July 23, 1975
Page 24258
By Mr. MUSKIE (for himself and Mr. JAVITS) :
S. 2167. A bill to provide for the recording and public disclosure of lobbying activities directed at the Congress and the executive branch and for other purposes. Referred to the Committee on Government Operations.
THE LOBBYING DISCLOSURE ACT OF 1975
Mr. MUSKIE. Mr. President, today I am introducing, with Senator JAVITS, legislation which I believe constitutes an important and much needed reform of our Federal lobbying laws.
For far too long, the elaborate network of interest groups which influence congressional and executive branch decisions has remained a secret. We have seen some estimates that more than $1 billion a year has been spent for lobbying in Washington, and yet less than one-tenth of 1 percent of that figure is included in reports filed by those that are registered as lobbyists.
The legislation we are introducing today would close many of the loopholes in the present law.
Earlier this spring, the Committee on Government Operations held 3 days of hearings on proposals to replace the existing Federal Regulation of Lobbying Act. Both the witnesses at those hearings and members of the committee raised questions about many of the approaches offered to achieve reforms.
As members of that committee, we are hopeful that our proposal is responsive to many of those constructive suggestions and will help to form the basis for a continuing effort in this area.
The "Lobbying Disclosure Act of 1975" represents a composite of many suggested reforms and incorporates provisions from many measures under consideration in both the House and Senate:
Mention should be made of the work of the House Committee on Standards of Official Conduct and one of its former members, the Senator from Vermont, Senator STAFFORD, who along with Senator KENNEDY is the author of a principal bill now before the Government Operations Committee. Suggestions also have been generated from a similar measure proposed by the Senator from Illinois, Senator PERCY, and from a bill offered by Senator KENNEDY to provide a public record of outside contacts with the executive branch.
Particular credit is due to the leadership of the distinguished chairman of the committee, Senator RIBICOFF, who has helped launch this important committee effort to revise the laws affecting lobbying.
The proposal we offer today would broaden the definition of a lobbyist and require reporting of lobbying activities by many organizations and individuals not now affected by the present law. The definition in this bill would include not only those who attempt to influence decisions before the Congress, but also decision making in the executive branch.
It further would cover efforts by those who solicit others to influence decisions in the legislative and executive branch
Certain provisions of our proposal offer new alternatives to the Senate for defining the activities of lobbyists, for improving enforcement of the registration and reporting requirements, and reporting requirements, and for the protection of the constitutional right of each citizen to petition his Government for the redress of grievances.
It defines a lobbyist in terms of a principal and agent relationship and includes as well those who solicit other persons to lobby.
A person employed as a legislative agent as well as the person or organization employing that agent would be required to register as lobbyists.
Officers or employees of an organization, who as part of their duties lobby the Congress or the executive branch would be required to register and file reports. Their employer also would have to register and file.
The proposal also would apply to "grass roots" lobbying efforts to solicit at least 100 other persons to communicate with the Congress or executive branch or more than $5,000 to make such communications. Soliciting more than 25 other persons who would be paid to lobby also would be covered.
Present law fails to cover the efforts by major lobbying interests to drum up support through advertising and direct mail campaigns to get other people to write to their Senators and Congressmen.
Such efforts are disguised to appear to be spontaneous outpourings of public opinion and are in fact the direct result of a creative public relations effort to artificially stimulate interest in a matter affecting an employer or client.
In the committee hearings, we heard testimony about the American Trial Lawyers Association effort to oppose no fault insurance legislation.
Association members needed only to call Western Union and give the names of friends and associates and for each name given, 10 messages were sent off to Capitol Hill.
The result was a deluge of messages to key congressional offices protesting no fault insurance and all seemingly sent individually by concerned constituents.
The Comptroller General would be directed to administer this act and given the tools to enforce it. The lack of proper enforcement constitutes one of the weakest parts of the present law. We believe that the General Accounting Office, which is experienced in conducting audits and investigations and in reporting to the public on governmental activities, is particularly qualified to handle this task.
As an example of the failure of the enforcement provisions in the present system, reports by lobbyists are filed with the Clerk of the House of Representatives and with the Secretary of the Senate, but neither is authorized to report or investigate violations. Between March 1972 and February 1975, only five possible violations have been referred to the Department of Justice.
Of those five matters, two were initiated by Members of Congress and three by journalists. One case has been closed, and the other four are still under investigation
The Deputy Comptroller General told the Government Operations Committee in April:
I hope you would recognize that whoever you (ask to administer the act) be given the enforcement powers to carry it out.
Under our bill, the Comptroller General would be authorized to investigate and hold hearings on alleged violations, to issue cease-and-desist orders, to direct compliance, and to seek civil remedies in a U.S. district court. Possible criminal violations would be referred to the Department of Justice.
Finally, in recognition to the constitutional right of citizens to communicate with their Government, we have attempted to permit certain individual and organization contacts without having to register or file reports as lobbyists. Included would be an individual who uses his own resources and who writes letters or makes calls solely in his own behalf. Such a person should be able to contact his governmental representatives as frequently as necessary to express his point of view on an issue without registering as a lobbyist.
Also exempted are communications by organizations with the Congressman or Senators representing their district or State.
Organizations or employees who are not retained as legislative agents would be permitted to make up to 15 legislative or executive communications in a calendar quarter without having to meet the registration or reporting requirements.
This bill in other respects would go considerably beyond the present law in requiring lobbyists to file more detailed reports of their activities. These reports would have to include expenditures for lobbying of more than $15, including any gifts or expenditures for congressional or executive branch officers or employees. It also requires a report of each contact made with Members of Congress or their staffs of executive branch officials.
Lobbyists would have to include in quarterly reports copies of any letters or a description of efforts to solicit other persons to communicate with executive or legislative branches in order to influence legislation or other decisions.
The Lobbying Disclosure Act of 1975 contains an additional feature to help broaden public understanding of the executive branch decision making process. Senior agency officials, either at a level comparable to GS-15 or other officials engaged in important decision making agency functions, would be required to make records or oral and written communications relating to proceedings before the agency.
Present rules affecting ex parte communications are not broad enough to adequately inform the public about the operation of the executive and administrative processes.
