Honest Leadership and Open Government Act
of 2007: The Role of the Clerk of the House
and the Secretary of the Senate
Jacob R. Straus
Analyst on the Congress
June 25, 2010
Congressional Research Service
7-5700
www.crs.gov
RL34377
CRS Report for Congress
P
repared for Members and Committees of Congress
HLOGA 2007: The Role of the Clerk of the House and the 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 of Representatives and the Secretary of the Senate in implementing the new
lobbying registration and disclosure requirements and provides an overview of the 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.
The guidance document has been amended seven times since its initial issuance. Most recently,
the document was updated on June 15, 2010, to include quarterly reporting of lobbying activities
and semiannual reporting of certain contributions.
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; 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; and CRS Report R40245, Lobbying Registration and
Disclosure: Before and After the Enactment of the Honest Leadership and Open Government Act
of 2007, by Jacob R. Straus.
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HLOGA 2007: The Role of the Clerk of the House and the Secretary of the Senate
Contents
Background ................................................................................................................................ 1
Role of Clerk of the House and Secretary of the Senate ............................................................... 3
Electronic Filing ................................................................................................................... 3
Civil and Criminal Penalties.................................................................................................. 4
Publicly Available Registration and Disclosure Data.............................................................. 4
Lobbying Disclosure Guidance Document................................................................................... 5
Semi-Annual Report of Certain Contributions ........................................................................... 10
Tables
Table 1. Guidance Document Updates ......................................................................................... 6
Contacts
Author Contact Information ...................................................................................................... 12
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HLOGA 2007: The Role of the Clerk of the House and the 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 1946, required that lobbyists register with the
House of Representatives and the Senate and disclose certain receipts and expenditures.1 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 for
administering and enforcing the disclosure requirements.3
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 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
1 P.L. 79-601, 60 Stat. 839-842, August 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, December 19, 1995, as amended by P.L. 105-166, 112 Stat. 38, April 8, 1998.
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, 1995), p. 2.
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).
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the language of the law to intent, and that is the motivation behind the introduction of S.
758.5
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;
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
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, August 2, 1946. See also 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.
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failed to provide an appropriate response within 60 days after notice was given under paragraph
(7).7
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, and refer appropriate cases to the U.S. attorney’s office for the District of
Columbia.8 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
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 not provide a method of electronic filing.11 The HLOGA amended Section 5 of the
LDA to make electronic filing mandatory, except when an individual is amending documents
7 P.L. 104-65, 109 Stat. 698-699, December 19, 1995.
8 P.L. 110-81, 121 Stat. 739, September 14, 2007.
9 U.S. Congress, Clerk of the House of Representatives, “Lobbying Disclosure FAQ,”
http://lobbyingdisclosure.house.gov/FAQ.html; and U.S. Congress, Secretary of the Senate, “Lobbying Disclosure
FAQ,” http://www.senate.gov/legislative/Public_Disclosure/FAQs.htm.
10 2 U.S.C. § 1603.
11 U.S. Congress, Secretary of the Senate, Historic Lobbying Disclosure Act Guidance (not valid for post January 1,
2008 filings), http://www.senate.gov/legislative/common/briefing/lobby_disc_briefing.htm.
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filed under the previous system, or in instances where electronic filing is not possible for an
individual with a condition covered by the Americans with Disabilities Act.12
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 and password protocols,13 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 are available 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 a lobbyist’s or lobbying firm’s noncompliance, after giving 60 days’ notice.16
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.17
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
12 P.L. 110-81, § 205, 121 Stat. 746, September 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.
15 U.S. Congress, Clerk of the House of Representatives, “Lobbying Disclosure, Office of the Clerk,”
http://lobbyingdisclosure.house.gov and also accessible through U.S. Congress, Secretary of the Senate, “Public
Disclosure,” http://www.senate.gov/lobby.
16 P.L. 104-65, 109 Stat. 699, December 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 For more information on the role of the U.S. Attorney’s Office for the District of Columbia prosecution of HLOGA
related violations see, U.S. Government Accountability Office, Lobbying Disclosure: Observations on Lobbyists’
Compliance with New Disclosure Requirements, GAO-08-1099, September 30, 2008, pp. 15-18.
