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Table of Contents
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Section
1
Section 2
Section 3
Section 4
Section 5
Section 6
Section 7
Section 8
Section 9
Section 10
Section 11 |
Introduction
What is New?
Definitions
Lobbying Registration
Special Registration Circumstances
Semiannual Reporting of Lobbying Activities
Termination
Relationship of LDA to Other Statutes
Public Availability
Review and Compliance
Penalties
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![Section 1 - Introduction](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section1.gif)
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Section 6 of the Lobbying Disclosure Act ("LDA"), 2 U.S.C. §
1605, provides that: "The Secretary of the Senate and the Clerk of
the House of Representatives shall (1) provide guidance and assistance
on the registration and reporting requirements of this Act and develop
common standards, rules and procedures for compliance with this Act; [and]
(2) review, and, where necessary, verify and inquire to ensure the accuracy,
completeness and timeliness of registrations and reports[.]"
The LDA does not
provide the Secretary or the Clerk with the authority to write substantive
regulations or issue definitive opinions on the interpretation of the
law. The Secretary and Clerk have, from time to time, jointly issued written
guidance on the registration and reporting requirements. This document
is both a compilation of previously issued guidance documents and our
interpretation of the changes that were made to the LDA as a result of
the Lobbying Disclosure Technical Amendments Act of 1998 ("TAA").
The revised format addresses problems that the filing community has experienced
to date in using the guidance documents, i.e., the lack of a "subject
index" that quickly finds the answers to their specific topical questions
and the need to refer to more than one source to research filing advice.
This compilation
supersedes all previous guidance documents. This combined guidance document
does not have the force of law, nor does it have any binding effect on
the United States Attorney for the District of Columbia or any other part
of the executive branch. To the extent that the guidance relates to the
"accuracy, completeness and timeliness of registration and reports,"
it will serve to inform the public as to how the Secretary and Clerk intend
to carry out their responsibilities under the LDA.
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![Section 2 - What is New](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section2.gif)
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Lobbying Disclosure Technical Amendments Act of 1998
The TAA,
enacted on April 6, 1998 (P.L. 105-166), amends the Lobbying Disclosure
Act of 1995 in four areas. These changes were made in response to questions
that had been raised during the first year of experience under the LDA.
Definition of
Covered Executive Branch Official
The application of coverage of Section 3(3)(F) of the LDA ("who is
a covered executive branch official?") was intended for "Schedule
C" employees only. Senior Executive Service employees are not covered
executive branch officials as defined in the Act unless they fall within
one of the categories below. Covered executive branch officials are:
1. The President
2. The Vice President
3. Officers and employees of the Executive Office of the President
4. Any official serving in an Executive Level I-V position
5. Any member of the uniformed services serving at grade 0-7 or above
6. "Schedule C" employees.
Clarification
of Exception to Lobbying Contact
Section 3(8)(B)(ix) excepts from the definition of "lobbying contact"
communications "required by subpoena, civil investigative demand,
or otherwise compelled by statute, regulations, or other action of the
Congress or an agency." The TAA clarifies that communications that
are compelled by the action of a Federal agency would include communications
that are required by a Federal agency contract, grant, loan, permit, or
license.
Example: Contractor
"A" has a contract to provide technical assistance to Agency
"B" on an ongoing basis. Technical communications between
Contractor "A's" personnel and covered officials at Agency
"B" would be required by the contract and therefore would
not constitute "lobbying contacts."
Note, however, that this exception would not encompass an attempt by
"A" to influence covered officials regarding either matters
of policy, or an award of a new contract, since such communications
would not be required by the existing contract.
The TAA also expands the definition of "public official" in
Section 3(15)(f) to add a "group of governments acting together
as an international organization." The purpose of the provision
is to ensure those international organizations, such as the World Bank,
would be treated in the same manner as the governments that comprise
them (communications made by the expanded class of "public officials"
acting officially would be exempt from the definition of "lobbying
contact," and therefore exempt from potential registration and
reporting requirements of the LDA).
Estimates Based
on Tax Reporting System (See Sections IV and V also)
The TAA does not change the optional expense reporting methods available
to an organization employing in-house lobbyists. For all other LDA purposes,
the TAA clarifies that registrants making a Section 15 election must use
the IRC definitions for executive branch lobbying, and the LDA definitions
for legislative branch lobbying.
We are reading the
TAA to extend the group entitled to use the "safe harbor" established
under section 15(b) of the LDA to a small number of trade associations
not required by the IRC to report nondeductible lobbying expenses to their
members (i.e., those whose members are tax exempt).
Finally, the TAA
eliminated the option of filing IRS Form 990 with LD-2.
Exemption from
FARA based on Registration under the LDA
The Foreign Agents Registration Act ("FARA") was amended by
the TAA to clarify that any agent of a foreign principal engaged in lobbying
activities (other than an agent of a foreign government or foreign political
party) who registers under the LDA would be exempt from the requirements
of FARA. Such lobbyists could register under the LDA even if their lobbying
activities did not meet the registration threshold under the LDA. The
change corrects an anomaly in which less active foreign commercial lobbyists
(those not meeting the de minimis thresholds for registration under the
LDA) were subject to the more rigorous reporting requirements of FARA,
while more active foreign commercial lobbyists registered and reported
under the LDA.
Revised Forms,
Instructions and Format
LD-1, the registration form, and LD-2, the reporting form, have been revised.
Previous editions of these forms are obsolete.
Instructions for
both LD-1 and LD-2 have been updated to correspond with the new forms.
LD-1U, the former
update form, has been eliminated and shall not be used. Updated registration
information is reported on LD-2 on a semiannual basis only (unless the
Secretary or the Clerk notifies a registrant of an error and requests
a correction immediately).
LD-1 Changes
The revised LD-1 (6/98) closely resembles the obsolete LD-1 (1/96) . The
changed content is discussed below.
The lines
are renumbered.
Effective
Date of Registration: The registrant is required to enter the date the
registrant was retained to lobby for the client or first makes a lobbying
contact for the client, whichever is earlier. This entry will assist
the Secretary and the Clerk in assessing the timeliness of the registration.
Identification
Number: This line is left blank for an initial registration. The numbers
are assigned by the Office of Public Records and the Legislative Resource
Center after the registration is processed and will be unique to each
registrant-client relationship.
Optional
e-mail address: The contact person may include his/her e-mail address
if he/she wishes to receive electronic correspondence.
A "Self"
box has been added on Line 7 ("Client name").
A lobbyist's
job title is no longer required. His or her status as a former covered
executive or legislative branch official is the only information required
other than the lobbyist's name.