The decision making process can only benefit from maximum public knowledge of and participation in its processes and this title of our bill is designed to promote that increased awareness and involvement.
It is our belief that the existing law falls far short of its original goal of providing the Congress and the public with a complete understanding of the forces which work to shape legislative and executive branch decisions. The proposal which we introduce today will go a long way toward bringing lobbying into the open and thereby help improve our representative system of government
I ask unanimous consent that the text of the Lobbying Disclosure Act of 1975 and a summary of the bill be printed in the RECORD.
There being no objection, the bill and summary were ordered to be printed in the RECORD, as follows:
S. 2167
Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That this Act may be cited as the "Lobbying Disclosure Act of 1975".
TITLE I
FINDINGS AND PURPOSE
Sec. 101 (a) The Congress finds–
(1) That the confidence in government depends upon the degree to which its people are well informed about government activity.
(2) That the accountability which is essential to the democratic functioning of both the legislative and executive branches of government can be assured only through the greatest possible disclosure of the information, opinions, and efforts of persuasion which are directed toward the policymaking process;
(3) That as the policymaking process has become more complex, the lines of accountability have become more obscure, and consequently, public confidence in government is at a very low level, a majority of Americans feel alienated from the operations of their government, and many Americans believe that special interest groups get more from the government than they do;
(4) That the exercise of the freedom of speech and the right to petition the government for redress of grievances which are cornerstones of our democratic system are themselves diminished when the public and the policymakers lack complete understanding of the pressures on the governmental process, including the information, opinions, activities and identities of persons engaged in efforts to persuade the Congress or the Executive branch;
(5) That consideration of the public interest requires that information and opinions expressed to Congress and the executive branch by the advocates of one view or interest be balanced against the information and opinions of advocates of alternative points of view;
(6) That public and timely disclosure should be made of all efforts employed to persuade members of the Congress and key officials of the Executive branch to pursue a particular course of action whether by direct communication or by solicitation or employment of others to engage in such efforts;
(7) That the existing legislation designed to provide public disclosure of efforts to affect the policymaking process fails in a narrow interpretation of those considered to be lobbyists and in the limitation to the legislative process.
(b) It is the purpose of this Act to provide for the disclosure of the communications, activities, and the origin, amount, and utilization of funds and other resources of and by persons who seek to influence the legislative or executive process, and by so doing, to–
(1) assure elected representatives and executive branch officials that those who petition the government represent the interests of the citizens for whom they speak;
(2) assure elected representatives and executive branch officials that the demands of special interest groups will not obscure the needs of other special and public interests by projecting an illusion of public sentiment when such sentiment does not exist;
(3) inform citizens of the different pressures brought to bear on the policymaking process;
(4) assure a balance of information in the policymaking process by providing timely notice to the public of activities of all persons representing interests before the legislative and executive branch of government.
DEFINITIONS
Sec. 102. As used in this Act, the term–
(a) "Federal agency" includes any executive department, military department, government corporation, government controlled corporation, Federal Advisory Committee, or other establishment or independent instrumentality in the executive branch of the government including the Executive Officeof the President;
(b) "individual" means a human being;
(c) "person" includes an individual, corporation, company, association, firm, partnership, society, joint stock company, association, or other organization or group of persons;
(d) "officer or employee of the Congress" means any officer or employee in the Legislative Branch of the Federal Government and includes a Member of Congress, Delegate to Congress, or the Resident Commissioner from the Commonwealth of Puerto Rico, officers and employees of the United States Senate, the House of Representatives or any joint, standing, special or select Committee or subcommittee thereof, or any Member of Congress, Delegate to Congress, or the Resident Commissioner of Puerto Rico;
(e) "legislative process" means any action taken by an officer or employee of the Congress to effect or prevent the introduction, consideration by Committee or staff of a Committee, passage, defeat, or amendment of legislation including any bill, resolution, proposal, constitutional amendment, nomination, hearing, report, investigation, or other matters pending or proposed in either House, and any other matter which may be subject to action by either House;
(f) "Federal officer or employee" means any officer or employee of a Federal agency and includes the President and the Vice President;
(g) "executive policymaking process" means any action taken by a Federal officer or employee with respect to the legislative process or with respect to any pending or proposed rule, rule of practice, adjudication, determination, hearing, investigation, contract, grant, or license;
(h) "income" means–
(1) a salary, gift, donation, contribution, payment, loan, advance, service, or other thing of value received; or
(2) a contract, promise, or agreement (including a contingent fee contract), whether or not legally enforceable, to receive any item referred to in paragraph (1) ;
(1) "expenditure" means–
(1) a salary, gift, donation, contribution, purchase, payment, distribution, loan, advance, service, or other thing of value made, disbursed, or furnished, or
(2) a contract, promise or agreement, whether or not legally enforceable, to carry out any transaction referred to in paragraph (1);
(j) "Committee" means any Committee of the Senate or House of Representatives or any subcommittee of any such Committee or any Joint Committee of Congress or any subcommittee of any such Joint Committee or any special or select committee of the Congress or any subcommittee of any such special or select committee;
(k) "legislative communication" means any communication by any person (except an exempt communication) with an officer or employee of the Congress to influence the legislative process;
(l) "executive communication" means any communication by any person (except an exempt communication) with a Federal officer of employee to influence the executive policymaking process;
(m) "exempt communications" means–
(1) any communication by any individual, acting solely on his own behalf, for redress of his grievances or to express his own opinion;
(2) any communication by any person to a department, agency, establishment, or instrumentality of any branch of the Federal Government in the exercise of a right of petition granted by section 553 (e) of title 5, United States Code;
(3) a communication or solicitation by a Federal officer or employee acting in his official capacity provided that such communication is not in violation of section 3107 of title 5, United States Code and that the officer or employee does not solicit or attempt to solicit more than 50 persons to make a legislative or executive communication;
(4) a communication or solicitation by a State or local government officer or employee acting in his official capacity provided that the officer or employee does not solicit or attempt to solicit more than 50 persons to make a legislative or executive communication;
