danger
Presidents Day closure

Most City of Portland offices will be closed Monday, Feb. 17, to observe Presidents Day.

information
Portland is a Sanctuary City

Find sanctuary city resources from the City of Portland's Immigrant & Refugee Program, including free legal services and state resources for reporting hate crimes, bias incidents, discrimination, and violations of Oregon's sanctuary laws.

ARA-15.03 - Regulation of Lobbying Entities: Enforcement and Civil Penalties

Administrative Rules Adopted by Bureaus Pursuant to Rule Making Authority (ARB)
Policy number
ARA-15.03


A. Effective Date

This version of ARA 15.01 is effective as of January 1, 2025.

B. Filing a Complaint

  1. Complaints alleging violations of the City’s lobbying regulations must be filed in writing with the Auditor’s Office. Complainants are encouraged to use the City Auditor’s complaint form, which indicates the information needed to ensure a comprehensive investigation. Complaints may be filed:
    1. Using the complaint form available from the Division’s enforcement page.
    2. By email to: lobbyist@portlandoregon.gov.
    3. By mail to: City Elections Division, 1221 SW 4th Ave, Room 130, Portland, OR 97204.
    4. A complainant who needs assistance making a complaint should contact the Auditor’s Office.
  2. Complaints should include the following information:
    1. Name(s) and contact information of complainant(s). The Auditor’s Office does not accept allegations submitted anonymously.
    2. If a complainant requests that their name, contact information, and identifying details be kept confidential, the Auditor’s Office will treat the information as confidential and exempt from public disclosure under ORS 192.355(4) unless ordered to disclose it under the law.
      1. A complainant may request confidentiality of their identity at any time but, whenever possible, complainants should request confidentiality from the Auditor’s Office at or before the first communication with the Division about the complaint.
      2. The Auditor’s Office reserves the right to determine which details about a complainant are ones that tend to identify their identity.
    3. The name of the city official, former employee, or lobbyist (including any lobbying entity) alleged to have violated the City’s lobbying regulations.
    4. A description of the alleged violation(s).
      1. For example, a lobbying entity that failed to register and report activities after spending more than 8 hours or more than $1,000 in a calendar quarter lobbying.
    5. The date(s) of the violation(s).
    6. Any applicable dollar amount(s) associated with the violation(s), if known.
  3. The Auditor’s Office may decline to investigate any submissions that do not include the information in Subsection (B)(2).
  4. Complainants are encouraged to include with the complaint all relevant documentation or evidence they may have pertaining to the violation(s).
  5. Duplicative allegations or allegations that are substantially similar to those in an ongoing investigation or addressed in a previously rendered decision will not be reinvestigated.

C. Fees for Late Filings

Timely reporting and disclosure are vital to the administration of the City’s lobbying entity regulation program and help maintain the reporting cycle and overall availability of information to the public. 

  1. If a lobbying entity or City official fails to file or make public any information as required by City Code 2.12, the Auditor’s Office may send the entity or City official a warning notice and may assess a late fee. 
  2. If a lobbying entity or City official fails to file or make public any information as required by City Code 2.12 within 24 hours after the deadline, the Auditor’s Office may assess a late fee of $10 per day.

D. Investigating and Identifying Violations; Notice

  1. The Auditor’s Office will conduct an initial review of each complaint received. 
  2. Following an initial review, the Auditor’s Office will take appropriate action to address the complaint, which may include but is not limited to:
    1. Requesting additional information from the person who filed the complaint.
    2. Conducting an independent and impartial investigation into the complaint. During an investigation, the Auditor’s Office may:
      1. Take any other action needed to investigate, review, and/or respond to the complaint; or 
      2. Determine that no further action is required and close the case. 
    3. Dismissing the complaint. 
  3. The Auditor’s Office may also initiate an investigation into possible violations on its own initiative, without receiving a complaint as outlined above in Subsection (B)(2). 
  4. Following an investigation, the Auditor’s Office will issue a written decision, which may be in the form of a warning, dismissal, or findings of any violation(s). 
    1. The written decision will identify whether a violation of Code Chapter 2.12 occurred and the basis for the decision. 
    2. If the Auditor’s Office finds that a violation of Code Chapter 2.12 occurred, the written decision will state whether the Auditor’s Office is issuing a civil penalty or other administrative sanction. In lieu of or in conjunction with finding a violation and imposing a civil penalty, the Auditor’s Office may issue a written letter of reprimand, a warning, or an explanation, and may suggest training. 
  5. To protect the integrity of the investigatory process, complaints and information related to complaints, initial reviews, and investigations are confidential and will not be disclosed until the written decision is issued, or the case is otherwise closed, except as may be needed to conduct the investigation or unless ordered to disclose it under the law. 
  6. The Auditor’s Office will provide notice of the outcome of any initial review or investigation, including a notice of dismissal, warning, or notices of violation(s) to the individual or entity investigated and to those individuals that request the information. 

