[HISTORY: Adopted by the Suffolk County Legislature 10-25-1988 by L.L. No.
37-1988[1] (Ch. 348 of the 1985 Code). Amendments noted where applicable.
Uncodified sections of local laws amending these provisions are included
at the end of this chapter.]
GENERAL REFERENCES
Ethics Commission — See Charter Art. XXX.
Code of Ethics — See Admin. Code Art. XXX.
Open meetings — See Ch. 172.
Public notification policy — See Ch. 183.
Response and truth in government policy — See Ch. 199.
[1]
Editor's Note: This local law also provided that it take
effect immediately upon filing in the office of the Secretary of State
(12-19-1988) but only apply to lobbying activities occurring on or
after 1-1-1990.
A.
This Legislature hereby finds and determines that lobbyists who appear
before agencies, departments, commissions and boards of the County
of Suffolk often exercise an influence disproportionate to the actual
interests they represent within the Suffolk County community.
B.
Therefore, the purpose of this chapter is to require registration
and monitoring of lobbyists who appear before Suffolk County government
so as to make certain that the integrity of the decision-making process
in County government is preserved and protected against actual improprieties
or perceptions of improper activity.
As used in this chapter, the following terms shall have the
meanings indicated:
Every person or organization who or which retains, employs
or designates any person or organization to carry on lobbying activities
on behalf of such client.[1]
Any salary, fee, gift, payment or other thing of value paid,
given, owed or promised to the lobbyist by the client for lobbying,
but shall not include contributions reportable pursuant to Article
14 of the New York Election Law.
[Amended 5-12-2015 by L.L. No. 20-2015]
The County of Suffolk.
[Added 5-12-2015 by L.L.
No. 20-2015]
Any department, board, bureau, commission, division, office,
council, committee or officer of the County, whether permanent or
temporary, or a public authority or public benefit corporation, at
least one of whose members is appointed by the County Executive, County
Legislature or a County officer, authorized by law to make rules or
to make final decisions in adjudicatory proceedings, but shall not
include the judiciary.
[Amended 5-12-2015 by L.L. No. 20-2015]
Any expenditures incurred by or reimbursed to the lobbyist
for lobbying, but shall not include contributions reportable pursuant
to Article 14 of the New York Election Law.
Any attempt to influence any determination made by the County
Legislature or any member thereof with respect to the introduction,
passage, defeat or substance of any local legislation; any determination
made by the County Executive to support, oppose, approve or disapprove
any local legislation; the adoption, issuance or modification of any
executive order by the County Executive; the adoption or rejection
by a County agency of any rule or regulation having the force and
effect of law; the outcome of any rate-making proceeding by a County
agency; any determination made by a department, officer or employee
of the County with respect to the procurement of goods, services or
public works; or the award by a department, officer or employee of
the County of any grant, loan or agreement which involves the disbursement
of public monies. The term "lobbying" shall not include:
[Amended 5-12-2015 by L.L. No. 20-2015]
Persons engaged in drafting legislation, rules, regulations
or rates; persons advising clients and rendering opinions on proposed
legislation, rules, regulations or rates, where such professional
services are not otherwise connected with legislative or executive
action on such legislation or administrative action on such rules,
regulations or rates.
Newspapers and other periodicals and radio and television stations
and owners and employees thereof, provided that their activities in
connection with proposed legislation, rules, regulations or rates
are limited to the publication or broadcast of news items, editorials
or other comment, or paid advertisements.
Persons who participate as witnesses, attorneys or other representatives
in public rule-making or rate-making proceedings of a County 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.
Persons who attempt to influence a County agency in an adjudicatory
proceeding, as defined by § 102 of the New York State Administrative
Procedure Act.
Persons who prepare or submit a response to a request for information
or comments by the County Legislature, the County Executive or a County
agency or a committee or officer of the Legislature or a County agency.
The submission of a bid or proposal in response to a request
for proposals (RFP) or an invitation to bid or any other solicitation
made by a County agency and intended to result in a procurement contract.
Participation in a conference provided for in a RFP or invitation
to bid or any other solicitation by a County agency which seeks responses
that will result in a procurement contract.
The submission of written questions to a County agency during
the procurement process, when all written questions and the responses
thereto will be disseminated to all persons who have responded to
the solicitation of a County agency.
