| Please Note: This section contains general questions and answers pertaining to the administration and enforcement of the Lobbying Law and related topics. This section is not intended to replace, modify, supersede, or amend the New York City Charter, Local Law, Administrative Code, or Rules of the City of New York.
Lobbyists
Q. Do all lobbyists need to file a Statement of Registration?
Q. I am unsure of the amount I will expend or incur this year as a lobbyist. Do I file a Statement of Registration?
Q. I am a salaried employee of a lobbyist who engages in lobbying. Do I have to file a Statement of Registration?
Q. Who files the Statement of Registration on behalf of my company?
Q. I am a lobbyist. I have hired another lobbying firm to lobby on behalf of my client. Who files a Statement of Registration?
Q. There are five lawyers who engage in lobbying at my firm and each lawyer has an administrative assistant. Additionally, there are two paralegals working principally for those lawyers. Who must register? Do we have to register the five lawyers, their administrative assistants, and the paralegals? How about their spouses and children?
Q. We are a small firm without formal departments or "divisions." How do I know if an employee works in the lobbying division?
Q. Why must I register my wife or domestic partner?
Q. Will the registration statements, periodic reports and annual reports be available to the public?
Q. What are the fees for lobbyist registration?
Q. How do I make registration payments? Where do I send the voided check?
Q. My firm does not utilize checks and so I cannot produce a voided check? How can I fulfill the voided check requirement?
Q. The information in my Statement of Registration has changed. What do I do?
Q. My lobbying client terminated our agreement. Do I have to report the termination?
Q. What are the reporting deadlines?
Q. Are there penalties for late filing?
Q. If I am found to be in non-compliance and either fined or suspended, can I challenge the finding?
Q. My client is a non-profit community group, with no money, checks, or credit cards? Do they have to enroll and file an annual report?
Clients
Q. I recently retained a lobbyist. What do I have to do to comply with the Lobbying Law?
Q. What is the filing fee for a Client Annual Report?
Q. My organization is a non-profit community group without access to computers or the internet. How can I file electronically?
Lobbying Activities
Q. How can I get an answer to a unique question regarding my obligations under the new laws?
Q. Can I report that I lobby the entire City Council?
Q. I am an attorney retained to monitor, analyze, and propose legislation, as well as prepare comments on proposed legislation. Am I a lobbyist?
Q. Are there advocacy activities that do not count as lobbying?
Fundraising
Q. Do I need to report my fundraising and political consulting activities?
Q. I am a lobbyist. I hosted a fundraiser for a mayoral candidate. However, I did not bill the candidate or receive compensation for my services. Must I report the fundraiser?
Q. I am a lobbyist who bundles campaign contributions for City officials and candidates for elected office in the City of New York. Must I report on my activity?
Q. I am a lobbyist. I advised a candidate for elected office in the City of New York and answered questions about political campaigns. However, I did not receive compensation for my services. Do I report this activity as political consulting?
Q. I'm a registered lobbyist engaged in fundraising activities for a private citizen running for Governor of New York State. Must I report my fundraising activities?
Recordkeeping
Q. As a lobbyist what records must I maintain?
Q. What lobbyist expenses have to be itemized?
Q. As a lobbyist how long must I maintain the records?
Lobbyists
Q. Do all lobbyists need to file a Statement of Registration?
A. A lobbyist needs to file a Statement of Registration if the lobbyist expects to expend, incur or receive more than $2,000 in compensation and expenses from its clients during a given calendar year. NYC Administrative Code 3-213(a)(1)
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Q. I am unsure of the amount I will expend or incur this year as a lobbyist. Do I file a Statement of Registration?
A. If on December 15th of a given year you anticipate that in the upcoming calendar year you will expend, incur, or receive more than $2,000 in compensation and expenses from lobbying, you must file a Statement of Registration no later than January 1 of the upcoming calendar year for each client. If you were retained, employed, or designated after December 15, your filing(s) must be completed within 15 days after the date of retention but in no event later than 10 days after incurring or receiving the reportable compensation or expenses. NYC Administrative Code 2-213(a)(2)
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Q. I am a salaried employee of a lobbyist who engages in lobbying. Do I have to file a Statement of Registration?
