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When used in this chapter:
"Administrative Enrollment" means an enrollment in e-Lobbyist of a lobbyist or client effectuated by the City Clerk.
"ALJ" means Administrative Law Judge.
"Alternate Principal Officer" means a person appointed by the Principal Officer as an authorized representative who is permitted to certify Reports on behalf of the Principal Officer.
"Authorization Letter" means the letter submitted pursuant to § 3-213(c)(3) and (4) of the Lobbying Law if a lobbyist is an employee of a client.
"City Clerk's Address" means the City Clerk's street address, its email address or fax number. Its street address is 141 Worth Street, Attn: Lobbying Bureau, New York, NY 10013. Its email address is lobbyist_helpdesk@cityclerk.nyc.gov. Its fax number is (212) 669-4224.
"Co-lobbyist" means a lobbyist retained and compensated by another lobbyist to lobby on behalf of the latter's client.
"Designee" means a person identified by the Principal Officer in e-Lobbyist as an authorized representative.
"DOI" means the Department of Investigation.
"DoITT" means the Department of Information Technology and Telecommunications.
"e-Lobbyist" means the City Clerk's electronic filing system where lobbyists and clients submit and certify Reports as required by the Lobbying Law.
"Lobbying Law" means Subchapter 2 of Chapter 2 of Title 3 of the Administrative Code of the City of New York.
"Lobbying Bureau" means the lobbying bureau of the Office of the City Clerk, City of New York, which is charged with enforcing the Lobbying Law.
"OATH" means the Office of Administrative Trials and Hearings.
"Principal Officer" means an employee who has the legal capacity to enter into a contract on behalf of a lobbyist or client.
"Retainer" means the written agreement, or the written statement of the substance of any oral agreement, between a lobbyist and client or a lobbyist and Co-lobbyist pursuant to § 3-213(c)(3) and (4) of the Lobbying Law.
"Reports" mean all filings required by the Lobbying Law, including statements of registration, periodic reports, lobbyist annual reports, client annual reports, termination notices, fundraising and political consulting reports, and any amendments thereof, unless otherwise stated.
"Respondent" means the lobbyist or client in any action brought before OATH by the City Clerk pursuant to the Lobbying Law or the Rules.
"Rules" mean 51 RCNY Chapter 1.
(Added City Record 10/5/2015, eff. 11/4/2015; amended City Record 11/25/2016, eff. 2/1/2017)
(a) The City Clerk will issue advisory opinions on a case-by-case basis in response to written requests from persons who reasonably believe they may be subject to the jurisdiction of the City Clerk.
(i) Written requests for advisory opinions must be delivered to the City Clerk's Address by first-class mail, hand-delivery, email or fax. These requests must clearly set forth the question raised and a statement of facts prompting the inquiry.
(ii) The City Clerk will send a copy of the advisory opinion to the requestor by email or first-class mail when the opinion is published.
(b) The City Clerk may issue advisory opinions on questions relating to the Lobbying Law on its own initiative or in response to informal inquiries if, in the sole discretion of the City Clerk, an advisory opinion will facilitate compliance with the Lobbying Law or the Rules.
(Added City Record 10/5/2015, eff. 11/4/2015)
(a) Generally. Every lobbyist and client required to file Reports under the Lobbying Law must enroll in e-Lobbyist before filing any Reports. Enrollment in e-Lobbyist is only required once.
(1) Client Enrollment. If a client retains a lobbyist for the upcoming year on or before December 31 of the current year and the client anticipates exceeding the reporting threshold, the client must enroll no later than January 10. If a client retains a lobbyist on or after January 1, such client must enroll no later than ten (10) days after retaining such lobbyist.
(2) Lobbyist Enrollment. If a lobbyist is retained by a client for the upcoming year on or before December 31 of the current year and the lobbyist anticipates exceeding the reporting threshold, the lobbyist must enroll no later than January 10. If a lobbyist is retained by a client on or after January 1, such lobbyist must enroll no later than ten (10) days after being retained.
(b) Proof of a Corporate Filing. As part of its enrollment, a lobbyist or client must submit proof of a corporate filing. The name listed on the lobbyist's or client's enrollment must be identical to the name on the corporate filing.
(1) Forms. Proof of a corporate filing, showing the legal name of the entity, includes a copy of the:
(i) print out of the online database entry of the department of state, or a similar agency;
(ii) filing receipt from the department of state or a similar agency;
(iii) articles of incorporation;
(iv) certificate of incorporation;
(v) articles of organization;
(vi) certificate of limited partnership;
(vii) certificate of registration;
(viii) certificate of assumed name; or
(ix) certificate of type of not-for-profit corporation.