"Yes"
and "No" boxes for Affiliated Organizations and Foreign Entities
are added. One of the most common errors on the registrations that have
been filed under the LDA is leaving the affiliated organization and
foreign entity lines blank. The "Yes" and "No" boxes
signal to the registrant that entry is required.
Every line
on LD-1 must be completed. If the space on LD-1 is insufficient for
any of the required information, attach additional pages as needed,
clearly stating the names of the registrant and client and identifying
the line number(s) to which the information pertains.
LD-2 Changes
The revised LD-2 combines the previous version of LD-2 and the former
LD-1U. The reasons for this change are twofold: first, it appeared redundant
to require registrants to disclose new information (such as new lobbyists
and issue codes) in two different places in the same filing; and second,
rather than follow the LDA's requirements to update registration information
on a semiannual basis, many registrants were filing unnecessary and excessive
amounts of paper to report relatively minor changes mid-reporting cycle.
Specific refinements to LD-2 are discussed below.
The new
LD-2 allows a registrant that has no lobbying activity to file a one-page
report. The registrant must complete the income or expense information
as well as marking the "No Lobbying Activity" box. This is
a change from the previous form and guidance.
If a registrant's
name changes, the registrant should include a note or memorandum that
identifies the new as well as the former name, so that the change is
apparent.
Signature
lines have been added to every page to provide registrants with options
for filing differing lengths of reports. The report need only be signed
once on the last page of the document.
The lines
of the form have been renumbered.
Registrants
now must provide their address on LD-2 in order to ensure that the Secretary
and the Clerk have up-to-date address information. If a registrant's
contact wishes to receive electronic correspondence, a space for an
e-mail address is provided.
A "Self"
box has been added to Line 7 ("Client Name").
LD-2 adds
a space to supply a termination date (see section below on the completion
of termination reports).
The income
or expense reporting format has been modified to guide registrants into
completing only the section pertinent to them. Lobbying firms (including
the self-employed) complete only the income section. Organizations employing
in-house lobbyists complete only the expense section and must select
which method of expense reporting that they are utilizing.
The lobbying
activity reporting page emphasizes that only one general issue area
code per page must be used. The addition of "Check if None boxes"
for the Houses of Congress and Federal agencies contacted and for the
foreign entity interest were added because registrants left them blank
when there was nothing to report. This practice led to a public record
that was incomplete and subject to interpretation in lieu of clarity
regarding the lobbying activity of the registrant. As discussed above,
new lobbyists may be disclosed on this page by marking the "New"
box and providing the information (if applicable) regarding previous
employment within the last two years as a covered executive or legislative
branch official.
The registration
information update page should be filed only if registration information
is changed. This page is not intended to be a "stand alone"
filing. Section 5 of the LDA does not require or encourage the submission
of mid-reporting cycle registration information changes, unless a registrant
is specifically requested to do so by the Secretary or the Clerk.
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![Section 3 - Definitions](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section3.gif) |
Affiliated Organization: Any entity other than the client that
contributes in excess of $10,000 toward the registrant's lobbying activities
in a semiannual period, and in whole or in major part plans, supervises,
or controls such lobbying activities.
Client: Any
person or entity that employs or retains another person for financial
or other compensation to conduct lobbying activities on behalf of the
person or entity. An organization employing its own lobbyists is considered
its own client for reporting purposes.
"In whole
or major part": The term "in major part" means in "substantial"
part. It is not necessary that an organization or foreign entity exercise
majority control or supervision in order to fall within Sections 4(b)(3)(B)
and 4(B)(4)(B). In general, 20 percent control or supervision should be
considered "substantial" for purposes of these sections.
Lobbying Activities:
Lobbying contacts and any efforts in support of such contacts, including
preparation or planning activities, research and other background work
that is intended, at the time of its preparation, for use in contacts
and coordination with the lobbying activities of others.
Lobbying Contact:
Any oral, written or electronic communication to a covered official that
is made on behalf of a client with regard to the enumerated subjects at
2 U.S.C. § 1602(8)(A). Note the exceptions to the definition at 2
U.S.C. § 1602(8)(B). See Discussion at Section 5 below.
Lobbying Firm:
A person or entity consisting of one or more individuals who meet the
definition of a lobbyist with respect to a client other than that person
or entity. The definition includes a self-employed lobbyist.
Lobbying Registration:
An initial registration on Form LD-1 filed pursuant to Section 4 of the
Act (2 U.S.C. § 1603).
Lobbying Report:
A semiannual report on Form LD-2 filed pursuant to Section 5 of the Act
(2 U.S.C. § 1604).
Lobbyist:
Any individual who (1) is either employed or retained by a client for
financial or other compensation (2) for services that include more than
one lobbying contact; and (3) whose "lobbying activities" constitute
20 percent or more of his or her services on behalf of that client during
any six-month period.
Person or Entity:
Any individual, corporation, company, foundation, association, labor organization,
firm, partnership, society, joint stock company, group of organizations,
or state or local government.
Registrant:
A lobbying firm or an organization employing in-house lobbyists that files
a registration pursuant to Section 4 of the Act.
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![Section 4 - Lobbying Registration](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section4.gif) |
Who Must Register and When
Lobbying firms
are required to file a separate registration for each client. A lobbying
firm is exempt from registration for a particular client if its total income
from that client for lobbying activities does not exceed and is not expected
to exceed $5,500 during a semiannual period.
Note: A lobbyist
is not the registrant unless he/she is self-employed. In that case,
the self-employed lobbyist is treated as a lobbying firm.
Organizations employing
in-house lobbyists file a single registration. An organization is exempt
from registration if its total expenses for lobbying activities do not
exceed and are not expected to exceed $22,500 during a semiannual period.
Registration is required
no later than 45 days after a lobbyist first makes a lobbying contact
or is employed or retained to make a lobbying contact.
Preparing to File
a Registration - Threshold Requirements
In order to determine the applicability of the LDA, one must first look
at the definition of "lobbyist" under Section 3(10). Under this
definition, an individual is a "lobbyist" with respect to a
particular client if he or she makes more than one lobbying contact and
his or her "lobbying activities" (as defined in Section 3(7))
constitute at least 20 percent of the individual's time in services for
THAT client over any six-month period.
More than One
Lobbying Contact
"More than one lobbying contact" means more than one communication
to a covered official. Note that an individual falls within the definition
of "lobbyist" by making more than one lobbying contact over
the course of services provided for a particular client (even if the second
contact occurs in a later semiannual period).
Example 1: Lobbyist "A" telephones Covered Official "A"
in the morning to discuss proposed legislation. In the afternoon she
telephones Covered Official "B" to discuss the same legislation.