Persons who bring complaints of alleged improper conduct in
a County procurement to a County agency, the District Attorney or
a court of competent jurisdiction or persons who are a party to a
protest, appeal or other review proceeding before the County agency
conducting the procurement seeking a final administrative determination.
Persons that have been tentatively awarded a County contract
and are engaged in communication with a County agency for the sole
purpose of negotiating terms of the contract.
Contacts during a procurement process between County agency
staff and the officers or employees of a prospective contractor/vendor
who are qualified to provide technical services to explain, clarify
or demonstrate the qualities, characteristics or advantages of an
article or procurement. "Technical services" shall be limited to analysis
directly applying to any accounting, engineering, scientific or other
similar technical disciplines.
Officers and employees of any contract agency, as that term is defined in § 189-40 of the Suffolk County Code, when seeking grant or contract funding to provide human services directly to the residents of Suffolk County.
Contacts between the County and the representatives of a public
employee bargaining unit during the collective bargaining process.
Every person or organization retained, employed or designated
by any client to engage in lobbying before the County of Suffolk,
its agencies, boards, commissions, the County Legislature or County
Executive. The term "lobbyist" shall not include any officer, director,
trustee, employee, counsel or agent of the County of Suffolk or other
public corporation when discharging his or her official duties.
[Amended 5-12-2015 by L.L. No. 20-2015]
Any corporation, company, foundation, association, labor
organization, firm, partnership, joint venture, society, joint-stock
company, County agency or public corporation.
A municipal corporation or a district corporation, as defined in § 66, Subdivision 1, of the New York General Construction Law.
[1]
Editor's Note: The definition of "Commission," which immediately
followed this definition, was repealed 5-12-2015 by L.L. No. 20-2015.
A.
Every lobbyist shall annually file with the Clerk of the County Legislature,
on forms provided by the Clerk of the County Legislature, a statement
of registration for each calendar year. The filing of such statement
of registration shall not be required of any lobbyist who in any year
does not expend, incur or receive an amount in excess of $1,000 of
reportable compensation and expenses for the purposes of lobbying.
[Amended 3-9-1993 by L.L. No. 9-1993; 5-12-2015 by L.L. No. 20-2015]
B.
Such filing shall be completed on or before January 1 of each year
by those persons who have been retained, employed or designated as
lobbyists on or before December 15 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 $1,000. For those
lobbyists retained, employed or designated after December 15 and for
those lobbyists who, subsequent to their retainer, employment or designation,
reasonably anticipate combined reportable compensation and expenses
in excess of such amount, such filing shall be completed within 15
days thereafter but in no event later than 10 days after actually
incurring or receiving such reportable compensation and expenses.
C.
Such statements of registration shall be kept on file for a period
of three years and shall be open to public inspection during such
period.
D.
Such statement of registration shall contain:
(1)
The name, address and telephone number of the lobbyist, and if the
lobbyist is an organization, the names, addresses and telephone numbers
of any officer or employee of such lobbyist who engages in lobbying.
[Amended 5-12-2015 by L.L. No. 20-2015]
(2)
The name, address and telephone number of the client by whom or on
whose behalf the lobbyist is retained, employed or designated.
(3)
If such lobbyist is retained or employed pursuant to a written agreement
of retainer or employment, a copy of such shall also be attached,
and if such retainer or employment is oral, a written statement of
the substance thereof shall be included.
(4)
A written authorization from the client by whom the lobbyist is authorized to lobby, unless such lobbyist has filed a written agreement of retainer or employment pursuant to Subsection D(3) above.
(5)
A description of the general subject or subjects on which the lobbyist
is lobbying or expects to lobby.
(6)
The name of the person, organization or legislative body before whom
or which the lobbyist is lobbying or expects to lobby.
E.
If the lobbyist is retained, employed or designated by more than
one client, a separate statement of registration shall be required
for each such client.
F.
Any amendment to the information filed by the lobbyist in the original
statement of registration shall be submitted to the Clerk of the County
Legislature, on forms supplied by the Clerk of the County Legislature,
within 10 days after such amendment. However, this shall not require
the lobbyist to amend the entire registration form.
[Amended 3-9-1993 by L.L. No. 9-1993]
G.
