LOBBYIST INFORMATION

Transcription

1 LOBBYIST INFORMATION A Basic Guide to Lobbying Registration and Disclosure in the City of Oceanside* Chapter 16C of the Oceanside City Code *This guide is intended to be advisory only. Any questions about this guide or the lobbyist registration process can be directed to the City Clerk ( ) 1. Requirements - What does the Municipal Lobbyist Registration and Reporting Requirements Ordinance regulate? 2. Purpose - What is the purpose of the Ordinance? 3. Effective date - When did the ordinance take effect? 4. Definition - What is lobbying? 5. Filers - Who must file as a lobbyist or lobbying firm? 6. Exemptions - Who is exempt from registering as a lobbyist or lobbying firm? 7. Initial Registration - What specific initial registration information is required as a lobbyist or lobbying firm? 8. Intermediary What does intermediary mean? 9. Behest of - How is at the behest of defined? 10. Quarterly Reports - What specific information is required on the quarterly reports? 11. Supplemental Reports - What specific information is required on supplemental reports? 12. Annual Renewal What specific registration information is required for the annual registration renewal? 13. Registration and Reporting Calendar When are reports and registration/renewals due? 14. Ethics training requirements What ethics training is required and when? 15. Additional Requirements - What other requirements must a lobbyist fulfill? 16. Fee Schedule What are the fees and when are they due? 17. Termination Requirements - How and when do I notify the City if I am no longer a lobbyist? 18. Forms - How do I obtain the necessary forms? 19. Penalties - What penalties are attached to the ordinance? We recognize that there will be a learning curve for everyone. Our goal is to provide the procedures in an open, friendly and positive manner. We appreciate your cooperation and are happy to address questions. For more information, please contact the City Clerk at (760)

2 Oceanside Lobbyist Ordinance Chapter 16C of City Code A Basic Guide to Lobbyist Registration in the City of Oceanside 1. What does the Municipal Lobbyist Registration and Reporting Requirements Ordinance regulate? The City's Municipal Lobbyist Registration and Reporting Requirements Ordinance regulates persons who are paid or compensated by others to attempt to influence City decisions. It requires certain individuals and firms to register as a lobbyist with the City Clerk Department and requires annual, quarterly and supplemental reporting. No lobbyist shall engage in lobbying activities within the City of Oceanside unless he or she is registered with the City Clerk and has paid any and all fees and fines and has, or will have, met the ethics training requirements within the specified time period. (See Section 16C.7 of the ordinance) 2. What is the purpose of the Ordinance? The purpose of the ordinance is to maintain integrity through a fair and open decisionmaking process in City government and to ensure that the public and City officials have full knowledge of lobbying activities that have been brought to bear on any legislative or administrative action. 3. When did the ordinance take effect? The ordinance is effective June 2, What is lobbying? The ordinance defines lobbying as influencing or attempting to influence a legislative or administrative action of the City by direct communication with any City official or any commission, committee, board, task force or member of any other body of the City. [Note: for a complete list of City officials and bodies of the City, reference the current Conflict of Interest Resolution located on the City's website.] 5. Who must file as a lobbyist or lobbying firm? Individual Lobbyist means any individual who is employed, retained or otherwise engaged for compensation to lobby, on behalf of another person, any elected or appointed City official or any commission, committee, board, task force or member of any other body of the City. Lobbying firm means a person that has one or more employees who are lobbyists on behalf of a client or clients.

3 Compensation means any economic consideration for services rendered or to be rendered in the future. This includes, but is not limited to, contractual arrangements, contingency fees, success fees, bonuses or awards, or salary. 6. Who is exempt from registering as a lobbyist or lobbying firm? Any City official or any federal, state or local elected or appointed official acting in his/her official capacity. Any employee of the City or federal, state or local governmental entity acting within the scope of his/her employment Any news media engaged solely in the publication or broadcasting of news, editorials, commentary, or paid advertisements, which urge legislative or administrative action Any person whose sole activity is to: a. submit a bid on a competitively bid contract b. submit a written response to a request for proposals or qualifications c. participate in an oral interview for a request for proposals or qualifications d. negotiate the terms of a contract or agreement with the City once the City has authorized entering into an agreement with that person Any person whose communications are solely related to a collective bargaining agreement or memorandum of understanding between the City and a recognized City employee organization. 7. What specific initial Registration information is required as a lobbyist or lobbying firm? [See question 13 for filing deadlines] a. Individual Lobbyists You will need to provide your: name business address telephone number fax number nature of your business name of all owners of sole proprietorships and partnerships of fewer than 10 people. [Note: if a partnership, each lobbyist must register.] Lobbying firms You will need to provide the: name of the firm business address telephone number fax number nature of the business names of the president, secretary, chief financial officer and agent for service of process, if any