(2) Affidavit in Lieu of A Corporate Filing. If the lobbyist or client is not incorporated, it must submit an affidavit in lieu of a corporate filing. The name listed on the lobbyist's or client's enrollment must match the name on the affidavit.
(3) If the name on the proof of a corporate filing or affidavit in lieu thereof and the name on the lobbyist's or client's enrollment are not identical, the City Clerk will reject the enrollment.
(4) If a lobbyist or client includes both corporate and "doing business as" names in the enrollment, the City Clerk will reject the enrollment.
(c) Non-Enrollment Extension. If a lobbyist's client or a client's lobbyist fails to enroll by the applicable deadline, such lobbyist or client must request an extension to file any Report pursuant to 51 RCNY § 1-11(a)(1).
(d) Failure to Enroll.
(1) If a lobbyist or client fails to enroll within the time set forth in 51 RCNY § 1-03(a)(1) and (2), the City Clerk will send a formal notice by certified mail, return receipt requested, advising the lobbyist or client of the violation.
(2) Administrative Enrollment.
(i) If the lobbyist or client fails to cure the violation within fourteen (14) business days after the date of mailing of the formal notice described in 51 RCNY § 1-03(d)(1), the Lobbying Bureau may create an Administrative Enrollment on its behalf.
(A) The City Clerk will notify the lobbyist or client affected by the non-enrollment (hereinafter referred to as "affected lobbyist" and "affected client," respectively), as well as the lobbyist or client enrolled pursuant to 51 RCNY 1-03(d)(2)(i) (hereinafter referred to as "administrative enrollee"), by email and certified mail, return receipt requested, that an Administrative Enrollment was created.
(B) The City Clerk will commence a proceeding in OATH, pursuant to 51 RCNY § 1-13, seeking civil penalties against the administrative enrollee.
(ii) The City Clerk may also create an Administrative Enrollment pursuant to the following conditions:
(A) a lobbyist does not anticipate exceeding the reporting threshold for being retained or employed to lobby in a calendar year; or
(B) a client does not anticipate exceeding the reporting threshold for retaining or employing a lobbyist in a calendar year; and
(C) the non-enrollment of the lobbyist or client described in (A) or (B) of this subparagraph may result in the incurring of late filing penalties by the affected lobbyist or affected client required to file Reports on behalf of a lobbyist or client described in clause (A) or (B) of this subparagraph.
(iii) If an Administrative Enrollment is required pursuant to subparagraph (ii) of this subdivision, the affected lobbyist or affected client must notify the Lobbying Bureau of the need to create an Administrative Enrollment under this subparagraph prior to the statement of registration's filing deadline.
(iv) After the creation of an Administrative Enrollment, the City Clerk must notify the affected lobbyist and/or affected client by email and certified mail, return receipt requested that the Administrative Enrollment was created.
(Added City Record 10/5/2015, eff. 11/4/2015; amended City Record 10/6/2022, eff. 11/5/2022)
(a) Generally. A lobbyist or client must designate a Principal Officer in e-Lobbyist. A lobbyist or client may not designate more than one Principal Officer at any given time.
(1) If the Principal Officer engages in lobbying activity as defined in § 3-211(c) of the Lobbying Law, the Principal Officer must be designated in e-Lobbyist as a "Certifying Principal Officer-Employee who lobbies" or any equivalent designation in any subsequent modification of e-Lobbyist.
(2) If the Principal Officer does not engage in lobbying activity as defined in § 3-211(c) of the Lobbying Law, the Principal Officer must be designated in e-Lobbyist as a "Certifying Principal Officer-Employee" or any equivalent designation in any subsequent modification of e-Lobbyist.
(b) Responsibilities. The Principal Officer must:
(1) complete the enrollment form and agree to the terms of use agreement in e-Lobbyist;
(2) be listed on all statements of registration in which the Principal Officer lobbies on behalf of the registered client;
(3) certify all Reports pursuant to § 3-222 of the Lobbying Law;
(4) be the recipient of all official communications sent by the Lobbying Bureau; and
(5) be the signatory on any documentation relating to:
(i) an application for a waiver or reduction of late filing penalties, as described in 51 RCNY § 1-12(f);
(ii) the deactivation of an inadvertent statement of registration or other Reports, as described in 51 RCNY § 1-10;
(iii) a Retainer or an Authorization Letter, whenever practicable;
(iv) a payment plan agreement entered into with the City Clerk to pay penalties in installments; or
(v) an application for amnesty, as described in 51 RCNY § 1-16.