The first statement of registration filed annually by each lobbyist
shall be accompanied by a registration fee of $200. No fee shall be
required for any subsequent statement of registration filed by a lobbyist
during the same lobbying year.
[Amended 3-9-1993 by L.L. No. 9-1993; 5-12-2015 by L.L. No. 20-2015]
The Clerk of the County Legislature shall compile a monthly docket of statements of registration containing all information required by § 580-3 of this chapter. Each such monthly docket shall contain all statements of registration filed during such month and all amendments to previously filed statements of registration. Copies shall be made available for public inspection online at the County Legislature's web page. The clerical tasks performed by the office of the Clerk of the County Legislature under this section shall be undertaken by those individuals within such office who have secured County employment pursuant to a New York Civil Service Law competitive examination.
[Amended 3-9-1993 by L.L. No. 9-1993]
Upon the termination of a lobbyist's retainer, employment or designation, such lobbyist and the client on whose behalf such service has been rendered shall both give written notice to the Clerk of the County Legislature within 30 days after the lobbyist ceases the activity that required such lobbyist to file a statement of registration. Such lobbyist shall, nevertheless, comply with the reporting requirements for the last periodic reporting period up to the date such activity has ceased as required by this chapter, and both such parties shall each file the annual report required by § 580-7 of this chapter. The Clerk of the County Legislature shall enter notice of such termination in the appropriate monthly registration docket required by § 580-4 of this chapter. The clerical tasks performed by the office of the Clerk of the County Legislature under this section shall be undertaken by those individuals within such office who have secured County employment pursuant to a New York Civil Service Law competitive examination.
[Amended 3-9-1993 by L.L. No. 9-1993; 8-29-1995 by L.L. No. 4-1996; 5-12-2015 by L.L. No. 20-2015]
A.
Report required. Any lobbyist required to file a statement of registration pursuant to § 580-3 of this chapter shall file with the Clerk of the County Legislature periodic written reports, on forms supplied by the Clerk of the County Legislature, by the 15th day next succeeding the end of the reporting period, and the first periodic report shall be filed by the 15th day next succeeding the end of the reporting period in which the lobbyist was first required to file a statement of registration. Such reporting periods shall be the period from January 1 to March 31, April 1 to June 30, July 1 to September 30 and October 1 to December 31.
B.
Such periodic report shall contain:
(1)
The name, address and telephone number of the lobbyist.
(2)
The name, address and telephone number of the client by whom or on
whose behalf the lobbyist is retained, employed or designated.
(3)
A description of the general subject or subjects on which the lobbyist
has lobbied.
(4)
The name of the person, organization or legislative body before which
the lobbyist has lobbied.
(5)
Compensation and expenses.
(a)
The compensation paid or owed to the lobbyist and any expenses
expended, received or incurred by the lobbyist for the purpose of
lobbying.
(b)
Expenses required to be reported pursuant to Subsection B(5)(a) of this section shall be listed in the aggregate if $50 or less, and if more than $50 such expenses shall be detailed as to amount, to whom paid and for what purpose; and where such expense is more than $50 on behalf of any one person, the name of such person shall be listed. For the purposes of this subsection, "expenses" shall not include:
(c)
Expenses paid or incurred for compensation other than that of
the lobbyist shall be listed in the aggregate.
(d)
Expenses of more than $50 shall be paid by check or substantiated
by receipts, and such checks and receipts shall be kept on file by
the lobbyist for a period of three years.
C.
Such periodic reports shall be kept on file for three years and shall
be open to public inspection during such time. The clerical tasks
performed by the office of the Clerk of the County Legislature under
this section shall be undertaken by those individuals within such
office who have secured County employment pursuant to a New York Civil
Service Law competitive examination.
[Amended 3-9-1993 by L.L. No. 9-1993]
A.
Annual reports shall be filed by:
[Amended 5-12-2015 by L.L. No. 20-2015]
(1)
Every lobbyist required to file a statement of registration pursuant
to this chapter.
(2)
Any client retaining, employing or designating a lobbyist or lobbyists,
whether or not any such lobbyist was required to file a statement
of registration, if during the year such client expended, received
or incurred an amount in excess of $1,000 of combined reportable compensation
and expenses for the purposes of lobbying.
