Lobbying Disclosure and Ethics Proposals Related to Lobbying Introduced in the 109th Congress: A Comparative Analysis

Congressional research reportJun 9, 2006

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Order Code RL33234

CRS Report for Congress

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Lobbying Disclosure and Ethics Proposals

Related to Lobbying Introduced in the 109th

Congress: A Comparative Analysis

Updated June 9, 2006

R. Eric Petersen

Analyst in American National Government

Government and Finance Division

Congressional Research Service ˜ The Library of Congress

Lobbying Disclosure and Ethics Proposals Related to

Lobbying Introduced in the 109th Congress:

A Comparative Analysis

Summary

The regulation of lobbying activities by lobbyists, and the actions that certain

members of the executive branch and legislative branch may take in their interactions

with lobbyists, are governed by laws and congressional rules. Several proposals to

revise these laws and congressional rules with regard to lobbying activities and the

disclosure of such activities by lobbyists and Members of Congress have been

introduced in the 109th Congress.

In the House, these measures include H.R. 4975, the Lobbying Accountability

and Transparency Act of 2006; H.R. 5036, the Full Disclosure in Lobbying Act; H.R.

4948, the Ethics Reform Act of 2006; H.R. 4920, the Accountability and

Transparency in Ethics Act; H.R. 4799, to establish a legislative branch office of

public integrity; H.R. 4787, the Truth-in-Lobbying Disclosure Act; H.R. 4738, the

Commission to Strengthen Confidence in Congress Act of 2006; H.R. 4696, the

Restoring Trust in Government Act; H.R. 4682, the Honest Leadership and Open

Government Act of 2006; H.R. 4671 the Keep Lobbying Clean Act; H.R. 4670, the

Clarity in Lobbying Act; H.R. 4667, the Lobbying Transparency and Accountability

Act of 2006; H.R. 4658, to prohibit former Members of Congress from engaging in

certain lobbying activities; H.R. 4575, the Lobbying Transparency and

Accountability Act of 2005; H.R. 3623, to increase to five years the period during

which former Members of Congress may not engage in certain lobbying activities;

the Lobby Gift Ban Act of 2005; H.R. 2412, the Special Interest Lobbying and Ethics

Accountability Act of 2005, introduced by Representative Martin Meehan; H.R. 1302

and H.R. 1304, both entitled the Stealth Lobbyist Disclosure Act of 2005; and H.Res.

81, directing the Clerk of the House to post on the Internet all lobbying registrations

and reports filed with the Clerk under Lobbying and Disclosure Act. On February

1, 2006, the House adopted H.Res. 648 amending House Rules to deny admittance

to the House floor and certain House facilities to former Members who lobby.

Measures related to lobbying issues introduced in the Senate include S. 2349,

the Legislative Transparency and Accountability Act of 2006; S. 2265, the Pork

Barrel Reduction Act; S. 2261, the Transparency and Integrity in Earmarks Act of

2006; S. 2259, the Congressional Ethics Enforcement Commission Act of 2006; S.

2233, the Lobbyist Reform Act of 2006; S. 2186, the Commission to Strengthen

Confidence in Congress Act of 2006; S. 2180, the Honest Leadership and Open

Government Act of 2006; S. 2128, the Lobbying Transparency and Accountability

Act of 2005; S. 1972, the Terrorist Lobby Disclosure Act of 2005; and S. 1398, the

Lobbying and Ethics Reform Act of 2005.

This report, which will be updated as events warrant, provides context,

comparison, discussion, and analysis of the issues addressed in the legislative

proposals that have been introduced in the 109th Congress to address lobbying

disclosure and related laws and congressional rules. For further information, see the

CRS Current Legislative Issues page on Lobbying, Ethics and Related Procedural

Reform at [http://beta.crs.gov/cli/cli.aspx?PRDS_CLI_ITEM_ID=2405].

Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

House Proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Proposals Adopted by the House . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Status of Proposals Passed by the House . . . . . . . . . . . . . . . . . . . . . . . . 4

Senate Proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Current Status of Proposals Passed by the Senate . . . . . . . . . . . . . . . . . 5

Issues Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Issues Addressed Under Current Proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Definition of Client and Specification of Client Activities . . . . . . . . . . . . . . 7

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Broader and More Frequent Disclosure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Timing of Registration and Frequency of Disclosure Reports . . . . . . . . 8

Lobbying Disclosure Expense Thresholds and Estimates . . . . . . . . . . . 9

Grassroots Lobbying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Third Party Lobbying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Disclosure by Recipients of Federal Funds . . . . . . . . . . . . . . . . . . . . . 11

Contact with a Covered Official . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Electronic Filing of Lobbying Registration and Disclosure Reports . . 11

Making LDA Disclosure Information Available Via the Internet . . . . 12

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Linking Lobbying Disclosure Information with Federal Election

Commission Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Tax Treatment of Lobbying Coalitions and Associations . . . . . . . . . . . . . . 13

Revolving Door Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Past Executive or Legislative Branch Employment, Current

Employment Negotiations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Spouse and Other Family Members of Senators . . . . . . . . . . . . . . . . . 15

Post Employment Restrictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Floor Privileges for Former Members Who Lobby . . . . . . . . . . . . . . . 16

House Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Disclosure of Lobbyist Contributions and Payments . . . . . . . . . . . . . . . . . . 17

Campaigns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Travel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Honors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Gifts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Penalties for LDA Noncompliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Disclosure of Contact with Lobbyists Representing State Sponsors of

Terrorism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Lobbying and Campaigns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Other Employment Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

LDA Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Oversight of Ethics and Lobbying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Further Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Lobbying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Congressional Ethics Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Congressional Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Campaign Finance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

Lobbying Disclosure and Ethics Proposals

Related to Lobbying Introduced in the 109th

Congress: A Comparative Analysis

Introduction

The regulation of lobbying activities by lobbyists, and the actions that certain

members of the executive and legislative branches may take in their interactions with

lobbyists, are governed by laws and congressional rules. These include

the Lobbying Disclosure Act of 1995 (LDA),1 as amended by the

Lobbying Disclosure Technical Amendments Act of 1998.2 LDA

requires lobbyists who are compensated for their actions, whether an

individual or firm, to register and to file with the Clerk of the House

and the Secretary of the Senate semiannual reports of their activities.

House Rule XXV, Limitations on Outside Earned Income and

Acceptance of Gifts. Sections of the rule govern the acceptance of

gifts by Representatives, Delegates, the Resident Commissioner of

Puerto Rico, their staffs, and other employees of the House.

House Rule IV, The Hall of the House. Sections of the rule govern

who may have access to the floor of the House.

Senate Rule XXXV, Gifts. The rule governs acceptance of gifts by

Senators, their staffs and Senate employees.

Senate Rule XXIII, Privileges of the Floor. Sections of the rule

govern who may have access to the floor of the Senate.

18 U.S.C. 207, which specifies limitations on lobbying activities by

former executive branch officials, Members of Congress, and

congressional staff.

Concerns related to the efficacy of current lobbying disclosure practices have

also been linked to other activities carried out by lobbyists. These include campaign

P.L. 104-65, Lobbying Disclosure Act of 1995 (109 Stat. 691, 2 U.S.C. 1601).

P.L. 105-166, Lobbying Disclosure Technical Amendments Act of 1998 (112 Stat. 38, 2

U.S.C. 1601 note).

CRS-2

finance practices governed by the Federal Election Campaign Act of 1971 (FECA),3

as amended,4 and the inclusion of earmarks advocated by lobbyists in legislation.5

This report provides context, comparison, and discussion of the proposals

contained in the various legislative proposals, as introduced in the 109th Congress.

Committee and floor consideration of three measures, H.Res. 648, S. 2349, and S.

2128 is discussed in CRS Report RL33293, Lobbying and Related Reform

Proposals: Consideration of Selected Measures, 109th Congress, by R. Eric

Petersen. For further background and analysis of the current proposals, please

consult CRS Report RL33065, Lobbying Disclosure Reform: Background and

Legislative Proposals, 109th Congress, by R. Eric Petersen; CRS Report RL33237,

Congressional Gifts and Travel, Legislative Proposals for the 109th Congress, by

Mildred Amer; CRS Report RL33295, Comparison of Selected Senate Earmark

Reform Proposals, by Sandy Streeter; and CRS Report RL32954, 527 Political

Organizations: Legislation in the 109th Congress, by Joseph E. Cantor and Erika

Lunder.