(5) any appearance by any person before a Committee or Federal agency in public or executive session in connection with any measure or matter before such Committee or Federal agency and any written statement submitted by any person in connection with such matter or measure and accepted for inclusion in the records of the Committee or Federal agency provided that such appearance or statement is made a matter of public record by the Committee or Federal agency within a reasonable time after the appearance or submission;
(6) the publication, distribution or dissemination–
(A) in the normal course of business by a newspaper, magazine, or other periodical distribution to the general public in the form of news, editorial views, letters to the editor or like matter;
(B) in the normal course of business by a radio or television broadcast in the form of news, editorial views, letters to the editor or like matter; or
(C) in a book published for the general public;
(7) a communication or solicitation by a candidate, as defined in section 591(b) of title 18, United States Code, made in the course of a campaign for Federal office;
(8) a communication or solicitation by or authorized by–
(A) a national political party of the United States or a national, State, or local committee or other organizational unit of a national political party regarding its activities, undertakings, policies, statements, programs or platforms;
(B) a political party of a State, the District of Columbia, the Commonwealth of Puerto Rico, or a territory or possession of the United States, or a committee or other organizational unit of such political party, regarding its activities, undertakings, policies, statements, programs or platforms;
(C) a candidate for political office of a State, the District of Columbia, the Commonwealth of Puerto Rico, or a territory or possession of the United States, or a committee or other organizational unit acting on behalf of such candidate regarding the activities of the candidate including undertakings, policies, statements, programs or platforms; or
(9) in the case of an individual, or the officers, directors, or employees of a corporation, company, firm, partnership, society, joint stock company, association, or other organization, legislative communications with members of Congress or the personal staff of such members representing the States and districts in which such individual, officers, directors or employees reside;
(n) "Comptroller General" means the Comptroller General of the United States;
(o) "legislative agent" means any person who, for any consideration (other than exempt travel expenses), is retained in a capacity other than as an officer or employee of the person by whom he is retained, to make legislative or executive communications or to solicit others to make legislative or executive communications acting either by himself or through any other person acting for him;
(p) "exempt travel expenses" means any payment or reimbursement of expenses for travel solely from one point in the United States to another point in the United States, but only if such payment or reimbursement does not exceed the actual cost of the transportation involved plus a per diem allowance for other expenses in an amount not in excess of 125 per centum of the maximum allowance payable under section 5702(c) (1) of title 5, United States Code, for Government employees, except that in no case shall any amount more than $1,000 paid to one person within one year be considered to be exempt travel expenses;
(q) "voluntary membership organization" means an organization composed of persons or individuals who are members thereof on a voluntary basis and who, as a condition of membership, are required to make regular payments to the organization;
(r) "identification" means in the case of an individual, the name of the individual and his address, occupation, principal place at business, and title or position held in the business; and in the case of a person other than an individual, the name of the person, its officers and board of director and its address and principal place of business;
(s) "lobbyist" means–
(1) a legislative agent;
(2) any person who retains a legislative agent in any quarterly filing period, except that a person shall not be considered as being within the purview of this paragraph solely by reason of being a member of a voluntary membership organization which may itself be a legislative agent;
(3) any officer or employee of any firm, (other than a legislative agent), if such officer or employee receives pay for his services as such an officer or employee and he makes no more than fifteen legislative communications or executive communications in any quarterly filing period; except that no more than five such communications may be made in any one day;
(4) any person (other than a legislative agent) who employs any officer or employee as provided for in paragraph (3) ;
(5) any person who–
(A) solicits (other than as provided , in paragraph (6) ), orally or otherwise, other persons to make legislative or executive communications, if such solicitation reaches or with reasonable certainty may be expected to reach at least 100 persons, or
(B) solicits at least twenty-five persons who, for their efforts to make legislative or executive communication, are paid, or are promised the payment of, any consideration (other than exempt travel expenses) by the person who made the solicitation or other person acting for him, or
(C) solicits contributions totaling $5000 or more in any quarter to be used for the purpose of making legislative or executive communications;
(6) any person who, in the ordinary course of business, publishes, distributes, or circulates, as the publication of such person, house organ, or a trade, labor or trade union or commercial journal, or any other publication having the same general purposes as house organ or a trade, labor or trade union or commercial journal, if such publication–
(A) is not distributed to the general public as a usual and customary practice; and
(B) contains any matter soliciting the reader to make a legislative or executive communications, except that, this paragraph shall not apply to the reproduction or retransmission of a communication from any other person who is required by this Act to register as a lobbyist if such reproduction or retransmission specifically identifies the other person;
(t) "lobbying" means the activities of lobbyist in making legislative or executive communications, soliciting other persons to make legislative or executive communications, or soliciting contributions to make legislative or executive communications;
(u) "quarterly filing period" means any of the four calendar quarters which begin on January 1, April 1, July 1 or October 1;
(v) "United States" means any of the several States, the District of Columbia, Commonwealth of Puerto Rico, and the territories and possessions of the United States.
REGISTRATION OF LOBBYISTS
Sec. 103. (a) Each lobbyist shall register and file a representation notice with the Comptroller General not later than 5 working days after first becoming a lobbyist, and each lobbyist who has filed such a notice and has been inactive as a lobbyist for three consecutive quarterly filing periods shall also register and file a representation notice when that lobbyist again engages in lobbying. The representation notice shall be in such form and contain such information as the Comptroller General shall prescribe, including–
(1) an identification of the lobbyist;
(2) an identification of each person on whose behalf the lobbyist expects to perform services as a lobbyist;
(3) a description of the financial terms and conditions (including any contingent fee arrangement) under which the lobbyist is employed or retained by any person, and the identification of that person;
(4) each aspect of the legislative process or executive policymaking process which the lobbyist expects to seek to influence, including any officer or employee of the Congress, any committee, Federal agency, or any Federal officer or employee, to whom a communication is to be made, the form of communication to be used, and whether the communication is to be for or against any measure or action;
(5) an identification of each person who, as of the date of filing, is expected to be acting for such lobbyist and to be engaged in lobbying, including–
(A) the financial terms or conditions (including any contingent fee arrangement) of such person's activity, and
(B) each aspect of the legislative process or executive policymaking process such person expects to seek to influence; and
(6) in the case of a voluntary membership organization, the approximate number of members and a description of the methods by which the decision to engage in lobbying is made.
