Current through Register Vol. 46, No. 12, March 20, 2024
(a) Purpose. The purpose of the Statement of
Registration is to memorialize the engagement of the Lobbyist by the Client,
and should reflect the then-current terms of the engagement at any point in
time.
(b) Reporting Threshold.
(1) Pursuant to section 1-e of the Lobbying
Act, every Lobbyist that incurs, expends, or receives or reasonably anticipates
incurring, expending, or receiving more than $5,000 in combined Reportable
Compensation and Expenses for Lobbying Activity on a State and/or local level,
in any calendar year during the biennial period, must file a biennial Statement
of Registration with the Commission.
(2) For purposes of determining whether the
thresholds have been met, the amounts incurred, expended or received shall be
computed cumulatively for all Lobbying Activities.
(c) For purposes of this section, "biennial"
shall mean every two-year period commencing with the January 1, 2005 - December
31, 2006 period, and so on thereafter.
(d) Once a Lobbyist meets or anticipates
meeting the cumulative $5,000 threshold, a Lobbyist must file a Statement of
Registration for every Client for whom the Lobbyist lobbies, regardless of
Compensation or Expenses paid by each Client individually.
(1) A Statement of Registration must be filed
for each Lobbyist/Client relationship emanating from the same lobbying
agreement or authorization to lobby for the same purpose.
(e) Due Dates. All Statements of Registration
must be filed on a biennial basis by the following deadlines ("Due Dates"):
(1) January 1st of the first year of the
biennial period if:
(i) the Lobbyist is
providing services under an agreement that is in effect both th before December
15 of the year immediately preceding the first year of a biennial registration
period and after January 1st of the first year of a biennial registration
period; and
(ii) the Lobbyist
reasonably anticipates combined Reportable Compensation and Expenses in excess
of $5,000 for Lobbying Activities to be undertaken in the coming
year.
(2) Within 15 days
of being retained, employed, or designated to Lobby, if:
(i) the Lobbyist has been retained, employed,
or designated to Lobby after December 15th of the
year preceding the first year of the biennial period, for activity in either
year of the biennial period.
(a) Such
Statement of Registration should be filed within 15 days of the date on which
the Lobbyist has agreed to - or been authorized to - begin Lobbying
Activity.
(b) The Commission
considers such date to be the start date provided in the Lobbying Agreement or
authorization, not the date of execution.
(c) No later than 10 days after exceeding the
$5,000 threshold, if the Lobbyist actually incurs or receives combined
Compensation and Expenses in excess of $5,000 before filing a Statement of
Registration.
(f) A Statement of Registration is not deemed
to be received unless and until the Statement is complete and includes the
filing fee and all the required elements set forth in subsection
943.10(j).
(g)
(1) Any submitted Statement of Registration
that is not timely filed will be subject to the late fee schedule set forth
below:
DAYS LATE
|
ACTION
|
|
First-Time Filer
|
All Other Filers
|
1 - 7 days
|
Grace Period/No Late Fee
|
8 - 14 days
|
$75 flat late fee
|
$150 flat late fee
|
15 - 30 days
|
$150 flat late fee
|
$300 flat late fee
|
31 - 90 days
|
$300 flat late fee
|
$500 flat late fee
|
91 - 180 days
|
$500 flat late fee
|
$1,000 flat late fee
|
181 days and more
|
$1,000 flat late fee
|
$2,000 flat late fee
|
A Lobbyist is considered a First-Time Filer only when the
Lobbyist is required to file a Statement of Registration for the first time.
First-Time Filer status applies to the first Statement of Registration received
by the Commission from such Lobbyist and any other Statements received from
such Lobbyist on that same day.
(2) Un-Executed Lobbying Agreement Form. A
lobbyist who is prepared to register, but is awaiting the return of an executed
lobbying agreement back from a Client may avoid the statutory late fees,
provided the following criteria are met:
(i)
A Statement of Registration or amendment is otherwise filed completely and
timely with:
(a) a copy of the un-executed
Agreement that was provided to the Client for signature; and
(b) a completed Un-Executed Lobbying
Agreement form, as provided by the Commission;
(ii) No lobbying occurs and no compensation
is received or billed until the executed Agreement is provided to the
Commission;
(iii) The Agreement is
executed within 30 days of the original submission of the Statement of
Registration or amendment.