House Proposals

Several proposals have been introduced in the 109th Congress to revise these

laws and congressional rules regarding lobbying activities and the disclosure of those

activities by lobbyists and Members of Congress. In the House, these measures

include the following:

H.R. 4975 the Lobbying Accountability and Transparency Act of

2006, introduced by Representative David Dreier;6

H.R. 5036, the Full Disclosure in Lobbying Act introduced by

Delegate Madeleine Z. Bordallo;

H.R. 4948, the Ethics Reform Act of 2006, introduced by

Representative Earl Blumenauer;

2 U.S.C. 431.

See CRS Report RL32954, 527 Political Organizations: Legislation in the 109th

Congress, by Joseph E. Cantor and Erika Lunder; and CRS Issue Brief IB87020, Campaign

Finance, by Joseph E. Cantor.

See CRS Report RL33295, Comparison of Selected Senate Earmark Reform Proposals,

by Sandy Streeter; and CRS Report 98-518, Earmarks and Limitations in Appropriations

Bills, by Sandy Streeter.

Representative Dreier, who is chairman of the Committee on Rules, was designated by the

Speaker to develop legislation related to lobbying and ethics provisions on behalf of the

House majority. “House Speaker Hastert and Rep. Dreier Hold News Conference on

Lobbying Reform,” transcript, CQ.com, Jan. 17, 2006, at [http://www.cq.com/

display.do?dockey=/cqonline/prod/data/docs/html/transcripts/newsmaker/109/newsmake

rtranscripts109-000002036139.html@committees&metapub=CQ-TRANSCRIPTS&sear

chIndex=1&seqNum=15], and Kenneth P. Doyle and Nancy Ognanovich, “Hastert Pushes

for New Lobbying Reform to Cope With Fallout From Abramoff Plea,” BNA Daily Report

for Executives, Jan. 10, 2006, p. A-18.

CRS-3

H.R. 4920, the Accountability and Transparency in Ethics Act,

introduced by Representative Michael Castle;

H.R. 4799, to establish a legislative branch office of public integrity,

introduced by Representative Christopher Shays;

H.R. 4787, the Truth-in-Lobbying Disclosure Act, introduced by

Representative John Doolittle;

H.R. 4738, the Commission to Strengthen Confidence in Congress

Act of 2006, introduced by Representative Mark Udall;

H.R. 4696, the Restoring Trust in Government Act, introduced by

Representative Mike Rogers of Michigan;

H.R. 4682, the Honest Leadership and Open Government Act of

2006, introduced by Representative Nancy Pelosi;

H.R. 4671, the Keep Lobbying Clean Act, introduced by

Representative Scott Garrett;

H.R. 4670, the Clarity in Lobbying Act, introduced by

Representative Scott Garrett;

H.R. 4667, the Lobbying Transparency and Accountability Act of

2006, introduced by Representative Michael Fitzpatrick;

H.R. 4658, to prohibit former Members of Congress from engaging

in certain lobbying activities, introduced by Representative Mark

Kennedy;

H.R. 4575, the Lobbying Transparency and Accountability Act of

2005, introduced by Representative Christopher Shays;

H.R. 3623, to increase to five years the period during which former

Members of Congress may not engage in certain lobbying activities,

introduced by Representative Robert Andrews;

H.R. 3177, the Lobby Gift Ban Act of 2005, introduced by

Representative George Miller;

H.R. 2412, the Special Interest Lobbying and Ethics Accountability

Act of 2005, introduced by Representative Martin Meehan;

H.R. 1302 and H.R. 1304, both entitled the Stealth Lobbyist

Disclosure Act of 2005, introduced by Representative Lloyd

Doggett; and

CRS-4

H.Res. 81, directing the Clerk of the House to post on the Internet all

lobbying registrations and reports filed with the Clerk under LDA,

introduced by Representative Mark Green.

Proposals Adopted by the House. On February 1, 2006, the House

adopted H.Res. 648. The measure amended House Rules to deny admittance to the

House floor and certain House facilities to former Members who lobby.7

Status of Proposals Passed by the House. The House passed H.R. 4975

on May 3, 2006 by a vote of 217 – 213. The House passed S. 2349 by unanimous

consent on May 23, 2006, with an amendment that substituted the language of H.R.

4975, as passed by the House. A conference between the chambers to reconcile

differences between the House and Senate versions of the bill is pending. For

detailed discussion and analysis of the consideration of H.R. 4975, see CRS Report

RL33293, Lobbying and Related Reform Proposals: Consideration of Selected

Measures, 109th Congress, by R. Eric Petersen. A comparison of the provisions of

H.R. 4975 as passed by the House and S. 2349 as passed by the Senate is available

in CRS Report RL33326, Lobbying, Ethics and Related Procedural Reforms:

Comparison of Current Provisions of S. 2349 and H.R. 4975, by Jack Maskell, R.

Eric Petersen, and Sandy Streeter.

In addition to H.Res. 648, five other measures with provisions regarding access to House

facilities by former Representatives or other former officials who have floor privileges who

become lobbyists have been introduced in the 109th Congress. H.Res. 646, introduced on

Jan. 31, 2005, by Representative Walter B. Jones, would deny admission to the Hall of the

House to former Members who are lobbyists. H.Res. 663, introduced on Jan. 31, 2005, by

Representative Vic Snyder, would also deny floor privileges to former Representatives who

lobby. Additionally, the measure would deny former Members who are registered lobbyists

services or facilities provided in House office buildings which are operated for the exclusive

use of Members and former Members. H.Res. 659, introduced by Representative David

Obey on Jan. 31, 2006, would require former officials with floor privileges to sign a

statement that they have no direct personal or pecuniary interest in any legislative measure

pending before the House or reported by a committee; that they are not employed as a

lobbyist or represent any party or organization for the purpose of influencing legislation in

the House; and that they will not lobby for the passage, amendment, or defeat of any

legislative measure pending before the House, reported by a committee, or under

consideration in any of its committees or subcommittees. H.R. 4682, the Honest Leadership

and Open Government Act of 2006, introduced Feb. 1, 2006, by Representative Nancy

Pelosi, and described in greater detail below, would amend House Rule IV to deny floor

privileges to former Representatives, House officers, parliamentarians, or former minority

employees nominated as an elected officer of the House if they: are a registered lobbyist or

agent of a foreign principal; have any direct personal or pecuniary interest in any legislative

measure pending before the House or reported by a committee; or are employed or represent

any entity for the purpose of influencing the passage, defeat, or amendment of any

legislative proposal. The measure would also amended House Rule IV to deny access to

Member exercise facilities to any former Member who is a registered lobbyist. H.R. 4696,

introduced by Representative Mike Rogers of Michigan on Feb. 1, 2005, and described

below, would also suspend floor privileges to former Members who are registered as

lobbyists.

CRS-5

Senate Proposals

Measures related to lobbying issues introduced in the Senate include

S. 2349, the Legislative Transparency and Accountability Act of

2006, introduced by Senator Trent Lott;

S. 2265, the Pork Barrel Reduction Act, introduced by Senator John

McCain;

S. 2261, the Transparency and Integrity in Earmarks Act of 2006,

introduced by Senator Barack Obama;

S. 2259, the Congressional Ethics Enforcement Commission Act of

2006, introduced by Senator Barack Obama;

S. 2233, the Lobbyist Reform Act of 2006, introduced by Senator

Dianne Feinstein;

S. 2186, the Commission to Strengthen Confidence in Congress Act

of 2006, introduced by Senator Norm Coleman;

S. 2180, the Honest Leadership and Open Government Act of 2006,

introduced by Senator Harry Reid;

S. 2128, the Lobbying Transparency and Accountability Act of 2005,

introduced by Senator John McCain;

S. 1972, the Terrorist Lobby Disclosure Act of 2005, introduced by

Senator Rick Santorum; and

S. 1398, the Lobbying and Ethics Reform Act of 2005, introduced

by Senator Russell Feingold.

Current Status of Proposals Passed by the Senate. The Senate passed

S. 2349 by a vote of 90-8 on March 9, 2006. On May 23, the Senate disagreed to the

House amendments to the measure, requested a conference, and appointed conferees.8

For detailed discussion and analysis of the consideration of S. 2349, see CRS Report

RL33293, Lobbying and Related Reform Proposals: Consideration of Selected

Measures, 109th Congress, by R. Eric Petersen. A comparison of the provisions of

H.R. 4975 as passed by the House and S. 2349 as passed by the Senate is available

in CRS Report RL33326, Lobbying, Ethics and Related Procedural Reforms:

Comparison of Current Provisions of S. 2349 and H.R. 4975, by Jack Maskell, R.