A. No. Your employer must register and include your name as part of its registration as necessary.
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Q. Who files the Statement of Registration on behalf of my company?
A. The principal officer will file a Statement of Registration on behalf of the firm. If the lobbyist or client is an entity, the chief administrative officer of the entity is the principal officer; if the lobbyist or client is an individual such individual is the principal officer. 51 RCNY 1-08
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Q. I am a lobbyist. I have hired another lobbying firm to lobby on behalf of my client. Who files a Statement of Registration?
A. Both you and your hired lobbyist must file separate Statements of Registration. The lobbyist you hired will list you as a client on its Statement of Registration. You, in turn, in your new capacity as a client, are now obligated to file a Client Annual Report listing your hired lobbyist. Additionally, you must also list your client on your Statement of Registration. Finally, all parties must clearly disclose the third party relationship in the "lobbying activities" section of the Statement of Registration and periodic reports.
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Q. There are five lawyers who engage in lobbying at my firm and each lawyer has an administrative assistant. Additionally, there are two paralegals working principally for those lawyers. Who must register? Do we have to register the five lawyers, their administrative assistants, and the paralegals? How about their spouses and children?
A. Yes. Your firm must register the lawyers, administrative assistants, and paralegals, as well as their spouses and domestic partners. If you make any political contribution in the name of your unemancipated child, the unemancipated child must be listed in your registration. (You may need to amend your filing if the contribution is made after the date of filing of your Statement of Registration.) The names and addresses of spouses, domestic partners, and unemancipated children will not be disclosed to the general public but will be available to the Campaign Finance Board to determine matchable contributions. NYC Administrative Code 3-213(c)(1)
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Q. We are a small firm without formal departments or "divisions." How do I know if an employee works in the lobbying division?
A. Employees are in the lobbying "division" if they report principally to a registered lobbyist, work in a group of employees that is supervised by a lobbyist, or when their activities or work product support or further the work of employees who engage in lobbying. You should contact the Lobbying Bureau to discuss your unique situation.
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Q. Why must I register my wife or domestic partner?
A. The Campaign Finance Board will no longer match certain contributions of lobbyists and changes to the law are designed to assist that mandate. Home addresses for spouses and domestic partners are required to determine whether a contribution is eligible for matching funds. NYC Administrative Code 3-213(c)(1)
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Q. Will the registration statements, periodic reports, and annual reports be available to the public?
A. Yes. However, the names, home addresses, and telephone numbers for spouses, domestic partners, and unemancipated children will not be posted on the Internet and will not be available for public inspection. Such information however may be accessed by the Campaign Finance Board for the sole purpose of determining whether a campaign contribution is eligible for matching funds. NYC Administrative Code 3-213(c)(1)
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Q. What are the fees for lobbyist registration?
A. The fee is $150 by check, credit card or money order payable to the City Clerk for your first Statement of Registration. One Statement of Registration must be filed for each client. There is an additional $50 fee by check, credit card or money order payable to the City Clerk for each additional client that you register. NYC Administrative Code 3-213(e)
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Q. How do I make registration payments? Where do I send the voided check?
A. Send a voided check to the Office of the City Clerk, Lobbying Bureau to verify your identity when you enroll. After enrollment, send your payment to the Office of the City Clerk, Lobbying Bureau, 141 Worth Street, New York, NY 10013.
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Q. My firm does not utilize checks and so I cannot produce a voided check. How can I fulfill the voided check requirement?
A. You should contact the Lobbying Bureau to make alternate arrangements.
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Q. The information in my Statement of Registration has changed. What do I do?
A. You must submit an amended Statement of Registration to the Lobbying Bureau within ten days after such change occurs. You are not required to amend the entire registration form, just the change of information. NYC Administrative Code 3-213(d)
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Q. My lobbying client terminated our agreement. Do I have to report the termination?