(b) If at any time, the information contained in a representation notice filed by a lobbyist is not current, accurate and up to date in all respects because of any change in circumstances or conditions with respect to such lobbyist (including termination of his status as a lobbyist), such lobbyist shall file with the Comptroller General within five working days after such change has occurred, any amendment or amendments to such notice as may be necessary to make the information contained in such notice completely current, accurate, and up to date in all respects. Each representation notice shall also be amended by the lobbyist at such intervals of time as the Comptroller General shall prescribe to reflect the current activities of the lobbyist.
RECORDS.
SEC. 104. Each lobbyist shall maintain such financial and other records of lobbying activity as the Comptroller General shall prescribe. Such records shall be in accordance with generally accepted accounting principles and be preserved for a period of not less than two years after the date of the activity. Such records shall be available to the Comptroller General for inspection and shall include the following information–
(a) the total income received by the lobbyist and the total income received by the lobbyist for lobbying;
(b) the identification of each person from whom income for lobbying is received, including the purpose and specific application of any such income received and the amount received;
(c) the expenditures of the lobbyist, including–
(1) the total expenditures of the lobbyist attributable to lobbying;
(2) an itemization of each expenditure for lobbying which exceeds $5 in amount of value, including the identification of the person to or for whom the expenditure is made, the date of the expenditure, and a description of the nature of the expenditure;
(3) expenditures relating to research, advertising, staff, entertainment, offices, travel, mailings, and publications used for lobbying; and
(4) the amount and the name of the recipient of any contribution made to a candidate as defined in section 591(b) of title 18, United States Code, made in the course of a campaign for Federal office; and
(d) such other information as the Comptroller General shall prescribe to carry out the purpose of this Act.
REPORTS
Sec. 105. Each lobbyist, not later than 10 working days after the last day of a quarterly filing period in which such lobbyist made a legislative communication or executive communication, shall file a report with the Comptroller General covering the lobbyist's activities during that period. Upon his own initiative or pursuant to a request by a committee or a Federal agency, the Comptroller General may request lobbyists to submit reports of activities each week during a period of consideration of a major public issue in the legislative process or executive policymaking process, with which the lobbyists are involved. Each report shall be in such form and contain such information as the Comptroller General by regulation shall prescribe, including
(a) an identification of the lobbyist;
(b) an identification of each person on whose behalf the lobbyist performed services during the period;
(c) an identification of each person, including other lobbyists, who engaged in making legislative or executive communications or soliciting others to make legislative or executive communications on behalf of the reporting lobbyist during the filing period;
(d) the total income received by the lobbyist during the reporting period to make legislative or executive communications or to solicit others to make legislative or executive communications including an identification of the source and purpose of the contribution except that–
(A) a person shall not be required to identify any person from whom income of less than $100 in value is received in the filing period to make or solicit legislative or executive communications, but the report shall contain the number of such persons together with the aggregate of such income;
(B) in the case of a voluntary membership organization, the organization shall not be required to identify any member whose payments in the filing period to the organization for lobbying did not exceed 5 percent of the total expenditures of the organization in the filing period for such purposes;
(C) if any item of income or expenditure is attributable in part to lobbying and in part to other purposes, such item may be reported, at the option of the person filing the report and in conformity with regulations prescribed by the Comptroller General–
(i) by a reasonably accurate allocation which sets forth that portion of the item received or expended to engage in lobbying as that portion bears to the sum of all such items received or promised, and the basis on which the allocation is made, or
(ii) by showing the amount of the item together with a good faith estimate by such person of that part of the item reasonably allocable to the classification of income or an expenditure to engage in lobbying;
(e) the expenditures of the lobbyist including–
(1) the total expenditures attributable to lobbying;
(2) an itemization of each expenditure for lobbying which exceeds $15 in amount of value, including the identification of each person to or for whom the expenditure is made, the date of the expenditure and a description of the nature of the expenditure;
(3) expenditures relating to research, advertising, staff, entertainment, offices, travel, mailings, and publications used for lobbying;
(4) any expenditure made directly or indirectly to or for any officer or employee of the Congress or Federal officer or employee which exceeds $15 in amount or value and any expenditure made directly or indirectly to or for one or more such officers or employees which, in aggregate amount or value, exceeds $60 in a calendar year, including an identification of the person or persons making and receiving such expenditure and a description of the expenditure; and
(5) the amount and the name of the recipient of any contribution made to a candidate as defined in section 591(b) of title 18, United States Code, made in the course of a campaign for Federal office;
(f) each decision of the legislative process or executive policymaking process the lobbyist sought to influence including any bill, docket, or other relevant identifying numbers;
(g) a copy of any written communication used by the lobbyist during the period to solicit other persons to make legislative or executive communications, an estimate of the number of such persons to whom such written communication was made, and an estimate of the number of such persons who subsequently made legislative or executive communications;
(h) a description of the procedures, other than written communications, used by the lobbyist during the period to solicit other persons to make legislative or executive communications, an estimate of the number of such persons solicited, an estimate of the number of such persons who made legislative or executive communications, the specific purpose of the legislative or executive communication, and the officers or employees of the Congress or Federal officer or employee contacted;
(i) a record of each legislative or executive communication made to a Federal officer or employee or an officer or employee of the Congress and the decision which was sought to be influenced including any bill, docket, or other relevant identifying numbers; and
(j) such other information as the Comptroller General by regulation may prescribe to carry out the purposes of this Act.
EFFECT OF FILING ON CERTAIN DETERMINATIONS UNDER THE INTERNAL REVENUE CODE OF 1954
SEC. 106. Compliance with the requirements of sections 103, 104, or 105 of this Act shall not be taken into consideration in determining, for purposes of the Internal Revenue Code of 1954, whether a substantial part of the activities of an organization is carrying on propaganda or otherwise attempting to influence legislation.
TITLE II – DISCLOSURE OF EXECUTIVE BRANCH COMMUNICATIONS
SEC. 201. (a) Any agency official who receives an oral or written communication which pertains to any Federal agency activity or policy issue shall prepare a record of that communication as prescribed in legislation creating or regulations promulgated by the agency. For the purposes of this title, the term "agency official" includes–
(1) all officials and employees of any Federal agency compensated at a rate equal to or in excess of that for grade GS-15 in the General Schedule, and
(2) any officials and employees of any Federal agency who are compensated at a rate less than that for grade GS-15 in the General Schedule only to the extent that such communications pertain to their involvement in any rule making, investigative, prosecutorial, or adjudicative function connected with a proceeding before any Federal agency or the courts.
