OFFICE OF THE CITY CLERK LOBBYING BUREAU Michael McSweeney City Clerk, Clerk of the Council LOBBYING IN NEW YORK CITY INFORMATION SESSION: AMNESTY

CREATION OF THE AMNESTY Local Law 129 of 2013 “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 of this subchapter, or any client who was required to have filed, but has never filed, an annual report pursuant to section of this subchapter, at any time on or after December tenth, two thousand six.” Effective November 4, 2015 Chapter 1 of Title 51 of the Rules of New York sets forth the procedures of the amnesty established by Local Law 129 of 2013.

AMNESTY PROGRAM Pre-Amnesty Program o Timeline: Present - December 31, 2015 o To apply complete the Notice of Intent to Participate in the Pre-Amnesty o Must also complete Amnesty Application Amnesty Program o Timeline: January 1, June 30, 2016 o Must complete Amnesty Application

WHEN IS LOBBYING REPORTABLE ? Step 1: Is your organization conducting one of the eleven activities defined as lobbying in the law? Step 2: Is your organization’s activity excluded from lobbying? Step 3: Has your organization reached the reporting threshold?

WHAT IS LOBBYING? There are eleven actions constitute lobbying, including the attempt to influence: 1.The introduction, passage, defeat or substance of local legislation or resolution by the city council; 2.The support, opposition, approval or disapproval of local legislation or resolution by the mayor whether or not is has been introduced; 3.Any determination with respect to the solicitation, award or administration of a contract, grant, loan, or agreement involving the disbursement of public monies; 4.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;

5.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; 6.The proposal, adoption, amendment or rejection by an agency of any rule having the force and effect of law; 7.The decision to hold, timing or outcome of any rate making proceeding before an agency; 8.The agenda or determination of a board or commission; WHAT IS LOBBYING?

9.Any determination regarding the calendaring or scope of any city council oversight hearing; 10. The issuance, repeal, modification or substance of a mayoral executive order; or 11. 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, whether or not it has been introduced.

WHAT ACTIVITIES ARE EXCLUDED? Eleven types of actions are excluded from the lobbying law: 1.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; 2.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, except communications with elected officials or deputies of elected officials; 3.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; 4.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;

5.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; 6.Persons who appear before an agency in an adjudicatory proceeding; 7.Persons or organizations who advertise the availability of goods or services with fliers, leaflets or other advertising circulars; WHAT ACTIVITIES ARE EXCLUDED?

Local Law 129 gave specific exclusions for architects and engineers only: 8.Appearances before community boards provided that the proceeding before the final decision-making board or commission is adjudicatory; 9.Designing/drafting plans even if work is preceded or followed by lobbying activity; 10.Work performed in connection with capital projects provided that such work is performed pursuant to a contract with the City; or 11.Actions designated as minor by the City Clerk (Rules). WHAT ACTIVITIES ARE EXCLUDED?

HAS YOUR ORGANIZATION REACHED THE REPORTING THRESHOLD ? To determine if the reporting threshold was exceeded: LOBBYISTS If the total amount of compensation received, combined with expenses incurred cumulatively for all clients retained or designated, exceeds $5,000 then the firm is required to comply with the lobbying law. If exceed threshold, must report all clients, even pro-bono. CLIENTS Total cumulative compensation paid cumulatively for all lobbyists combined with any reimbursed expenses paid to the lobbyist, exceeds $5,000. If threshold exceed, then must report all lobbyists, even lobbyists compensated on a pro-bono basis.

REPORTING THRESHOLD IMPORTANT: Local Law 129 of 2013, effective January 1, 2014, raised the reporting threshold from $2,000 to $5,000 Therefore for amnesty applicants, threshold varies depending on the year: o 2006 – 2013 threshold is $2,000 o 2014 – Present threshold is $5,000

PROGRAM ELIGIBILITY Any lobbyist or client who was required to have filed, but has never filed, a statement of registration at any time on or after December 10, 2006 If acting as both a lobbyist and client can be eligible for amnesty in both capacities. o To be eligible as lobbyist must not have filed SOR since 2006 o To be eligible as a client must not have filed a client annual report since 2006.

NOT ELIGIBLE FOR AMNESTY Amnesty will not be available to any lobbyist or client who: o Is the subject of any pending criminal investigation relation to a violation of the Lobbying Law; or o A party to any pending criminal litigation in any court of law relating to a violation of the Lobbying Law

PRE - AMNESTY PROGRAM Timeline: Present - December 31, 2015 To apply complete the Notice of Intent to Participate in the Pre-Amnesty Eligible if engaged in reportable lobbying activities but have not filed since December 10, 2006 Not eligible if the subject or a party of any pending criminal investigations or litigation relating to any violation of the Lobbying Law Once Notice of Intent is filed, the entity must comply with the lobbying law and file applicable reports immediately Please note: Pre-Applicants are also required to file the Amnesty Application

AMNESTY PROGRAM Timeline: January 1, June 30, 2016 Must complete Amnesty Application Eligible if engaged in reportable lobbying activities but have not filed since December 10, 2006 Not eligible if the subject or a party of any pending criminal investigations or litigation relating to any violation of the Lobbying Law

AMNESTY APPLICATION Application Information: o Applicant’s name o Business address o Summary of lobbying, fundraising, and political consulting activities from January 1, 2015 to the date the amnesty application is filed o Signed certification Applications must be received no later than 11:59 p.m. June 30, 2016 either by first class mail or hand delivery to the Office of the City Clerk

EFFECT OF AMNESTY If granted the City Clerk will waive any late filing and civil penalties that could have been assessed against such lobbyist or client Lobbyist or Client will not be subject to any criminal penalties that could be assessed against such lobbyist or client from December 10, 2006 to the date the application

DENIAL OF AMNESTY Reasons for Denial o Applicant is ineligible o Application does not contain the required information Process of Denial o City Clerk will issue a written statement describing the reasons for denial Effect of Denial o Any applicable penalties will not be waived and the City Clerk may proceed with any administrative, civil or criminal action against the denied lobbyist or client Pending Criminal Investigation o If denied eligibility because the applicant has pending criminal investigation, and a criminal investigation does not result in criminal liability, applicant may re-file as long as the amnesty period has not ended.

NEW YORK STATE AMNESTY New York State Joint Commission on Public Ethics (JCOPE) announced a similar amnesty program at the state level effective January 1, 2016 – June 30, 2016 Applies to those who have never previously submitted any required filings with JCOPE Applicants required to file reports going back from January 1, 2013 and submit all applicable filing fees More information can be found on the JCOPE website at

OUTREACH INITIATIVES Press release dated November 13, 2015 Letter to City Council Members and other City Elected Officials Borough Board meetings Community Board meetings We are looking to contact groups and individuals who might be interested in taking advantage of the amnesty. If you have any suggestions on where to extend our outreach initiatives please contact our Outreach Coordinator, Jessica Fiorillo, at or