(a) An amended
Statement of Registration that includes the executed Agreement must be
submitted within 10 days of the execution date; and
(iv) The lobbyist has not previously received
an extension from the Commission related to that particular Statement of
Registration or amendment.
(h) If the Commission determines that the
Lobbyist had access to the information that was not filed, and knowingly and
willfully failed to include the information, the Lobbyist may be subject to a
civil penalty not to exceed $25,000 for a failure to timely file a complete and
accurate statement.
(i) Filing Fee.
(1) A $200 filing fee (payable in U.S.
dollars) must be submitted with each Statement of Registration for the biennial
period that the Lobbyist reasonably anticipates exceeding $5,000 in combined
Reportable Compensation and Expenses for any year in the biennial period. A
Statement of Registration submitted without such a filing fee shall be deemed
incomplete.
(2) No fee is required
if the Lobbyist will not exceed $5,000 in such Compensation and Expenses for
that Client, however, a fee is required if the Lobbyist later exceeds the
$5,000 threshold.
(3) Any biennial
Statement of Registration submitted to cover Lobbying conducted only during the
second year of the biennial period shall be accompanied by a prorated
registration fee of $100.
(4)
Statement of Registrations that are filed late and cover either the entire
biennial period or a portion of both years within the biennial period shall not
be prorated.
(5) No filing fee is
required of any Public Corporations required to file a biennial public
corporation registration statement.
(6) Filings fees are
non-refundable.
(j)
Required Contents of a Statement of Registration.
Every Statement of Registration filed shall include the
following:
(1) An executed Lobbying
Agreement form, as provided by the Commission, or a copy of a signed, written
Lobbying agreement or written authorization.
Note: When a Lobbying contract or agreement exists, a
Lobbyist may either submit such contract/agreement with a Statement of
Registration or use the Lobbying Agreement form provided by the Commission; in
such a case, however, a Lobbyist may not submit a written authorization in lieu
of the contract/agreement.
(i) Copies
of Lobbying agreements or written authorizations must contain the following:
(a) A start date, which is the first date the
Lobbyist has agreed to or been authorized to Lobby;
(b) Signatures of the Responsible Party for
the Contractual Client and Lobbyist, or another person with the authority to
enter the Lobbyist into a binding contract;
(c) The date(s) of execution;
(d) A statement indicating that other
services will be provided in addition to Lobbying, if applicable;
(e) A termination date, which is the last
date the Lobbyist has agreed to or been authorized to Lobby;
(1) in the case of a month-to-month
agreement, the termination date shall be presumed to be the end of the current
biennial period, unless otherwise specified; and
(f) The Compensation to be paid specifically
for Lobbying services, including pay frequency and/or rate of pay.
(1) If the Lobbyist is retained for Lobbying,
the actual Compensation must be reported.
(2) If the retainer is based on a daily or
hourly rate, the fee per day or per hour must be reported.
(3) If multiple parties with multiple hourly
rates will be covered by the retainer, all rates shall be disclosed.
(4) If the Lobbyist is an Employed Lobbyist,
as defined in Part 943.3(h), the Lobbyist's prorated salary for Lobbying
Activity must be reported.
(ii) If the Lobbyist is retained under terms
of an oral agreement, a written summary of such terms may be submitted with a
Statement of Registration. In addition to the requirements listed in subsection
943.10(j)(1) such authorization must be signed by Responsible
Party.
(2) The name of
the Principal Lobbyist.
(i) If an individual
Lobbyist is an employee or partner of an organization or firm, the organization
or firm should always be identified as the Principal Lobbyist unless the
individual has been retained in his individual capacity.
(ii) The Principal Lobbyist should only be
listed as an individual if the Lobbyist conducts business in his own
name.
(iii) A Public Corporation
that lobbies on its own behalf is the Principal Lobbyist.