A. Both you and your former client must give written notice to the Lobbying Bureau with 30 days of the termination or end of the agreement. Nevertheless, the lobbyist must comply with all reporting requirements up to the date such activity has ceased and both parties must file an Annual Report. Until e-Lobbyist is able to accept termination filings, they must be delivered to the Lobbying Bureau, Office of the City Clerk, 141 Worth Street, New York, NY 10013. NYC Administrative Code 3-215
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Q. What are the reporting deadlines?
A. In 2007, the reporting periods are the same as in previous years. Beginning in 2008, there will be six reporting periods, with the filing due the 15th of the following month. NYC Administrative Code 3-216(a)(1)(2)
2007 Lobbying Calendar
- April 15, 2007
Periodic Report #1 filing due for the period January 1, 2007, to March 31, 2007.
- June 15, 2007
Periodic Report #2 filing due for the period April 1, 2007, to May 31, 2007.
- October 15, 2007
Periodic Report #3 filing due for the period June 1, 2007, to September 30, 2007.
- January 15, 2008
Periodic Report #4 and Annual Report filing due for the period October 1, 2007, to December 31, 2007.
2008 Lobbying Calendar
- March 15, 2008
Periodic Report #1 filing due for the period January 1, 2008, to February 29, 2008.
- May 15, 2008
Periodic Report #2 filing due for the period March 1, 2008, to April 30, 2008.
- July 15, 2008
Periodic Report #3 filing due for the period May 1, 2008, to June 30, 2008.
- September 15, 2008
Periodic Report #4 filing due for the period July 1, 2008, to August 30, 2008.
- November 15, 2008
Periodic Report #5 filing due for the period September 1, 2008, to October 31, 2008.
- January 15, 2009
Periodic Report # 6 and Annual Report filing due for the period November 1, 2008, to December 31, 2008
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Q. Are there penalties for late filing?
A. Yes. A first-time filer will be charged a late filing fee of $10 per day for each day the filing is late. The fee is multiplied by the number of late filings. All other late filers will be charged a late filing fee of $25 per day for each day the filing is late and the fee will be multiplied by the number of late filings. In addition to late fees, civil and criminal penalties may be assessed by the City Clerk. NYC Administrative Code 3-223
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Q. If I am found to be in non-compliance and either fined or suspended, can I challenge the finding?
A. The City Clerk institutes proceedings by serving a petition on the lobbyist or client that requires them to appear and file an answer with the Office of Administrative Trials and Hearings (OATH) if they wish to challenge the findings. If there is a criminal violation, the City Clerk will report the suspected violation to the Department of Investigation. Rules of the City of New York, Title 51, Section 1-06
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Q. My client is a non-profit community group, with no money, checks, or credit cards. Do they have to enroll and file an Annual Report?
A. The law does not distinguish between for profit and non-profit entities. Annual Reports are to be filed by clients when said clients expend, receive, or incur over $2,000 in any calendar year for the purpose of lobbying. If said community group is without financial assets, presumably they will not have expended, received, or incurred over $2,000 in expenses. The requirement of the lobbyist to file a Statement of Registration relates to compensation received or expended by the lobbyist. The finances of the client have no bearing on the requirement of the lobbyist to register that client. NYC Administrative Code 3-213(a)(1)
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Clients
Q. I recently retained a lobbyist. What do I have to do to comply with the Lobbying Law?
A. You must enroll in e-Lobbyist and file an Annual Report listing the lobbyists you have retained if, during the year, you expended, received, or incurred in excess of $2,000 of combined reportable expenses. You may enroll any time prior to filing the Annual Report. NYC Administrative Code 3-217(a)(2)
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Q. What is the filing fee for a Client Annual Report?
A. There is no fee for filing an Annual Report.
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Q. My organization is a non-profit community group without access to computers or the Internet. How can I file electronically?
