DONT KNOW JACK:

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• DONT KNOW JACK
• AVOIDING HLOGAS CIVIL
• AND CRIMINAL PENALTIES

Bill Shute -- Vice Chancellor for Federal
Relations The University of Texas System
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This is Jack
And this is Bill
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(No Transcript)
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Honest Leadership and Open Government Act
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Enhanced Disclosure
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Are You a Lobbyist?

• You may say, Absolutely not
• The Honest Leadership and Open Government might
  say, Yes, you are

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Why Does it Matter?

• Whoever knowingly and corruptly fails to comply
  with any provision of the Honest Leadership and
  Open Government Act may be imprisoned for not
  more than 5 years or fined up to 200,000 or
  both.

Whoever knowingly fails to correct a defective
lobbying disclosure filing within 60 days after
notice of such a defect by the Secretary of the
Senate or the Clerk of the House, or to comply
with any other provision of the Act, may be
subject to a civil fine of not more than
200,000. 
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Who is a Lobbyist?

• Three-part test
• 1. More than one lobbying contact

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Lobbying Contact

• Oral, written, or electronic communications to a
  covered Legislative or Executive Branch Official
  regarding
• formulation, modification, or adoption of Federal
  legislation
• the administration or execution of a Federal
  program
• policy formulation, modification, or adoption of
  a Federal rule, regulation, Executive Order,
  policy or position of the United States
  Government
• the nomination or confirmation of a person
  subject to confirmation by the Senate.

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Exceptions

• Lobbying Contact does NOT include
• a speech, article, publication or other material
  that is distributed and made available to the
  public through a medium of mass communication
• a request for a meeting, a request for the status
  of an action, or other similar administrative
  request
• testimony given before Congress or submitted for
  inclusion in the public record
• information provided in writing in response to an
  oral or written request, or in response to a
  request for public comments in the Federal
  Register
• required by subpoena or civil investigative
  demand
• written comment filed in the course of a public
  proceeding

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Who is a Lobbyist?

• Three-part test
• 1. More than one lobbying contact

with covered officials
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Covered Legislative Branch Official

• Members of Congress
• An elected officer of either house of Congress
• Employees of a Member, committee, leadership
  staff, joint committee, working group, or caucus

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Covered Executive Branch Official

• The President
• The Vice President
• Any officer or employee in the Executive Office
  of the President
• Any Executive Schedule level I V officer or
  employee
• Any member of the armed services at or above pay
  grade O-7 above
• Schedule C political appointees

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Who is a Lobbyist?

• Three-part test
• 1. More than one lobbying contact with covered
  officials

2. Lobbying activities constitute 20 or more
of the services performed by that individual on
behalf of his/her employer or client during any
quarter
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Lobbying Activities

• Lobbying contacts and any efforts in support of
  such contacts, including preparation or planning
  activities, research and other background work
  that is intended, at the time of its preparation,
  for use in contacts and coordination with the
  lobbying activities of others.

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Affiliated Organization

• An affiliated organization is any entity other
  than the client that contributes in excess of
  5,000 toward the registrants lobbying
  activities in a quarterly period, and the
  registrant or employee actively participates in
  the planning, supervision, or control of such
  lobbying activities. 

Example Several universities form a coalition,
or university employees individually join a
coalition of like-minded people and that
coalition conducts lobbying activities. If the
university or employee member contributes more
than 5000 per quarter and actively participates
in the lobbying activities, the coalition must
list the contributing member on its lobbying
disclosure.
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Actively Participates

• An organization actively participates in the
  planning, supervision, or control of lobbying
  activities of a client or registrant when that
  organization (or an employee of the organization
  in his or her capacity as an employee) engages
  directly in planning, supervising, or controlling
  at least some of the lobbying activities of the
  client or registrant.

Examples of activities constituting active
participation would include participating in
decisions about selecting or retaining lobbyists,
formulating priorities among legislative issues,
designing lobbying strategies, performing a
leadership role in forming an ad hoc coalition,
and other similarly substantive planning or
managerial roles, such as serving on a committee
with responsibility over lobbying decisions.
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Who is a Lobbyist?

