Honest Leadership and Open Government Act of 2007: The Role of the Clerk of the House and Secretary of the Senate
Honest Leadership and Open Government Act of
2007: The Role of the Clerk of the House and
Secretary of the Senate
Updated July 22, 2008
Jacob R. Straus
Analyst on the Congress
Government and Finance Division
Honest Leadership and Open Government Act of 2007:
The Role of the Clerk of the House and Secretary of the
Senate
Summary
On September 14, 2007, President George W. Bush signed S. 1, the Honest
Leadership and Open Government Act of 2007 (P.L. 110-81), into law. The Honest
Leadership and Open Government Act (HLOGA) amended the Lobbying Disclosure
Act of 1995 (P.L. 104-65, as amended) to provide, among other changes to federal
law and House and Senate rules, additional and more frequent disclosures of
lobbying contacts and activities. This report focuses on the role of the Clerk of the
House and the Secretary of the Senate in implementing the new lobbying registration
and disclosure requirements and provides an overview of the new guidance document
they have jointly issued.
Under the HLOGA and its predecessors, the Clerk of the House and the
Secretary of the Senate manage the registration, filing process, and the collection of
documents submitted by the lobbying community. Prior to the HLOGA, lobbyists
were required to file documents with both the Clerk and the Secretary. These forms
are now filed electronically and jointly. In addition, the Clerk and the Secretary are
responsible for making documents publicly available and reporting incorrect or false
filings to the U.S. attorney for the District of Columbia.
To provide direction to the lobbying community, the Clerk of the House and the
Secretary of the Senate jointly issued a guidance document for HLOGA in December
2007. The guidance document identifies eight substantive changes to the 1995
Lobbying Disclosure Act, and discusses how the Clerk and Secretary interpret and
plan to implement the HLOGA’s new provisions. In addition, the guidance document
provides direction on successful completion of quarterly registration and disclosure
documents, the new semi-annual reporting requirement, and interpretation of the
Clerk and Secretary’s role in referring the new criminal and civil penalties for filing
incorrect or false information to the U.S. attorney. On May 29, 2008, the guidance
document was updated to reflect additional guidance on semi-annual reporting
requirements under HLOGA Section 203. The guidance document was further
updated on July 16, 2008, to clarify the types of disclosures required under Section
For further analysis on the Honest Leadership and Open Government Act and
its other provisions, including amendments to House and Senate gift rules, travel
restrictions, and campaign contributions see, CRS Report RL34166, Lobbying Law
and Ethics Rules Changes in the 110th Congress, by Jack Maskell; CRS Report
RL31126, Lobbying Congress: An Overview of Legal Provisions and Congressional
Ethics Rules, by Jack Maskell; and CRS Report RS22566, Acceptance of Gifts by
Members and Employees of the House of Representatives Under New Ethics Rules
of the 110th Congress, by Jack Maskell.
Contents
Background ..................................................1
Role of Clerk of the House and Secretary of the Senate................4
Electronic Filing...........................................4
Civil and Criminal Penalties.................................5
Publicly Available Registration and Disclosure Data..............5
Lobbying Disclosure Guidance Document..........................6
Semi-Annual Report of Certain Contributions......................10
Honest Leadership and Open Government
Act of 2007: The Role of the Clerk of the
House and Secretary of the Senate
Background
During the past six decades, Congress on four occasions has approved
legislation designed to regulate lobbyist contacts with Members of Congress. The
initial provisions, which were contained in the Legislative Reorganization Act of
Senate and disclose certain receipts and expenditures. In 1995, Congress passed, and
the President signed into law, the Lobbying Disclosure Act, which repealed the 1946
act and created a detailed system of reporting thresholds. In 1998, technical
amendments to the 1995 law were passed. Finally, in 2007, Congress amended the
1995 act to further enhance disclosure and reporting requirements for lobbyists and
lobbying firms.
The Lobbying Disclosure Act (LDA) of 1995 provided specific thresholds and
clear definitions of lobbying activities, lobbying contacts, and who is a lobbyist,
compared to the 1946 act.2 In reporting the LDA, the House Judiciary Committee
summarized the need for new lobbying provisions:
The Act is designed to strengthen public confidence in government by replacing
the existing patchwork of lobbying disclosure laws with a single, uniform statute
which covers the activities of all professional lobbyists. The Act streamlines
disclosure requirements to ensure that meaningful information is provided and
requires all professional lobbyists to register and file regular, semiannual reports
identifying their clients, the issues on which they lobby, and the amount of their
compensation. It also creates a more effective and equitable system for3
administering and enforcing the disclosure requirements.