(c) The Principal Officer must not:
(1) violate the e-Lobbyist terms of use agreement; or
(2) disclose his or her e-Lobbyist password.
(d) Change in the Principal Officer.
(1) Upon a change in Principal Officer, the lobbyist or client must designate a new Principal Officer in e-Lobbyist.
(2) Notification to Lobbying Bureau. The lobbyist or client must submit notice of the change in Principal Officer by email or fax to the City Clerk's Address no later than five (5) business days after the change in Principal Officer.
(3) Content. The notice of change must include the new Principal Officer's name, email address, telephone number and business/organizational title. The email address must be the Principal Officer's email address.
(Added City Record 10/5/2015, eff. 11/4/2015)
(a) Generally. Notwithstanding paragraph (3) of subdivision (b) of 51 RCNY § 1-04, the Principal Officer may appoint one individual to be an Alternate Principal Officer to certify Reports in e-Lobbyist.
(b) Procedure.
(1) To appoint an Alternate Principal Officer, the Principal Officer must submit to the Lobbying Bureau an application on such forms as prescribed by the City Clerk. The application must include:
(i) the Principal Officer's name, email address, telephone number and business/organizational title;
(ii) the Alternate Principal Officer's name, email address, telephone number and business/organizational title;
(iii) the business name of the lobbyist or client;
(iv) the reason for the appointment of an Alternate Principal Officer; and
(v) a certification stating: "Notwithstanding the appointment of an Alternate Principal Officer, the Principal Officer shall remain responsible for the veracity, accuracy and timeliness of all information filed on behalf of the lobbyist or client in e-Lobbyist. The Principal Officer is liable for applicable fines and penalties if the filings submitted to the Lobbying Bureau are inaccurate, incomplete or late."
(2) The Alternate Principal Officer must create an account in e-Lobbyist and agree to the terms of use agreement. The Alternate Principal Officer may not disclose his or her e-Lobbyist password to anyone under any circumstances.
(3) The Alternate Principal Officer must be listed in e-Lobbyist as an "Alternate Principal Officer" or such other title as the City Clerk designates.
(c) Effect of Designation.
(1) The Alternate Principal Officer may certify all Reports in e-Lobbyist.
(2) Notwithstanding the appointment of an Alternate Principal Officer, the Principal Officer of the lobbyist or client must continue to comply with his or her obligations as described throughout this subchapter.
(d) Alternative Certification Affidavit of Principal Officer.
(1) After a Report is certified by an Alternate Principal Officer, the Principal Officer must, on forms prescribed by the City Clerk, complete, sign, and notarize, an alternative certification affidavit attesting that he or she has read the Report and that the information contained in the Report is accurate and complete.
(2) Such alternative certification affidavit must be submitted to the Lobbying Bureau:
(i) by uploading the completed alternative certification affidavit to the Reports filed in e-Lobbyist; or
(ii) by email, first-class mail or fax.
(e) Notwithstanding any provision of these Rules to the contrary, Reports that are certified by an Alternate Principal Officer are deemed filed, for timeliness purposes, on the date the alternative certification affidavit is received by the Lobbying Bureau.
(f) Effective Date. This section shall take effect on February 1, 2017.
(Added City Record 11/25/2016, eff. 2/1/2017)
(a) Generally. A Principal Officer may designate up to two persons to be Designees in e-Lobbyist. The Principal Officer must list each Designee's name and email address in the appropriate section of e-Lobbyist. Each designee will have his or her own e-Lobbyist account.
(b) A Designee may:
(1) enter information in Reports;
(2) receive copies of automatically generated emails sent to the Principal Officer from e-Lobbyist;
(3) communicate with the Lobbying Bureau regarding specific Reports filed by the lobbyist or client that the Designee represents;
(4) submit an extension request pursuant to 51 RCNY § 1-11(a)(1); or
(5) submit any application or request listed in 51 RCNY 1-04(b)(5).
(c) A Designee must not:
(1) certify Reports;
(2) have access to the Principal Officer's e-Lobbyist password; or
(3) disclose his or her e-Lobbyist password.
(Added City Record 10/5/2015, eff. 11/4/2015)
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