§ 1-04 Principal Officer.

   (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)

§ 1-04.1 Alternate Principal Officer.

   (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)

§ 1-05 Designee.

   (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)

§ 1-06 Compliance Officer.

   (a)   Generally. Any of the following persons may be a compliance officer:

      (1)   an individual employed by a lobbyist or client whose job duties include compliance with the Lobbying Law;

      (2)   a third-party entity retained by a lobbyist or client to engage in compliance with the Lobbying Law; or

      (3)   an attorney retained by a lobbyist or client.

   (b)   A compliance officer may:

      (1)   assist the Principal Officer or the Designee in completing Reports;

      (2)   communicate with the Lobbying Bureau regarding specific Reports filed by the lobbyist or client represented by the compliance officer;

      (3)   submit an extension request pursuant to 51 RCNY § 1-11(a)(1);

      (4)   submit any item listed in 51 RCNY § 1-04(b)(5); or

      (5)   submit payment of any late filing or civil penalty incurred by the lobbyist or client represented by the compliance officer.

   (c)   A compliance officer need not be designated in e-Lobbyist.

   (d)   A compliance officer must not:

      (1)   certify Reports; or

      (2)   have access to the Principal Officer's or Designee's e-Lobbyist password.

(Added City Record 10/5/2015, eff. 11/4/2015)

§ 1-07 Co-Lobbyist Filing Procedure.

   (a)   Generally. When a Co-lobbyist engages in reportable lobbying activity, the lobbyist (hereinafter referred to as "Primary Lobbyist"), the Co-lobbyist and client involved in such activity must follow the reporting requirements described in this section.

   (b)   Reporting Requirements. 

      (1)   The Primary Lobbyist. 

         (i)   The Primary Lobbyist must file a statement of registration listing both its client and the Co-lobbyist together with:

            (A)   the Retainer between the client and the Primary Lobbyist;

            (B)   the Retainer between the Primary Lobbyist and the Co-lobbyist; and

            (C)   a letter signed by the client designating the Co-lobbyist to lobby on its behalf.

         (ii)   The Primary Lobbyist must file all applicable Reports and must detail the compensation paid by the client to the Primary Lobbyist. Compensation paid by the Primary Lobbyist to the Co-lobbyist must be reported as an expense of the Primary Lobbyist.

         (iii)   The start date listed on the Primary Lobbyist's statement of registration must be the start date listed in the Retainer between the client and the Primary Lobbyist.

      (2)   The Co-Lobbyist. 

         (i)   The Co-lobbyist must file a statement of registration listing the client and the Primary Lobbyist together with:

            (A)   the Retainer between the Primary Lobbyist and the Co-lobbyist; and

            (B)   a letter signed by the client designating the Co-lobbyist to lobby on its behalf.

         (ii)   The Co-lobbyist must file all applicable Reports and must detail the compensation paid to the Co-Lobbyist by the Primary Lobbyist and any expenses.

         (iii)   The start date listed on the Co-lobbyist's statement of registration must be the date the client signed the letter designating the Co-lobbyist to lobby on its behalf, unless otherwise noted in such designation letter.

      (3)   The Client. The client must file the client annual report listing:

         (i)   the Primary Lobbyist;

         (ii)   the Co-lobbyist;

         (iii)   compensation paid to the Primary Lobbyist; and

         (iv)   any reimbursed expenses paid to the Primary Lobbyist and/or Co-lobbyist.

(Added City Record 10/5/2015, eff. 11/4/2015)

§ 1-08 Requirements for Retainers and Authorization Letters.

   (a)   Retainers. 

      (1)   All Retainers must contain:

         (i)   the compensation payable to the lobbyist;

         (ii)   the duration of the term of representation, including the specific date the retainer takes effect (hereinafter "start date");

         (iii)   the client's name, which must be identical to the client's name listed in the enrollment; and

         (iv)   the terms of any third-party payments for the lobbyist's services, if applicable.

      (2)   The Principal Officer of each party to the Retainer must sign the Retainer, unless it is impracticable. If the Principal Officer is unable to sign the Retainer, another person with capacity to legally bind the parties to a contract must sign the Retainer.

      (3)   Whenever an amendment is made to a Retainer, the lobbyist or Co-lobbyist must file an amended statement of registration and submit the amended Retainer and the original Retainer within ten (10) days as required by § 3-213(d)(1) of the Lobbying Law.

      (4)   Failure to include any term of the Retainer required by this section of the Rules shall result in the statement of registration being deemed incomplete and may result in civil penalties pursuant to the procedures set forth in 51 RCNY § 1-12(c)(3).

   (b)   Authorization Letters. 

      (1)   All Authorization Letters must contain:

         (i)   the names of the employees whom the client anticipates will lobby on its behalf;

         (ii)   the time period during which such employees anticipate lobbying; and

         (iii)   the signature of the Principal Officer.

      (2)   Whenever a client anticipates that additional employees will engage in lobbying on its behalf, an amended statement of registration listing the additional employees must be filed within ten (10) days, along with a supplemental Authorization Letter and the original Authorization Letter, as required by § 3-213(d)(1) of the Lobbying Law.

   (c)   Start Date. 

      (1)   If there is no start date specified in the Retainer or Authorization Letter, the later of any date (i) stamped onto the Retainer or Authorization Letter or (ii) listed alongside the document's signatures will be deemed the start date.

      (2)   The start date listed on the statement of registration must match the start date of the Retainer or Authorization Letter.

      (3)   The timeliness of the statement of registration will be determined by the start date, the signature date or the date of receipt of the duly executed Retainer.

   (d)   End Date. 

      (1)   A Retainer or Authorization Letter will be deemed invalid if the end date has already occurred at the time of submission. The lobbyist must submit a supplemental letter that the Retainer or Authorization Letter is still in effect in the current calendar year.

      (2)   If a Retainer or Authorization Letter does not contain a specific end date and the start date occurred in a previous filing year, the lobbyist must submit a supplemental letter, signed by the parties to the Retainer or Authorization Letter, stating that such Retainer or Authorization Letter remains in full force and effect in the given calendar year.

      (3)   The end date on the statement of registration must match either the end date of the (A) Retainer or Authorization Letter or (B) supplemental letter submitted pursuant to 51 RCNY § 1-08(d)(1) or (2), if applicable.

   (e)   Clarification Requirement. If there is a discrepancy between the start and/or end dates in the Retainer or Authorization Letter and the statement of registration, the City Clerk may require that the lobbyist file an amended statement of registration and:

      (1)   correct the start and/or end date provided on the statement of registration; or

      (2)   submit a letter explaining the discrepancy; and

      (3)   submit copies of all effective Retainers or Authorization Letters.

(Added City Record 10/5/2015, eff. 11/4/2015)