RULES RELATIVE TO
LOBBYIST ORDINANCE
CHAPTER 2.160 OF THE
Section
1.0 Registration
1.1 Duties
and Prohibitions of Lobbyists, Lobbying Firms, and Lobbyist Employers. When any duty or prohibition is imposed upon a
lobbyist, lobbying firm or lobbyist employer by the Lobbyist Ordinance, Chapter
2.160 of the Los Angeles County Code, that duty or prohibition shall begin as
of the day the person or entity meets the definition of a County lobbyist,
lobbying firm, or lobbyist employer as set forth in the Lobbyist Ordinance and Section
2.0 of these Rules.
1.2 Initial
Registration. Within 10 days of first becoming a County
lobbyist, lobbying firm or lobbyist employer, that person or entity shall file
with the Executive Officer of the Board of Supervisors the necessary completed
registration forms supplied by the Executive Officer. The registration forms submitted to the
Executive Officer shall be accompanied by payment of the appropriate fee or
fees as provided in Section 9.0 of these Rules.
1.3 Annual Renewal of
Registration.
A. Any
County lobbyist, lobbying firm, or lobbyist employer currently registered with
the Executive Officer as of January 1, 2008, shall retain that status through
December 31, 2008, unless the registration is terminated prior to that
time. Thereafter, as of January 1, 2009,
all registrations shall automatically terminate, unless renewed as provided in
this Subsection.
B. Beginning
on January 1, 2009, any person or entity seeking to retain its status as County
lobbyist, lobbying firm, or lobbyist employer, must annually renew its registration
and pay any applicable annual registration fees to the Executive Officer as
provided in Section 9.0 of these Rules. The
annual renewal of registration and appropriate fee(s) are due on or before the
10th day of January of the year of renewal. However, additional fees for late filing will
not be imposed if a County lobbyist, lobbying firm, or lobbyist employer files an
annual renewal of registration and all required fees at the same time as the
quarterly report for the last quarter of the previous year is filed, i.e., on
or before the 31st of January of the year of renewal.
1.4 Acceptable
methods of registering. A registration is deemed
acceptable if it is originally signed by the registrant and transmitted to the
Executive Officer of the Board of Supervisors via the U. S. Mail, guaranteed
overnight delivery service, or hand delivery, or by another method of
transmission which has been expressly approved and authorized by the Executive
Officer. A registration is not
acceptable if it is filed with the Executive Officer via fax equipment or any
method not expressly approved and authorized by the Executive Officer.
1.5 Terminated
Registration. As provided in Subsection 11.1 of
these Rules, a registration shall not be accepted if (A) the person or entity
has been found to be in violation of the Lobbyist Ordinance and has failed to pay all fees or otherwise satisfy all sanctions or penalties
imposed under the Lobbyist Ordinance; or (B) the person or entity attempts to
re-register within the period of time in which such person or entity is prohibited
from re-registration pursuant to Section 11.0 of these Rules.
Section
2.0 Definitions
2.1 Lobbyist.
A. A
lobbyist is any individual who is employed, contracts or otherwise receives
compensation, other than reimbursement for reasonable travel expenses, to
communicate directly, or through agents, employees or subcontractors, with any
County official for the purpose of influencing official County action, if a
substantial or regular portion of the activities for which he or she receives
such compensation is for the purpose of influencing official County action.
B. To
determine whether or not the activities for which an individual is compensated
for the purpose of influencing official County action constitutes
"substantial" or "regular," two tests shall be applied. A
person who meets the requirements of either of the following tests shall be
considered a County lobbyist.
1. The compensation test: The person receives or becomes entitled to
receive at least $1,000 in compensation in any calendar month for influencing
official County action. Compensation
received by a full time employee engaged primarily to perform services other
than influencing official action, or for administrative testimony, shall not be
included in computing the amount of compensation in this test.
2. The contact test: The person receives or becomes entitled to
receive any amount of compensation for engaging in direct communication, other
than administrative testimony, with County officials for the purpose of
influencing official County action on at least five separate occasions in any three
consecutive calendar months.