The technical amendments made to the LDA in 1998 clarified the definition of
covered executive branch officials, more clearly defined what constitutes a lobbying
contact, and provided that organizations, whose lobbying activities are limited by
1 P.L. 79-601, 60 Stat. 839-842, Aug. 2, 1946. Title III of the Legislative Reorganization Act
of 1946 is the “Federal Regulation of Lobbying Act.” It was the first law that required
persons who lobbied Congress to register with the House of Representatives and the Senate.
2 P.L. 104-65, 109 Stat. 691, Dec. 19, 1995, as amended by P.L. 105-166, 112 Stat. 38, Apr.
3 U.S. Congress, House Committee on the Judiciary, Lobbying Disclosure Act of 1995,
report to accompany H.R. 2564, 104th Cong., 1st sess., H.Rept. 104-339 (Washington: GPO,
their Internal Revenue Code non-profit status,4 could use their tax estimates to report
lobbying activities. In reporting the 1998 technical amendments, the Senate
Committee on Governmental Affairs explained the need for change:
Once the LDA was implemented by the Clerk of the House and the Secretary of
the Senate, several minor problems with the language of the statute materialized.
The offices of the Clerk and the Secretary have sought to interpret the LDA with
respect to these problems in accordance with the original intent of the law, but
it is necessary and appropriate to conform the language of the law to intent, and5
that is the motivation behind the introduction of S. 758.
The most recent amendments to the LDA, the Honest Leadership and Open
Government Act of 2007 (HLOGA), mandated additional and more frequent
disclosures.
Pursuant to the 1946 act, the 1995 LDA, as amended by the 1998 act, and the
HLOGA, the Clerk of the House and the Secretary of the Senate have had joint
responsibility for implementing systems to register lobbyists. Under the 1946 act,
individuals, groups, and organizations involved in lobbying activities were required
to keep detailed financial records and to file financial statements with the Clerk.
Lobbyists also were required to register before engaging in lobbying activities and
file quarterly reports with the Clerk and the Secretary. The Clerk was then required
to maintain these records for two years.6
The 1995 act, as amended, modified the responsibilities of the Clerk and the
Secretary in registering lobbyists and collecting disclosure documents. In addition to
collecting registration and disclosure documents from lobbyists, Section 6 required
the Clerk and the Secretary to:
(1) provide guidance and assistance on the registration and reporting
requirements of this Act and develop common standards, rules, and procedures
for compliance with this Act;
4 26 U.S.C. § 501(c)(3). 501(c)(3) organizations are “Corporations, and any community
chest, fund, or foundation, organized and operated exclusively for religious, charitable,
scientific, testing for public safety, literary, or educational purposes, or to foster national or
international amateur sports competition ..., or for the prevention of cruelty to children or
animals, no part of the net earnings of which inures to the benefit of any private shareholder
or individual, no substantial part of the activities of which is carrying on propaganda, or
otherwise attempting, to influence legislation (except as otherwise provided in subsection
(h)), and which does not participate in, or intervene in (including the publishing or
distributing of statements), any political campaign on behalf of (or in opposition to) any
candidate for public office.” These organizations are limited in their lobbying by 2 U.S.C.
§ 1603(a)(3), 2 U.S.C. § 1604(b)(4), and 2 U.S.C. §1610(a).
5 U.S. Congress, Senate Committee on Governmental Affairs, Lobbying Disclosure
Technical Amendments Act of 1997, report to accompany S. 758, 105th Cong., 1st sess.,
S.Rept. 105-147 (Washington: GPO, 1997), p. 2.
6 P.L. 79-601, 60 Stat. 839-842, Aug. 2, 1946. See also CRS Report 95-832A, Congressional
Gift and Lobbying Regulation: Current Law and Legal Issues for Reform, by Jack Maskell.