(b) The records of communication shall be in such form and contain such information, as the Comptroller General shall prescribe, including–
(1) the name and position of the agency official who was a party to the communication;
(2) the date of receipt or occurrence of the communication;
(3) an identification, so far as possible, of the person with whom the communication occurred and of the person on whose behalf the outside party was acting;
(4) a brief summary of the subject matter of oral communications, including relevant docket numbers to which the communication pertains if known;
(5) in the case of communication through letters, documents, briefs, and other written material, copies of such material in its original form as received;
(6) a brief description of any action taken by the official in response to the communication.
(c) Records of all such communications required under subsection (a) shall be filed for public inspection and copying with the public reading room of the agency within two working days of receipt or occurrence of the communication, except that–
(1) the record of a communication with a party outside the Federal agency which pertains to a pending agency proceeding shall be placed in the public record of such proceeding,
(2) the record of a communication with a person who acts as an informant by offering incriminating material under a specific assurance of confidentiality to a Federal agency for use in a civil or criminal enforcement proceeding shall be placed in a central file solely for purposes of internal agency review, and
(3) no record of communication shall be filed in conjunction with receipt or occurrence of a communication with a member of the working press.
(d) Each Federal agency shall maintain such files of records of communication and a central index organized by subject matter and cross-referenced as to parties other than those of the agency. Files of such records shall be maintained for a period of at least 5 years.
(e) Each Federal agency shall prepare and maintain a prospective and retrospective public calendar and such cumulative calendars and records to provide such notice and recordation of Federal agency activities as the Comptroller General shall prescribe, including–
(1) public hearings;
(2) commission or agency meetings; and meetings with outside parties as the Comptroller General may prescribe.
TITLE III — DUTIES OF THE COMPTROLLER GENERAL
SEC. 301. It shall be the duty of the Comptroller General–
(a) to develop forms for the registration and filing of notices of representation, records, and reports required pursuant to sections 103, 104, and 105 of this Act and to furnish such forms upon request;
(b) to prepare a manual setting forth recommended uniform methods of bookkeeping and reporting and to furnish such manual to lobbyists upon request;
(c) to file, code, and cross-index registration statements and reports to carry out the purposes of this Act;
(d) to make the registration statements, notices, and reports filed with him available for public inspection and copying, commencing as soon as practicable, but not later than the end of the second day following the day on which any such item was received, and to permit copying of any such report or statement by hand or by duplicating machine, as requested by any person, at the expense of such person, provided that any charge therefor shall not exceed actual marginal costs, but no information copied from such reports and statements shall be sold or utilized by any person for the purpose of soliciting contributions or for any commercial purpose;
(e) to preserve the originals or copies of such notices and reports for a period of ten years from date of receipt;
(f) to compile and summarize, with respect to each filing period, the information contained in such notices and reports in a manner which facilitates the disclosure of efforts to influence the legislative process or executive policy making process, including but not limited to, information on–
(1) lobbyist activities and expenditures pertaining to specific legislative or executive actions, including an identification of the lobbyists involved, an identification of the persons in whose behalf the lobbyist acted, and the amount of income received by the lobbyist from such persons, and
(2) the activities and expenditures of lobbyists who share an economic, business, or other common interest in the legislative or executive actions which they have sought to influence;
(g) to have such information compiled, summarized and published in the Federal Register within ten working days after the close of each filing period; except that, with respect to reports concerning major issues required to be filed each week, compilation, summarization, and publication shall take place no more than three working days after the close of the filing period for each week;
(h) to have each representation notice which is filed by any lobbyist published in the Federal Register within three days after each such representation notice is received by the Comptroller General;
(i) to ascertain whether any lobbyist has failed to comply fully and accurately with the disclosure requirements of this Act and promptly notify such person to file such representation notices and reports as are necessary to satisfy the requirements of this Act or regulations prescribed by the Comptroller General under this Act;
(j) to ascertain whether any agency official has failed to comply fully and accurately with the record of communication requirements of this Act and promptly notify such official to file such records as are necessary to satisfy the requirements of this Act or regulations prescribed, by the Comptroller General under this Act;
(k) to make audits and field investigations with respect to the notices and reports filed under the provisions of this Act, and with respect to alleged failures to file any notice or report required under the provisions of this Act, and upon complaint by any individual, with respect to alleged violations of any part of this Act;
(1) to prepare a special study or report upon the request of any Member of the House of Representatives or the Senate from information in the records of the Comptroller General; or if such records do not contain the necessary information, but the information would fall under the scope of information required by this Act, the Comptroller General may inspect the records of the appropriate parties and prepare the report, but only if such special inspection can be completed in a reasonable time before the information would normally be filed; and
(m) to transmit reports to each House of the Congress no later than March 31 of each year, containing a detailed statement with respect to the activities of the Comptroller General in carrying out his duties under this title, together with recommendations for such legislative or other action as the Comptroller General considers appropriate.
ADVISORY OPINIONS
SEC. 302. (a) (1) Upon written request to the Comptroller General by any person, he may render an advisory opinion, in writing within a reasonable time with respect to whether any specific transaction or activity such person is covered by the provision of this Act.
(2) Notwithstanding any other provision of law, any person with respect to whom an advisory opinion is rendered under section (1) who acts in good faith in accordance with the provisions and findings of such advisory opinion shall be presumed to be in compliance with the provisions of this Act.
(3) Any request made under section (1) shall be made public by the Comptroller General. The Comptroller General shall before rendering an advisory opinion with respect to such request, provide any interested person with an opportunity to transmit written comments to the Comptroller General with respect to such request.
(b) The Comptroller General shall take all actions necessary to the publication, codification, indexing, cross-referencing, and distribution to Federal Depository Libraries of all advisory opinions issued by him pursuant to this section. Copies of all such opinions and indexes shall be available at cost to any person upon written request.