Lobbyist "A" has made more than one lobbying contact.
Example 2: Under
some circumstances a series of discussions with a particular official
might be considered a single communication, such as when a telephone
call is interrupted and continued at a later time. Discussions taking
place on more than one day with the same covered official, however,
should be presumed to be more than one lobbying contact.
Do Lobbying Activities
Constitute 20% Or More of an Individual's Time?
Lobbying
activity is defined in Section 3(7) as "lobbying contacts and efforts
in support of such contacts, including background work that is intended,
at the time it was performed, for use in contacts, and coordination with
the lobbying activities of others." If the intent of the work is
to support ongoing and future lobbying, then it would fall within the
definition of lobbying activities. Timing of the work performed, as well
as the status of the issue, are also pivotal. Generally, if work such
as reporting or monitoring occurs at a time when future lobbying contacts
are contemplated, internal reporting and monitoring should be considered
as a part of planning or coordinating of lobbying contacts, and therefore
included as "lobbying activity." If, on the other hand, a person
reports back to the relevant committee or officer regarding the status
of a completed effort, that activity would probably not be included as
a lobbying activity, if reports are not being used to prepare a lobbying
strategy the next time the issue is considered.
Communications excepted
from the definition of "lobbying contact" under Section 3(8)(B)
of the LDA may be considered "lobbying activities" under some
circumstances. Communications excepted by Section 3(8)(B) will constitute
"lobbying activities" if they are in support of other communications
which constitute "lobbying contacts."
Example: Under
Section 3(8)(B)(v), the term "lobbying contact" does not include
"a request for a meeting, a request for the status of an action,
or any similar administrative request, if the request does not include
an attempt to influence a covered executive branch official or a covered
legislative branch official." However, a status request would constitute
"lobbying activity" if it were in support of a subsequent
lobbying contact.
Is it Lobbying Contact or Lobbying Activity?
If a communication
is limited to routine information-gathering questions and there is not
an attempt to influence a covered official, the exception of Section 3(8)(B)(v)
for "any other similar administrative request" would normally
apply. In determining whether there is an attempt to influence a covered
official, the identity of the person asking the questions and her relationship
to the covered official obviously will be important factors.
Example 1: Lobbyist "A," a former chief of staff in a congressional
office, is now a partner in the law firm retained to lobby for Client
"B." After waiting one year to comply with post-employment
restrictions on lobbying, Lobbyist "A" telephones the member
on whose staff she served. She asks about the status of legislation
affecting Client "B's" interests. Presumably "B"
will expect the call to have been part of an effort to influence the
member, even though only routine matters were raised at that particular
time.
Example 2: Company "Z" offers temporary employment to recent
college graduates. The graduates are hired to conduct surveys of congressional
staff by reading prepared questions and recording the answers. The questions
seek only information. These communications do not amount to lobbying
contacts.
Lobbying Contacts
and Activities Using Section 15 Election
(Alternate Reporting Methods)
Section 15
of the LDA permits those organizations that are required to file and do
file under Sections 6033(b)(8) of the Internal Revenue Code and organizations
that are subject to Section 162(e) of the IRC to use the tax law definitions
of lobbying in lieu of the LDA definitions for determining "contacts"
and "lobbying activities." Registrants should note that the
tax definition of lobbying is broader with respect to the type of activities
reported, while they are narrower with respect to executive branch officials
contacted.
Registrants who make
such an election must use the Internal Revenue Code definition for executive
branch lobbying and the LDA definition for legislative branch lobbying.
This may result in the registrant reporting fewer lobbying contacts with
fewer executive branch officials since the IRC definitions are narrower
than the LDA definitions. Also note that definitions under the tax code
include "grass-roots," "state" and "local"
lobbying, while the LDA excludes those types of lobbying from the definition
of "lobbying activities." The LDA does not permit modification
of the tax code definition to exclude such expenditures when reporting
lobbying expenses.
Relationship Between
20% of Time and Monetary Threshold
If the
definition of "lobbyist" is satisfied with respect to at least
one individual for a particular client, the potential registrant (either
a lobbying firm or an organization employing the lobbyist, or a self-employed
individual lobbyist) is not required to register if it does not meet the
monetary thresholds of Section 4(a)(3)(A)(I), in the case of a "lobbying
firm," or of Section 4(a)(3)(A)(ii), in the case of an organization
employing in-house lobbyists. Note that the monetary exemption is computed
based on the lobbying activities of the potential registrant as a whole
for the particular client in question, not simply on the lobbying activities
of those individuals who are "lobbyists."
Example 1: A
law firm has two lawyers who perform services for a particular client.
Lawyer "A" spends 15 percent of the time she works for that
client on lobbying activities, including some lobbying contacts. Lawyer
"B" spends 25 percent of the time he works for the client
on lobbying activities, but makes no lobbying contacts. Neither lawyer
falls within the definition of "lobbyist," and therefore the
law firm is not required to register for that client, even if the income
it receives for lobbying activities on behalf of the client exceeds
$5,500.
Example 2: Employee
"A" of a trade association is a "lobbyist" who spends
25 percent of his time on lobbying activities on behalf of the association.
There are $13,000 of expenses related to Employee "A's" lobbying
activities. Employee "B" is not a "lobbyist" but
engages in lobbying activities in support of lobbying contacts made
by Employee "A." There are $10,000 of additional expenses
related to the lobbying activities of Employee "B." The trade
association is required to register because it employs a "lobbyist"
and its total expenses in connection with lobbying activities on its
own behalf exceed $22,500.
Example 3: Same
as Example 2, except the expenses related to the lobbying activities
of Employees "A" and "B" total only $18,000, but
the trade association also pays $10,000 to an outside firm for lobbying
activities. Registration is still required because payments to outside
contractors (including lobbying firms that may be separately registered
under the LDA) must be included in the total expenses of an organization
employing lobbyists on its own behalf.
Timing
The registration
requirement is triggered at the earlier of the date a lobbyist is employed
or retained to make more than one lobbying contact on behalf of the client,
or the date a lobbyist in fact makes a second lobbying contact. In either
case, registration is required within 45 days.
Examples: Lobbying
Firm "A" is retained to monitor an issue, but whether or not
lobbying contacts will be made depends on future legislative developments.
In another case, Corporation "B," which employs an in-house
lobbyist, knows that its lobbyist will make contacts but reasonably
expects its lobbying expenditures will not amount to $22,500 in a semiannual
period. However, issues of interest to "B" turn out to be
more controversial than expected, and the $22,500 threshold is in fact
met two months later.