A. There is a kiosk with a computer available for use by the public at the Office of the City Clerk, Lobbying Bureau, 141 Worth Street, New York, NY 10013.
Get office locations and hours
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Lobbying Activities
Q. How can I get an answer to a unique question regarding my obligations under the new laws?
A. You should contact the Lobbying Bureau at 212-669-8171. You may request an advisory opinion by writing to: Lobbying Bureau, Office of the City Clerk, 141 Worth Street, New York, NY 10013. 51 RCNY 1-01
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Q. Can I report that I lobby the entire City Council?
A. In your Statement of Registration, if you do not yet know the individuals you will lobby then you may report an entity such as the City Council. However, when filing periodic reports, you must specifically identify the person(s) you lobbied. You must specifically describe the subject(s) of your lobbying efforts and identify the specific interest you expect to lobby for, namely, a local law, proposed local law, resolution, procurement, real property, rule, rate making proceeding, [or] determination of a board or commission, or other. NYC Administrative Code 3-213(c)(5)
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Q. I am an attorney retained to monitor, analyze, and propose legislation, as well as prepare comments on proposed legislation. Am I a lobbyist?
A. You are a lobbyist if you attempt to influence the outcome of the proposed legislation.
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Q. Are there advocacy activities that do not count as lobbying?
A. Where your actions do not attempt to influence proposed legislation, rules, rates, or other proposed legislative, executive, or administrative action, you are not engaging in lobbying activity. NYC Administrative Code 3-211(c)(3)
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Fundraising
Q. Do I need to report my fundraising and political consulting activities?
A. If you are required to file a Statement of Registration, you are required to file Fundraising and Political Consulting Reports electronically at the same time you file your requisite periodic reports if you are engaged in fundraising or political consulting. NYC Administrative Code 3-216.1(a). See NYC Administrative Code 3-211(h) for a definition of fundraising activities and 3-211(i) for a definition of political consulting.
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Q. I am a lobbyist. I hosted a fundraiser for a mayoral candidate. However, I did not bill the candidate or receive compensation for my services. Must I report the fundraiser?
A. Yes. Lobbyists must report fundraising on behalf of any candidate for City office or any City public servant regardless of compensation.
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Q. I am a lobbyist who bundles campaign contributions for City officials and candidates for elected office in the City of New York. Must I report on my activity?
A. Yes. Fundraising activity includes "collection of contributions."
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Q. I am a lobbyist. I advised a candidate for elected office in the City of New York and answered questions about political campaigns. However, I did not receive compensation for my services. Do I report this activity as political consulting?
A. No. In part, the term "political consulting activities" shall mean the activities of a lobbyist who for compensation participates in certain campaign or provides advice to certain New York City elected officials. NYC Administrative Code 3-211(i)
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Q. I'm a registered lobbyist engaged in fundraising activities for a private citizen running for Governor of New York State. Must I report my fundraising activities?
A. No. The requirement to report would only apply if the private citizen were running for a NYC office - Mayor, Public Advocate, Comptroller, City Council, or Borough President. This requirement is also applicable if you're raising funds for a NYC public servant, no matter what office that individual is seeking.
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Recordkeeping
Q. As a lobbyist what records must I maintain?
A. You must keep a detailed and exact account of all compensation; the name and address of every person paying or promising to pay compensation of $50 or more and the applicable date(s); all expenditures made by or on behalf of a client; and the name and address of every person to whom any item of expenditure greater than $50 is made, the date it was made, and the receipt. NYC Administrative Code 3-220
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Q. What lobbyist expenses have to be itemized?
A. All expenses greater than $75 must be fully identified and include the name of the person or entity to whom it was paid, as well as the purpose for the payment. Expenses below $75 may be reported in the aggregate. NYC Administrative Code 3-216(b)(5)(ii)
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Q. As a lobbyist how long must I maintain the records?
A. Lobbying records must be kept for at least five years. NYC Administrative Code 3-220
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