Eric Petersen, and Sandy Streeter.

Ibid., p. S5027.

CRS-6

Issues Background

In the decade since enactment of LDA, concerns have been raised about the

capacity of Congress to oversee the activities of professional lobbyists through

existing institutional arrangements. The oversight of lobbying, and the transparency

intended by congressional rules, LDA, and other related laws may be impaired by the

actions of lobbyists and others who seek to participate in public policy activities

through the formation of coalitions and associations whose members may not be

identifiable, or the use of grassroots campaigns that attempt to mobilize citizens to

advance the message of a lobbyist’s client. Some lobbying activities have also been

linked to campaign finance practices, congressional procedures regarding the

acceptance of gifts from lobbyists, and the inclusion of earmarks advocated by

lobbyists in appropriations legislation.

In the 109th Congress, legislative proposals related to lobbying disclosure and

related ethics rules focus on external and internal participants in the public policymaking process. External groups include lobbyists, their clients, entities that provide

services, such as mass mailing or phone banks, and affiliated political committees

that might have a peripheral role in lobbying activities through campaign finance

activities. Legislative approaches to address external groups include proposals to

amend lobbying disclosure, and in some cases campaign finance laws to require

lobbyists to identify themselves, their clients, and activities on behalf of those clients

in a more comprehensive manner than currently required by LDA. Internal groups

include executive branch officials, Members of Congress, their staffs, and other

legislative branch officials who might interact with lobbyists in the course of their

official duties. Legislative proposals addressing internal groups include amendment

of House and Senate rules regarding interactions with lobbyists by Members and

congressional staff, as well as increased waiting periods on certain types of

employment these officials may undertake after they leave office or public service.

Legislation affecting current law or congressional rules have been proposed to

address the following issues:

specification of lobbying participants and certain lobbying activities

subject to disclosure law and rules;

lower thresholds at which lobbying activities or the receipt of

contributions or other considerations must be disclosed;

increased disclosure requirements for lobbyists, Members of

Congress, and congressional staff, requiring more frequent reports

and more detailed information; and

increased oversight of activities carried out by lobbyists.

CRS-7

Issues Addressed Under Current Proposals

Specific details of current laws or rules, and legislative proposals addressing

underlying lobbying, ethics, and some campaign finance issues are provided in

subsequent sections of this report. The issues described are based on at least one

pending legislative proposal, as introduced, as described in each section.

Definition of Client and Specification of Client Activities

Under LDA, a “client” is defined as any person or entity that employs and

compensates another person to conduct lobbying activities on their behalf. The law

also requires that groups that carry out lobbying activities on their own behalf must

also register with the Clerk of the House (the Clerk) and the Secretary of the Senate

(the Secretary).

H.R. 4682 and H.R. 1302 would amend LDA to redefine the term “client” as

any person or entity that employs a lobbyist on behalf of that person or entity. The

measure would require members of coalitions or associations that employ a lobbyist,

and not the coalition or association, to be listed as the clients of the registrant

lobbyist. Both measures would provide an exception for tax-exempt associations

and for some members of a coalition or association if those members expect to

contribute less than $500 per any quarterly period under H.R. 4682, or $1,000 per any

semiannual period under H.R. 1302, to the lobbying activities of the coalition.

H.R. 4667, H.R. 2412 and S. 1398 would amend LDA to redefine the term

“client” as any person or entity that employs a lobbyist on behalf of that person or

entity. The measures would require that firms and other entities that are members of

coalitions or associations that employ a lobbyist are to be considered clients, along

with the coalition or association, if their total contribution related to lobbying

activities is greater than $10,000. The proposals would treat nonprofit entities that

are tax exempt under Section 501(c) of the Internal Revenue Code as clients. Entities

that contribute less than $500 to the coalition would be exempt from disclosure.

S. 2128, as introduced, and H.R. 4575 would amend LDA to redefine the term

“client” as any person or entity that employs a lobbyist on behalf of that person or

entity. The measures would require that firms and other entities that are members of

coalitions or associations that employ a lobbyist are to be considered clients, along

with the coalition or association, if their total contribution related to lobbying

activities is greater than $10,000. Finally, the proposals would treat nonprofit entities

that are tax exempt under Section 501(c) of the Internal Revenue Code as clients.

S. 2180 would require the disclosure of any entity, other than the client who

participates in the planning, supervision, or control of lobbying activities. The

measure would not require disclosure if an entity’s affiliation with the client is

publicly available knowledge, or if any funding for the client is publicly disclosed by

the entity. The measure would not require the disclosure of any information about

individuals who are members of, or donors to, an entity treated as a client by LDA.

CRS-8

Discussion. Concern has been expressed that entities that use anonymous

lobbying activities and public relations campaigns might circumvent the process of

public consideration of lawmaking and regulatory activities. Observers suggest that

the current LDA definition of a client might allow interested entities to shield their

lobbying activities through the use of ostensibly separate, independent coalitions and

associations.9 Clarifying the responsibilities of coalition participants as lobbying

clients could afford greater transparency of government activity and greater

accountability in the political system. Others have noted that anonymous or indirect

lobbying efforts are not new, and that expanding disclosure could have a potential

adverse impact on constitutionally protected rights of assembly, association, and to

petition the government, particularly the longstanding tradition of carrying out these

activities without the necessity of self-identification. Moreover, under guidance

issued by the Clerk of the House and Secretary of the Senate, members of informal

coalitions who each pay at least $5,000 in lobbying or membership fees to be a part

of a coalition or association may be viewed as separate clients for disclosure

purposes.10

Broader and More Frequent Disclosure

Timing of Registration and Frequency of Disclosure Reports. LDA

requires lobbyists to register with the Secretary of the Senate and Clerk of the House

within 45 days of an initial lobbying contact with a covered official,11 and to make

semiannual reports of their activities until that registration is terminated. H.R. 4575,

S. 2180 and S. 2128, as introduced, would reduce the registration period to 20 days

following an initial lobbying contact. H.R. 1304 would require any coalition or

association identified as an LDA client to notify the Secretary of the Treasury of its

existence within 72 hours after its lobbyists make an initial lobbying contact. H.R.

4975, H.R. 4948, H.R. 4920, H.R. 4682, H.R. 4667, H.R. 2412, H.R. 4575, S. 2180,

Josephine Hearn, “Dems Want to Change Congressional Rules,” The Hill, July 14, 2004,

p.3; and Alison Mitchell, “Loophole Lets Lobbyists Hide Clients’ Identity,” New York

Times, July 4, 2002, p. A1.

Office of the Clerk of the House of Representatives and Office of the Secretary of the

Senate, Lobbying Disclosure Act Guidance and Instructions, undated, p.11.

Legislative branch officials covered under LDA include Members of Congress; elected

officers of either chamber; any employee of a Member, committee, leader or working group

organized to provide assistance to Members; and any other legislative branch employee

serving in a position that is compensated at a rate of 120% of the basic pay for GS 15 of the

General Schedule.

Executive branch covered officials include the President; the Vice President; any

officer or employee in the Executive Office of the President; any officer or employee

serving in a position compensated through the Executive Schedule; any member of the

uniformed military services whose pay grade is at or above O-7 under 37 U.S.C. 201 (In the

United States Army, Air Force, and Marine Corps, this is a brigadier general. In the United

States Navy and Coast Guard the equivalent rank is rear admiral.); and any officer or

employee serving in a position of a confidential, policy-determining, policy-making, or

policy advocating character that the Office of Personnel Management has excepted from the

competitive service under 5 U.S.C. 7511(b)(2)(b).

CRS-9

S. 2128, as introduced, and S. 1398 would amend LDA to require quarterly

disclosure.

Lobbying Disclosure Expense Thresholds and Estimates. If the total

income for matters related to lobbying activities on behalf of a client represented by

a lobbying firm exceeds $5,000, or total expenses in connection with the lobbying

activities by an organization whose employees engage in lobbying activities on its

own behalf exceeds $20,000, then LDA registration and disclosure are required.