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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.18
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 inspect registration and disclosure documents
on the Internet.19 The Lobbying Disclosure Act Guidelines (Section 10) state that the Clerk and
the Secretary will use the Internet to deliver the content of the reports.20
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.21 The Clerk also has online registration and
disclosure information filed under the LDA.22
The Secretary of the Senate, through the office of Public Records, provides electronic access to
the LDA disclosures since 1999.23 The Secretary also maintains a public website listing registered
lobbying firms and their Senate identification numbers.24 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,25 the Clerk and the Secretary on December 10, 2007, issued a revised joint document
providing guidance to lobbyists.26 The guidance document is updated, as needed, to reflect
18 P.L. 104-65, 109 Stat. 698-699, December 19, 1995.
19 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. The Clerk of the House’s searchable reports are accessible
through http://ldsearch.house.gov.
20 U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, Lobbying Disclosure Guidelines,
110th Cong., 2nd sess., July 16, 2008. [Hereafter, LDA Guidelines July 2008.]
21 U.S. Congress, Clerk of the House of Representatives, “Public Disclosure,” http://clerk.house.gov/public_disc/
index.html. The Legislative Resource Center is located in B-106, Cannon House Office Building, and assists with the
retrieval of legislative information and records.
22 U.S. Congress, Clerk of the House of Representatives, “Lobbying Disclosure Search,” http://ldsearch.house.gov.
23 U.S. Congress, Secretary of the Senate, “Federal Lobbyist Online Disclosure,” http://sopr.senate.gov.
24 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.
25 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. §1605).
26 U.S. Congress, Clerk of the House of Representatives, “Statement regarding the issuance of revised guidance
concerning the Lobbying Disclosure Act,” press release, December 10, 2007 http://clerk.house.gov/about/press/
12102007_01.html.
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changes in guidance from the Clerk and the Secretary. Table 1 lists when the guidance document
has been updated since it was first issued. The guidance document was most recently updated on
December 23, 2009. The guidance document is posted on both the Clerk’s and Secretary’s
lobbying websites.27
Table 1. Guidance Document Updates
Since December 10, 2007
Date Update
May 29, 2008
Provided additional guidance on semi-annual reporting requirements under the HLOGA
Section 203. a
July 16, 2008
Clarified the types of disclosures required under the HLOGA Section 203.a
January 6, 2009
Revised requirements for special registration circumstances, quarterly reporting of lobbying
activities, and semiannual reporting of certain contributions.
February 3, 2009
Raised registration thresholds to $3,000 in total income from a client for individuals or
$11,500 in total income from a client for an organization, in any given quarterly period. b
June 9, 2009
Revised requirements for registration, removed provision requiring lobbyists to disclose
activities regardless of quarterly activity, clarified the definition of active registrants and
lobbyists required to file LD-203 forms, and clarified appropriate registrant termination
policies and requirements to file LD-203 forms following termination. c
December 23, 2009
Revised language on registration for foreign entities to require reporting of foreign affiliates,
added codes to report tariff related lobbing, refined definitions on reporting estimated
lobbying expenses, added “in-kind” contributions to required semi-annual campaign
contribution disclosures, and incorporated previous notices on lobbyist termination. d
June 10, 2010
Modified requirements that lobbyists list previous covered executive or legislative branch
positions held within twenty (20) years of first acting as a lobbyist for each client, and
updated language to “stress” that lobbyists and registrants must file a semiannual report for
each semiannual period they remain active.
Source: U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, Lobbying Disclosure
Guidelines, 111th Cong., 2nd sess., June 10, 2010, http://www.senate.gov/legislative/resources/pdf/S1guidance.pdf,
and http://lobbyingdisclosure.house.gov/amended_lda_guide.html.
Notes:
a. For more information see, 2 U.S.C. § 1604.
b. Changes to the registration thresholds were effective as of January 1, 2009. For more information about the
registration thresholds see, http://www.senate.gov/legislative/Public_Disclosure/new_thresholds.htm
c. Further clarification of the guidance document on the termination of lobbyists was issued on June 16, 2009.
