Current Issues In New York Lobbying Law Compliance New York Advocacy Association
Howard S. Weiss, Esq. Lobbyist  And Client Registration Process Davidoff Malito & Hutcher LLP
The Regulation Of Lobbying
Laws and Rules Governing The City of New York’s Regulation of Lobbying <ul><li>New York City Administrative Code Title 3 (...
The Regulators <ul><li>The City Clerk, who is given a broad range of powers to administer and enforce the Lobbying Law: </...
The Lobbyist <ul><li>Every person or organization retained, employed or designated by any client to engage in  lobbying </...
The Client <ul><li>Any person or organization who retains, employs or designates any other person or organization to carry...
Lobbyist Registration
The Lobbyist’s Obligation To Register <ul><li>Every lobbyist is required to file an annual statement of registration with ...
&quot;Compensation&quot;  <ul><li>Any salary, fee, gift, payment, subscription, loan, advance or any other thing of value ...
“ Lobbying and Lobbying Activity”
The attempt to influence…
<ul><li>The passage or defeat of any local law or resolution by the City Council </li></ul><ul><li>The approval or disappr...
<ul><li>Any determination made by the Mayor, the City Council, the City Planning Commission, a Borough President, a Boroug...
<ul><li>Any determination made by an elected city official or an officer or employee of the city with respect to </li></ul...
The terms “Lobbying&quot; and “Lobbying Activities&quot; does  not  apply to any determination in an adjudicatory proceedi...
The following persons and organizations are deemed  not  to be engaged in &quot;lobbying activities&quot;
<ul><li>Persons engaged in advising clients, rendering opinions and drafting, in relation to proposed legislation, resolut...
<ul><li>Newspapers and other periodicals and radio and television stations, and owners and employees thereof, provided tha...
<ul><li>Persons who participate as witnesses, attorneys or other representatives in public rule making or rate making proc...
<ul><li>Persons who appear before an agency in an adjudicatory proceeding  </li></ul>
<ul><li>Persons who prepare or submit a response to a request for information or comments by the City Council or one of it...
<ul><li>Contractors or prospective contractors who communicate with or appear before city contracting officers or employee...
<ul><li>Contractors or prospective contractors who communicate with or appear before city contracting officers or employee...
<ul><li>Officers and employees of the contractor or prospective contractor who are charged with the performance of functio...
<ul><li>Persons who provide “technical” or “professional” services, on behalf of such contractor, prospective contractor, ...
<ul><ul><li>“Technical services” are limited to advice and analysis directly applying any engineering, scientific, or othe...
<ul><ul><li>“Professional services” are limited to advice and analysis directly applying any legal, accounting or other si...
<ul><li>&quot;City contracting officers or employees&quot; do not include elected officials or deputies of elected officia...
Statement of Registration Filing Periods   <ul><li>The filing of a statement of registration must be completed on or befor...
Statement of Registration Filing Periods   <ul><li>For those lobbyists retained, employed or designated  after  December 1...
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Current Issues In New York Lobbying Law Compliance

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Power Point that accompanied my presentation on &quot;Current Issues In New York Lobbying Law Compliance,&quot; at a CLE seminar sponsored by the New York Advocacy Association in April 2009.

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Current Issues In New York Lobbying Law Compliance