• Three-part test
• 1. More than one lobbying contact with covered
  officials

2. Lobbying activities constitute 20 or more
of the services performed by that individual on
behalf of his/her employer or client during any
quarter
3. Will the amount spent by your employer on
salaries, expenses and overhead costs for
lobbying activities exceed 10,000 over the next
three months?
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New Quarterly reports(LD-2)

• A registrant must file a report for the quarterly
  period
• ORGANIZATIONS employing in-house lobbyists file a
  single report for each quarterly period

• Form LD-1 registration must be filed within 45
  days after either
• lobbyist is employed or retained
• employee who is a non-lobbyist makes second
  contact with a covered official

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New Semiannual Reports(LD-203)

• All registered entities and individuals must
  report
• campaign contributions
• donations to Presidential libraries/inaugurals
• events honoring a covered official
• to an entity established, financed, maintained,
  or controlled or an entity designated by such
  official
• to pay for a meeting, retreat or conference held
  by or in the name of one or more officials

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New Certification Requirement

• Lobbying Disclosure Act reports filed by
  Registrant and each listed lobbyist must include
  certification that
• They have read and are familiar with the gift
  travel rules, and
• Have not provided, requested, or directed any
  gift or travel with knowledge of any violation
  of these rules
• Increased civil fines up to 200,000 and criminal
  penalties up to 5 years in jail for a knowing
  violation

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Eliminating LBJs 3 Bs of Politics

• GIFTS
• The new House rules prohibit Members and
  employees from accepting gifts, including meals,
  from a registered lobbyist, from an agent of a
  foreign principal, or from any entity that
  employs or retains these lobbyists and agents.

• TRAVEL
• Privately sponsored travel may not be paid by an
  entity employing a lobbyist, with the following
  exceptions
• Same day or one (possibly two) night stays
• No substantial involvement by lobbyists in
  funding or planning of trip OR
• Sponsored by a higher education institution

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Permitted Gifts

• Gifts of nominal value
• Home-state products
• Gifts based on personal friendship
• Honorary degrees and awards
• Books and other informational materials
• Commemorative items
• Meals with small groups of constituents (Chamber
  of Commerce, Civic groups)
• Anything paid for by the federal government or
  state/local government
• Public universities are exempt from travel
  restrictions

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Executive Branch Exceptions

• a gift valued at 20 or less, provided that the
  total value of gifts from the same person is not
  more than 50 in a calendar year (employees of
  the same company are considered the same source).
• a gift based on family relationship or personal
  friendship
• gifts of free attendance at certain widely
  attended gatherings, provided the agency has
  determined the attendance is in the interest of
  the agency
• modest refreshments

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Internal Disclosure
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Who is a Lobbyist?
Will the amount spent by your employer on
salaries, expenses and overhead costs for
lobbying activities exceed 10,000 over the next
three months?
NO
No filing required
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Who is a Lobbyist?
On behalf of your employer, do you expect at any
time to make at least two unsolicited oral or
written contacts with members of Congress,
Congressional staff, senior executive agency
officials or political appointees?
NO
No filing required
Yes
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Who is a Lobbyist?
Will these contacts be aimed at influencing
action on federal legislation, a nomination
pending in the Senate, or a rule, order, policy,
contract or license of an executive branch agency
or the Administration?
NO
No filing required
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Who is a Lobbyist?
Will the time spent making these contacts and any
activities that are in support of such contacts
(including research and drafting, background
work, preparation and coordination activities)
represent at least 20 of your overall work for
your employer?
NO
No filing required
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Who is a Lobbyist?
Your employer is required to register and list
you as a lobbyist. Registration must take place
within 45 days of being employed or making the
first lobbying contact, whichever comes first.
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Contact Information
wshute_at_utsystem.edu The University of Texas
System Office of Federal Relations 1901
Pennsylvania Avenue, N.W. Suite 700 Washington,
DC 20006 [phone] phone [phone]
fax http//www.utsystem.edu/ofr