2.2 Lobbying or lobbyist firm means a business entity, including an individual lobbyist,
which receives or becomes entitled to receive any compensation, other than
reimbursement for reasonable travel expenses, for the purpose of influencing
official action on behalf of any other person, if either any partner, owner,
officer or employee of the business entity is a lobbyist, or a substantial or
regular portion of the activities for which the business entity receives
compensation is for the purpose of influencing official County action. Whether or not the activities for which such
entity or individual is compensated for the purpose of influencing official County
action constitutes "substantial" or "regular," and
therefore, the entity or individual is considered to be a lobbying firm, shall
be determined pursuant to the tests set forth in Subsection 2.1 of these Rules.
2.3 Lobbyist
employer is a person
or entity, other than a lobbying firm, who, for economic consideration other
than reimbursement for reasonable travel expenses, either employ one or more
lobbyists or contracts for the services of a lobbyist or lobbying firm for the
purpose of influencing official County action.
2.4 Administrative testimony means appearing as an attorney or
advocate representing a party to an administrative proceeding, the decision of
which is reviewable by a court pursuant to Code of Civil Procedure Section
1094.5. Time spent representing clients
in such formal quasi-judicial administrative proceedings should not be counted
in evaluating the level of lobbying activities to determine whether a person
meets the "substantial" or "regular" test. Administrative testimony does not refer to
public hearings of the type often held by the Board of Supervisors to receive
public comment on matters pending before the Board.
2.5 Direct communication includes appearing as a witness
before, talking to (either by telephone or in person), corresponding with
(including, but not limited to, electronic mail), or answering questions or
inquiries from, any County official, either personally or through an agent who
acts under one's direct supervision, control or direction. Direct communication does not include any
request for or provision of purely technical data or analysis to a County
agency by a person who does not otherwise engage in direct communication for
the purpose of influencing official County action.
2.6 County official includes a member of the Board of
Supervisors, the Sheriff, the Assessor, the District Attorney, a county
commissioner, and any other County officer or employee whose duties are not
primarily clerical or manual.
2.7
2.8 Influencing official
County action means
promoting, supporting, influencing, modifying, opposing or delaying any
official action by any means, including but not limited to the provision or use
of information, statistics, studies or analyses. Influencing official County action does not
include actions strictly limited to compliance of formal County requirements
for approval or granting of a County contract, permit, grant, license or
franchise.
2.9 Time deadline.
When any registration, report, or other required document is properly
addressed to the Executive Officer and sent first-class mail, postage prepaid, or
by guaranteed overnight delivery service, it shall, for purposes of any time
deadline, be deemed to have been received on the date of the deposit in the
mail. It shall be presumed until the contrary is established that any date
stamped by the post office or guaranteed overnight delivery service on the
envelope containing the registration, report, or other required document is the
date it was deposited in the mail. Mail that
is not received by the Executive Officer shall be presumed not to have been
sent unless the filer possesses a post office receipt or receipt from a
guaranteed overnight delivery service establishing the date of deposit and the
name and address of the addressee. When
the last day to perform or complete any act provided for in the Lobbyist
Ordinance or these Rules falls on a Saturday, Sunday, or County holiday, the
time deadline is extended until the next business day.
Section
3.0 Departments' Responsibilities
3.1 All County departments are to
identify individuals and entities that may be subject to the Lobbyist Ordinance
and to advise them of the information contained in the ordinance. Departments
are to make a reading copy of the ordinance available. Department heads are to post signs at each
location where people who are potentially subject to its provisions are likely
to contact the department. Departments
must revise appropriate forms to include a signed certification by contractors
and applicants for permits, licenses, grants, and franchises that they are
familiar with the requirements of Chapter 2.160 of the Los Angeles County Code.
Departments are to distribute copies of
Section 2.160.120 of the
3.2 All County departments are to periodically
review the Lobbyist Ordinance information posted on the website of the
Executive Officer of the Board of Supervisors to see whether any individuals or
entities directly communicating with the department have failed to comply with
the Lobbyist Ordinance. Such periodic
reviews are to be performed whenever a department is considering the award of a
contract, permit, grant, license, or franchise, or upon receiving notice from the
Executive Officer that an individual or entity has been determined to be in
violation of the Lobbyist Ordinance.
Section
4.0 Payment Contingent Upon Success Of
Influencing - Exception
The Lobbyist Ordinance prohibits any
arrangement whereby the compensation of a contract lobbyist or lobbying firm for
a particular lobbying effort is specifically contingent upon success in that
effort.