H.R. 4975, H.R. 4667, H.R. 4575, and S. 2128, as introduced, would reduce

expense thresholds requiring LDA registration and disclosure to $2,500 for a

lobbying firm and $10,000 for an organization that lobbies in its own behalf.

In semiannual disclosure reports, LDA requires a good faith estimate, by broad

category, of the total amount of lobbying-related income from the client, or

expenditures by an organization lobbying in its own behalf. Expenditures may be

estimated at less than $10,000 or in increments rounded to the nearest $20,000.

H.R. 4975, H.R. 4667, H.R. 4575, H.R. 2412, S. 2128, as introduced, and S.

1398 would amend LDA to reduce estimated expense increments to less than $5,000

and $10,000, respectively. H.R. 4682 and S. 2180 would require estimated

expenditures rounded to the nearest $1,000.

Grassroots Lobbying. Grassroots lobbying, lobbyists, firms, or activities

are not specified or considered in LDA.

Under H.R. 4682, H.R. 4667, H.R. 4575, and S. 2128, as introduced, LDA

would be amended to define the term “grassroots lobbying” as any attempt to

influence the general public to engage in lobbying contacts, whether or not those

contacts were made on behalf of a client. The measures would exclude any lobbying

effort directed to its members, employees, officers or shareholders, unless such

attempt is financed with funds received from by a retained registrant.

The measures also propose that

the term “grassroots lobbyist” would mean any individual who is

retained by a client for financial or other compensation for services

to engage in grassroots lobbying;

the term “grassroots lobbying firm” would mean a person or entity

with one or more employees who are grassroots lobbyists on behalf

of a client, or a self-employed individual who is a grassroots

lobbyist; and

the term “grassroots lobbying activities” would mean grassroots

lobbying and related support efforts, including preparation and

planning activities, and coordination with the lobbying activities or

grassroots lobbying activities of others.

CRS-10

S. 2180 would require the disclosure of lobbying activities to stimulate

grassroots lobbying, and defines “grassroots lobbying” as “the voluntary efforts of

members of the general public to communicate their own views on an issue to federal

officials or to encourage other members of the general public to do the same.”

The measure also proposes

disclosure of paid efforts to stimulate grassroots lobbying; and

identification of a “grassroots lobbying firm” as an entity that is

retained by a client in paid efforts to stimulate grassroots lobbying,

and is paid or spends $50,000 or more in grassroots lobbying

activities in any quarterly period.

H.R. 4682, H.R. 4575, S. 2128, as introduced, and S. 2180 would require good

faith estimates of the proportion of the total amount spent on grassroots lobbying

activities, and within that amount, an estimate of the total amount specifically

relating to grassroots lobbying through paid advertising. When a grassroots lobbying

firm receives income of, or spends an aggregate amount of, $250,000 or more on

grassroots lobbying activities for a client or group of clients, it would be required to

file a report within 20 days; and additional reports within 20 days after each

subsequent time an aggregate amount of $250,000 is spent on grassroots lobbying

activities.

In the disclosure of a grassroots lobbying firm, H.R. 4682, H.R. 4575, and S.

2128, as introduced, would require

a list of the specific issues upon which the registrant engaged in

grassroots lobbying activities, including, to the maximum extent

practicable, a list of bill numbers and references to specific

executive branch activities;

the total disbursements made for grassroots lobbying activities, and

a subtotal for disbursements made for grassroots lobbying through

paid advertising;

identification of each person or entity who received a disbursement

of funds for grassroots lobbying activities of $10,000 or more during

the period and the total amount each person or entity received; and

if such disbursements are made through a person or entity who

serves as an intermediary, identification of each such intermediary,

identification of the person or entity who receives the funds, and the

total amount each received.

H.R. 2412 and S. 1398, which do not define grassroots activities, would require

the disclosure of grassroots lobbying communications by paid lobbyists and itemized

disclosure of expenditures on grassroots lobbying activities.

CRS-11

Third Party Lobbying. LDA requires the disclosure of any person or entity

that contributes more than $10,000 toward the lobbying activities of a registrant,

plans, supervises, or controls those lobbying activities.

H.R. 5036 would amend LDA to require the disclosure of the original source of

funds made payable to any lobbyist who is subcontracted to lobby on behalf of a third

party. The measure would also require disclosure of the identity of the third party.

Disclosure by Recipients of Federal Funds. Recipients of federal funds

are not required to make any disclosure related to efforts to acquire those funds under

LDA.

S. 2265 and S. 2261 would amend LDA to require recipients of federal funds

to file a report identifying the name and amount paid to any lobbyist registered under

LDA whom the recipient retained to lobby on behalf of the recipient to receive the

federal funding.12

Contact with a Covered Official. LDA requires a statement of the houses

of Congress and the federal agencies contacted by the lobbyist on behalf of a client.

H.R. 2412 and S. 1398 would require identification of each executive branch

official and Member of Congress with whom lobbying contacts are made, on an issue

by issue basis, for each covered official contacted.

Electronic Filing of Lobbying Registration and Disclosure Reports.

LDA does not require electronic filing of registration and disclosure reports. In the

House, the Office of the Clerk in December 2004 inaugurated a voluntary electronic

filing system for those required to file under LDA. Pursuant to a directive issued by

Representative Bob Ney, chairman of the Committee on House Administration, the

Clerk required all registrants to file LDA materials electronically after January 1,

2006.13 For some time, the Senate Office of Public Records has maintained a

voluntary program of electronic filing “for the purpose of minimizing the burden of

filing” LDA materials.14

S. 2261 would also make to Senate procedures regarding the inclusion and consideration

of appropriations earmarks. S. 2265 would also make changes to Senate procedures for

considering appropriations legislation, and conference reports. Additionally the measure

would prohibit the obligation of funds for appropriations earmarks that are included only

in congressional reports, and would require the disclosure by Senators of any proposed

earmarks or unauthorized appropriations. See CRS Report RL33295, Comparison of

Selected Senate Earmark Reform Proposals, by Sandy Streeter.

Bob Ney, chairman, Committee on House Administration, “Electronic Filing of

Disclosure Reports,” dear colleague letter, June 29, 2005, at [http://www.house.gov/

cha/dearcolleaguej une29-05.htm]; see also the Clerk’s website at

[http://clerk.house.gov/pd/index.html].

Senate Office of Public

[https://opr.senate.gov/faq.html].

Records,

“Frequently

Asked

Questions,”

CRS-12

H.R. 4975, H.R. 4948, H.R. 4682, H.R. 4799, H.R. 4667, H.R. 4575, H.R. 2412,

S.2180, S. 2128, as introduced, and S. 1398 would amend LDA to require electronic

filing.

Making LDA Disclosure Information Available Via the Internet.

Neither LDA nor chamber rules require the provision of LDA disclosure information

via the Internet.

H.R. 4975 would require the Clerk and the Secretary to create and maintain a

searchable, sortable, and downloadable database containing LDA registration and

disclosure information, and make it available through the Internet. H.R. 4920, would

require the creation of such a database by the House committee on Standards of

Official Conduct. H.R. 4948 and H.R. 4799 would require newly established offices

charged with LDA administration to make LDA registrations and disclosure reports

available via the Internet. H.Res. 81 would require the Clerk of the House to post on

the Internet lobbying registration and reports filed with the Clerk under LDA. S.

2180 would also require the Secretary and the Clerk to provide public access to

disclosure reports through the Internet, and to make those reports publicly available

within 48 hours of filing. Currently, the Senate makes LDA registration and

disclosure reports available through the Internet at [http://sopr.senate.gov/].

Discussion. For many years, observers have noted a steady increase in the

number of interest groups using direct mail, public relations, newspaper

advertisement, and other marketing techniques to generate public interest. These

activities can include engaging citizens to lobby on their behalf to persuade a

government official regarding legislation or executive agency action. Some of these

organized efforts, which are not currently subject to disclosure under LDA, are also

accompanied by sophisticated media campaigns to advance the causes of a group.15

Widespread lobbying campaigns may be targeted to citizens, journalists, lawmakers,

executive agency personnel, and other groups with interests similar to those of the

organization on whose behalf the campaign is mounted.16 This practice is sometimes

referred to as “grassroots” advocacy to identify its appeal to the general public. Some

observers, noting the use of marketing techniques and alleging that a bona fide

connection to the general public is lacking, sometimes refer to such efforts as

“astroturf” lobbying.17

Those supporting more detailed disclosure through more frequent or detailed

disclosure, or the inclusion of grassroots lobbying efforts under LDA might argue

that such efforts could afford greater transparency and a broader understanding of the

effects of private interests in the public policy making process. From their

Darrell M. West and Burdett A. Loomis, The Sound of Money: How Political Interests Get

What They Want (New York: W. W. Norton and Company, 1998), pp. 16-20; and R.