RULEMAKING
Sec. 303. The Comptroller General shall prescribe such rules and regulations, which shall conform to the provisions of chapter of title 5, United States Code, as may be necessary and appropriate to carry out the provisions of this Act.
POWERS OF THE COMPTROLLER GENERAL
SEC. 304. (a) The Comptroller General has the power for the purposes of this Act–
(1) to require, by special or general orders any person to submit, in writing, such reports, records, notices, and answers to such questions as the Comptroller General may prescribe relating to the execution of his duties; and such submission shall be made within such a reasonable period of time and under oath or otherwise as the Comptroller General may determine;
(2) to administer oaths or affirmations, and to delegate the power to do so;
(3) to require by subpoena the attendance and testimony of witnesses and the production of all documentary evidence relating to the execution of his duties;
(4) in any proceeding or investigation to order testimony to be taken by affidavit or by deposition before any person who is designated by the Comptroller General and has the power to administer oaths and, in such instances, to compel testimony and the production of evidence in the same manner as authorized under paragraph (3) of this subsection;
(5) to pay witnesses the same fees and mileage as are paid in the like circumstances in the courts of the United States;
(6) to initiate (through civil proceedings for injunctive, declaratory, or other appropriate relief) defend, or appeal any civil action in the name of the Comptroller General for the purpose of enforcing the provisions of this Act, through the General Counsel of the General Accounting Office;
(7) to formulate general policy, with respect to the administration of this Act; and
(8) to develop and prescribe such forms as may be necessary to carry out the purposes of this Act. (b) Any United States district court within the jurisdiction of which any inquiry under this Act is carried on, may, upon petition by the Comptroller General, in case of refusal to obey a subpoena or order of the Comptroller General issued under subsection (a) of this section, issue an order requiring compliance therewith. Any failure to obey any such order of the court may be punished by the court as a contempt thereof.
(c) No person shall be subject to civil liability to any person (other than the Comptroller General or the United States) for disclosing information at the request of the Comptroller General.
ENFORCEMENT
"Sec. 305. (a) Any person who believes a violation of this Act has occurred may file a complaint with the Comptroller General.
(b) (1) The Comptroller General, upon receiving a complaint under subsection (a), or if he has reason to believe that any person has committed a violation of this Act, may serve upon such person a complaint stating charges in that respect and a notice of a hearing upon a day and place therein filed at least 30 days after service of said complaint. The person so complained of shall have the right to appear at such hearing and show cause why an order should not be entered by the Comptroller General requiring such person to cease and desist from activities in violation of the law so charged in the complaint, and why such person should not affirmatively comply with the provisions of this Act in such manner as prescribed by the Comptroller General. The testimony in any such hearing shall be reduced to writing and filed in the office of the Comptroller General.
(2) If upon such hearing, the Comptroller General shall be of the opinion that the person complained of did violate or is violating this Act he shall make a report in writing in which he shall state his findings of facts and shall issue and cause to be served on such person an order requiring such person to cease and desist from activities in violation of this Act and to affirmatively comply with provisions of this Act in such manner as prescribed by the Comptroller General.
(c) Until such time as the Comptroller General enters an order pursuant to subsections (b), the Comptroller General may endeavor to correct violations of this Act by informal methods of conference, conciliation, and persuasion, provided that any person against whom a complaint has been issued and elects to resolve any such complaint by informal methods must sign a compliance agreement, if such agreement represents any such person's willing and informed resolution of the allegations of the complaint, under such conditions as the Comptroller General may prescribe, as a binding final resolution and adjustment of any such complaint, the violation of which may be punished by any district court of the United States as a contempt thereof.
(d) Complaints, orders, and other processes of the Comptroller General under this section may be served by anyone duly authorized by the Comptroller General either by–
(1) delivering a copy thereof to the person to be served, or to a member of the partnership to be served, or to the president, secretary, or other executive officer or a director of the society, joint stock company, association, company, or other organization to be served;
(2) leaving a copy thereof at the residence or the principal place of business or principal office of such person to be served; or
(3) mailing a copy thereof by registered mail or by certified mail addressed to such person at the residence or principal place of business or principal office of such person to be served. The verified return by the person so serving said complaint, order, or other process setting forth the manner of said service shall be proof of the same, and the return post office receipt for said complaint, order or other process mailed by registered mail or by certified mail as aforesaid shall be proof of the service of the same.
(e) An order of the Comptroller General to cease and desist from activities in violation of this Act and to affirmatively comply with provisions of this Act in such manner as may be prescribed by the Comptroller General shall become final–
(1) upon the expiration of the time allowed for filing a petition for review pursuant to section 307(b), if no such petition has been duly filed within such time;
(2) upon the expiration of the time allowed for filing a petition for certiorari pursuant to section 307(b) , if the order of the Comptroller General has been affirmed, or the petition for review has been dismissed by the court of appeals, and no petition for certiorari has been duly filed;
(3) upon the denial of a petition for certiorari, if the order of the Comptroller General has been affirmed or the petition for review dismissed by the court of appeals; or
(4) upon the expiration of 15 days from the date of issuance of the decree of the Supreme Court, if such Court directs that the order of the Comptroller General be affirmed or the petition for review dismissed.
(f) (1) Whenever the Comptroller General has reason to believe that any person has violated, or is violating, any provision of this Act, or regulations promulgated thereunder, and that the enjoining thereof pending the issuance of a complaint by the Comptroller General, until such complaint is dismissed by the Comptroller General or set aside by the court on review, or until the order of the Comptroller General made thereon has become final, would serve the purposes of this Act, the Comptroller General by any attorney designated by him for such purpose may bring suit in a district court of the United States to enjoin any such activity.
(2) Upon a showing that such action would serve the purposes of this Act and after notice to the defendant, a temporary restraining order or a preliminary injunction may be granted; provided however, that if a complaint is not filed within 10 days after the issuance of the temporary restraining order or within 30 days after the issuance of a preliminary injunction, any such temporary restraining order or preliminary injunction shall be dissolved by the court and be of no further force and effect; provided further, that in proper cases the Comptroller General may seek, and the court may issue a permanent injunction. Any such suit shall be brought in the district in which such person resides or engages in such activity complained of or transacts business.