This section is not intended to
prohibit an in-house lobbyist of a County lobbyist employer, including a
company sales representative who qualifies as a County lobbyist, from
participating in a company profit sharing plan or from receiving a sales
commission when a portion of his or her employer's profit or sales volume is
generated from business done with the County.
Section
5.0 Quarterly Reports
5.1 Quarterly
Reports. County
lobbyists, lobbying firms (including sole proprietors) and lobbyist employers shall
file quarterly reports with the Executive Officer no later than the last day of the month following
the close of the calendar quarter. Quarterly reports shall be filed on forms
provided by the Executive Officer in accordance with instructions accompanying
the forms.
5.2 Reporting Requirement for
Other Persons or Entities
A.
A quarterly report shall be filed by "$5,000 filer," which is any
person or entity who is not a lobbyist or lobbying firm, nor employs a lobbyist
or contract with a lobbying firm, but who directly or indirectly makes payments
to influence official County action aggregating $5,000 or more in a calendar
quarter . The quarterly report shall be
filed in the same manner and within the same time as set forth in this Section
5.0. A $5,000 filer who fails to comply
with this Section 5.0 shall be subject to the provisions of Sections 8.0 and
11.0 of these Rules.
B.
Examples:
In April, the
Association of Valley Growers pays for newspaper advertisements urging readers
to communicate with the Los Angeles County Board of Supervisors on a pending
County ordinance. The total cost of the
advertisements exceeds $5,000 during the second calendar quarter. The Association qualifies as a $5,000 filer
and must file a report for the second quarter, April 1 - June 30.
In October, the
Association of Valley Growers pays a telephone solicitor $10,000 to call constituents of a Supervisorial District regarding a
County ordinance. The solicitor routes or otherwise directs the constituent to a
5.3 Forms. The Executive Officer shall mail
the necessary report forms to each person or entity registered with the Executive
Officer. Failure of the Executive
Officer to mail the necessary report forms shall not relieve that person or
entity of any reporting responsibilities the person or entity may have under
the ordinance. The forms will be mailed
by the end of the quarterly report period. Individuals and entities that
register within that last week of the reporting period will receive their
quarterly report documents within the following week.
5.4 Delivery
of Reports. Reports must be originally signed by the filer
and transmitted to the Executive Officer via the U. S. Mail, guaranteed
overnight delivery service, hand delivery, or by another method which has been
expressly approved and authorized by the Executive Officer. Reports that are submitted via fax equipment,
or any method not expressly approved and authorized by the Executive Officer, will
not be accepted.
5.5 Reporting
payments to lobbyists and lobbying firms by lobbyist employers. All payments to lobbying firms and lobbyists
made by lobbyist employers in connection with attempts to influence official
actions of the County shall be reported by the lobbyist employer on the
quarterly report covering the period during which the payment was made. Similarly, lobbyists and lobbying firms shall
report all payments received from a lobbyist employer on the quarterly report
covering the period during which the payment was made. Only that portion of a payment to a lobbyist
or lobbying firm which includes fees and expenses related to influencing
official action of the County need be reported. Any portion of payments to lobbyists and
lobbying firms which are in no way related to influencing official action of
the County should not be included. Lobbyists, lobbying firms and lobbyist
employers shall keep records in order to be able to demonstrate how the
reported figures were calculated.
5.6 Deleting
or ceasing activities relative to lobbying. When a County
lobbying firm or County lobbyist employer ceases all activities related to
influencing official action, this fact shall be indicated in the last quarterly
report filed.
Section
6.0 Registration Amendments and
Terminations
6.1 An amendment to the registration
must be filed within 10 days for the following changes:
A. Lobbying
firm adding a new lobbyist or lobbyist employer adding a new in-house employee
lobbyist. (See also Subsection 6.2 below)
B. Lobbying
firm adding lobbyist employer/client. The
lobbying firm is prohibited from representing the new client until the
amendment to the registration is complete and filed with the Executive Officer.
C. Lobbying
firm deleting a lobbyist employer/client.
D. Registered
lobbyist employer adding a lobbying firm.
E. Registered
lobbyist employer/client deleting a lobbyist firm.
F. Lobbying
firm or lobbyist employer deleting a lobbyist.