Kenneth Godwin, “Money Technology and Political Interests: The Direct Marketing of

Politics,” in Mark P. Petracca, ed., The Politics of Interests: Interest Groups Transformed

(Boulder, CO: Westview Press, 1992), pp. 308-325.

West and Loomis, The Sound of Money, pp. 45-64.

Nicholas Confessore, “Meet the Press,” Washington Monthly, Dec. 2003, available at

[http://www.washingtonmonthly.com/features/2003/0312.confessore.html].

CRS-13

perspective, such a change might also instill greater accountability. Those opposing

changes to current lobbying disclosure practices might maintain that expanding

disclosure could have a potential adverse impact on constitutionally protected rights

of assembly, association, and to petition the government. Additionally, opponents

might assert that such a change could increase the administrative burden associated

with reporting on their lobbying efforts under LDA, or lead to imposition of greater

penalties for noncompliance should registrants fail to disclose every contact on every

issue.

Linking Lobbying Disclosure Information with

Federal Election Commission Reports

Neither LDA nor the Federal Election Campaign Act of 197118 (FECA) require

the linking of information collected under either law.

H.R. 4682, H.R. 4667, H.R. 4575, H.R. 2412, S. 2128, as introduced, and S.

1398 would require the Secretary of the Senate and Clerk of the House to establish

and maintain lobbying disclosure information in an electronic data base which

directly links that information to the information disclosed in reports filed with the

Federal Election Commission (FEC) under FECA. The measures would also require

that the linked information be made available to the public free of charge through the

Internet. Finally the measures authorize appropriations to cover the expenses of these

activities.

Discussion. Under LDA, registrants must register and files reports with the

Secretary and the Clerk, maintain independent, parallel intake procedures, and

separate electronic databases. The linking of information maintained by FEC, and

the Clerk and Secretary, could raise data administrative, and data management

concerns. These concerns might include consideration of the relative costs and

benefits of linking parallel databases containing essentially similar information with

another database system, or the technical challenges of linking potentially

incompatible datasets.

Tax Treatment of Lobbying Coalitions and Associations

The treatment of lobbying coalitions and associations is not specified or

considered in LDA.

H.R. 1304 would amend the Internal Revenue Code to treat any coalition or

association that is identified as a client on an LDA registration as a tax-exempt

political organization. Any such coalition or association would be required to notify

the Secretary of the Treasury of its existence within 72 hours after one of its lobbyists

makes an initial contact, and to report any change in its membership within 72 hours.

Reports to the Secretary of the Treasury would include a general description of the

business or activities of each member of the coalition or association, and the amount

each coalition member is expected to contribute to influencing legislation. H.R. 1304

2 U.S.C. 431.

CRS-14

would exempt from the disclosure requirements public charities and other tax-exempt

organizations which have substantial exempt activities other than lobbying, and

coalition or association members who contribute less than $2,000 per year for

lobbying activities. Finally, the measure would impose a penalty tax for failure to

give the required notices.

Revolving Door Provisions

LDA requires registrants to disclose whether they have served as a covered

legislative branch or executive branch official in the two years preceding their

registration. Relatedly, 18 U.S.C. 207 requires that a Member of Congress may not

communicate with or appear before a Member, officer or employee of either

chamber, or any legislative branch office, with intent to influence official action on

behalf of anyone else for a period of one year after leaving office. Similarly a “very

senior staff member” of the legislative branch19 may not communicate with or appear

before the individual’s former employer or office with intent to influence official

action on behalf of anyone else for a period of one year after terminating

congressional employment. Similar prohibitions apply to officials and senior level

employees of the executive branch.20

House Rule IV and Senate Rule XXIII provide floor privileges to former

Members of the respective chambers.

LDA and House and Senate rules are silent on the discussion of employment

negotiations by Members of Congress.

Past Executive or Legislative Branch Employment, Current

Employment Negotiations. H.R. 4975 would require registered lobbyists to

disclose all of their past executive branch and congressional employment for the

seven years preceding registration. A Member of the House who is negotiating for

prospective employment in which he or she has a conflict of interest, or for which

“Very senior staff member,” or “highly paid staff” appear to be generic terms that are

sometimes used by the House Committee on Standards of Official Conduct to identify

individual congressional and legislative branch staff who are subject to outside income

limitations, required to file under financial disclosure regulations, or subject to post

employment restrictions due to their level of compensation. According to guidance issued

in 2005 by the committee, an employee is subject to post employment restrictions if, for at

least 60 days during the one-year period preceding the termination of employment, a staffer

was paid at a rate equal to or greater than 75% of the basic rate of pay for Members. The

basic rate of pay for Members is $165,200. The 2006 post-employment threshold for

employees who leave their congressional jobs is $123,900. See Joel Hefley, Chairman, and

Alan B. Mollohan, Ranking Minority Member, “The 2006 Outside Earned Income Limit,

and the Salary Levels at which the Outside Earned Income and Employment Limits, the

Financial Disclosure Requirement, and the Post-Employment Restrictions Apply in 2006,”

memorandum issued by the House Committee on Standards of Official Conduct, Feb. 8,

2006, available at [http://www.house.gov/ethics/m_salary06.htm].

Similar prohibitions apply to officials and senior level employees of the executive branch.

See CRS Report 97-875, “Revolving Door,” Post-Employment Laws for Federal Personnel,

by Jack Maskell.

CRS-15

there is the appearance of a conflict of interest, would be required to make a

statement within five days after commencing such negotiations to the Committee on

Standards of Official Conduct.

H.R. 4682, H.R. 4667, H.R. 4575, H.R. 2412, S. 2180, S. 2128, as introduced,

and S. 1398 would require registered lobbyists to disclose all of their past executive

branch and congressional employment.

H.R. 4682, H.R. 4667, H.R. 4575, H.R. 2412, S. 2349, as introduced, S. 2180,

S. 2128, as introduced, and S. 1398 would require a Member of Congress to file with

the Clerk of the House or Secretary of the Senate, as appropriate, a statement for

public disclosure that he or she is negotiating or has any arrangement concerning

prospective employment if a conflict of interest or the appearance of a conflict of

interest may exist.21 The disclosure would be required to file a disclosure within three

days of commencing such negotiation or arrangement.

Spouse and Other Family Members of Senators. S. 2349, as

introduced, would require a Senator whose spouse or immediate family member22 is

a registered lobbyist or employee of a registrant under LDA for the purpose of

influencing legislation to prohibit all staff employed by the Senator, including staff

in personal, committee, and leadership offices, from having any official contact with

the family member.

Post Employment Restrictions. H.R. 4975 would require notification by

the House to former Members, officers, and senior staff of the beginning and ending

date of post employment restrictions mandated under 18 U.S.C. 207.

H.R. 4682, H.R. 4667, H.R. 4575, H.R. 2412, S. 2180, S. 2233, S. 2128, as

introduced, and S. 1398 would increase to two years the cooling off period during

which former senior executive personnel, former Members of Congress, and certain

legislative branch personnel, would be prevented from lobbying the entity in which

they previously served. H.R. 4920 would prohibit all former Members, officers, and

employees of Congress from lobbying any current Member, officer, or employee for

a period of one year after they leave office or terminate employment. H.R. 4696 and

S. 2233 and would extend current statutory provisions that prevent Members of

Congress from lobbying any Member or committee for one year to all senior

legislative branch staff. H.R. 4696 would also establish a four-year ban on former

federal employees lobbying Congress on behalf of foreign governments after they

terminate their government employment. H.R. 3623 would prohibit Members of

The provisions of S. 2180 regarding the disclosure of employment negotiations would also

apply to Senate staff who earn more than 75% of the salary paid to Senators. The basic rate

of pay for Members is $165, 200. S. 2180 also provides for the review of employment

negotiations by members of the executive branch by the Office of Government Ethics.

Under the measure, immediate family member would mean the son, daughter, stepson,

stepdaughter, son-in-law, daughter-in-law, mother, father, stepmother, stepfather,

mother-in-law, father-in-law, brother, sister, stepbrother, or stepsister of the Senator.