4 name of each owner, officer and employee conducting lobbyist activities and a brief description of the legislative or administrative action the lobbyist is seeking to influence Note: Report any change in the above information to the City Clerk, in writing, within 15 days after the change occurs. b. For each client, provide the: client name client business name business address telephone number the nature of each client s business the legislative or administrative action they are seeking to influence the name of each person employed or retained by the lobbyist/lobbying firm to lobby on behalf of each client Note: Report any change in the above information to the City Clerk, in writing, within 15 days after the change occurs. c. For each lobbyist, provide a 4 x 6 hardcopy photo (shot from the shoulders up, full view of face) and an electronic photo on a CD. (Digital camera photos should have a high resolution.) (Note: faxed photos will not be accepted due to possible poor clarity and further distortion in copying. Photos of a side profile are not acceptable.) d. Report all campaign contributions [including in-kind contributions] by a lobbyist or a client at the lobbyist s behest to any elected City official (identified by name and office), to a controlled committee, office holder s fund or legal expense fund. This applies if the contribution totals $100 or more during any calendar quarter. This applies whether the contribution is given personally or through an intermediary. e. Report payments received for services as a consultant or in any other capacity for: services rendered to the City services rendered to any elected City official or their controlled commissions or committees, any officeholder committee, or ballot measure committee. Also report the date of payment and name of each firm/individual who provided the payment. f. Provide the name, address, title and telephone number of the person who prepared the registration form, with a signed attestation to the authority of the signatory and the accuracy of the report. (Tip: Keep a copy of all documents for your records.)

5 8. What does intermediary mean under campaign contributions? Intermediary means: A lobbyist or lobbying firm or entity is an intermediary for a contribution if the recipient of the contribution would consider the lobbyist to be the contributor without the disclosure of the identity of the true source of the contribution. A lobbyist acts as an intermediary if the lobbyist makes a contribution on behalf of another person, and that other person is acknowledged as the contributor, and the lobbyist is reimbursed for the contribution. 9. How is at the behest of defined under campaign contributions? At the behest means under the control of, at the direction of, in cooperation, consultation, coordination or concert with, or at the request or suggestion of, or with the express prior consent of any elective officer or candidate for elective City office. 10. What specific information is required on the Quarterly Reports? [See question 13 for filing deadlines.] Quarterly reports provide information on the prior calendar quarter and are required whether or not any lobbying activities have occurred during that period. (Tip: When reporting clients, use the same name and address under which the client was registered.) a. For each client, provide the: name business address telephone number the nature of each client s business the legislative or administrative action they are seeking to influence the name of each person employed or retained by the lobbyist/lobbying firm to lobby on behalf of each client Note: Report any change in the above information to the City Clerk, in writing, within 15 days after the change occurs. b. Report all campaign contributions [including in-kind contributions] by a lobbyist or a client at the lobbyist s behest to any elected City official (identified by name and office), to a controlled committee, office holder s fund or legal expense fund. This applies if the contribution totals $100 or more during any calendar quarter. This applies whether the contribution is given personally or through an intermediary. c. Report payments received for services as a consultant or in any other capacity for: services rendered to the City

6 services rendered to any City agency, any City official or any City official-elect or their controlled commissions or committees, any officeholder committee, or ballot measure committee. Also report the date of payment and name of each firm/individual who provided the payment. d. Provide the name, address, title and telephone number for the person who prepared the registration form, with a signed attestation to the authority of the signatory and the accuracy of the report. (Tip: Keep a copy of all documents for your records.) 11. What specific information is required on Supplemental New Client Reports? [See question 13 for reporting deadline.] Supplemental reports are used to provide information on only those new clients that were not listed on your initial or annual registration. The per-client fee for new clients is due at the time of filing the Supplemental New Client Report. For each new client, provide the: client name client business name business address telephone number nature of each client s business legislative or administrative action they are seeking to influence name of each person employed or retained by the lobbyist to represent the client. (Tip: Keep a copy of all documents for your records.) 12. What specific information is required on the Annual Registration Renewal? [See question 13 for reporting deadline.] The same information required on the Quarterly Reports [see question 7] is required to be submitted for the Annual Registration Renewal. NOTE: All annual registration and per-client fees are due at the time you submit the annual renewal form. Any delinquent fees or fines must be paid prior to the annual registration or the registration will be denied and no lobbying activities can occur until such time that the annual registration is complete and accepted. (Tip: Keep a copy of all documents for your records.)

