Current through Register Vol. 46, No. 12, March 20, 2024
(a) Reporting Periods and Due Dates. The two
reporting periods for Client Semi-Annual Reports are as follows:
(1) January 1 - June 30, for which the Report
is due by July 15th; and
(2) July 1 - December 31, for which the
Report is due by January 15th.
(b) Late Fees and Penalties. Failure to file
a Client Semi-Annual Report in a timely manner as required by this section
subjects the Client to civil penalties as prescribed by section 1- o(b)(i) of
the Lobbying Act and/or late fees as prescribed in section 1-j(c)(iii) of the
Lobbying Act. In addition, the submission of false filings subjects the
Lobbyist or Client to a civil penalty as prescribed by section 1-o(b)(ii) of
the Lobbying Act.
Any Client Semi-Annual Report 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 Client is considered a First-Time Filer only when the
Client is required to file a Client Semi-Annual Report for the first
time.
(c) Filing Fee. Each
Client Semi-Annual Report must be accompanied by a $50 non-refundable filing
fee (payable in US dollars). No additional filing fee is required for amended
Client Semi-Annual Reports provided an original fee is on file for that
period.
(d) When Required.
(1) A Client Semi-Annual Report must be filed
by any Client retaining, employing or designating a Lobbyist or Lobbyists,
whether or not any such Lobbyist was required to file a Statement of
Registration or Bi-Monthly Report, if it is reasonably anticipated that during
the year an amount in excess of $5,000 in combined Reportable Compensation and
Expenses for Lobbying will be expended or incurred.
(i) If a Client is required to file a Client
Semi-Annual Report solely by virtue of its status as a
Lobbying Organization, i.e., through its use of Employed or Designated
Lobbyists, and the Client has filed Lobbyist Bi-Monthly Reports for the
bi-monthly reporting periods that fall in the same Client semi-annual reporting
period, then no Client Semi-Annual Report is required, other than source of
funding disclosures prescribed by Part 938 of this Title and section 1-j(c)(4)
of the Lobbying Act.
(2)
If the $5,000 reporting threshold is exceeded in the January/June period, then
a July/December Client Semi-Annual Report must be filed even if no further
monies are expended, unless the written agreement or authorization with the
Client's Lobbyist is terminated on or before June 30th.
(3) If a January/June Client Semi-Annual
Report is filed and the $5,000 reporting threshold has not been met for the
year, then a July/December Client Semi-Annual Report is not required.
(e) Responsible Party. The
Responsible Party of the Client or another duly designated and reported to the
Commission (prior to the due date for such Report) is responsible for signing
and filing all Client reports. Any such designation must be signed by the
Responsible Party and Designee.
(f)
Contents of a Client Semi-Annual Report. A Client Semi-Annual Report must
include the following information:
(1) The
type of Lobbying which shall indicate whether the Lobbying involved
non-procurement Lobbying, Procurement Lobbying or both;
(2) The Client Information which shall
include the Client's name, address, e-mail address, and business and fax
numbers
(i) If the Report 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);
(3) The Lobbyist Information which shall
include the type of Lobbyist, level of government lobbying (State and/or
local), Lobbyist name and address;
(4) All Reportable Expenses (as defined in
section
943.9
) expended, received or incurred for Lobbying for the current period
only;
(5) All Reportable Lobbying
Compensation (as defined in section
943.9
) paid or owed to Lobbyists, including Retained Lobbyists, Employed Lobbyists,
and Designated Lobbyists, for the current period only;
(6) The identities of any Co-Lobbyists or
Sub-Lobbyists as described in subsection
943.9(h),
if applicable;
(7) The subject
matter(s) on which Lobbying occurred;
(8) The governmental action that the Client
or the Client's Lobbyist Attempted to Influence which shall include the
following, as applicable:
(i) The bill, rule,
regulation, or rate number, if available, on which Lobbying occurred;
(ii) The title and identifying numbers of
Procurement Contracts/documents on which Lobbying occurred;
(iii) The number or subject matter of an
Executive Order of the Governor or Municipality on which Lobbying
occurred;
(iv) The subject matter
of and tribes involved in tribal-state compacts on which Lobbying occurred;
and/or
(v) In the event Lobbying is
conducted in order to influence the introduction, intended introduction, or
issuance of State legislation or a State resolution, a brief description of
such activity.
(9) The
name of the person, organization, or legislative body before which the Client
or Client's Lobbyist has lobbied:
(i) In the
case of Direct Lobbying, the name of the Public Official or Public Official's
office or the legislative committee, as applicable, with whom the Client or
Client's Lobbyist engaged in direct communication;
(ii) In the case of Grassroots Lobbying, the
intended target of the Lobbying Activity, which may be a person, State Agency,
Municipality or legislative body;
(10) Any Reportable Business Relationships in
accordance with and as defined in section
943.14,
provided, however, Clients who Lobby on their own behalf need only report such
relationships in their Lobbyist Statement of Registration; and
(11) Any Sources of Funding, if applicable,
in accordance with Part 938 of this Title.
(g) Public Corporations. Notwithstanding the
provisions of this section, a Public Corporation that is required to file a
Statement of Registration under section 1-e of the Lobbying Act is required to
file Bi-Monthly Reports that disclose information on any Retained Lobbyists; as
a result, the Public Corporation is not required to file a Client Semi-Annual
Report.
(h) Withdrawals.
(1) A Client may request that a Semi-annual
Report be withdrawn, provided the request is made consistent with and meets the
criteria set forth in procedures implemented by the Commission.
(2) A Semi-Annual Report that has been
withdrawn pursuant to this subpart is not considered information provided by a
Lobbyist under Section 1-s of the Lobbying Act.
(i) A Client has a duty to amend a
Semi-Annual Report after a change to the information filed, including when a
previously reported payment is written down, written off, or otherwise modified
for bookkeeping purposes. However, after the termination of
the Agreement, any decision by a Lobbyist to write down, write off, or
otherwise modify a previously reported payment does not require an Amended
Semi- Annual Report.