Lobbying Firm
"A" has no registration requirement at the present time. The
requirement to register is triggered when and if the firm makes contacts,
or reasonably expects that it will make contacts. Corporation "B's"
registration requirement arose as soon as it knew, or reasonably expected,
that its lobbying expenditures will exceed $22,500. "B" needs
to register immediately.
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![Section 5 - Special Registration Circumstance](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section5.gif) |
Lobbying Firms Retained Under A Contingent Fee
Law other
than the LDA governs whether a firm may be retained on a contingent-fee
basis. There is, for example, a general prohibition on the payment of
contingent fees in connection with the award of government contracts.
Assuming, however, that the agreement is not contrary to law or public
policy, an agreement to make lobbying contacts for a contingent fee, like
other fee arrangements triggers a registration requirement at inception.
The fee is disclosed on LD-2 for the semiannual period that the registrant
becomes entitled to it.
Example: On
January 1, 2001, Lobbying Firm "G" agrees to lobby for Client
"H" for a fee contingent on a certain result, and the agreement
is permitted under other applicable law. Lobbying activities begin.
"G" is required to register by February 14, 2001. The result
is not obtained and "G" is not entitled to any fee during
the first semiannual period. "G" must report its lobbying
activities for the first semiannual period; the income reported is "Less
than $10,000." The desired result does occur in the second semiannual
period of 2001. In the report for that period, "G" discloses
its lobbying activities for that period and the total contingent fee.
Registration for
Entities with Subsidiaries Or State and Local Affiliates
Assuming
a parent entity or national association and its subsidiary or subordinate
are separate legal entities, the parent makes a determination whether
it meets the registration threshold based upon its own activities, and
does not include subordinate units' lobbying activities in its assessment.
Each subordinate must make its own assessment as to whether any of its
own employees meet the definition of a lobbyist, and then determine if
it meets the registration threshold with respect to lobbying expenses.
Example: Lobbyist
"Z" is an employee of Company "A," which is a wholly-owned
subsidiary of Company "B." "Z's" lobbying activities
advance the interests of both. Which company is responsible for registering
and reporting under the LDA?
The registration
and reporting requirements apply to the organization of which Lobbyist
"Z" is an employee. Therefore, Company "A" would
register and file the semiannual reports.
If Company "B"
contributes $10,000 or more to "Z's" lobbying activities during
a semiannual period and plans, supervises, or controls the lobbying
activities in whole or significant part, Company "B" must
be listed on Company "A's" Form LD-1, Line 13. A contribution
may take any form, and may be direct or indirect. For example, if Company
"B" established Company "A" with an initial capital
contribution of $1,000,000, which "A" draws upon for employee
salaries, including "Z's," and to pay for office space used
by "Z," a $10,000 contribution probably has been made.
If Company "B"
is a foreign entity, and the facts are otherwise the same as above,
"B" would be listed on Line 14 of the Form LD-1 filed by Company
"A." "B's" interests in specific lobbying issues
would also be disclosed on Line 19 of Form LD-2.
The LDA does not
make any express provision for combined or consolidated filings. We are
of the view, however, that a single filing by a parent corporation may
be appropriate in some cases, especially when there are multiple subsidiaries
and the lobbyists address the same issues for all and act under the close
control of the parent. In this regard, we note that the LDA does not contain
any specific definition of "employee" (there is only the general
definition of Section 3(5)), and the policy of the LDA is to promote disclosure
of real parties in interest.
In circumstances
in which multiple subsidiaries each have only a fraction of the lobbyist's
time and little control over his work, the parent which in fact exercises
actual control can be regarded as the "employer" for LDA purposes.
In such cases, the parent may file a single registration, provided that
Line 10 of Form LD-1 discloses that the listed lobbyists are employees
of subsidiaries and the subsidiaries are identified as affiliated organizations
on Line 13.
Effect of Mergers
and Acquisitions on Registrations
The following
examples serve to illustrate hypothetical situations regarding mergers
and acquisitions:
Example 1: Corporation
"C" registered under the LDA during 2001. Effective upon close
of business on December 31, 2001, "C" merged with Corporation
"D." "D," the surviving corporation, had no lobbyist-employees
before the merger and is not registered. How and when should this information
be reported? Assuming that "D" retains at least one of "C's"
lobbyist-employees and will incur lobbying expenses of at least $22,500
during the January-June semiannual period, Corporation "D"
is required to register. The 45-day period in which its initial registration
must be filed begins to run on December 31, 2001, the date "D"
first had lobbyist-employees, and the registration is due by February
14, 2002. On the other hand, if "D" will not be lobbying after
the merger, it is not required to register. In pre-merger discussions,
Corporation "C" might have agreed to terminate its registration
and file its final lobbying report before ceasing its corporate existence.
If, however, "C" did not do so, Corporation "D"
should terminate the registration and file the outstanding lobbying
report in "C's" name. "D" may simply annotate the
signature block on Form LD-2 to indicate that it is filing as successor-in-interest
to "C."
Example 2: Lobbying
Firm "O" is a registrant under the LDA. It merges with Lobbying
Firm "P," which is also a registrant. The new entity will
be known as Lobbying Firm "T." How and when should this information
be reported? The answer depends on the particular facts. If Lobbying
Firm "T" is a newly-created legal entity, it should file a
new registration within 45 days. The registrations of both "O"
and "P" should be terminated, and separate final lobbying
reports filed for each. But if "T" is simply the new name
adopted by "O" following the merger with "P," with
"P" going out of existence, "O" should report its
new name and other updated information (such as the names of lobbyist-employees
of "P" who are retained or hired by "T") on Form
LD-2, with a cover note explaining the nature of the change. "P's"
registration should be terminated, and a final report for "P"
only should be filed.
Example 3: Corporation
"J," a registrant, acquired Corporation "K," a non-registrant.
At the time of the acquisition, "J" changed its name to "J
& K." How and when should this information be reported? For
LDA purposes, this is simply a change in the name of the registrant.
The change should be reported on Line 1 of the next semiannual report
(LD-2) with a cover memo noting the name change.
Associations or
Coalitions
The LDA
provides that "[i]n the case of a coalition or association that employs
or retains other persons to conduct lobbying activities, the client is
the coalition or association and not its individual members" (Section
3(2)). A bonafide coalition that employs or retains lobbyists on behalf
of the coalition may be the client for LDA purposes, even if the coalition
is not a legal entity or has no formal name. A registrant lobbying for
an unnamed informal coalition needs to adopt some type of identifier for
Line 7 of Form LD-1, and indicate "(Informal Coalition)" or
another applicable description. For all coalitions and associations, formal
or informal, the LDA requires further disclosures, e.g., of organizations
other than the client which contribute more than $10,000 toward the lobbying
activities of the registrant in semiannual period, and in whole or major
part plan, supervise or control the lobbying activities (Section 4(b)(3)).