(3) The name of all Individual Lobbyists to
perform lobbying services on behalf of the Client; provided, however:
(i) in the case of a Lobbying Organization
that incurs no Compensation for Individual Lobbyists and only Expenses, no
Individual Lobbyists need be identified on the Statement of
Registration;
(ii) in the case of a
Statement of Registration by a Public Corporation, in addition to any
Individual Lobbyists, list any officer or employee of such Public Corporation
who engages in any Lobbying Activities.
(iii) an independent contractor may only be
identified as an Employed Lobbyist if the person meets the criteria established
in subsection
943.3(h);
(4) The subject matter on which the Lobbyist
expects to Lobby;
(5) The target(s)
of the expected Lobbying, including the person, organization, entity, or
legislative body before which the Lobbyist intends to Lobby;
(6) The government activity on which the
Lobbying is expected to occur, which shall include the following, as known at
the time of filing:
(i) bill, rule,
regulation, rate number or brief description relative to the introduction or
intended introduction of legislation or a resolution;
(ii) the title and identifying numbers of
Procurement Contracts/documents or a general description of the
Procurement;
(iii) the number or
subject matter of an Executive Order of the Governor or Municipality;
and
(iv) the subject matter of and
tribes involved in tribal-state compacts;
(7) Client information for all Contractual
and Beneficial Clients, which shall include the Clients' names, business
addresses, phone and email contacts, the nature of business, and the Chief
Administrative Officers' names and titles.
(i)
if the Registration relates to Lobbying on behalf of a Structured Coalition or
a Member of an Unstructured Coalition, the Client information for Contractual
and Beneficial Clients shall be governed by the rules set forth in Section
943.9(h)(3)(iv) and
(v).
(8) The level of government expected to be
lobbied which shall indicate whether the expected Lobbying will be State
lobbying, local Lobbying or both;
(9) The identities of any Co-Lobbyists or
Sub-Lobbyists, as described in subsection
943.9(h),
if applicable; and
(10) Any
Reportable Business Relationships in accordance with and as defined in section
943.14.
(k) Amendments to Lobbyist
Statement of Registration.
(1) Except as
provided in subsection 943.10(k)(3), any change - permanent or temporary - to
the terms of an agreement or authorization for Lobbying requires an amended
Lobbyist Statement of Registration form, which must be completed and filed with
the Commission within 10 days of such change. Such amendment must include:
(i) The name of the Lobbyist and Client;
(ii) The new or changed
information; and
(iii) The
signature of the Responsible Party or designee, if applicable.
(2) A Lobbyist must, within 10
days of the change, amend a Statement of Registration to reflect any changes to
the:
(i) Individual Lobbyists authorized to
Lobby for the Client;
(ii) Level of
Lobbying (State vs. local);
(iii)
Terms of Compensation; or
(iv)
Engagement start and termination dates, including when the parties wish to
continue the lobbying arrangement beyond the termination date. Failure to make
such amendments are subject to the imposition of late fees as set forth in
subsection 943.10(g).
(3)
Changes to the subject matter or targets of Lobbying do not require an amended
Statement of Registration.
(4) No
filing fee is required for a Registration Amendment provided the original
Statement of Registration filing fee has already been paid for the applicable
biennial period.
(5)
After the termination of the Agreement, any decision by a
Lobbyist to waive, writedown, or otherwise reduce the prior Compensation and
Expenses owed to the Lobbyist by the Client does not require an Amended
Statement of Registration.
(l) Termination of Lobbying
Agreement/Authorization.
(1) If a Lobbying
agreement or authorization terminates on the date specified in the agreement or
authorization, then neither the Lobbyist or the Client must notify the
Commission in writing of such termination. Likewise, if the termination takes
effect at the end of the biennial registration cycle, written notification of
termination is not required. However, if the agreement or authorization is
terminated before the termination date, both the Lobbyist and the Client must
notify the Commission in writing within 30 days after the Lobbyist ceases
Lobbying Activity.
(m)
Withdrawals.
(1) A Lobbyist may request that
a Statement of Registration be withdrawn, provided the request is made
consistent with and meets the criteria set forth in procedures implemented by
the Commission.
(2) A Statement of
Registration that has been withdrawn pursuant to this subpart is not considered
information provided by a Lobbyist under Section 1-s of the Lobbying
Act.