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The Lobbying Compliance Handbook: A Practitioner's Guide in the Age of HLOGA
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i. Introduction and Explanation
 
PART 1: Compliance with LDA and HLOGA
 
Chapter 1: Overview of the LDA Framework and Changes Contained in HLOGA
1.1: History of LDA
1.2: Changes to LDA Enacted by HLOGA
 1.2.1: LD-1: Lobbying Registration
  1.2.1.1: Disclosure of Prior Government Service by Individual Lobbyists
  1.2.1.2: Disclosure of Coalitions and Association Members
   1.2.1.2.1: Formal Coalitions
   1.2.1.2.2: Informal Coalitions
   1.2.1.2.3: Associations
 1.2.2: LD-2 Changes: Lobbying Issues, Income, and Expenditure Disclosures
  1.2.2.1: Income and Expenditures Reporting
  1.2.2.2: Disclosure of Prior Government Service by Individual Lobbyists
 1.2.3: LD-203: New Individual Filings by Lobbyists and Entities
  1.2.3.1: Reporting of Political Contributions
  1.2.3.2: Payments and Disbursements Related to Covered Officials
  1.2.3.3: Ethics Compliance Certification
 
Chapter 2: Back to LDA Basics
2.1: Overview of Registration
2.2: Registrants Reporting Lobbying Income
 2.2.1: Registration of Individual Lobbyists
  2.2.1.1: Twenty Percent of Time Engaged in Lobbying Activities
  2.2.1.2: Lobbying Contact to a Covered Executive or Legislative Branch Official
   2.2.1.2.1: Scheduling Requests
   2.2.1.2.2: Status Requests
   2.2.1.2.3: Statutory Exceptions
  2.2.1.3: Income of $3,000 or More During a Quarter
2.3: Changes in LD-1 for Lobbyists Reporting Income
 2.3.1: LDA Definition of “Affiliate”
  2.3.1.1: Registration on Behalf of Parent Companies with Subsidiary Entries-The 20% Rule
  2.3.1.2: Registration and Disclosure of a Client’s Foreign Interests/Affiliates
 2.3.2: Description of Client’s Business
 2.3.3: Disclosure of Lobbying Issues
 2.3.4: Signing the LD-1 Registration Form
2.4: Lobbyists Reporting Income for Lobbying Activities
 2.4.1: Income
 2.4.2: Issues Lobbied During Reporting Period
 2.4.3: Changes to Previously Filed Information
  2.4.3.1: Updated Information
  2.4.3.2: Changes in Previously Disclosed Income Information
  2.4.3.3: Corrective Action Requested by Senate Secretary or House Clerk
2.5: Entities Reporting Lobbying Expenditures
 2.5.1: The LDA and the Internal Revenue Code
  2.5.1.1: Organizations Reporting Expenses: Optional IRC Reporting Methods
  2.5.1.2: Which Method of Reporting Expenditures Should a Registrant Use:LDA or IRC?
 2.5.2: LD-1: Triggering Registration for Entities Reporting Expenditures
 2.5.3: LD-2: Tracking and Reporting Lobbying Expenditures
  2.5.3.1: Salaries and Wages of Employees Engaged in Lobbying Activities
  2.5.3.2: IRC Methods for Calculating Lobbying Expenditures
   2.5.3.2.1: Ratio Method
   2.5.3.2.2: Gross-up Method
   2.5.3.2.3: Cost Allocation Method
 
Chapter 3: Basic How-To for an LDA Compliance System
3.1: Important Compliance Considerations after HLOGA
3.2: Principles of HLOGA Internal Compliance Systems
3.3: Components of Compliance Systems
 3.3.1: Financial Tracking Systems
  3.3.1.1: Lobbyists Tracking Income
  3.3.1.2: Registrants Tracking Lobbying Expenditures
 3.3.2: Report Preparation and Review
 3.3.3: Document Retention and GAO Audits
 3.3.4: LD-203 Report
 3.3.5: Training of Lobbyist and Non-lobbyist Employees
  3.3.5.1: Timekeeping and Issue Recording Training
  3.3.5.2: Ethics Training for Compliance with LD-203 Reporting
 
Chapter 4: The GAO Audit: Preparation for and the Process of the Audit
4.1: Introduction
4.2: Summary of the GAO’s First Two Reports on HLOGA Compliance
 4.2.1: Methodology
 4.2.2: Findings of the Reports
4.3: Preparation for a GAO Audit
4.4: Lessons from the GAO Audit
 4.4.1: Compliance Best Practices for the LD-2
  4.4.4.1: Documentation
  4.4.4.2: Additional Items to be Aware of
 4.4.2: Compliance Best Practices for the LD-203
  4.4.2.1: Determining Who Should File
  4.4.2.2: Tracking Systems for Disclosures on the LD-203
  4.4.2.3: PAC Boards
4.5: The Auditing Process: A Case Study
 4.5.1: HLOGA Compliance
 4.5.2: The Audit
 