(2) review, and, where necessary, verify and inquire to ensure the accuracy,
completeness, and timeliness of registration and reports;
(3) develop filing, coding, and cross-indexing systems to carry out the purpose
of this Act, including —
(A) a publicly available list of all registered lobbyists, lobbying firms, and
their clients; and
(B) computerized systems designed to minimize the burden of filing and
maximize public access to materials filed under this Act;
(4) make available for public inspection and copying at reasonable times the
registrations and reports filed under this Act;
(5) retain registrations for a period of at least 6 years after they are terminated
and reports for a period of at least 6 years after they are filed;
(6) compile and summarize, with respect to each semi-annual period, the
information contained in registrations and reports filed with respect to such
period in a clear and complete manner;
(7) notify any lobbyist or lobbying firm in writing that may be in noncompliance
with this Act; and
(8) notify the United States Attorney for the District of Columbia that a lobbyist
or lobbying firm may be in noncompliance with this Act, if the registrant has
been notified in writing and has failed to provide an appropriate response within7
The 2007 HLOGA further refined the role of the Clerk and the Secretary in
collecting and reporting information on lobbyists under the LDA. The Clerk and the
Secretary are required to register lobbyists and collect quarterly and semi-annual
reports electronically; make registrations and filings available on the Internet; and
review each registration and filing for accuracy, notify lobbyists of a misfiling, and8
refer appropriate cases to the U.S. attorney’s office for the District of Columbia.
Pursuant to these responsibilities, the Clerk and the Secretary have chosen to use a
single electronic filing system, whereby lobbyists and lobbying firms register once
and documents are automatically transmitted to both the Clerk and the Secretary.9
7 P.L. 104-65, 109 Stat. 698-699, Dec. 19, 1995.
8 P.L. 110-81, 121 Stat. 739, Sept. 14, 2007.
9 U.S. Congress, Clerk of the House of Representatives, “Lobbying Disclosure FAQ,”
[http://lobbyingdisclosure.house.gov/FAQ.html], accessed June 2, 2008; and U.S. Congress,
Secretary of the Senate, “Lobbying Disclosure FAQ,” [http://www.senate.gov/
legislative/Public_Disclosure/FAQs.htm], accessed June 2, 2008.
Role of Clerk of the House and Secretary of the Senate
The Clerk of the House and the Secretary of the Senate are responsible for
implementing lobbyist registration and disclosure provisions of the LDA, as amended
by the HLOGA, for the House of Representatives and the Senate, respectively. As
neither the Clerk nor the Secretary have rule-writing or regulatory authority under the
LDA or its amendments, but are directed in law to provide guidance and assistance,
they issued a joint guide to the registration and disclosure processes to inform
lobbyists and the public of how they intend to carry out their duties. Under the
HLOGA amendments, the first quarterly reports were required by April 21, 2008, and
new registrations continue to be required no later than 45 days after the first lobbying
contact is made or an individual is employed to make a lobbying contact.10 All
lobbyists and lobbying firms filing registration and disclosure statements are required
to file with the Clerk and the Secretary through a joint portal maintained at
[http://lobbyingdisclosure.house.gov], and also accessible through
[ http://www.senate.gov/lobby] .
Electronic Filing. Prior to the HLOGA amendments, the LDA did not require
electronic submission of registration and reporting documents. Under the 1995 act,
as amended, the Secretary of the Senate provided lobbyists and lobbying firms the
means to file electronically or to use paper forms. The Clerk of the House did not11
provide a method of electronic filing. The HLOGA amended Section 5 of the LDA
to make electronic filing mandatory, except when an individual is amending
documents filed under the previous system, or in instances where electronic filing is
not possible for an individual with a condition covered by the Americans with12
Disabilities Act.
Pursuant to Section 5, as amended, the Clerk and Secretary have created a single
electronic registration system, using the previous Senate system’s user ID and13
password protocols, and have developed a website that provides the necessary
software applications to make all filings.14 The website has features for use on
Microsoft Windows and Macintosh operating systems. Detailed instructions on the
registration and disclosure process and a summary of filing requirements is available
10 2 U.S.C. § 1603.
11 U.S. Congress, Secretary of the Senate, Lobbying Disclosure Act Guidance for 1995 Act,
as amended, [http://www.senate.gov/legislative/common/briefing/lobby_disc_briefing.htm],
accessed Feb. 22, 2008.
