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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.
(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.
(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.
(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.
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.
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.
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.
(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.
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.
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