G. Changes
to the registration, such as changing the responsible officer, address, or
telephone number.
6.2 An amendment to the registration to add
a lobbyist to a currently registered lobbying firm or to add an in-house
employee lobbyist of a currently registered lobbyist employer pursuant to Subsection
6.1 above, requires the payment of a registration fee for each lobbyist or in-house
employee lobbyist so added as provided in Subsections 9.1 and 9.2 of these
Rules.
Section
7.0 Public Records
The Executive Officer shall make
available to the public, upon request, copies of the registration statements
and amendments and completed quarterly activity reports. Copies of the current statements and reports shall
be made available for inspection, upon request, in the Executive Office, 383
Kenneth Hahn Hall of Administration,
Section
8.0 Failure to Register or File Report
8.1 If a County lobbyist, lobbying firm,
or lobbyist employer fails to register or file a required report or other
document within the time deadline imposed under the terms of the Lobbyist
Ordinance and these Rules, the Executive Officer shall send a notice of
noncompliance with the ordinance to that person or entity. The notice shall include a warning that the person
or entity will be subject to imposition of additional fees as described in
Section 9.0 of these Rules, if the registration, report or other required
document is not filed, along with payment of any required fees, within 10 days
of the date of the letter.
8.2 If
a person or entity fails to register or file a required report or other
document by the date specified pursuant to Subsection 8.1 above, the Executive
Officer shall send the person or entity a letter notifying him or her of all
potential additional fees, penalties, and sanctions described in Chapter 2.160
of the Los Angeles County Code and Sections 9.0 and 11.0 of these Rules, and
requiring compliance within 14 days of the date of the letter.
8.3 If the filer fails to file the required
registration, report or other document, or fails to pay all applicable fees
including additional fees for late filing within the time deadline prescribed
in Subsection 8.2, the Executive Officer may institute an administrative
proceeding to determine the appropriate
administrative fines and noncompliance fees to be imposed against the person or
entity, and make any recommendations on appropriate actions to the Board of
Supervisors, as provided in Section 10.0 of these Rules.
Section 9.0 Fees
9.1. Registration
|
|
Initial Registration |
Annual Renewal |
|
|
$ 35 if filed prior to July 1,
2008 $ 337 if filed during July 1, 2008
through December 31, 2008 $ 450 if filed after January 1,
2009 and during the first three quarters of the calendar year (January
through September) $ 337 if filed after January 1,
2009 and during the last quarter of a calendar year (October through
December): $337 |
$450 (effective for the calendar
year 2009 and for each year thereafter) |
|
County Lobbying Firm |
$35 if filed prior to December
31, 2008 No fee if filed after January 1,
2009 |
No fee |
|
|
$35 if filed prior to July 1,
2008 $56 if filed during July 1, 2008
through December 31, 2008 $75 if filed after January 1,
2009 $56 if filed after January 1,
2009 and during the last quarter of a calendar year (October through
December) |
$75 (effective for the calendar
year 2009 and for each year thereafter) |
9.2. Fees for Registration of
Additional
9.3 Fees for Other Filings.
Except as provided in Subsection 9.2 above, there shall be no fee associated
with the filing of any amendments to registration or any quarterly reports
required under the Lobbyist Ordinance.
However, any late filing or failure to file any of the foregoing shall
be subject to additional fees as provided in Subsection 9.4 below.
9.4 Additional Fees for Late
Filing. If
the filing of an initial registration or annual renewal of registration,
registration amendment, quarterly report, separate quarterly campaign
contribution report, or other document required under the Lobbyist Ordinance is
made beyond its due date and the Executive Officer concludes that the filer is
in violation of the ordinance, in addition to the regular filing fee set forth
in this Section, the filer shall be required to pay an additional fee as
follows:
A. $25 per day
for the first ten days after the due date of the filing;
B. Thereafter,
$50 per day for the next ten days if the filing is not made within ten days
after the due date; and
C. Thereafter,
$75 per day until the earlier of (1) the date that the filer comes into
compliance or (2) the date that any other penalties are imposed by the Board of
Supervisors or the Executive Officer as provided in Section 10.0 of these Rules.