12 P.L. 110-81, § 205, 121 Stat. 746, Sept. 14, 2007.
13 The Secretary of the Senate maintains a website [http://soprweb.senate.gov/] for lobbyists
and lobbying firms to obtain user IDs and passwords online. When requesting a password,
the information is simultaneously transmitted to both the Clerk of the House and Secretary
of the Senate for immediate use.
14 U.S. Congress, Clerk of the House of Representatives, “Lobbying Disclosure Forms and
Software,” [http://lobbyingdisclosure.house.gov/software.html], accessed June 2, 2008.
on both the House and Senate lobbying disclosure websites.15 The Clerk and the
Secretary are responsible for maintaining the new electronic filing system website
and for providing updated information in response to lobbyist questions and
congressional amendments.
Civil and Criminal Penalties. 2 U.S.C. § 1605 (7) and (8), as amended by
HLOGA § 210, requires the Clerk and the Secretary to notify lobbyists of
noncompliance and to notify the U.S. attorney for the District of Columbia of a16
lobbyist’s or lobbying firm’s noncompliance, after giving 60 days’ notice.
The Clerk of the House’s Legislative Resource Center and the Secretary of the
Senate’s Office of Public Records have been given responsibility for reviewing each
filing to ensure accuracy and for issuing notices to those who have not complied. If
a notice is issued to a registrant, the registrant has 60 days to respond, after which the
Clerk and the Secretary may forward instances of noncompliance to the U.S.
attorney’s office for the District of Columbia.
Publicly Available Registration and Disclosure Data. 2 U.S.C. § 1605
(3), (4), and (5), as amended by HLOGA § 209, instructs the Clerk and the Secretary
to make registration and disclosure information publicly available for at least six
years.
(3) develop filing, coding, and cross-indexing systems to carry out the purpose
of this Act, including — (A) a publicly available list of all registered lobbyists,
lobbying firms, and their clients; and (B) computerized systems designed to
minimize the burden of filing and maximize public access to materials filed
under this Act; (4) make available for public inspection and copying at
reasonable times the registrations and reports filed under this Act; (5) retain
registrations for a period of at least 6 years after they are terminated and reports17
for a period of at least 6 years after they are filed.
To satisfy the requirements of Section 6 of the LDA, as amended by the
HLOGA, the Clerk and the Secretary established websites for the public to inspect18
registration and disclosure documents on the Internet. The Lobbying Disclosure Act
15 U.S. Congress, Clerk of the House of Representatives, “Lobbying Disclosure, Office of
the Clerk,” [http://lobbyingdisclosure.house.gov], accessed June 2, 2008 and also accessible
through U.S. Congress, Secretary of the Senate, “Public Disclosure,”
[http://www.senate.gov/lobby], accessed June 2, 2008.
16 P.L. 104-65, 109 Stat. 699, Dec. 19, 1995. The LDA states that the Clerk of the House and
the Secretary of the Senate must “(7) notify any lobbyist or lobbying firm in writing that
may be in noncompliance with this Act; and (8) notify the United States Attorney for the
District of Columbia that a lobbyist or lobbying firm may be in noncompliance with this
Act, if the registrant has been notified in writing and has failed to provide an appropriate
response within 60 days after notice was given under paragraph (7).”
17 P.L. 104-65, 109 Stat. 698-699, Dec. 19, 1995.
18 The Secretary of the Senate’s searchable LDA reports are accessible through
[http://senate.gov/legislative/Public_Disclosure/LDA_reports.htm], accessed June 2, 2008.
(continued...)
Guidelines (Section 10) state that the Clerk and the Secretary will use the Internet to
deliver the content of the reports.19
Currently, the Clerk maintains a website with information on eight public
disclosure statements that Members of the House are required to complete. The
required documents are: Federal Election Campaign Reports; Financial Disclosure
Reports; samples of Franked Materials (Mass Mailings); Gift and Travel Filings;
Foreign Travel Reports and Expenditures; Legal Expense Fund Disclosures; and
Post-Employment Notifications.20 The Clerk also has online registration and
disclosure information filed under the LDA.21
The Secretary of the Senate, through the office of Public Records, provides
electronic access to the LDA disclosures since 1999.22 The Secretary also maintains
a public website listing registered lobbying firms and their Senate identification
numbers.23 Additionally, the Public Records site can be queried for information on
individuals who have left Senate service and are subject to post-employment
restrictions and for information on privately sponsored travel.