Such organizations are identified on Line 13 of Form LD-1. Further, in
some cases it may be advisable for a registrant to identify members of
a coalition who are not otherwise disclosed on Line 13 or Line 14 of Form
LD-1. Consider, for example, an informal coalition consisting of only
a few members who each pay a lobbying firm at least $5,500 in fees. Arguably,
the coalition members could be viewed as separate clients for LDA purposes.
The lobbying firm treating the coalition as the client could protect itself
by disclosing the names of the coalition members. Giving the coalition
some formal organization may also be considered in this type of case.
Note that a coalition
with a foreign entity as a member must identify the foreign entity on
line 14 of LD-1 if the foreign entity meets the test of either Section
4(b)(3) or 4(b)(4).
Churches, Integrated
Auxiliaries, Conventions or Association of Churches and Religious Orders
- Hiring of Outside Firms
Although
the definition of a lobbying contact does not include a communication
made by a church, its integrated auxiliary, convention or association
of churches and religious orders (Section 3(8)(B)(xviii)), if a church
hires an outside firm that conducts lobbying activity on their behalf,
the outside firm must register if registration is otherwise required.
Registration of
Professional Associations of Elected Officials
The Section
3(15) definition of "public official" includes a professional
association of elected officials who are exempt from registration. If
the association retains an outside firm to lobby, the lobbying firm must
register if otherwise required to do so, i.e., the firm employs a lobbyist
as defined in Section 3(10) and lobbying income exceeds $5,500 in a semiannual
period.
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![Section 6 - Semi-Annual Reporting of Lobbying Activities](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section6.gif) |
When and Why a Report is Needed
Each registrant
must file a semiannual report on Form LD-2 no later than 45 days after
the end of the semiannual period beginning on the first day of each January
and the first day of July of each year in which a registrant is registered.
Lobbying firms file separate reports for each client for each semiannual
reporting period, while organizations employing in-house lobbyists file
one report covering their in-house lobbying activities each semiannual
reporting period. The Clerk and Secretary consider reports as filed timely
if they are postmarked by February 14 or August 14. In the event that
either of the aforementioned dates occur on a weekend or a federal holiday,
the next business day postmark is also considered timely. Registrants
should keep in mind that their reports are date-stamped by the House Legislative
Resource Center and the Senate Office of Public Records on the dates they
are actually received, and that inquiries regarding any discrepancy between
the date stamp and the mailing date will be directed to the registrant.
The Secretary and Clerk do not have the authority under the LDA to grant
extensions to registrants.
The obligation to
report under the LDA arises from active status as a registrant (i.e.,
a registration on file that has not been validly terminated). Section
5(a) of the LDA requires a registrant to file a report for the semiannual
period in which it incurred its registration requirement, and for each
semiannual period thereafter, through and including the reporting period
for which it terminates its registration. A timely report using Form LD-2
is required even though the registration was in effect for only part of
the reporting period. So long as a registration is on file and has not
been terminated, a registrant must report its lobbying activities even
if those activities during a particular semiannual period would not trigger
a registration requirement in the first instance (e.g., a lobbying firm's
income from a client amounted to less than $5,000 during a particular
semiannual period). A registrant with no lobbying activity during a semiannual
period completes, signs, and files the first page (only) of Form LD-2.
Example 1: "A"
is the only lobbyist of Lobbying Firm "Z" listed in the registration
filed for Client "Y" on February 14, 2001. During January-June
2001, A lobbied for "Y" nearly full-time. During the July-December
period in 2001, however, A spent less than 20 percent of her time for
"Y" in lobbying activities, all in July and August, and lobbying
fees for those two months were $20,000. For the July-December semiannual
period, Lobbying Firm "Z" must report the fees, and must report
"A's" lobbying activities.
Example 2: Lobbying
Firm "Z" is retained by Client "X" on June 1, 2001
for thirty days to lobby on a particular issue that is on the legislative
calendar and the issue is settled prior to the departure of House and
Senate Members for the July 4th recess. Firm "Z" must file
its registration by July 15, and its termination report by August 14.
Preparing to File
the Semiannual Report - Income or Expense Recording
The LDA
does not contain any special record keeping provisions, but requires,
in the case of an outside lobbying firm (including self-employed individuals),
a good faith estimate of all income received from the client, other than
payments for matters unrelated to lobbying activities. In the case of
an organization employing in-house lobbyists, the LDA requires a good
faith estimate of the total expenses of its lobbying activities. As long
as the registrant has a reasonable system in place and complies in good
faith with that system, the requirement of reporting bottom line expenses
or income would be met. Since Section 6(5) requires the Secretary and
Clerk to "retain registrations for a period of at least 6 years after
they are terminated and reports for a period of at least 6 years after
they are filed," we recommend registrants retain copies of their
filings and supporting documentation for the same length of time.
Lobbying Firm
Income
Lobbying
firms report income earned or accrued from lobbying activities during
a semiannual period, even though the client may not be billed or make
payment until a later time. For a lobbying firm, gross income from the
client for lobbying activities is reportable, including costs or disbursements
that are in addition to fees and separately invoiced. Line 12 of LD-2
provides boxes for a lobbying firm to report income of less than $10,000,
or of $10,000 or more. If lobbying income is $10,000 or more, a lobbying
firm must provide a good faith estimate of the actual dollar amount rounded
to the nearest $20,000.
Organization Expenses
using LDA Expense Reporting Method
Organizations
that employ in-house lobbyists may incur lobbying-related expenses in
the form of employee compensation, office overhead, or payments to vendors
which may include lobbying firms. Organizations must report expenses as
they are incurred, though payment may be made later. Line 13 of LD-2 provides
for an organization to report lobbying expenses of less than $10,000,
or $10,000 or more. If lobbying expenses are $10,000 or more, the organization
must provide a good faith estimate of the actual dollar amount rounded
to the nearest $20,000. Organizations using the LDA expense reporting
method mark the "Method A" box on Line 14.
To ensure complete
reporting, the Secretary and Clerk have consistently interpreted section
5(B)(4) to require such organizations to report all of their expenses
incurred in connection with lobbying activities, including all payments
to outside entities, without considering whether any particular payee
has a separate obligation to register and report under the LDA. Logically,
if an organization employing in-house lobbyists also retains a lobbying
firm, the expense reported by the organization should be greater than
the fees reported by the lobbying firm of which the organization is a
client.