  1. 1. Current Issues In New York Lobbying Law Compliance New York Advocacy Association
  2. 2. Howard S. Weiss, Esq. Lobbyist And Client Registration Process Davidoff Malito & Hutcher LLP
  3. 3. The Regulation Of Lobbying
  4. 4. Laws and Rules Governing The City of New York’s Regulation of Lobbying <ul><li>New York City Administrative Code Title 3 (Elected Officials), Chapter 2 (City Council and Clerk), Subchapter 2 (Regulation of Lobbying), Section 3-211 et seq. </li></ul><ul><li>Rules of The City of New York, Title 51 (City Clerk), Chapter 1 (Lobbying), Section 1-01 et seq. </li></ul><ul><li>Advisory Opinions of the City Clerk </li></ul><ul><li>A request for an advisory opinion must set forth a statement of the actual facts prompting your inquiry --the City Clerk will not issue an advisory opinion based upon a hypothetical set of facts. </li></ul>
  5. 5. The Regulators <ul><li>The City Clerk, who is given a broad range of powers to administer and enforce the Lobbying Law: </li></ul><ul><li>subpoena witnesses and records; issue advisory opinions; conduct investigations and audits; conduct random audits; prepare uniform forms for the statements and reports; and promulgate rules. </li></ul><ul><li>The Department of Investigation, which is given limited responsibility to </li></ul><ul><ul><li>act on reports from the City Clerk concerning willful violations of the registration or reporting provisions of the Lobbying Law, and </li></ul></ul><ul><ul><li>Assist the City Clerk by training to the Clerk’s employees who administer and enforce the Lobbying Law. </li></ul></ul>
  6. 6. The Lobbyist <ul><li>Every person or organization retained, employed or designated by any client to engage in lobbying </li></ul><ul><ul><li>Organization includes any corporation, company, foundation, association, labor organization, firm, partnership, society, or joint stock company </li></ul></ul>
  7. 7. The Client <ul><li>Any person or organization who retains, employs or designates any other person or organization to carry on lobbying activities on behalf of such client </li></ul>
  8. 8. Lobbyist Registration
  9. 9. The Lobbyist’s Obligation To Register <ul><li>Every lobbyist is required to file an annual statement of registration with the City Clerk, subject to a minimum threshold of compensation and expenses related lobbying purposes </li></ul><ul><ul><li>The filing of a statement of registration is not required of any lobbyist who in any year does not expend, incur or receive an amount in excess of $2,000 of reportable compensation and expenses for the purposes of lobbying </li></ul></ul><ul><ul><ul><li>the threshold is the amount of compensation or expenses from all clients that will be received or expended for lobbying purposes within any year </li></ul></ul></ul>
  10. 10. &quot;Compensation&quot; <ul><li>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 </li></ul>
  11. 11. “ Lobbying and Lobbying Activity”
  12. 12. The attempt to influence…
  13. 13. <ul><li>The passage or defeat of any local law or resolution by the City Council </li></ul><ul><li>The approval or disapproval of any local law or resolution by the Mayor </li></ul><ul><li>The adoption, amendment or rejection by an agency of any rule having the force and effect of law </li></ul><ul><li>The outcome of any rate making proceeding before an agency </li></ul>
  14. 14. <ul><li>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 </li></ul><ul><li>Any determination made by an elected city official or an officer or employee of the city with respect to </li></ul><ul><ul><li>the terms of the acquisition or disposition by the city of any interest in real property, </li></ul></ul><ul><ul><li>a license or permit for the use of real property of or by the city, or </li></ul></ul><ul><ul><li>a franchise, concession or revocable consent </li></ul></ul><ul><li>Any determination of a board or commission </li></ul>
  15. 15. <ul><li>Any determination made by an elected city official or an officer or employee of the city with respect to </li></ul><ul><ul><li>the procurement of goods, services or construction, including the preparation of contract specifications, or the solicitation, award or administration of a contract, or </li></ul></ul><ul><ul><li>the solicitation, award or administration of a grant, loan, or agreement involving the disbursement of public monies </li></ul></ul>
  16. 16. The terms “Lobbying&quot; and “Lobbying Activities&quot; does not apply to any determination in an adjudicatory proceeding.
  17. 17. The following persons and organizations are deemed not to be engaged in &quot;lobbying activities&quot;
  18. 18. <ul><li>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 </li></ul>
  19. 19. <ul><li>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 </li></ul>
  20. 20. <ul><li>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 pertaining to such proceedings </li></ul>
  21. 21. <ul><li>Persons who appear before an agency in an adjudicatory proceeding </li></ul>
  22. 22. <ul><li>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 </li></ul>
  23. 23. <ul><li>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 personally </li></ul>
  24. 24. <ul><li>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 through: </li></ul>
  25. 25. <ul><li>Officers and employees of the contractor or prospective contractor who are charged with the performance of functions relating to contracts </li></ul><ul><li>Subcontractors or prospective subcontractors who are or will be engaged in the delivery of goods, services or construction pursuant to the contract, or officers and employees of the subcontractor or prospective subcontractor who are charged with the performance of functions relating to contracts </li></ul>
  26. 26. <ul><li>Persons who provide “technical” or “professional” services, on behalf of such contractor, prospective contractor, subcontractor or prospective subcontractor </li></ul>
  27. 27. <ul><ul><li>“Technical services” are limited to advice and analysis directly applying any engineering, scientific, or other similar technical discipline </li></ul></ul>
  28. 28. <ul><ul><li>“Professional services” are 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: </li></ul></ul><ul><ul><ul><li>dispute resolution </li></ul></ul></ul><ul><ul><ul><li>vendor protests </li></ul></ul></ul><ul><ul><ul><li>responsiveness and responsibility determinations, determinations of prequalification, suspensions, debarments, objections to registration pursuant to section 328 of the charter </li></ul></ul></ul><ul><ul><ul><li>contract interpretation </li></ul></ul></ul><ul><ul><ul><li>negotiation of contract terms after the award of a contract </li></ul></ul></ul><ul><ul><ul><li>defaults, the termination of contracts and audit of contracts </li></ul></ul></ul>
  29. 29. <ul><li>&quot;City contracting officers or employees&quot; do 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 </li></ul>
  30. 30. Statement of Registration Filing Periods <ul><li>The filing of a statement of registration must be completed on or before January 1st by those persons </li></ul><ul><ul><li>who have been retained, employed or designated as lobbyists on or before December 15th of the previous calendar year, and </li></ul></ul><ul><ul><li>who reasonably anticipate that in the coming year they will expend, incur or receive combined reportable compensation and expenses in an amount in excess of $2,000 </li></ul></ul>
  31. 31. Statement of Registration Filing Periods <ul><li>For those lobbyists retained, employed or designated after December 15th, and for those lobbyists who, subsequent to their retainer, employment or designation , reasonably anticipate combined reportable compensation and expenses in excess of $2,000, </li></ul><ul><ul><li>such filing must be completed within 15 days thereafter, </li></ul></ul><ul><ul><li>but in no event later than ten days after the actual incurring or receiving of such reportable compensation and expenses. </li></ul></ul>
  32. 32. New York Advocacy Association

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