Lobbying Disclosure Guidance Document
The HLOGA lobbying provisions are effective as of January 1, 2008. As
required by Section 6 of the LDA,24 the Clerk and the Secretary on December 10,
18 (...continued)
The Clerk of the House’s searchable reports are accessible through
[http://ldsearch.house.gov/], accessed July 22, 2008.
19 U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate,
Lobbying Disclosure Guidelines, 110th Cong., 2nd sess., July 16, 2008
[http://www.senate.gov/legislative/ resources/pdf/S1guidance.pdf], p. 25, accessed July 22,
20 U.S. Congress, Clerk of the House of Representatives, “Public Disclosure,”
[http://clerk.house.gov/public_disc/index.html], accessed June 2, 2008. The Legislative
Resource Center is located in B-106, Cannon House Office Building, and assists with the
retrieval of legislative information and records.
21 U.S. Congress, Clerk of the House of Representatives, “Lobbying Disclosure Search,”
[http://ldsearch.house.gov/], accessed July 22, 2008.
22 U.S. Congress, Secretary of the Senate, “Federal Lobbyist Online Disclosure,”
[http://sopr.senate.gov/], accessed July 22, 2008.
23 U.S. Congress, Secretary of the Senate, “Registrant/Client List and Senate Identification
Numbers,” [http://www.senate.gov/pagelayout/legislative/one_item_and_teasers/
clientlist_parent.htm], accessed July 22, 2008.
24 Pursuant to Section 6 of the LDA, “The Secretary of the Senate and the Clerk of the
House of Representatives shall (1) provide guidance and assistance on the registration and
reporting requirements of this Act and develop common standards, rules and procedures for
compliance with this Act; [and] (2) review, and, where necessary, verify and inquire to
ensure the accuracy, completeness and timeliness of registrations and reports[.]” (2 U.S.C.
(continued...)
2007, issued a revised joint document providing guidance to lobbyists.25 This
guidance document was most recently updated on July 16, 2008. The guidance
document is posted on both the Clerk’s and Secretary’s lobbying websites.26
The guidance document is divided into 12 sections. The LDA does not provide
the Clerk and the Secretary with the authority to write regulations or issue opinions
on the law. The guidance document is only meant as an interpretation of the law, and
is not enforceable as law.27 A brief summary of the 12 sections of the guidance
document follows:
!Section 1 - Introduction. Provides background information on the
LDA and the responsibilities of the Clerk of the House and the
Secretary of the Senate in providing guidance to the lobbying
community.
!Section 2 - What is New? Identifies eight substantive changes to the
LDA made by the HLOGA, as well as changes to the two disclosure
forms previously used to file semi-annual reports. The eight areas of
substantive change are: quarterly filing of lobbying reports;
reduction in the registration and reporting thresholds; additional
disclosure of a state or local government client; semiannual reports
of certain contributions; revised definition of affiliation; additional
disclosure of past governmental employment; mandatory electronic
filing of LDA documents; and increased civil and criminal penalties.
!Section 3 - Definitions. Repeats terms defined in the LDA. These
terms include affiliated organizations, reports of certain
contributions, client, covered executive and legislative branch
officials, lobbying activities, lobbying contact, lobbying firm,
lobbying registration, lobbying report, lobbying, and public official,
among others. Section 3 also adds the definition of “actively
participates” from Section 207 of HLOGA.
!Section 4 - Lobbying Registration. Explains the lobbying
registration process, including who must register and when
registrations are necessary. This section also clarifies the
24 (...continued)
§1605).
25 U.S. Congress, Clerk of the House of Representatives, “Statement regarding the issuance
of revised guidance concerning the Lobbying Disclosure Act,” press release, Dec. 10, 2007
[http://clerk.house.gov/about/press/12102007_01.html], accessed Feb. 22, 2008.
26 The Lobbying Disclosure Act Guidance document can be found on the Clerk of the
House’s website [http://lobbyingdisclosure.house.gov/amended_lda_guide.html], accessed
June 2, 2008, and on the Secretary of the Senate’s website [http://www.senate.gov/
legislative/resources/pdf /S1guidance.pdf], accessed June 2, 2008. The two documents are
identical.