E. Enforcement Standards 

  1. The following standards will apply to the extent necessary to determine whether a violation of Chapter 2.12 occurred as a result of a lobbying entity crossing the eight-hour per quarter or $1,000 per quarter threshold without required registration and/or reporting.
  2. For determining whether the monetary threshold for registration and/or reporting was reached, the Auditor’s Office will consider amounts paid to lobbyists outside   of a salaried employee/employer relationship, such as amounts paid to a firm (including any individual or group of individuals) contracted to perform lobbying activities on behalf of a lobbying entity. 
    1. For example, where a lobbying entity employs an employee paid an annual salary who periodically engages in lobbying, the Auditor’s Office will not consider wages or benefits (on a prorated basis or otherwise) that make up a compensation package in determining if the lobbying entity met the $1,000 quarterly threshold set out in 2.12.030 A requiring registration and reporting.
    2. As another example, if a lobbying entity contracts with an outside public relations firm to engage city officials about official city actions that align with the entity’s priorities, the total fees paid to the public relations firm for all work related to lobbying city officials on the lobbying entity’s behalf are considered in determining whether the entity met the $1,000 quarterly threshold set out in 2.12.030 A, requiring registration and reporting.
  3. The Auditor’s Office, in determining whether any lobbying entity exceeds the 8-hour threshold set out in City Code Chapter 2.12, will use the following standards, unless clear evidence to the contrary is available in the course of an investigation. 
    1. If a meeting is determined to be a lobbying communication, the entire duration of the meeting is added to the total estimate. This is true even if portions of that meeting may not have been lobbying.
    2. When determining preparation time for meetings that include lobbying, a minimum estimate of 15 minutes preparing for every one hour of meeting time is assumed.
    3. When determining the time spent on a written communication, a minimum estimate is based on an average typing speed of 40 words per minute. Fifteen additional minutes of editing, research, and review is calculated per page of writing. 
  4. As much as is possible, time estimates are confirmed during interviews. Information is also gathered during interviews relating to any circumstances that may increase or decrease time estimates in this section. 
  5. Specific estimates may vary from one communication to the next as complexity and method differ. 
  6. When determining whether a threshold resulting in a violation of Portland City Code has been exceeded, if the Auditor’s Office computes a range of time spent lobbying, the minimum of the estimated range is used. 
    1. The upper threshold of the estimate can be used in considering aggravating or mitigating factors. 

F. Repeated Violations

The Auditor’s Office may choose to treat repeated, similar actions occurring during the same time period, which would otherwise be considered distinct violations, as aggravating circumstances under a single violation.

For example: A lobbying entity omits a lobbyist from a quarterly report and does not amend the report within the amendment period. The lobbyist was present and engaged in several reportable lobbying contacts during the quarter on behalf of a lobbying entity. The Auditor’s Office may choose to consider this to be one violation with aggravating circumstances, rather as than a violation for each individual contact in which the lobbyist was not disclosed. 

G. Civil Penalty Criteria

  1. The Auditor’s Office may assess civil penalties up to $3,000 per violation, commensurate with the severity of the violation. 
  2. In determining whether to impose a penalty and the amount of any penalty, the Auditor’s Office will consider the nature and extent of the violation. In addition, the Auditor’s Office may consider the following mitigating or aggravating factors: 
    1. Any benefits to the lobbying entity or City official, economic or otherwise, because of the violation. 

      For example: The Auditor’s Office may consider City resources awarded or otherwise allocated to a lobbying entity in connection with a violation, such as receipt of a tax exemption, to be an aggravating factor. 

    2. The budget and overall staff or resources available to an entity. 

      For example: The Auditor’s Office may consider the limited resources of an entity that engages in lobbying activities through volunteers to be a mitigating factor. 

    3. Whether the violation was repeated and continuous, or isolated and temporary. 

      For example: The Auditor’s Office may consider violations that occur in multiple quarters to be continuous and therefore an aggravating factor. 

    4. Whether the violation appears to have been made knowingly. Determinations of whether violations are knowing may be based on relevant circumstances and available records. 
    5. Whether individuals and entities involved were offered or received training regarding the lobbying entity regulation program’s requirements within the previous year. 
    6. The individual or entity’s level of cooperation during the investigation, including providing relevant, complete, and timely information as requested. 
    7. Any other applicable factors the Auditor’s Office deems relevant. 

H. Paying Civil Penalties; Interest

  1. Civil penalties are payable to the City of Portland Auditor’s Office and are due no later than 30 days after the decision described in Section J becomes final.
  2. Limits on penalties imposed under this rule do not include interest. Civil penalties not paid within 60 days from the payment due date may be subject to 10 percent simple interest per annum. 

I. Reconsideration; Appeals

  1. Any person or entity against whom a civil penalty has been assessed under Code Section 2.12.120 may request reconsideration. 
    1. The request for reconsideration must be in writing and received by the City Auditor within 10 business days of the date of the written decision described above in Section (D)(4). 
    2. Supporting information may be included with the request for reconsideration.
  2. If a request for reconsideration is filed by the deadline, the City Auditor will reconsider the decision and/or the amount of the civil penalty. No hearing will be conducted. 
  3. Upon reconsideration, the City Auditor may affirm, withdraw, or modify the written decision and/or adjust the amount of the civil penalty, in the City Auditor’s discretion. The City Auditor will issue a written determination on the petition for reconsideration within 45 calendar days.
  4. If no request for reconsideration is received by the deadline, the City Auditor’s decision becomes final, and the final decision of the City, 10 business days after the date of the decision.
  5. If a petition for reconsideration is filed, the City Auditor’s decision becomes final, and the final decision of the City, the day the decision on reconsideration is filed. 
  6. The final decision may be appealed by writ of review to the Multnomah County Circuit Court, as provided in ORS 34.010 34.100.

J. Cost Recovery 

  1. Recoverable costs of enforcement of Code Chapter 2.12 to the Auditor’s Office may include but are not limited to attorney’s fees, court costs, and administrative costs. 
  2. All moneys received in civil penalties for violations of Code Chapter 2.12 must be paid to the City Auditor and will be credited to the City’s General Fund. 

Questions about this administrative rule may be directed to the Lobbying Regulations and Political Consulting Reporting Program.


History

Administrative rule adopted by City Auditor September 28, 2016.

Filed for inclusion in PPD September 28, 2016.

Last revised by the City Auditor on November 26, 2019.

Amended by the City Auditor on December 13, 2024 and effective January 1, 2025.

Search Code, Charter, Policy

Back to top