The guidance was amended to permit termination if a registered lobbyist “does not reasonably expect to
make further lobbying contacts.”
d. U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, Clarification of Recent
Notice and Revised Guidance Regarding Conditions for Lobbyist Termination, 111th Cong., 1st sess., June 16, 2009,
http://lobbyingdisclosure.house.gov/0615_Notice_Lobbyist_Clarification.pdf.
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
27 The Lobbying Disclosure Act Guidance document can be found on the Clerk of the House’s website
http://lobbyingdisclosure.house.gov/ldaguidance.pdf, and on the Secretary of the Senate’s website
http://www.senate.gov/legislative/resources/pdf/S1guidance.pdf. The two documents are identical.
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document is only meant as an interpretation of the law, and is not enforceable as law.28 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.29 This section
also clarifies the preparations for filing registrations, exceptions to lobbying
contacts, the 20% activity threshold,30 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. In addition, this section provides guidance on when and how to
report foreign entity contributions to lobbying activity.31
• 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
28 LDA Guidelines July 2008, p. 2.
29 The LDA Guidance Document issued on June 9, 2009 provided a test for triggering registration requirements. “The
registration requirement of potential registrant is triggered either (1) on the date their employee/lobbyist is employed or
retained to make more than one lobbying contact on behalf of a client (and meets the 20% of time threshold), or (2) on
the date their employee/lobbyist in fact makes a second lobbying contact (and meets the 20% of time threshold),
whichever is earlier.” See, U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, Lobbying
Disclosure Guidelines, 111th Cong., 1st sess., June 9, 2009. [Hereafter, LDA Guidance June 2009].
30 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.”
31 U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, Lobbying Disclosure Guidelines,
111th Cong., 1st sess., December 23, 2009. [Hereafter, LDA Guidance December 2009].
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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-132 and LD-2.33 In addition, Section 6 defines how
to report firm income, indicates when it is appropriate to report income or
expenses, provides examples on the type of material that should be included in a
quarterly report, indicates that organizations who pay dues to other organizations
must report the portion of their dues used for lobbying activities,34 removes
previous guidance that registrants who previously filed LD-2 forms could be
required to file again in the future, even if they did not meet reporting thresholds
in a given quarter,35 reminds filers that “all expenses of lobbing activities
incurred during a quarterly period are reportable,”36 provides for a specific
reporting code for lobbying on tariff bills,37 reminds filers that all new lobbyists
must list “previous covered executive or legislative branch positions held within
twenty (20) years of first acting as a lobbyist for a client,”38 and reiterates that the
“requirement to disclose a foreign interest ... is not contingent upon the entity
making a contribution ... to the registrant during that particular reporting
period.”39
• Section 7—Semiannual Reporting of Certain Contributions. Discusses when
and why semiannual reports are needed, the basics of form LD-203;40 who is
32 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. 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.
33 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. 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.
34 U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, Lobbying Disclosure Act
Guidance, 111th Cong., 1st sess., January 16, 2008. [Hereafter, Lobbying Guidance January 2009].
35 LDA Guidance June 2009, p. 17. Previous guidance documents stated “Once an individual has met the definition of a
lobbyist and has been disclosed or identified as such, he or she does not need to meet that standard every reporting
period in order to trigger the required disclosure of his or her lobbying activities.” This guidance has been removed in
the June 9, 2009 release.
36 LDA Guidance December 2009, p. 14.
37 LDA Guidance December 2009, p. 17.
38 U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, Lobbying Disclosure Guidelines,
111th Cong., 2nd sess., June 10, 2010, http://www.senate.gov/legislative/resources/pdf/S1guidance.pdf, p. 18, and
http://lobbyingdisclosure.house.gov/amended_lda_guide.html. [Hereafter, LDA Guidance June 2010.]
39 LDA Guidance December 2009, p. 18.
40 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/.