27 LDA Guidelines, p. 2.
preparations for filing registrations, exceptions to lobbying contacts,
the 20% activity threshold,28 the difference between a lobbying
contact and lobbying activity, alternative reporting methods, and the
relationship between the 20% activity and monetary thresholds. For
each area, the guidance document provides examples to help
illustrate the operation of a provision for the lobbying community.
!Section 5 - Special Registration Circumstances. Outlines
conditions that could affect the registration of lobbyists or lobbying
firms under the LDA. These special circumstances include lobbying
firms retained by contingent fees; registration by entities with
subsidiaries or state and local affiliates; the effect of mergers and
acquisitions; registration for associations, coalitions, churches, and
associations of churches; registration for firms hired by churches or
church associations; and the registration of professional associations
of elected officials.
!Section 6 - Quarterly Reporting of Lobbying Activities. Explains
when and why quarterly reports are needed, and provides
instructions on how to complete lobbying disclosure forms LD-129
and LD-2.30 In addition, Section 6 defines how to report firm
income, indicates when it is appropriate to report income or
expenses, and provides examples on the type of material that should
be included in a quarterly report.
!Section 7 - Semiannual Reporting of Certain Contributions.
Discusses when and why semiannual reports are needed, the basics
28 2 U.S.C. § 1602 (7) defines “lobbying activities.” A “lobbyist” is someone who makes
more than one “lobbying contact” and spends at least 20% of his or her time engaged in
“lobbying activities” for his or her client or employer. Additionally, as a requirement to
register, the lobbyist must have received at least $2,500 in a quarterly reporting period from
a client, or, if an in-house lobbyist, the organization had to spend at least $10,000 on
“lobbying activities.”
29 Form LD-1 is the lobbying registration form used for initial registration by a lobbyist or
lobbying firm. Updated copies of Form LD-1 can be found on the House of Representatives
lobbying website [http://lobbyingdisclosure.house.gov/help/default.htm?url=
WordDocuments/downloadforms.htm], accessed June 2, 2008. Pursuant to the HLOGA
amendments, form LD-1 is filed only online through the House of Representatives lobbying
website. Registrants no longer file separate copies of LD-1 with the Secretary of the Senate.
A detailed guide to filing reports is available through the House website
[http://lobbyingdisclosure.house.gov/ld_user_guide.pdf], accessed June 2, 2008.
30 Form LD-2 is the lobbying report form used by lobbyists and lobbying firms to fulfill their
quarterly reporting requirement. Updated copies of form LD-2 can be found on the House
of Representatives lobbying website at [http://lobbyingdisclosure.house.gov/help/
default.htm?url=WordDocuments/downloadforms.htm], accessed June 2, 2008. Pursuant to
the HLOGA amendments, form LD-2 is filed only online through the House of
Representatives lobbying website. Registrants no longer file separate copies of LD-2 with
the Secretary of the Senate. A detailed guide to filing reports is available through the House
website [http://lobbyingdisclosure.house.gov/ld_user_guide.pdf], accessed June 2, 2008.
of form LD-203,31 who is required to file LD-203,32 and the required
contents of the semiannual report, including examples.
!Section 8 - Termination. Explains the procedure for the
termination, for recording purposes, of a lobbyist from a lobbying
firm or of a registrant’s relationship with a client.
!Section 9 - Relationship of LDA to Other Statutes. Briefly
explains the relationship between LDA and three other statutes.
These statutes are the Foreign Agents Registration Act (FARA),33
the Internal Revenue Code (IRC),34 and the False Statements
Accountability Act of 1996.35
!Section 10 - Public Availability. States that the LDA requires the
Clerk of the House and the Secretary of the Senate “to make all
registrations and reports available for public inspection over the
Internet as soon as technically practicable after the report is filed.”36
!Section 11 - Review and Compliance. States that the Clerk of the
House’s Legislative Resource Center and the Secretary of the
Senate’s Office of Public Records “must review, verify, and request
corrections in writing to ensure the accuracy, completeness, and
timeliness of registrations and reports filed under the Act.”37
31 Form LD-203 is the lobbying report form used by lobbyists and lobbying firms to fulfill
their semi-annual reporting requirement. On June 30, 2008, the Clerk and the Secretary
released the LD-203 Contribution Reporting System. To access the system, registrants will
use the same ID and password required for other lobbying disclosure forms. The LD-203
form can only be viewed through the LD-203 Contribution Reporting System on the
lobbying disclosure website [https://ld.congress.gov:4433/LC/], accessed July 2, 2008.