(g) Whenever the Comptroller General has reason to believe that any person has violated, or is violating, any provision of this Act, the Comptroller General through the General Counsel of the General Accounting Office may bring an action for recovery or imposition of civil penalty as provided by section 306 (b) in any district court of the United States.
(h) The Comptroller General shall refer apparent criminal violations of this Act to the appropriate law enforcement authority.
SANCTIONS
Sec. 306. (a) After hearing and upon a finding that any person has violated or neglected duties imposed pursuant to sections 103, 104, 105 of this Act, the Comptroller General may issue a censure of such person.
(b) Any person who violates any provision of this Act or an order of the Comptroller General after it has become final, and while such order is in effect, shall forfeit and pay to the United States a civil penalty of not more than $5,000 for each violation which shall accrue to the United States and may be recovered in a civil action brought by the Comptroller General. Each separate violation of a Comptroller General's order shall be a separate offense, except that in the case of a violation through continuing failure to obey or neglect to obey a final order of the Comptroller General, each day of continuance of such failure or neglect shall be deemed a separate offense.
(c) After hearing and upon a finding that any Federal officer or employee has violated or neglected duties pursuant to Title III of this Act, the Comptroller General may censure such officer or employee.
(d) The Comptroller General may refer to the Civil Service Commission for appropriate disciplinary action any apparent violation through knowing failure or neglect of a final order of the Comptroller General by any federal officer or employee.
(e) Any lobbyist who intentionally falsifies any part of a representation notice or any report which such lobbyist filed with the Comptroller General under this Act shall be fined not more than $10,000, or imprisoned for not more than 2 years, or both.
(f) Any lobbyist who intentionally violates sections 103, 104 or 105 of this Act shall be fined not more than $10,000, or imprisoned for more than 2 years, or both.
JUDICIAL REVIEW
SEC. 307. (a) The Comptroller General, or any person who is or may be covered by this Act, may institute such actions in the appropriate district court of the United States including actions for declaratory judgment as may be appropriate to construe the constitutionality of any provision of this Act.
(b) Any person required by an order of the Comptroller General to cease and desist from activities in violation of this Act and to affirmatively comply with provisions of this Act in such manner as prescribed by the Comptroller General pursuant to Section 305 may obtain a review of such order in the court of appeals of the United States, within any circuit where such activity occurred or where such person resides or carries on business, by filing in the court, within 30 days from the date of the service of such order, a written petition praying that the order of the Comptroller General be set aside. A copy of such petition shall be forthwith transmitted by the clerk of the court to the Comptroller General, and thereupon the Comptroller General shall file in the court the record in the proceeding, as provided in section 2112 of title 28 U.S.C. Upon such filing of the petition the court shall have jurisdiction of the proceeding and of the question determined therein concurrently with the Comptroller General until the filing of the record and shall have power to make and enter a decree affirming, modifying, or setting aside the order of the Comptroller General, and enforcing the same to the extent that such order is affirmed and to issue such writs as are ancillary to its jurisdiction or are necessary in its judgment to prevent obstruction of the purposes of this Act. The findings of the Comptroller General as to the facts, if supported by evidence, shall be conclusive. To the extent that the order of the Comptroller General is affirmed the court shall thereupon issue its own order commanding obedience to the terms of such order of the Comptroller General. If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Comptroller General, the court may order such additional evidence to be taken before the Comptroller General and to be adduced upon the hearing in such manner and upon such terms and conditions as the court may deem proper. The Comptroller General may modify his findings as to the facts, or make new findings by reason of the evidence so taken, and shall file such modified or new findings, which, if any, for the modification or setting aside of its original order, with the return of such additional evidence. The judgment and decree of the court shall be final, except that the same shall be subject to review by the Supreme Court upon filing of a petition for certiorari, as provided in section 1254 of title 28, United States Code, except that such petition must be filed within 60 days of issuance of the order of the court of appeals.
(c) It shall be the duty of the district courts, the courts of appeals, and the Supreme Court of the United States to advance on the docket and to expedite to the greatest possible extent the disposition of any action instituted under this Act.
TITLE IV – GENERAL PROVISIONS
TRANSFER OF FUNCTIONS AND RECORDS
SEC. 401. (a) All rights, powers, and duties vested in the Clerk of the House of Representatives or the Secretary of the Senate for purposes of registering or controlling lobbyists or lobbying activities are hereby transferred to the Comptroller General.
(b) All documents, papers, and any and all other information in the custody or control of the Clerk of the House of Representatives or the Secretary of the Senate obtained or prepared pursuant to the provisions of the Federal Regulation of Lobbying Act or any other similar laws are hereby transferred to the custody and control of the Comptroller General.
AMENDMENTS AND REPEALS
Sec. 402. The Federal Regulation of Lobbying Act (2 U.S.C. 261 et seq.) is hereby repealed.
EFFECTIVE DATE
Sec. 403. The registration, reporting, and record keeping requirements of section 103, 104, and 105 of this Act shall become effective 60 days after the regulations necessary to the operation of such sections are promulgated by the Comptroller General pursuant to section 301(a) and section 303 of this Act.
SUMMARY OF THE LOBBYING DISCLOSURE ACT OF 1975
TITLE I
This act is designed to expand public disclosure of lobbying activities and expenditures of certain individuals, other than those acting with their own resources and solely on their own behalf, and organizations who communicate with the Executive Branch of the Congress in an effort to influence the policymaking process.
The lobbying activity may be directed at any action taken by the Congress with respect to the passage, defeat, or amendment of any bill, resolution, proposal, nomination, hearing, report, investigation, or other action in Congress or at any pending or proposed rule, rule of practice, adjudication, regulation, determination, hearing, investigation, contract, grant, or licensing action in the Executive Branch.
Activities which are not considered lobbying under this bill are:
1. Communications by an individual using his own resources and acting solely in his own behalf to petition for a redress of grievances, or to express his own opinions.
2. Appearances before Federal agencies or committees where the appearance or statement submitted becomes part of a public record.
3. Communications by local, State or Federal officers or employees acting in their official capacities provided they do not solicit more than 50 other persons to make a legislative or executive communication.
4. News, editorial views or letters to the editor or similar material presented by newspapers, magazines, radio or television broadcasts or books, when dissemination is to the general public.