All employee time
spent in lobbying activities must be included in determining the organization's
lobbying expenses, even if the employee does not meet the statutory definition
of a "lobbyist."
Example: The
CEO of a registrant, "Defense Contractor," travels to Washington
to meet with a covered DOD official regarding the renewal of a government
contract. "Defense Contractor" has already determined that
its CEO is not a "lobbyist," because he does not spend 20
percent of his time on "lobbying activities" during a semiannual
period. Nonetheless, the expenses reasonably allocable to the CEO's
lobbying activities (e.g., plane ticket to Washington, salary and benefit
costs, etc.) will be reportable.
Similarly, all expenses of lobbying activities incurred during a semiannual
period are reportable. The Section 3(7) definition of lobbying activities
is not limited to lobbying contacts.
Example: A research
assistant in the Washington office of the registrant, "Defense
Contractor" (described in the example above) researches and prepares
the talking points for the CEO's lobbying contact with the covered DOD
official. Likewise, the expenses reasonably allocable to the research
assistant's lobbying activities will be included in "Defense Contractor's"
expense estimate for the semiannual period.
The examples below
are intended to be illustrative of the possibilities of LDA expense reporting,
and are not intended to require detailed accounting rules.
Example 1: An
organization employing in-house lobbyists might choose to estimate lobbying
expenses by asking each professional staffer to track his/her percentages
of time devoted to lobbying activities. These percentages could be averaged
to compute the percentage of the organization's total effort (and budget)
that is devoted to lobbying activities. Under this example the organization
would include salary costs (including a percentage of support staff
salaries), overhead, and expenses, including any third-party costs attributable
to lobbying.
Example 2: Another
organization, which lobbies out of its Washington office, might avoid
the need for detailed breakdowns by including the entire budget of its
Washington office.
Organizations
Reporting Expenses under Section 15 (Optional IRC Reporting Methods)
Section
15(a) of the LDA allows entities that are required to report and do report
lobbying expenditures under section 6033(b)(8) of the Internal Revenue
Code ("IRC") to use IRC definitions for purposes of LDA Sections
(4)(a)(3) and 5(b)(4). Charitable organizations, as described in IRC Section
501(c)(3), are required to report their lobbying expenditures under Section
6033(b)(8) of the IRC. They may treat as LDA expenses the amounts they
treat for "influencing legislation" under the IRC.
Section 15(b) of
the LDA allows entities that are subject to section 162(e) of the IRC
to use IRC definitions for purposes of LDA Sections (4)(a)(3) and 5(b)(4).
The eligible entities include for-profit organizations (other than lobbying
firms) and tax-exempt organizations such as trade associations that calculate
their lobbying expenses for IRC purposes with reference to Section 162(e)
rules. We believe that this reporting option is available to include a
small number of trade association registrants not required by the IRC
to report non-deductible lobbying expenses to their members (i.e., those
whose members are tax-exempt).
If an eligible organization
elects to report under Section 15, it must do so consistently for both
reports covering a calendar year. The electing organization also must
report all expenses that fall within the applicable Internal Revenue Code
definition. The total that is ultimately reportable to the Internal Revenue
Service is the figure that would be used for Line 13 reporting. Line 13
of LD-2 would require any organization to report if the amount of lobbying
expenses were less than $10,000, or $10,000 or more. If the expense amount
is $10,000 or more, it should be rounded to the nearest $20,000. Line
14 of LD-2 requires the electing organization to mark as applicable, either
the "Method B" box (IRC Section 6033(b)(8)) or the "Method
C" box (IRC Section 162(e)). The Secretary and Clerk are aware that
IRC and LDA are not harmonized in terms of expense reporting, and registrants
are advised that backing out grass roots and state and local lobbying
expenses that would alter the IRS reportable total is not permitted.
Semiannual Reporting
of Lobbying Activities - Contents of Report
The two
core disclosures required by Section 5(b) and © of the LDA and incorporated
into Form LD-2 are: (1) lobbying income or expenses; and (2) lobbying
issues. LD-2 has been designed to allow registrants the greatest flexibility
in terms of document length to correspond with varying amounts of information
relating to the core disclosures. The following examples illustrate how
the nature of the core disclosures build the form.
Example 1: Registrant
"A" represents Client "B" to monitor an issue of
interest to B and make occasional lobbying contacts as necessary. During
the Mid-Year 2001 reporting period, "A" received $7,000 from
"B," but had no lobbying activity because "B's"
issue was dormant. "A" would complete the top portion of page
1 of LD-2, mark the boxes labeled "No Lobbying Activity" and"Less
than $10,000," sign and date the first page, and file the report.
Example 2: Same
circumstances as above, except that "A" has two lobbyists
who make lobbying contacts on a single lobbying issue with the Senate
and the House. In this case, the second page of LD-2 would have to be
completed, "A" would sign and date page 2, and file the report.
Example 3: Same
circumstances as example 2, but one of the lobbyists retires during
the reporting period. In this case, a third page of LD-2 would be required
as well as the first two completed pages reflecting the removal of the
lobbyist's name (his/her retirement) from A's registration and reports.
Section 5(b) requires
specific information on the nature of the lobbying activities. Page 2
of Form LD-2 requires the registrant to:
1. Disclose the
general lobbying issue area code (list 1 code per page)
2. Identify the specific issues in which the lobbyist(s) engaged in
lobbying activities
3. Identify the Houses of Congress and Federal Agencies contacted
4. Disclose the lobbyists who had any activity in the general issue
area
5. Describe the interest of a foreign entity if applicable
When reporting specific lobbying issues, some registrants have listed
only House or Senate bill numbers on the issues page without further indication
of their clients' specific lobbying issues. Such disclosures are not adequate,
for several reasons. First, Section 5(b)(2)(A) of the LDA requires disclosure
of "specific issues upon which a lobbyist employed by the registrant
engaged in lobbying activities, including ... bill numbers[.]" As
we read the law, a bill number is a required disclosure when the lobbying
activities concern a bill, but is not in itself a complete disclosure.
Further, in many cases, a bill number standing alone does not inform the
public of the client's specific issue. Many bills are lengthy and complex,
or may contain various provisions that are not always directly related
to the main subject or title. If a registrant's client is interested in
only one or a few specific provisions of a much larger bill, a lobbying
report containing a mere bill number will not disclose the specific lobbying
issue. Even if a bill concerns only one specific subject, a lobbying report
disclosing only a bill number is still inadequate, because a member of
the public would need access to information outside of the filing to ascertain
that subject. In our view, the LDA contemplates disclosures that are adequate
to inform the public of the lobbying client's specific issues from a review
of the LD-2, without independent familiarity with bill numbers or the
client's interest in specific subject matters within larger bills. The
disclosures on Line 16 must include bill numbers, where applicable, but
must always contain information that is adequate, standing alone, to inform
the public of the specific lobbying issues.