32 All “active” registrants and individuals who are listed as active lobbyists by their
employer on forms LD-1 and LD-2 are required to file form LD-203 by July 30 and January
30 (or the next business day should either occur on a weekend or holiday). A registrant or
individual is “active” if they have not submitted a termination form pursuant to § 8 of the
guidance document.
33 22 U.S.C. § 611 et seq. The Department of Justice maintains the Foreign Agents
Registration Unit. More information is located at [http://www.usdoj.gov/criminal/fara/],
accessed Feb. 22, 2008. Both the LDA § 9 and the HLOGA § 212 amend the Foreign Agents
Registration Act.
34 26 U.S.C. et seq., as amended. The Internal Revenue Code can also be found on the
Internal Revenue Service website [http://www.irs.gov/taxpros/article/0,,id=98137,00.html],
accessed June 2, 2008.
35 18 U.S.C. § 1001.
36 LDA Guidelines, p. 26.
37 Ibid.
!Section 12 - Penalties. Restates the civil and criminal penalties for
filing incorrect or false information.38
Semi-Annual Report of Certain Contributions
Pursuant to 2 U.S.C. § 1604, as amended by the HLOGA,39 lobbying
organizations and individual lobbyists must file a semi-annual report of certain
political contributions and other expenditures related to public officials. The semi-
annual report, which is required to be filed by July 30 (for the January through June40
reporting period) and January 30 (for the July through December reporting period),
must contain information about donations and organizations established by the41
lobbyist or lobbying organization. The following are disclosures required under 2
U.S.C. §1604:
organization;
2.the name of each federal candidate or office holder, leadership PAC
[political action committee], or political party committee to which
contributions of $200 or more were made during the reporting period,
including the date and amount of each contribution;43
to honor or recognize a covered legislative or executive branch official;
38 2 U.S.C. §1606, as amended. The HLOGA amends the LDA to establish the following
penalties: “(a) Civil Penalty - Whoever knowingly fails to — (1) remedy a defective filing
within 60 days after notice of such a defect by the Secretary of the Senate or the Clerk of
the House of Representatives; or (2) comply with any other provision of this chapter; shall,
upon proof of such knowing violation by a preponderance of the evidence, be subject to a
civil fine of not more than $200,000, depending on the extent and gravity of the violation.
(b) Criminal Penalty — Whoever knowingly and corruptly fails to comply with any
provision of this Act shall be imprisoned for not more than 5 years or fined under title 18,
United States Code, or both.”
39 P.L. 110-81, 121 Stat. 742-744, Sept. 14, 2007.
40 If either reporting date were to fall on a weekend or holiday, the report would be due to
the Clerk and the Secretary on the next business day.
41 U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate,
“Lobbying Disclosure Electronic Filing,” press release, June 30, 2008.
42 2 U.S.C. § 1604(d)(1)(C).
43 2 U.S.C. § 1604(d)(1)(D).
44 2 U.S.C. § 1604(d)(1)(E)(i). Information required to be disclosed by another entity
pursuant to 2 U.S.C. § 434 is not included in the LD-203 statement.
4.the amount of money contributed and the donation date to an entity or
person that is named for a covered executive or legislative branch official
in recognition of that individual;45
maintained, or controlled by a covered legislative or executive branch
official, and the name of the official;46
conference, or other similar event held by, or in the name of, one or more
covered legislative or executive branch officials;47 and
7.the name of each Presidential library foundation and each Presidential
inaugural committee that was given a contribution of $200 or more by the
individual lobbyist, the lobbying organization, or a political action
committee established by the lobbyist or lobbying organization.48
For items number 3 through 7, a lobbyist who is reimbursed by a registered
lobbying firm for a payment does not list the payment on his or her LD-203 form.
Instead, the registered lobbying firm includes it on their report.