9.5 Waiver of Liability for Payment of
Additional Fees. The Executive Officer may waive any additional fees imposed
under this Section 9.0, in whole or in part, if the violation was not willful
and the Executive Officer determines that enforcement of the additional fees
would not further the purposes of the Lobbyist Ordinance. Any person or entity seeking such waiver
shall complete and submit the form required by the Executive Officer. The request must explain why the filer
believes the late filing was not willful and enforcement will not further the
purposes of the law. If the filing was late due to exceptional circumstances
beyond the filer's control (such as hospitalization, incapacitation or death of
the filer, or loss of records due to natural disaster), the request should
describe the exceptional circumstances and attach documentation.
Section
10.0 Investigations
10. 1 Any person may file a charge with the
Executive Officer that any lobbyist, lobbying firm, lobbyist employer or other
person or entity has violated any provision of the Lobbyist Ordinance. The allegations of any violation of the
ordinance must be in writing and must be specific in nature. The Executive Officer shall not investigate
oral or anonymous allegations. If the
Executive Officer deems it advisable, he or she may refer the matter to the
Auditor-Controller for investigation of the allegations.
10.2 Upon receiving a charge that a person or
entity has violated the Lobbyist Ordinance, the Executive Officer shall give
such person or entity reasonable notice of the charge and opportunity to
present information in response thereto.
Upon completion of the investigation, the Executive Officer may take any
appropriate actions, including but not limited to those actions set forth in
Sections 8.0, 9.0 and 11.0 of these Rules.
Section 11.0 Enforcement
11.1 Imposition of Sanctions and
Penalties by the Board of Supervisors
A. Upon
making a determination that a person or entity has violated the Lobbyist
Ordinance, the Executive Officer may submit a written report to the Board of
Supervisors, recommending imposition of the sanctions and penalties provided herein.
B. If
the Board of Supervisors agrees with any of the recommendations, any of the following
sanctions and penalties may be imposed against any person or entity
("violator") who has been found to be in violation of the Lobbyist
Ordinance:
1. The violator shall be refused
permission to address the Board of Supervisors or any County commission, except
on his or her own behalf, during such period that the violator remains in
noncompliance, including failure to satisfy any other penalties, including
payment of required fees, imposed under the Lobbyist Ordinance.
2. A person or entity on whose behalf the violator
acted shall be denied the County contract, permit, grant, license or franchise
that was the objective of the improper lobbying activities.
3. The registration of the violator shall
be terminated and the violator shall be required to pay all fees and penalties
imposed under these Rules. In addition, the
violator shall not be permitted to re-register as a lobbyist, lobbying firm, or
lobbyist employer as follows:
a. No previous violations: the violator shall be prohibited from
re-registering for a period of up to three months following the Board's
approval of the termination of the registration;
b. One previous violation: the violator shall be prohibited from
re-registering for a period of up to six months following the Board's approval
of the termination of the registration;
c. Two or more previous violations: the violator shall be prohibited from
re-registering for a period of up to twelve months following the Board's
approval of the termination of the registration.
4. The violator shall be liable in a civil
action brought by the County for an amount up to $5,000.00 for each failure to
comply.
11.2 Imposition of
Administrative Fines and Noncompliance Fees by Executive Officer.
A. In
addition to or in lieu of making a recommendation to the Board of Supervisors
for imposition of sanctions and penalties pursuant to Subsection 11.1 above,
the Executive Officer may commence a proceeding to determine whether an
administrative fine or noncompliance fee shall be imposed against the person or
entity as provided herein.
B. Any
violation of the Lobbyist Ordinance is subject to an administrative fine of up
to $5,000.00, and a noncompliance fee of up to $5,000.00, which shall be
determined by the Executive Officer, as set forth in the Operational Procedures
approved by the Board of Supervisors.
11.3 Referral to Treasurer and
Tax Collector. Any person or entity who fails to satisfy any
penalties, fees, or fines imposed pursuant to Subsections 11.1 and 11.2 of
these Rules shall be referred for collection to the Los Angeles County
Treasurer and Tax Collector.
11.4 Waiver of Liability.
The Board of Supervisors may, in its discretion, waive any of the
sanctions, penalties, administrative fines or noncompliance fees described in Subsections
11.1 and 11.2 of these Rules, in whole or in part, if it determines that there
was no willful violation and enforcement would not further the purposes of the
Lobbyist Ordinance.