CRS-16

Congress and chamber officers23 from engaging in currently proscribed lobbying

activities for a period five years after they leave office.

S. 2349, as introduced, would amend Senate rules to prohibit for one year any

former Senate senior-level employee24 who served on the staff of a Senator or of a

Senate committee, and who subsequently becomes a registered lobbyist or lobbyist

employee for the purpose of influencing legislation, from lobbying any Senator,

officer, or employee of the Senate.

Floor Privileges for Former Members Who Lobby. S. 2349, as

introduced, would amend Senate rules to revoke floor privileges from any former

Senator, Senator-elect, Secretary of the Senate, Sergeant at Arms of the Senate, or

Speaker of the House who is a registered lobbyist or agent of a foreign principal, or

is an employee or representative of any party or organization for the purpose of

influencing the passage, defeat, or amendment of any legislative proposal.

S. 1398 would eliminate floor privileges in both chambers for former Members

who become lobbyists. H.R. 4682 and H.R. 4696 would rescind House floor

privileges from former Representatives who become lobbyists. S. 2180 would

rescind Senate floor privileges from former Senators who become lobbyists.

House Action. On January 31,2006, Representative David Dreier, chairman

of the Committee on Rules, introduced H.Res. 648 to amend House Rule IV to deny

floor privileges to former Representatives, House officers, parliamentarians, or

former minority employees nominated as an elected officer of the House if they are

a registered lobbyist or agent of a foreign principal; have any direct personal or

pecuniary interest in any legislative measure pending before the House or reported

by a committee; or are employed or represent any entity for the purpose of

influencing, the passage, defeat, or amendment of any legislative proposal. The

measure also denies access to Member exercise facilities to any former Member,

officers, or their spouses, who is a registered lobbyist. On February 1, 2006, the

House adopted the measure under suspension of the rules, by a vote of 379 - 50, 1

present.

Discussion. House and Senate rules, LDA disclosure requirements, and the

“cooling off” prohibitions mandated by 18 U.S.C. 207 were designed to bring

attention to, and reduce the effect of, what some called the “revolving door,” through

which legislators and public officials could leave positions of authority and influence

in government only to return shortly thereafter to the same circles as lobbyists or

other representatives seeking favorable action on behalf of private interests.

Officers in the House are the Clerk, Sergeant at Arms, Chief Administrative Officer and

Chaplain. In the Senate the Sergeant at Arms and Secretary are officers. Officers are

elected by the respective chamber.

The proposal would affect Senate staff who worked for a Senator or Senate committee and

whose rate of pay was equal to or greater than 75 percent of the rate of pay of a Senator for

more than 60 days in a calendar year. Senators are paid $165,200. Senate staff who earned

more than $2,382.69 or more per week for more than nine weeks, or $123,900 per year,

would be subject to the post employment restriction proposal.

CRS-17

Efforts to curb the effects of lobbying by former public officials appear to grow

out of a widespread belief that lobbying activities advance special interests at the

expense of a more general public interest. Lobbying activities carried out by

individuals with special access to government decision makers due to previous

professional interaction, are sometimes said to exacerbate this perceived problem.

Proponents of lobbying activities counter that lobbying is “a legitimate activity

protected by the First Amendment to the Constitution,” and that all interests are

represented.25 Some maintain that further efforts to extend the duration of the

lobbying ban could have the effect of keeping individuals who might wish to pursue

lobbying as a career from entering public service, and may deprive the public (as well

as Congress) of access to and the availability of the particular expertise of former

legislators and staff.

Disclosure of Lobbyist Contributions and Payments

The disclosure of campaign contributions is governed by FECA. The

acceptance of gifts, travel, or other considerations by Members of Congress are

governed by House Rule XXV, Limitations on Outside Earned Income and

Acceptance of Gifts, and Senate Rule XXXV, Gifts.

Campaigns. H.R. 4975, H.R. 4682, H.R. 4667, H.R. 4575, S. 2180, and S.

2128, as introduced, would require each LDA registrant, their employees, and any

affiliated political committee, as defined in FECA,26 to disclose the name of each

federal candidate, officeholder, leadership PAC, or political party committee to

whom a contribution was made, or for whom fund raising event was held, including

the date and amount of such contribution.

Travel.27 H.R. 4975 would suspended privately funded travel and would

prohibit registered lobbyists from traveling in corporate aircraft on which a Member

of the House travels. The House Committee on Standards of Official Conduct would

be required to develop guidelines regarding the use of such travel in the House by

December 15, 2006.

S. 2349, as introduced, would

require a Senator or Senate staff member to obtain written

certification before undertaking any travel that the trip was not

financed in whole, or in part, by a registered lobbyist or foreign

agent, and that the provider did not accept funds from a registered

lobbyist or foreign agent specifically earmarked for the purpose of

Website of the American League of Lobbyists, “Resources,” at [http://www.alldc.org/

resources.htm], visited Jan. 13, 2006.

2 U.S.C. 431(4). FECA defines political committee. FECA, LDA, S. 2128, as

introduced, and H.R. 4575 do not specify or define “affiliated.”

See CRS Report RL33047, Restrictions on the Acceptance of “Officially Connected”

Travel Expenses From Private Sources Under House and Senate Ethics Rules, by Jack

Maskell.

CRS-18

financing the travel expenses. A Senator would be required to

provide the Select Committee on Ethics a written, detailed itinerary

of the trip; and a determination that the trip is primarily educational;

consistent with the official duties of the Member, officer, or

employee; does not create an appearance of use of public office for

private gain; and has a minimal or no recreational component;

require written approval of privately funded travel from the Select

Committee on Ethics. Within 30 days of completing the travel, a

Senator, officer, or employee would be required to file with the

Select Committee on Ethics and the Secretary of the Senate a

description of meetings and events attended during such travel and

the names of any registered lobbyist who accompanied them, subject

to limited exception on national security grounds. The measure

would require that trip information be posted on the Senator’s

official website not later than 30 days after the completion of the

travel; and

amend Senate rules to require the disclosure of noncommercial air

travel taken in connection with the duties of the Member, officer, or

employee, and file a report with the Secretary of the Senate,

including the date, destination, and owner or lessee of the aircraft,

the purpose of the trip, and the persons on the trip, except for any

person flying the aircraft.

H.R. 4682, H.R. 4667, H.R. 2412, S. 1398, and S. 2180 would require that

congressional travel be certified as not having been planned, organized, arranged, or

financed by a registered lobbyist or foreign agent. The measures would impose a

series of escalating civil fines for first and subsequent offenses. Finally, the measures

would require the ethics committees of the respective chambers to establish

guidelines regarding reasonable travel expenses.

H.R. 4575 and S. 2128, as introduced would require each LDA registrant, its

employees, and any affiliated political committee, as defined in FECA, to disclose

the name of each covered legislative branch official or covered executive branch

official for whom the registrant provided any payment or reimbursements for travel

and related expenses in connection with the covered official’s duties. For each

covered official the registrant would be required to disclose

an itemization of the payments or reimbursements provided to

finance the travel and related expenses for the covered official, and

to whom the payments or reimbursements were made;

the purpose and final itinerary of the trip, including a description of

all meetings, tours, events, and outings attended;

the names of any registrant or individual employed by the registrant

who traveled on any such trip;

the identity of official or listed sponsor of travel; and

CRS-19

the identity of any person or entity, other than the listed sponsor of

the travel, which directly or indirectly provided for payment of travel

and related expenses at the request or suggestion of the registrant or

the employee.

H.R. 4682, H.R. 4667, H.R. 4575, and S. 2128, as introduced, would amend

chamber rules in which the measures originated to require Members and

congressional staff to disclose private travel, including the date, destination,

passenger manifest, and purpose of the trip, and would require reimbursement of the

full cost of such air travel. The measures would also require the ethics committees

of the respective chambers to establish guidelines regarding reasonable travel

expenses.

H.R. 4920 would amend House rules to require advanced authorization by the

Standards Committee of any privately funded travel to be undertaken by a Member

of the House.

S. 2180 would require Senators and Senate officers and employees to disclose

noncommercial air travel taken in connection with their official duties. S.2180

would require Senators and Senate officers and employees to disclose

noncommercial air travel taken in connection with their official duties.

S. 2233 would prohibit the acceptance by Senators and Senate staff of privately

funded travel by lobbyists or entities that are affiliated with any group that lobbies.

