their activities are provided that their activities are limited to the publication or limited to the publication or broadcast of news items, editorials or broadcast of news items, editorials or other comment, or paid other comment, or paid advertisements advertisements

Persons who participate as Persons who participate as witnesses, attorneys or other witnesses, attorneys or other representatives in public rule making representatives in public rule making or rate making proceedings of an or rate making proceedings of an agency, with respect to all agency, with respect to all participation by such persons participation by such persons which which is part of the public recordis part of the public record pertaining pertaining to such proceedingsto such proceedings

Persons who appear before an Persons who appear before an agency in an adjudicatory proceeding agency in an adjudicatory proceeding

Persons who prepare or submit a Persons who prepare or submit a response to a request for information response to a request for information or comments by the City Council or or comments by the City Council or one of its committees, the Mayor, or one of its committees, the Mayor, or other elected city official or an other elected city official or an agency agency

Contractors or prospective contractors Contractors or prospective contractors who communicate with or appear who communicate with or appear before city contracting officers or before city contracting officers or employees in the regular course of employees in the regular course of procurement planning, contract procurement planning, contract development, the contractor selection development, the contractor selection process, the administration of a process, the administration of a contract, or the audit of a contract, contract, or the audit of a contract, when such communications or when such communications or appearances are made by such appearances are made by such contractors personallycontractors personally

Contractors or prospective contractors Contractors or prospective contractors who communicate with or appear before who communicate with or appear before city contracting officers or employees in city contracting officers or employees in the regular course of procurement the regular course of procurement planning, contract development, the planning, contract development, the contractor selection process, the contractor selection process, the administration of a contract, or the audit administration of a contract, or the audit of a contract, when such communications of a contract, when such communications or appearances are made by such or appearances are made by such contractors through:contractors through:

Officers and employees of the Officers and employees of the contractor or prospective contractor contractor or prospective contractor who are charged with the performance who are charged with the performance of functions relating to contractsof functions relating to contracts

Subcontractors or prospective Subcontractors or prospective subcontractors who are or will be subcontractors who are or will be engaged in the delivery of goods, engaged in the delivery of goods, services or construction pursuant to services or construction pursuant to the contract, or officers and the contract, or officers and employees of the subcontractor or employees of the subcontractor or prospective subcontractor who are prospective subcontractor who are charged with the performance of charged with the performance of functions relating to contracts functions relating to contracts

Persons who provide “technical” or Persons who provide “technical” or “professional” services, on behalf of “professional” services, on behalf of such contractor, prospective such contractor, prospective contractor, subcontractor or contractor, subcontractor or prospective subcontractorprospective subcontractor

““Technical services” are limited to Technical services” are limited to advice and analysis directly applying advice and analysis directly applying any engineering, scientific, or other any engineering, scientific, or other similar technical discipline similar technical discipline

““Professional services” are limited to Professional services” are limited to advice and analysis directly applying advice and analysis directly applying any legal, accounting or other similar any legal, accounting or other similar professional discipline in connection professional discipline in connection with the following elements of the with the following elements of the procurement process only:procurement process only:

dispute resolution dispute resolution vendor protests vendor protests responsiveness and responsibility responsiveness and responsibility

determinations, determinations of determinations, determinations of prequalification, suspensions, debarments, prequalification, suspensions, debarments, objections to registration pursuant to section objections to registration pursuant to section 328 of the charter328 of the charter

contract interpretationcontract interpretation negotiation of contract terms after the negotiation of contract terms after the

award of a contract award of a contract defaults, the termination of contracts and defaults, the termination of contracts and

audit of contracts audit of contracts

"City contracting officers or "City contracting officers or employees" do not include elected employees" do not include elected officials or deputies of elected officials or deputies of elected officials or any person not duly officials or any person not duly authorized to enter into and authorized to enter into and administer contracts and make administer contracts and make determinations with respect thereto determinations with respect thereto

Statement of Registration Filing PeriodsStatement of Registration Filing Periods The filing of a statement of registration The filing of a statement of registration

must be completed on or before January must be completed on or before January 1st by those persons1st by those persons who have been who have been retained, employed or retained, employed or

designateddesignated as lobbyists on or before December as lobbyists on or before December 15th of the previous calendar year, and15th of the previous calendar year, and

who reasonably anticipate that in the coming who reasonably anticipate that in the coming year they will expend, incur or receive year they will expend, incur or receive combined reportable compensation and combined reportable compensation and expenses in an amount in excess of $2,000expenses in an amount in excess of $2,000

Statement of Registration Filing PeriodsStatement of Registration Filing Periods For those lobbyists retained, employed or For those lobbyists retained, employed or

designated designated afterafter December 15th, and for December 15th, and for those lobbyists who, those lobbyists who, subsequent to their subsequent to their retainer, employment or designationretainer, employment or designation, , reasonably anticipate reasonably anticipate combinedcombined reportable reportable compensation and expenses in excess of compensation and expenses in excess of $2,000,$2,000, such filing must be completed within 15 days such filing must be completed within 15 days

thereafter,thereafter, but in no event later than ten days after the but in no event later than ten days after the

actual actual incurring or receivingincurring or receiving of such reportable of such reportable compensation and expenses. compensation and expenses.

New

York

Advocacy

Association