Example: Client
"A's" general lobbying issue area is "Environment."
During the second half of 2000, lobbyists for "A" made contacts
concerning the Department of Defense appropriations for environmental
restoration. For fiscal 2001, the Department of Defense Appropriations
Act was part of the Omnibus Consolidated Appropriations Act for 2001,
H.R. 3610, a lengthy and complex bill that did not have numbered sections
throughout. Title II contained separate but unnumbered provisions making
appropriations for "Environmental Restoration, Army," "Environmental
Restoration, Navy," "Environmental Restoration, Air Force,"
"Environmental Restoration, Defense-Wide," and"Environmental
Restoration, Formerly Used Defense Sites." Lobbying contacts for
Client "A" addressed all environmental restoration funding
within the Defense Department bill. An appropriate disclosure of the
specific lobbying issue would read as follows: H.R. 3610, Department
of Defense Appropriations Act for 2001, Title II all provisions relating
to environmental restoration.
The Houses
of Congress and Federal agencies contacted by lobbyists during the reporting
period must be disclosed on Line 17 of Form LD-2. The LDA adopts the Administrative
Procedure Act definition of agency found in 5 U.S.C. 551(1). Therefore,
disclose the specific agency contacted whether or not it is part of an
executive branch department. It is not necessary to report the offices
within the agency that were contacted. If lobbyists were engaged in lobbying
activities that did not involve lobbying contacts, then the registrant
must mark the "Check if None" box.
Previously
identified lobbyists and new lobbyists for this reporting period must
be listed on Line 18 of LD-2 if they had any lobbying activities during
the reporting period, whether or not they made lobbying contacts. The
issue page is only intended to reflect lobbying activity by lobbyists,
and not activity of those who are not lobbyists. Once an individual has
met the definition of a lobbyist and has been disclosed or identified
as such, he or she does not need to meet that standard every reporting
period in order to trigger disclosure of his or her lobbying activities.
The registrant does not report the names of individuals who may perform
some lobbying activities, but who do not and are not expected to meet
the LDA definition of a lobbyist.
Example: Lobbying
Firm "A" filed its initial registration for Client "B"
on February 14, listing Lobbyists "X," "Y" and "Z."
From January through June, Lobbyists "W" (hired in April)
and "X" and "Y" made contacts for "B,"
while Lobbyist "Z" was assigned work for other clients. Lobbyist
"Z" is expected, however, to be active on behalf of Client
"B" after Labor Day until adjournment. In its Form LD-2 for
Client "B," filed on or before August 14, Lobbying Firm "A"
lists "W," "X" and "Y" on Line 18. "W"
is also identified as "new," and Firm "A" would
disclose if "W" occupied a covered position within the last
two years. "Z" is not listed on the Form LD-2 filed for Client
"B" for the January - June semiannual period, but because
of the current expectation that he will lobby during the July - December
period, his name is not deleted as a lobbyist for "B."
New lobbyists
should be disclosed on the appropriate issue(s) page(s) for the reporting
period in which the individual first meets the definition of lobbyist.
We are aware that there will be situations in which a registrant expects
an individual to become a lobbyist and wishes to disclose the name of
that individual for a matter of public record. Section 5 of the LDA, however,
provides that updated registration information is contained in the registrant's
next semiannual report. Therefore, there may be a period of time in which
an individual is legitimately making lobbying contacts but is not be identified
on the public record until the next semiannual report is filed. In such
cases, the registrant reports updated information as the LDA requires.
A foreign
entity is reported on Line 19 if both of two circumstances apply: 1) the
foreign entity must be an entity that is required to be identified on
Form LD-1 or on the registration information update page. That, in turn,
depends on whether the entity meets one of the three conditions of Section
4(b)(4) of the LDA; and 2) the entity must have an interest in the specific
lobbying issues listed on Line 16. If a foreign entity has an interest
in the specific issues, Line 19 requires a description of that interest.
For the sake of clarity the registrant should indicate whether the foreign
entity(s) is/are the same as identified on the registration.
Example: "[Name
of foreign entity], identified on LD-1, exports [type of product] to
United States and would benefit from [specific desired outcome]."
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![Section 7 - Termination](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section7.gif) |
Termination of a Lobbyist
The LDA
is not specific as to how far into the future the registrant should project
an expectation that an individual will act as a lobbyist. It seems neither
realistic nor necessary to expect registrants to make such projections
beyond the next succeeding semiannual reporting period. Accordingly, if
a registrant reasonably expects an individual to meet the definition of
lobbyist in either the current or next semiannual period, the lobbyist
should remain in an "active" status. If a registrant does not
believe this to be the case, the lobbyist can be removed from the list
of lobbyists for the registrant. Line 23 of LD-2 is used to delete names
of employees who are no longer expected to act as lobbyists for the client,
due to changed job duties, assignments, or employment status.
Example 1: Lobbying
Firm "Y" registers for Client "Z" on March 15, 2001,
listing employees "A," "B," "C," and "D"
on line 10 of Form LD-1. For the first semiannual period in 2001, "Y"
will list "A," "B" and "C" on Line 18
of LD-2. "D" has no lobbying activities for that semiannual
period, so he would not be listed. During the second half of 2001, "D"
leaves firm "Y" to start his own lobbying business. For the
second semiannual period, "Y" will report that "D"
no longer meets the definition of "lobbyist" for Client "Z"
on Line 23 of LD-2.
Example 2: Lobbying Firm "Y" registers for Client "Z"
as above listing the aforementioned "A," "B," "C,"
and "D" as lobbyists on March 15, 2001. One month after registration,
"C" and "D," who engaged in lobbying activities
for "Z" as partners of "Y," decide to leave the
partnership effective June 1, 2001. On the Mid-Year Report for 2001,
"Y" would report any lobbying activity for "C" and
"D" on Line 18 of LD-2. "Y" would also reflect "C"
and "D's" departure by listing them on Line 23 of LD-2 in
the same filing.