The semi-annual report also must include the name of the lobbyist or
organization, and if the lobbyist is an employee, his or her employer. Additionally,
2 U.S.C. § 1604(d)(1)(G) requires that the individual or organization certify that the
filer understands the gift and travel rules of the House and Senate and has not
knowingly provided, requested, or directed a gift, including travel to a Member of
Congress, or an officer or employee of the House or Senate. The language of 2
U.S.C. § 1604(d)(1)(G) provides
45 2 U.S.C. § 1604(d)(1)(E)(ii). Information required to be disclosed by another entity
pursuant to 2 U.S.C. § 434 is not included in the LD-203 statement.
46 2 U.S.C. § 1604(d)(1)(E)(iii). Information required to be disclosed by another entity
pursuant to 2 U.S.C. § 434 is not included in the LD-203 statement. The guidance document
clarifies that funds paid to an organization established, financed, maintained, or controlled
by a covered official includes charitable contributions made by the registrant in-lieu of an
honorarium, as well as payments directed to an entity by a covered official who serves on
the organizations board must be reported. However, “a contribution following a mere
statement of support or solicitation does not necessarily constitute a reportable event under
Section 203 without some further role by a covered official.” For more information see LDA
Guidelines, p. 21.
47 2 U.S.C. § 1604(d)(1)(E)(iv). Campaign contributions covered by the HLOGA reporting
requirements do not apply to funds provided to a person who is required to report the receipt
of the funds under Section 304 of the Federal Election Campaign Act of 1971 (2 U.S.C. §
434). For more information on the prohibition of attendance by Members at nominating
convention events honoring the Member see, CRS Report RL34324, Campaign Finance:th
Legislative Developments and Policy Issues in the 110 Congress, by R. Sam Garrett.
Information required to be disclosed by another entity pursuant to 2 U.S.C. § 434 is not
included in the LD-203 statement.
48 2 U.S.C. § 1604(d)(1)(F).
(G) a certification by the person or organization filing the report that the person
or organization —
(i) has read and is familiar with those provisions of the Standing Rules of
the Senate and the Rules of the House of Representatives relating to the
provision of gifts and travel; and
(ii) has not provided, requested, or directed a gift, including travel, to a
Member of Congress or an officer or employee of either House of Congress with
knowledge that receipt of the gift would violate rule XXXV of the Standing
Rules of the Senate or rule XXV of the Rules of the House of Representatives.
Failure to comply with the provisions of the HLOGA generally and 2 U.S.C. § 1604
specifically, can result in both criminal and civil penalties. These penalties include
(a) Civil penalty. Whoever knowingly fails to —
(1) remedy a defective filing within 60 days after notice of such a defect by the
Secretary of the Senate or the Clerk of the House of Representatives; or
(2) comply with any other provision of this Act;
shall, upon proof of such knowing violation by a preponderance of the evidence,
be subject to a civil fine of not more than $ 200,000, depending on the extent and
gravity of the violation.
(b) Criminal penalty. Whoever knowingly and corruptly fails to comply with any
provision of this Act shall be imprisoned for not more than 5 years or fined under49
title 18, United States Code, or both.
On June 30, 2008, the Clerk of the House and the Secretary of the Senate
announced the release of the LD-203 Contribution Reporting System. Pursuant to
2 U.S.C. § 1604(e), semi-annual reports are required to be filed electronically and the
Clerk and the Secretary have created a contributions reporting system website for
lobbying organizations and individual lobbyists to register with their existing ID and
password.50 The website contains a help feature to assist lobbying organizations and
lobbyists navigate the new form.51
49 2 U.S.C. § 1606.
50 The LD-203 form can be completed by logging into the Contributions Reporting System
website [https://ld.congress.gov:4433/LC/home.aspx], accessed July 2, 2008. The LD-203
form cannot be viewed without logging into the system.
51 U.S. Congress, Clerk of the House and Secretary of the Senate, LCUserManualV1,
[https://ld.congress.gov: 4433/LC/help/defau lt.htm?turl=WordDocuments%2Faccessingth
esystem.htm], accessed, July 2, 2008. The user manual is also available as a PDF file at
[http://www.senate.gov/legislative/resources/pdf/LCUserManualV1.pdf], accessed July 22,