Regulation of Lobbying

NYC Admin. Code tit. 3, ch. 2, subch. 2

in effect

NYC Admin. Code § 3-211 Definitions.

§ 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) 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. (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 contractors 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 preceded 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 designated 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. (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 terms "expenditure" or "expense" shall mean any expenditures or expenses, respectively, incurred by or reimbursed to the lobbyist for lobbying. (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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014 and L.L. 1993/067.

NYC Admin. Code § 3-212 Powers and duties of the city clerk.

§ 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 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. (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) (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. (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. (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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014 and L.L. 1993/067.

NYC Admin. Code § 3-213 Statement of registration.

§ 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 names of the persons and agencies before which the lobbyist has lobbied or expects to lobby; (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. (d) (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. (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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014 and L.L. 2007/023.

NYC Admin. Code § 3-214 Monthly registration docket. [Repealed] Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014.

NYC Admin. Code § 3-215 Termination of retainer, employment or designation.

§ 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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014.

NYC Admin. Code § 3-216 Periodic reports.

§ 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 equaled such sum. Such reporting periods shall be the period from January first through the last day of February, March first through 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 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. (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 names of the persons and agencies before which the lobbyist has lobbied; (5) (i) the compensation paid or owed to the lobbyist, and any expenses incurred by the lobbyist for the purpose of lobbying. (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. (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. (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. (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. (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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014, L.L. 1993/067, and L.L. 2007/023.

NYC Admin. Code § 3-216.1 Fundraising and political consulting reports.

§ 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 and any expenses incurred by the lobbyist for such fundraising and/or political consulting activities; (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) 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. (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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 2007/023.

NYC Admin. Code § 3-217 Annual reports.

§ 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 names of the persons and agencies before which such lobbyist has lobbied; (5) (i) the compensation earned by each such lobbyist, and any other expenses paid or incurred by such client for the purpose of lobbying. (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 expenses are 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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1996/014, L.L. 1993/067, and L.L. 2007/023.

NYC Admin. Code § 3-218 Contingent retainer.

§ 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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014 and L.L. 1993/067.

NYC Admin. Code § 3-219 Obligations of lobbyists.

§ 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 an 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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014 and L.L. 1993/067.

NYC Admin. Code § 3-220 Retention of records.

§ 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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014.

NYC Admin. Code § 3-221 Filing of statements and reports.

§ 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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014 and L.L. 1993/067.

NYC Admin. Code § 3-222 Certification.

§ 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." Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014.

NYC Admin. Code § 3-223 Penalties.

§ 3-223 Penalties. (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. (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) (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. (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 willful, 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. Editor's note: For related unconsolidated provisions, see Appendix A at L.L. 1986/014, L.L. 1993/067, and L.L. 2007/023.

Source: City of New York, Charter, Administrative Code and Rules (American Legal Publishing XML export, codelibrary.amlegal.com)URL: https://codelibrary.amlegal.com/codes/newyorkcity/latest/NYCadmin/0-0-0-210491Fetched: 10/24/2026