Termination of
a registrant/client relationship
Under Section
4(d) of the LDA, a lobbying firm may terminate a registration for a particular
client when it is no longer employed or retained by that client to conduct
lobbying activities and does not anticipate further lobbying activities
for that client. An organization employing in-house lobbyists may terminate
its registration when in-house lobbying activities have ceased and are
not expected to resume. Similarly, in situations in which a registration
is filed in anticipation of meeting the registration threshold that is
never met, a registrant also has the option of termination. Just as we
have been interpreting that the obligation to report semiannually under
the LDA arises from active status as a registrant (Sections 5(a), 5(b)(2),
5(b)(3), 5(b)(4)), we believe that a report disclosing the final lobbying
activity of a registrant is mandatory. In order to terminate the registration,
the registrant must file Form LD-2 by the next semiannual filing date,
checking the "Termination Report" box, and supplying the date
that the lobbying activity ended. A valid termination report discloses
lobbying income or expenses and any lobbying activity by lobbyists during
the termination period.
Example 1: Lobbying
Firm "A" accepted a contract with Client "B" on
January 1, 2001, began lobbying activities, and timely registered on
or before February 14. On March 31, the contract with "B"
ended. Lobbying Firm "A" must file Form LD-2 by August 14,
2001, disclosing the lobbying income from and lobbying activity for
Client "B" that took place between January 1 and March 31.
The firm will check the "Midyear" box on Line 8, the "Termination
Report" box on Line 10, and fill in "3/31/01" in the
termination date space (also on Line 10).
Example 2: Corporation "C" filed its registration on February
14, 2001, listing employee "E" as its only lobbyist. Through
June 30, "E" spends less than 20 percent of her total time
in lobbying activities. "C" would not have filed a registration
if it had foreseen that its lobbying activities would be so limited,
and there is no expectation that "E" or any other employee
of "C" will meet the Section 3(10) definition of "lobbyist"
for the July-December semiannual period nor that lobbying expenses will
exceed $22,500. While Corporation "C" as a registrant must
file a report for January-June 2001, "C" will check the "Termination
Report" box on Form LD-2, write in 6/30/01, disclose the amount
of expenses for the reporting period and "E's" lobbying activity
for the reporting period.
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![Section 8 - Relationship of LDA to Other Statutes](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section8.gif) |
LDA and FARA
The technical
amendments to the LDA reflected a determination that the FARA standards
are appropriate for lobbying on behalf of foreign governments and political
parties, but that LDA disclosure standards should apply to other foreign
lobbying (also refer to the section in this document entitled "What
is New?"). An agent of a foreign commercial entity is exempt under
FARA if the agent has engaged in lobbying activities and registers under
the LDA. An agent of a foreign commercial entity not required to register
under the LDA (such as those not meeting the de minimis registration thresholds)
may voluntarily register under the LDA. The amendments reaffirm the bright
line distinction between governmental and non-governmental representations,
and are not meant to shroud foreign government enterprises. Questions
relating to the Foreign Agents Registration Act must be directed to the
Department of Justice Foreign Agent Registration Unit at (202) 514-1216.
LDA and IRC
The LDA
and the IRC intersect in three different ways. Restrictions on lobbying
by tax-exempt organizations are governed by the definitions in the IRC,
not those of the LDA.
First, Section 15
defines which registrants are eligible for the "safe harbor."
Section 15 allows entities that are required to report and do report lobbying
expenditures under section 6033(b)(8) of the IRC to use IRC definitions
for purposes of LDA Sections (4)(a)(3) and 5(b)(4). Section 15(b) of the
LDA allows entities that are subject to section 162(e) of the IRC to use
IRC definitions for purposes of LDA Sections (4)(a)(3) and 5(b)(4).
Second, Section 15
advises registrants regarding how they should use IRC definitions. Prior
to the technical amendments the statute was not clear as to the extent
to which eligible organization could use IRC definitions for other reporting
and disclosure requirements of the LDA. As a result of the amendments,
registrants who make the Section 15 election must use IRC definitions
(including the IRC definition of a covered executive branch official)
for executive branch lobbying, and LDA definitions for legislative branch
lobbying.
Third, Section 15
allows electing registrants to plug in the amount that is ultimately reportable
to the Internal Revenue Service for LDA semiannual reports.
LDA and False
Statements Accountability Act of 1996
The False
Statements Accountability Act of 1996, amending 18 U.S.C. § 1001,
makes it a crime knowingly and willfully (1) to falsify, conceal or cover
up a material fact by trick, scheme or device; (2) to make any materially
false, fictitious, or fraudulent statement or representation; or (3) to
make or use any false writing or document knowing it to contain any materially
false, fictitious, or fraudulent statement or entry; with respect to matters
within the jurisdiction of the legislative, executive, or judicial branch.
The False Statements Accountability Act does not assign any responsibilities
to the Clerk and Secretary.
LDA and Prohibitions
on the Use of Federal Funds For Lobbying
The LDA
does not itself regulate lobbying by federal grantees, or contractors,
though other laws, as well as contractual prohibitions, may apply. Questions
concerning lobbying activities of federal grantees or contractors should
be directed to the appropriate agency or office administrating the contract
or grant.
Note, however,
that Section 18 of the LDA prohibits 501(c)(4) organizations who engage
in lobbying activities from receiving federal funds through an award,
grant or contract.
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![Section 9 - Public Availability](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section9.gif)
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The Act requires the Secretary of the Senate and the Clerk of the House
of Representatives to make all registrations and reports available to
the public as soon as practicable after they are received.
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![Section 10 - Review and Compliance](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section10.gif) |
The Secretary of the
Senate (Office of Public Records) and the Clerk of the House (Legislative
Resource Center) must review, verify, and request corrections in writing
to ensure the accuracy, completeness, and timeliness of registrations filed
under the Act.
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![Section 11 - Penalties](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/section11.gif) |
Whoever knowingly fails:
(1) to correct a defective filing within 60 days after notice of such a
defect by the Secretary of the Senate or the Clerk of the House; or (2)
to comply with any other provision of the Act, may be subject to a civil
fine of not more than $50,000.
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![For Further Information](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/headers/furtherInfo.gif) |
Contact the Senate Office of Public Records, 232 Hart Senate Office Building,
Washington, DC 20510, (202) 224-0758, or the House Legislative Resource
Center, B-106 Cannon House Office Building, Washington, DC 20515, (202)
226-5200. |
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![Lobby Disclosure Forms](https://webharvest.gov/peth04/20041018151324im_/http://clerk.house.gov/images/featureBoxes/lobbyForms.gif) |
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Special Notice: The new category code for lobbying issues on or related to Homeland Security is: HOM
Download LD Forms
New Lobbyist (Form LD1)
Instructions| LD1 PDF
Previously Registered Lobbyists (Form LD-2)
Instructions | LD2 PDF
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