5. Candidates for local, State or Federal office or local, State or Federal political committees.
6. Communications by a corporation or other organization or its employees with the Congressman or Senators representing their district or state.
A lobbyist would include a legislative agent retained to make executive or legislative communications; the person or organization employing the agent; the employees of any person or organization who are paid to make legislative communications when they make more than 15 in one quarter or 5 in one day; the person or organization for whom such employee works; any person who solicits at least 100 persons to make communications or contributions of $5000 or more to make such communications; and any person who solicits at least 25 persons who will be paid to make communications.
A person who falls under the definition of a lobbyist must register, file reports of expenditures and income related to lobbying. All income for lobbying is included except personal travel and lodging expenses comparable to Federal per diem expenses which do not exceed $1000 in one year.
Registration is required within 10 working days of becoming a lobbyist. As long as the lobbyist is active, reports of receipts and expenditures must be filed each quarter, or weekly if required by the Comptroller General to give a timely accounting of activities related to a pending major issue.
Lobbyists must keep accurate records of their contacts and expenditures and their quarterly reports to the Comptroller General must include:
1. An identification of the lobbyist and the persons on whose behalf he has acted. In the case of the voluntary membership organizations, members would have to be identified only if they contribute for lobbying purposes more than 5 percent of the organization's annual budget for lobbying.
2. An identification of each decision of the legislative or executive policymaking process the lobbyist or anyone acting on his behalf attempted to influence and each Congressional or Executive Branch officer or employee with whom the lobbyist communicated.
3. A record of each oral and written communication expressing an opinion or containing information with respect to the Executive or legislative processes.
4. A copy of each written communication and a description of the procedures used by the lobbyist to solicit other persons to make executive or legislative communications and an estimate of the number of persons contacted and who engaged in lobbying.
5. The total income and expenditures of the lobbyist for lobbying.
6. An itemization of each expenditure made directly or indirectly to or for any Federal officer or employee which is over $15 within that quarter or which in the aggregate is $60 a year.
7. The amount and recipient of any contribution to a candidate for Federal office. Section 106 of the act states that compliance with the registration and reporting provisions shall not be taken into consideration in determining for IRS purposes whether a substantial part of the activities of an organization is carrying on propaganda or otherwise attempting to influence legislation.
TITLE II
Disclosure of executive branch communications
All Federal officers or employees compensated at a rate equal to or more than a GS-15, and all other officers or employees involved in rule making, investigative, prosecutorial or adjudicative functions connected with any proceeding before an agency or the courts are required to record any contact with a person outside the agency which pertains to agency activities or policy issues.
The report shall include:
1. An identification of the parties to the communication.
2. A brief summary of any oral communications and copies of the written communications.
3. A brief description of action taken in response to the communication.
The records are required to be filed in the public reading room of the agency and with any file on a pending agency proceeding to which the communication relates. Provisions are made for summarizing or deleting classified material or material from confidential sources.
No record would be required of contacts with the working press.
Records would be maintained for five years.
The agency is required to prepare a calendar of agency activities to include public hearings, commission or agency meetings, and such staff meetings, speeches, symposiums, and meetings with outside parties as the Comptroller General shall prescribe to be included.
TITLE III
Duties of the Comptroller General
The Comptroller General is directed to administer the Act. He is to prepare forms and procedures for complying with the act, to develop a cross-indexing system to identify lobbyists with issues, and make notices of representation and reports available for public inspection.
Each quarter the Comptroller General shall summarize information from quarterly reports to describe lobbying activities related to specific legislative or executive actions and lobbying activities of persons who have an economic, business or other common interest in the actions they sought to influence.
The Comptroller General shall file these summaries and all notices of representation in the Federal Register.
Among other duties the Comptroller General shall:
1. Ascertain if any lobbyist has failed to comply with the disclosure requirements of the act or if any Executive Branch officer or employee has failed to record communications with outside parties and to promptly report such failure to that person.
2. Make audits and field investigations of failures to comply with the act on its initiative or upon any complaint by an individual.
3. Prepare reports for members of the House or Senate from materials in its files
4. When he deems necessary and requested by any person to issue advisory opinions as to whether a person or activity is covered by this act.
Powers of the Comptroller General
The Comptroller General is empowered to initiate or defend any civil action through the General Counsel of the General Accounting Office to carry out the provisions of this Act.
The Comptroller General is given the power of subpoena for materials or witnesses to carry out the provisions of this act.
Upon receiving a complaint or upon its own initiative, the Comptroller General may serve a complaint stating charges along with a notice of hearings within 30 days.
1. The person charged may appear and show cause why an order should not be entered by the Comptroller General to cease and desist from violations of the act.
2. If, after hearing, the Comptroller General finds a violation has occurred the violator may appeal to the United States Court of Appeals. An order shall not become final until all appeals are completed.
3. Pending a final order the Comptroller General may seek to reach a voluntary compliance order signed by the person charged.
4. The Comptroller General also is authorized to seek injunctive relief to insure compliance with the act pending issuance of complaint or completion of a hearing on an alleged violation.
5, The Comptroller General may petition United States District Court to assess a civil penalty of up to $5000 when it has reason to believe that a person has violated or is violating any provision of the act.
6. The Comptroller General shall report any apparent criminal violation of the act to the appropriate law enforcement authority.
Sanctions
Among the sanctions for violations of this Act are:
1. Censure by the Comptroller General of a person for violation of the registration, recording or reporting requirements of the act.
2. District Court may assess a civil penalty of up to $5000 for violation of a final order of the Comptroller General, with each separate violation considered a separate offense and each day of continuing failure to comply a separate offense.
3. A Federal officer or employee who violates the requirements of Title II to log contacts with outside parties may be censured by the Comptroller General. The Comptroller General may refer to the Civil Service Commission for appropriate disciplinary action any apparent violation through knowing failure or neglect of a formal order of the Comptroller General by any Federal officer or employee.
4. An intentional violation of the registration, recording, or reporting sections of this act by a lobbyist or an intentional falsification of any filing required by the act is punishable by up to two years and $10,000.
The Comptroller General shall report annually to the Congress on activities in carrying out his duties under the Act.