7 13. When are reports and registration/renewals due? REGISTRATION AND REPORTING SCHEDULE REGISTRATION Initial Registration Annual Registration Renewal Amendments to Registration Effective June 2, 2006, an initial registration form must be filed with the City Clerk within 15 days after qualifying as a lobbyist Renewal is due January 15 of each year (or the following business day if January 15 falls on a weekend or on a Friday when City Hall is closed). Amendments are due within 15 days for any change to registration information (phone, etc.) nd Quarter: June 2 - June 30 (partial due to effective date of June 2) QUARTERLY REPORTING CALENDAR 2006/2007 Filing Deadline July 15, 2006 (since this date falls on Saturday, filings are due July 17, 2006) 3 rd Quarter: July 1 Sept. 30 Filing Deadline October 15, 2006 (since this date falls on Sunday, filings are due October 16, 2006) 4 th Quarter: Oct. 1 Dec. 31 Filing Deadline January 15, st Quarter: Jan. 1 March 31 Filing Deadline April 15, 2007(since this date falls on Sunday, filings are due April 16, 2007) 2 nd Quarter: April 1 June 30 Filing Deadline July 15, 2007(since this date falls on Sunday, filings are due July 16, 2007) 3 rd Quarter: July 1 Sept. 30 Filing Deadline October 15, th Quarter: Oct. 1 Dec. 31 Filing Deadline January 15, 2008 SUPPLEMENTAL REPORTS Supplemental Reports Due within 10 days of being retained to lobby on behalf of any person/firm who was not listed on the lobbyist s initial or annual report ETHICS TRAINING COMPLETION FORM Ethics Training Completion Due within 180 days after initial registration If mailed, the forms must be postmarked on or before the deadline date. If postmarked after the deadline date, the form will have been considered delinquent. 14. What ethics training is required and when?

8 A lobbyist can satisfy the ethics training requirement by attending an ethics training course provided by the City Clerk. (If the lobbyist is also registered with the State, by being in compliance with ethics training requirements mandated by the Political Reform Act.) A lobbyist shall attend an ethics training course and file proof of completion within 180 days after the initial registration is filed. Registrations filed prior to the completion of an ethics training course will be conditional upon completion of the course within the 180- day time frame. The City Clerk will post the available dates, times and places for Cityprovided ethics training. Proof of completion If a lobbyist is registered with the State, he or she shall file proof of completion of the ethics training mandated by Government Code Section 8956(b) or a Statement of Compliance with Government Code Section 86103(d) with the City Clerk within 180 days of registering as a lobbyist. 15. What other requirements must a lobbyist fulfill? a. Copies of the records pertaining to the reports are to be preserved by the lobbyist for inspection and audit for 4 years from the date of filing the report with the City Clerk. b. Identification when appearing in a lobbying capacity at any meeting with a City official or at a meeting of the City Council, or board, committee or commission, the lobbyist needs to identify himself or herself and the client(s) or organization he or she represents. 16. What are the fees and when are they due? Fees under this ordinance were adopted by Resolution No. 06-R on May 3, *These fees may be adjusted by resolution of the City Council at a later date.the fees currently in effect are as follows: Fee Schedule Initial Registration Fee $150* per individual lobbyist or lobbying firm PLUS $15* per client Annual Registration Renewal $150* per individual lobbyist or lobbying firm PLUS Due at the time of filing the initial registration (within 15 days of qualifying as a lobbyist or lobbying firm) Due at the time of filing the renewal (January 15 of each year) $15* per client Supplemental Report $15* per client New clients are added and paid for at the time of filing the supplemental report (within 10 days of being retained to lobby on behalf of any person/firm)

9 Ethics Training Course Fee $25* per person (for attendance and proof of completion) At the time of registration for the City-provided course 17. How and when do I notify the City if I am no longer a lobbyist? Lobbyists shall file a Notice of Termination within 30 days of the termination of their lobbyist status. Please note: You will still be required to file a quarterly report up through your termination date. 18. How do I obtain the forms? Form L-100 Form L-200 Form L-300 Form L-400 Lobbyist Forms List Registration form for initial registration and annual renewal and amendments Supplemental reporting form - to add new clients Quarterly reporting form Termination form for individual lobbyists, lobbying firms or clients The forms for initial and annual registration, amendments, quarterly reports, supplemental new client reports and notice of termination can be downloaded by clicking on the link of the appropriate form number from the forms list. You may also contact the City Clerk's Office at (760) to obtain the forms. Completed forms with original signatures are to be submitted directly to the City Clerk's Office at 300 North Coast Highway, Oceanside, CA (Forms may not be faxed or ed Forms are not considered received without an original signature.) 19. What penalties are attached to the Ordinance? Any lobbyist who fails to register, file the required forms and pay the required fees may be cited and fined under the provisions of the Administrative Remedies Ordinance (Section 1.14 of the City Code). Additionally, registration or renewals or other reports to be filed may not be accepted until all delinquent fees and fines are paid, which means that no lobbying activities can take place. Any lobbyist who fails to submit his or her registration, annual renewal, or quarterly and supplemental reports or who fails to identify himself or herself as a lobbyist is guilty of a misdemeanor and subject to criminal penalties under Section 1.7 of the City Code. In addition or in lieu of a criminal action, the City Attorney may bring a civil action and/or may seek injunctive relief in the courts. In addition to or in lieu of a criminal or civil action, the provisions under the Administrative Remedies Ordinance are applicable (see City Code Sections 1.14 through 1.18).

10 No person convicted of a criminal violation of Chapter 16C may act as a lobbyist or attempt to influence municipal legislation for compensation for 2 years after such conviction.