Honors. H.R. 4682, H.R. 4667, H.R. 4575, and S. 2128, as introduced, would

require each LDA registrant, its employees, and any affiliated political committee,

as defined in FECA, to disclosure of the date, recipient, and amount of funds

contributed or arranged to pay the costs of an event to

honor or recognize a covered legislative branch official or covered

executive branch official;

contribute to any entity that is named for a covered legislative

branch official or covered executive branch official, or to a person

or entity in recognition of such an official;

contribute to any entity established, financed, maintained, or

controlled by a covered legislative branch official or covered

executive branch official, or an entity designated by such official; or

pay the costs of a meeting, retreat, conference or other similar event

held by, or for the benefit of, one or more covered legislative branch

officials or covered executive branch officials.

CRS-20

Gifts.28 H.R. 4975 would require lobbyists to disclose any gifts that count

toward the annual gift limit established by House rules. S. 2349, as introduced,

would amend Senate rules to prohibit Senators from accepting gifts from lobbyists.

Senators and Senate staff could accept a meal or other food from lobbyists subject

to gift rule limits. Any food gift accepted would be subject to public disclosure

through the Senator’s website.

H.R. 4575 and S. 2128, as introduced, would require each LDA registrant, its

employees, and any affiliated political committee, as defined in FECA, the disclosure

of the date, recipient, and amount of any gift,29 that, under the rules of the House of

Representatives or Senate counts towards the $100 cumulative annual limit

prescribed in each chamber, is valued in excess of $20 given by a registrant to a

covered legislative branch official or covered executive branch official. H.R. 4975,

H.R. 4575, H.R. 4667, and S. 2128, as introduced, would require tickets for sporting

and entertainment events that are given as gifts to covered officials to be valued at

face value. Tickets without a face value would be valued at the highest published

rate.

H.R. 4682, H.R. 3177, S. 2180, and S. 1398 would prohibit lobbyists from

giving gifts to Members of Congress with certain exemptions, and would amend the

rules regarding the acceptance of gifts in the chambers in which the measures

originated. S. 2233 would prohibit the acceptance of gifts from lobbyists by Senators

and Senate staff. S. 1398 would also impose a civil penalty of up to $50,000 for

noncompliance.

H.R. 4682 and S. 2180 would require LDA registrants to certify that they have

not provided a gift, including travel to a Member or employee of Congress in

violation of Senate Rule XXXV. H.R. 4920 would establish a civil fine of not more

$50,000 for any registrant or lobbyist who attempts to offer a gift to a Member of the

House in violation of House gift rules. H.R. 4671 would require LDA registrants to

disclose any gifts given to a covered legislative branch official.

Discussion. Proposals to link campaign finance and lobbying activities, and

to enhance current rules regarding the interactions between Members of Congress

and lobbyists could serve to provide a clearer picture of who participates in public

affairs and the scope of the activities that characterize that participation. Proponents

of such efforts might argue that such efforts could afford greater transparency and a

broader understanding of the effects of private interests in the public policy making

process. From their perspective, such a change might also instill greater government

accountability, and help to maintain the integrity and legitimacy of the broader

political system. Those opposing changes to current lobbying disclosure practices

See CRS Report RS22231, The Acceptance of Gifts of Free Meals by Members of

Congress, by Jack Maskell.

S. 2128, as introduced, and H.R. 4575 would define gift would include a gratuity, favor,

discount, entertainment, hospitality, loan, forbearance, or other item having monetary value.

The term would also encompass gifts of services, training, transportation, lodging, and

meals, whether provided in kind, by purchase of a ticket, payment in advance, or

reimbursement after the expense has been incurred.

CRS-21

might maintain that expanding lobbying disclosure to include those who make

campaign contributions, but who may not have any direct participation in lobbying

activities, could have a an adverse affect on the accuracy of LDA disclosure data due

to a potential increase in registrants who conduct no lobbying but who must register

due to affiliations with entities that retain lobbying services. Additionally, opponents

might assert that such a change could increase the administrative burden associated

with reporting on their activities under LDA, or curb rights of participation through

giving campaign donations, or the right of association, due to the increased burden

of LDA disclosure.

Other issues that Congress might address include consideration of the meaning

of “affiliated” in the context of FECA political committees and their interactions with

entities that secure lobbying services that must be disclosed under LDA.

Penalties for LDA Noncompliance

Whoever knowingly fails to rectify an incomplete disclosure report following

notification of the error by the Clerk of the House or Secretary of the Senate, or who

otherwise does comply with the requirements of LDA, may be liable for a civil fine

of up to $50,000.30

H.R. 4795, H.R. 4682, H.R. 4667, H.R. 4575, H.R. 2412, S. 2180, S. 2128, as

introduced, and S. 1398 would increase the maximum penalty to a $100,000 civil

penalty. H.R. 4682, H.R. 4696, and S. 2180 would establish criminal penalties.

Under H.R. 4682 and S. 2180, knowing and willful failure to comply with

registration requirements would be punishable by fines, a term of imprisonment up

to five years, or both. Whoever knowingly willfully, and corruptly fails to comply

with LDA disclosure requirements would be subject to fines, a term of imprisonment

up to 10 years, or both. H.R. 4696 would amend LDA to impose a prison term of up

to one year for failing to comply with disclosure requirements.

H.R. 4670 would prohibit anyone convicted of a felony under federal, state or

local law from lobbying. Failure to abide by the prohibition would be subject to

imprisonment for up to one year and a civil fine up to $50,000 or the amount of

compensation which the person received or offered for the prohibited conduct,

whichever is greater.

Discussion. The increase in potential penalties for noncompliance with LDA

could increase the level of compliance. Those supporting the approach might argue

that a more comprehensive and detailed disclosure process could afford more

openness of government activity and greater accountability. Due in part to the lack

of publicly available information regarding the number of penalties assessed since

LDA became effective on January 1, 1996, however,31 it may not be possible to

For further discussion of LDA and other laws, rules, and regulations affecting those who

lobby Congress, see CRS Report RL31126, Lobbying Congress: An Overview of Legal

Provisions and Congressional Ethics Rules, by Jack Maskell.

Kenneth P. Doyle, “DOJ Refuses to Disclose Settlements With Those Who Violate

(continued...)

CRS-22

assess the benefits of increasing the penalty. Those opposing changes to the current

statute might maintain that there would be a negative impact on constitutionally

protected rights of assembly, association, and petition of the government, particularly

the longstanding tradition of carrying out these activities without the necessity of

self-identification. Additionally, opponents might assert that if other changes to LDA

relating to clients are enacted, increasing the potential penalties for noncompliance

could potentially subject registrants to liability in the event that the client association

or coalition withholds complete membership information.

Disclosure of Contact with Lobbyists Representing

State Sponsors of Terrorism

Contact with lobbyists representing any client are subject to the same disclosure

requirements under LDA or the Foreign Agents Registration Act of 1938, as

amended,32 as appropriate.

S. 1972 would amend LDA to require Members of Congress and legislative

branch employees to disclose to the Secretary of State any contacts with

representatives or officials of governments that have been designated as state

sponsors of terrorism by the Department of State. S. 1972 would require the

Secretary to issue a report listing those who have had such contacts to the Senate

Committee on Foreign Relations, the Senate Subcommittee on State, Foreign

Operations, and Related Programs of the Committee on Appropriations, the House

Committee on International Affairs, and the House Subcommittee on Foreign

Operations, Export Financing, and Related Programs of the Committee on

Appropriations.

Lobbying and Campaigns

S. 2233 would prohibit registered lobbyists from serving on political committees

authorized by FECA.

Other Employment Rights

LDA and chamber rules confer no employment rights.

H.R. 4667, H.R. 4575, and S. 2128, as introduced, would amend the Indian

Self-Determination and Education Assistance Act33 to ensure that an individual who

was formerly a government official and who is an employee of an Indian tribe

employed to perform services formerly performed for the United States, may

communicate with and appear before any department, agency, court, or commission

(...continued)

Lobbying Law,” BNA Daily Report for Executives, June 20, 2005; and Kenneth P. Doyle,

“Justice Department Reveals First Cases Settled Under Lobbying Disclosure Statute,”BNA

Daily Report for Executives, Aug. 16, 2005, retrieved from the BNA website.