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required to file LD-203;41 the required contents of the semiannual report42
(regardless of whether they make a reportable contribution),43 including
examples; that third-party preparers should “retain appropriate documentation to
demonstrate that they have authorization to make such filing on behalf of all
filers (including lobbyist-employees of registrants) using their services,44 and that
in-kind contributions should be reported.45
• 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, including when removing a registrant is appropriate.46
• 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),47 the Internal Revenue Code (IRC),48 and the
False Statements Accountability Act of 1996.49
• 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.”50
• 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.”51
41 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. LDA Guidance June 2009, p. 18, provides additional clarification by reminding sole proprietors
and small lobbying firms of their requirement to file two reports: one by the registrant and one by the listed lobbyist,
even if those individuals are the same.
42 Lobbying Guidance January 2009, p. 21. The guidance document also contains a reminder that each registrant is
responsible for maintaining the integrity and use of their password. If a password is used without authorization, the
registrant should immediately contact the Clerk or the Secretary.
43 LDA Guidance June 2010, p. 19.
44 Lobbying Guidance January 2009, p. 24.
45 LDA Guidance December 2009, p. 20.
46 LDA Guidance June 2009, p. 23. Further clarification on termination of a registered lobbyist was issued on June 16,
2009. See, http://lobbyingdisclosure.house.gov/amended_lda_guide.html; and U.S. Congress, Clerk of the House of
Representatives and Secretary of the Senate, Clarification of Recent Notice and Revised Guidance Regarding
Conditions for Lobbyist Termination, 111th Cong., 1st sess., June 16, 2009, http://lobbyingdisclosure.house.gov/
0615_Notice_Lobbyist_Clarification.pdf.
47 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/. Both the LDA § 9 and the HLOGA § 212 amend the Foreign Agents
Registration Act.
48 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.
49 18 U.S.C. § 1001.
50 LDA Guidelines July 2008, p. 26.
51 Ibid.
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• Section 12—Penalties. Restates the civil and criminal penalties for filing
incorrect or false information.52
Semi-Annual Report of Certain Contributions
Pursuant to 2 U.S.C. § 1604, as amended by the HLOGA,53 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 June reporting period) and January 30 (for the July through December reporting
period),54 must contain information about donations and organizations established by the lobbyist
or lobbying organization.55 The following are disclosures required under 2 U.S.C. §1604:
1. the names of political committees established by the lobbyist or lobbying
organization;56
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;57
3. the amount of money contributed and the donation date to pay for an event to
honor or recognize a covered legislative or executive branch official;58
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;59
5. the amount of money contributed to an organization established, financed,
maintained, or controlled by a covered legislative or executive branch official,
and the name of the official;60
52 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.”
53 P.L. 110-81, 121 Stat. 742-744, September 14, 2007.
54If 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.
55 U.S. Congress, Clerk of the House of Representatives and Secretary of the Senate, “Lobbying Disclosure Electronic
Filing,” press release, June 30, 2008.
56 2 U.S.C. § 1604(d)(1)(C).
57 2 U.S.C. § 1604(d)(1)(D).
58 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.
59 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.
60 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
(continued...)
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6. the amount of money used to pay for the cost of a meeting, retreat, conference, or
other similar event held by, or in the name of, one or more covered legislative or
executive branch officials;61 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.62
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
(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.
(...continued)
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.
61 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: Legislative
Developments and Policy Issues in the 110th 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.
62 2 U.S.C. § 1604(d)(1)(F).
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(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.63
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.64 The website contains a help feature to assist
lobbying organizations and lobbyists navigate the new form.65
Author Contact Information
Jacob R. Straus
Analyst on the Congress
jstraus@crs.loc.gov, 7-6438
63 2 U.S.C. § 1606.
64 The LD-203 form can be completed by logging into the Contributions Reporting System website
https://ld.congress.gov:4433/LC/home.aspx. The LD-203 form cannot be viewed without logging into the system.
65 U.S. Congress, Clerk of the House and Secretary of the Senate, LCUserManualV1, https://ld.congress.gov:4433/LC/
help/default.htm?turl=WordDocuments%2Faccessingthesystem.htm. The user manual is also available as a PDF file at
http://www.senate.gov/legislative/resources/pdf/LCUserManualV1.pdf.
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