B.
Such report pursuant to Subsection A(1) above shall be filed with the Clerk of the County Legislature, on forms provided by the Clerk of the County Legislature, by the 15th day of January next following the year for which such report is made and shall contain on an annual cumulative basis all the information required in periodic reports by this chapter.
C.
Such report pursuant to Subsection A(2) above shall be filed with the Clerk of the County Legislature, on forms provided by the Clerk of the County Legislature, by the 15th day of January next following the year for which such report is made and shall contain:
(1)
The name, address and telephone number of the client.
(2)
The name, address and telephone number of each lobbyist retained,
employed or designated by such client.
(3)
A description of the general subject or subjects on which each lobbyist
retained, employed or designated by such client has lobbied, and on
which such client has lobbied.
(4)
The name of the person, organization or legislative body before which
such client has lobbied.
(5)
Compensation and expenses.
(a)
The compensation paid or owed to each such lobbyist and any
other expenses paid or incurred by such client for the purpose of
lobbying.
(b)
Any expenses required to be reported pursuant to Subsection C(5)(a) shall be listed in the aggregate if $50 or less, and if more than $50 such expenses shall be detailed as to amount, to whom paid and for what purpose; and where such expenses are more than $50 on behalf of any one person, the name of such person shall be listed. For the purposes of this subsection, "expenses" shall not include:
(c)
Expenses paid or incurred for salaries other than that of the
lobbyist shall be listed in the aggregate.
(d)
Expenses of more than $50 shall be paid by check or substantiated
by receipts and such checks and receipts shall be kept on file by
such client for a period of three years.
D.
Such annual reports shall be kept on file for three years and shall
be open to public inspection during such period. The clerical tasks
performed by the office of the Clerk of the County Legislature under
this section shall be undertaken by those individuals within such
office who have secured County employment pursuant to a New York Civil
Service Law competitive examination.
[Amended 5-12-2015 by L.L. No. 20-2015]
[Added 5-12-2015 by L.L.
No. 20-2015[1]]
A.
All statements and reports required under this chapter shall be subject
to a declaration by the person making and filing such statement and
report that the information is true, correct and complete to the best
knowledge and belief of the signer under the penalties of perjury.
B.
For the purposes of this chapter, the chief administrative officer
of any organization required to file a statement or report shall be
the person responsible for making and filing such statement or report
unless some other person, prior to the due date thereof, has been
duly designated to make and file such statement or report.
C.
The statements and reports filed with the Clerk of the Legislature
pursuant to this chapter shall not be deemed to be confidential. The
Clerk of the Legislature will maintain all statements and reports
filed under this chapter and make these statements and reports available
to the public in accordance with the provisions of this chapter, any
rules the Clerk may prescribe and New York's Freedom of Information
Law.
[Amended 5-12-2015 by L.L. No. 20-2015]
A.
Any person or organization who or which knowingly and willfully fails
to file a timely report or statement required by this chapter or knowingly
and willingly files false information with the Clerk of the Legislature
shall be guilty of a Class A misdemeanor punishable by a fine not
to exceed $1,000 and/or a term of imprisonment not to exceed one year.
B.
A person or organization who fails to file a statement or report
within the time required for the filing of such report shall be subject
to a civil penalty, in an amount not to exceed $5,000, to be assessed
by the Clerk of the Legislature. Such assessment may only be imposed
after written notice of such failure and the expiration of a reasonable
period within which to cure the failure. The amount of such assessment
shall be determined only after a hearing at which the party shall
be entitled to appear and be heard. Such assessment may be recovered
in any action brought by the District Attorney.
C.
Any person or organization who or which receives a notice from the Clerk of the Legislature of intent to assess a penalty for failing to file a report or statement pursuant to Subsection B of this section, and who has never previously received a notice of intent to assess a penalty for failing to file a report or statement required under this section, shall be granted 15 days within which to file the statement of registration or report without being subject to the penalty set forth in Subsection B of this section. Upon the failure of such person or organization to file within such fifteen-day period, such lobbyist or client shall be subject to penalty pursuant to Subsection B of this section.
The Commission is hereby authorized, empowered and directed
to promulgate and issue such rules and regulations as it may deem
necessary to implement and carry out this chapter.