22 U.S.C. 611.

25 U.S.C. 450i.

CRS-23

on behalf of the Indian tribe with respect to any matter, upon providing notification

to the head of the appropriate entity of the extent of their previous involvement with

the matter as a government official.

LDA Administration

LDA is administered the House by the Clerk of the House through the

Legislative Resources Center, and in the Senate by the Secretary of the Senate,

through the Senate Office of Public Records.

H.R. 4948 would create an independent ethics commission within the legislative

branch and transfer authority to receive LDA registration and reports to it from the

Clerk and the Secretary.

H.R. 4920 would transfer LDA administration in the House to the Committee

on Standards of Official Conduct.

H.R. 4682 would establish an Office of Public Integrity within the House Office

of Inspector General. The office would receive LDA registrations and disclosure

reports, and conduct audits and investigations necessary to ensure compliance with

LDA. A director of the office would be appointed by the Inspector general. The

office would have the authority to refer violations of LDA to the United State

Attorney for the District of Columbia for disciplinary action.

S. 2180 would establish a Senate Office of Public Integrity. The office would

receive LDA registrations and disclosure reports, and conduct audits and

investigations necessary to ensure compliance with LDA. A director of the office

would be appointed by the President pro tempore, based on recommendations of the

Senate majority and minority leaders. The office would have the authority to refer

violations of LDA to the Senate Select committee on Ethics and the Department of

Justice for disciplinary action.

H.R. 4799 would establish an office of public integrity within the legislative

branch, overseen by a director appointed jointly by the Speaker and minority leader

of the House and the majority and minority leaders of the Senate. The office would

receive financial disclosure and other reports filed by Members, congressional

officers, and their staff under the Ethics in Government Act of 1978,34 and reports

filed by registered lobbyists under LDA. The office would be authorized to

investigate any alleged violation, of any rule or other standard of conduct, and present

a case of probable ethics violations to the Committee on Standards of Official

Conduct of the House of Representatives or the Senate Select Committee on Ethics,

as appropriate. H.R. 4799 would authorize the office to provide information and

guidance to Members, congressional officers, and their staff regarding any rules and

other standards of conduct applicable in their official capacities. The office would

also provide informal guidance to lobbying registrants of their responsibilities under

LDA, have authority to refer potential violations of LDA to the Department of

Justice, and audit LDA registrations and disclosure reports.

Ethics in Government Act of 1978, 5 U.S.C. Appendix Sec. 401.

CRS-24

H.R. 4696 would create an independent commission on lobbying in the

legislative branch composed of four members, with the Speaker and minority leader

of the House, and the majority and minority leaders of the Senate each appointing

one for a term of two years. The commission would develop a fee-based funding

process under which LDA registrants would be required to pay reasonable fees to

cover the estimated costs of operating the commission. Registrant would be required

to file with the commission monthly reports in electronic form that cover lobbying

activities that relate to Congress.

Oversight of Ethics and Lobbying

There are no explicit oversight requirements in LDA. The Committee on House

Administration and the Senate Committee on Rules and Administration have

jurisdiction over the Clerk of the House and the Secretary of the Senate, respectively,

and may have some oversight authority of LDA provisions the Clerk and the

Secretary must implement. Ethics in Congress are overseen by the House Committee

on Standards of Official Conduct and the Senate Committee on Ethics.

H.R. 4975 would authorize the Inspector General of the House to audit LDA

disclosure information and to refer potential violations of the act to the Department

of Justice. The measure provides for ongoing reviews and annual reports by the

inspector general on activities carried out by the Clerk of the House under LDA.

S. 2259 would create an independent office of public integrity in the legislative

branch overseen by a congressional ethics enforcement commission. The office

would investigate lobbying disclosures filed with the Senate and the House, conduct

research concerning governmental ethics, and report annually to the Senate Select

Committee on Ethics and the House Committee on Standards of Official Conduct on

the commission’s activities. The commission would conduct investigations of

alleged violations of lobbying and chamber rules on the sworn complaint of any U.S.

citizen. Investigations by the commission would be in lieu of any preliminary

investigation by the ethics committees of either chamber.

H.R. 2412, H.R. 4667, S. 1398, S. 2128, as introduced, and H.R. 4575 would

require the Comptroller General to review semiannually the activities of the Clerk

and Secretary under Section 6 of LDA, emphasizing their effectiveness in securing

compliance by lobbyists with the requirements of LDA and whether the Clerk and

the Secretary have the resources and authorities needed for effective oversight and

enforcement of the act. H.R. 2412 would also authorize and direct the Committee

on House Administration and the House Committee on the Judiciary to conduct

hearings on each semiannual report. H.R. 2412 would create in the House a

bipartisan ethics task force with equal representation of the majority and minority

parties. The panel would make recommendations on strengthening ethics oversight

and enforcement in the House, and on providing the resources necessary to

accomplish that goal.

H.R. 4799 and S. 2186 would establish a bipartisan, 10-member commission

appointed by the majority and minority leadership of each chamber. The commission

would be charged to

CRS-25

evaluate and report the effectiveness of current congressional ethics

requirements, if penalties are enforced and sufficient, and make

recommendations for new penalties;

weigh the need for improved ethical conduct with the need for

lawmakers to have access to expertise on public policy issues;

determine and report minimum standards relating to official travel

for Members of Congress and staff;

evaluate the range of gifts given to Members of Congress and staff,

determine and report the effects on public policy, and make

recommendations for limits on gifts;

evaluate and report the effectiveness and transparency of

congressional disclosure laws and recommendations for

improvements;

assess and report the effectiveness of the ban on Member of

Congress and staff from lobbying their former office for one year

and make recommendations for altering the time frame;

make recommendations to improve the process whereby Members

of Congress can earmark priorities in appropriations Acts, while still

preserving congressional power of the purse;

evaluate the use of public and privately funded travel by Members

of Congress and staff, violations of Congressional rules governing

travel, and make recommendations on limiting travel; and

investigate and report to Congress on its findings, conclusions, and

recommendations for reform.

Further Resources

Lobbying

CRS Current Legislative Issues page on Lobbying, Ethics and Related Procedural

Reform, at [http://beta.crs.gov/cli/cli.aspx?PRDS_CLI_ITEM_ID=2405].

CRS Report RL33326, Lobbying, Ethics and Related Procedural Reforms:

Comparison of Current Provisions of S. 2349 and H.R. 4975, by Jack Maskell,

R. Eric Petersen, and Sandy Streeter.

CRS Report RL33293, Lobbying and Related Reform Proposals: Consideration of

Selected Measures, 109th Congress, by R. Eric Petersen.

CRS-26

CRS Report RL33234, Lobbying Disclosure and Ethics Proposals Related to

Lobbying Introduced in the 109th Congress: A Comparative Analysis, by R. Eric

Petersen.

CRS Report RS22226 Summary and Analysis of Provisions of H.R. 2412, the Special

Interest Lobbying and Ethics Accountability Act of 2005, by Jack Maskell.

CRS Report RS22209 Executive Lobbying: Statutory Controls, by Louis Fisher.

CRS Report 96-809 Lobbying Regulations on Non-Profit Organizations, by Jack H.

Maskell.

CRS Report RS20725 Lobbyists and Interest Groups: Sources of Information, by

Mari-Jana “M-J” Oboroceanu.

Congressional Ethics Rules

CRS Report RL33237, Congressional Gifts and Travel: Proposals in the 109th

Congress, by Mildred Amer.

CRS Report RL33047, Restrictions on the Acceptance of “Officially Connected”

Travel Expenses From Private Sources Under House and Senate Ethics Rules,

by Jack Maskell.

CRS Report 97-875, “Revolving Door,” Post-Employment Laws for Federal

Personnel, by Jack Maskell.

CRS Report RS22231, The Acceptance of Gifts of Free Meals by Members of

Congress, by Jack Maskell.

CRS Report RL31126, Lobbying Congress: An Overview of Legal Provisions and

Congressional Ethics Rules, by Jack Maskell.

Congressional Procedures

CRS Report RL33295, Comparison of Selected Senate Earmark Reform Proposals,

by Sandy Streeter.

Campaign Finance

Campaign Finance and Regulation of 527 Organizations,

[http://beta.crs.gov/cli/cli.aspx?PRDS_CLI_ITEM_ID=529]

CRS Report RL32954, 527 Political Organizations: Legislation in the 109th

Congress, by Joseph E. Cantor and Erika Lunder.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.