PART 2: Modern Living under the Ethics Rules
i. Introduction
 
Chapter 5: Food, Entertaining and Dating
5.1: The Lobbyists’ Guide to Feeding and Entertaining a Member or Staffer
 5.1.1: What is a Meal?
 5.1.2: Exceptions to the Ethics Rules Allowing a Member or Staffer to Consume a Meal
 5.1.3: Disclosure of Meals Paid for by Lobbyists or Lobbying Entities
 5.1.4: De Minimis Allowance for Meals Offered or Furnished by Non-Lobbyists
5.2: Parties, Receptions and Events
 5.2.1: Cup of Coffee Rules
 5.2.2: Drinks at the Bar Rules
 5.2.3: Breakfast Rules
 5.2.4: Parties and Receptions - Menus
  5.2.4.1: Invitations and Ethics Approval
 5.2.5: Entertainment, Valet-Parking and Other Offerings to Guests
  5.2.5.1: Entertainment
  5.2.5.2: Valet Parking and Items Offered to Guests
 5.2.6: Honoring Members of Congress
  5.2.6.1: Events Honoring Members at National Party Conventions
  5.2.6.2: Events Honoring Members at Swearing-In/Inauguration Ceremonies
5.3: Preparation for a GAO Audit
 5.3.1: Entertaining in the Home
 5.3.2: Dating and Other Forms of Entertainment
  5.3.2.1: Initial Phase Dating Issues
  5.3.2.2: Disclosure of Dating Gifts
5.4: Special Occasions and Gifts
 
Chapter 6: The Travel Section
6.1: Introduction
6.2: Official v. Officially Connected Travel
6.3: Specific Situations Regarding Travel
 6.3.1: Members/Staffers Speaking at a Conference or a Meeting in Washington, D.C.
 6.3.2: Members/Staffers Speaking at a Conference, Attending a Meeting, or Participating in a Fact-Finding Trip Outside of Washington, D.C.
  6.3.2.1: Procedures for Approval of House Member/staffer Travel for One-day Conference
  6.3.2.2: Procedures for Approval of Senator/Senate Staffer Travel for One-day Conference
 6.3.3: Permissible Travel Outside of One Day
6.4: Important Miscellaneous Travel Rules
6.5: Travel Unrelated to Official Duties
 
Chapter 7: Executive Branch Gift Issues
7.1: Introduction
7.2: Key Provisions Related to the Executive Branch Gift Rules
7.3: Exceptions to the Executive Branch Gift Rules
7.4: Examples of Executive Branch Gift Rule Issues
 
Chapter 8: President Obama’s Executive Order Governing Political Appointees
8.1: The Executive Order on Ethics Commitments
 8.1.1: Ban on Gifts to Political Appointees from Lobbyists
 8.1.2: Political Appointee Employment Restrictions
  8.1.2.1: Entering the Administration
  8.1.2.2: Exiting the Administration
8.2: Restrictions on Lobbying With Regard to the American Recovery and Reinvestment Act (ARRA)
 
Chapter 9: Job Hunting on the Hill
9.1: Introduction
9.2: House Members
9.3: House Staff
9.4: Senators
9.5: Senate Staff
 
 
Tables
 
2-1: Comparison of LDA and IRC Definitions
3-1: LD-203 Disbursements and Payments at a Glance
5-1: Meals at a Glance as Defined by the Ethics Rules
5-2: Drinks at the Bar - A Guide
5-3: Dating Etiquette under HLOGA
5-4: Guide to Valuation of Ticketed Events
5-5: Gifts Allowed from Lobbyists and Lobbying Entities
6-1: Glossary of Travel Terms
6-2: Travel Rules at a Glance
6-3: Lobbyists’ Involvement in Travel
9-1: House Lobbying Restrictions at a Glance
9-2: Senate Lobbying Restrictions at a Glance
 
 
Appendices
 
A: LDA Guidance from House and Senate
B: LDA Forms
 B-1: LD-1
 B-2: LD-2
 B-3: LD-203 Screen Shots
C: Report Deadlines
D: IRS Guidance and Definitions
E: Tracking Time and Finances for LD-1, LD-2 and LD-203 Using IRC Definitions
 E-1: Checklist for Compliance - Expenditures Reporting
 E-2: Template for Lobbying Expenditures to be Captured and Reported - IRS Definition
 E-3: Pre-Filing Compliance Review/Checklist for LD-2 Report
 E-4: Quarterly Time Records for Lobbying Activities - IRS Definition
 E-5: PAC Contributions for LD-203 Report
 E-6: Contributions and Expenditures Records for LD-203 Report - Individual or Entity
 E-7: Weekly Time Records for Federal Lobbying Activities
 E-8: Pre-filing Compliance Review and Checklist for LD-203 Reporting
F: Tracking Time and Finances for LD-1, LD-2, and LD-203 Using LDA Definitions
 F-1: Checklist for HLOGA Compliance
 F-2: Lobbying Costs/Expenditures to be Reported and Calculated - LDA Definitions
 F-3: Pre-Filing Compliance Review/Checklist for LD-2 Report
 F-4: Quarterly Time Records for Lobbying - LDA Definition
 F-5: PAC Contributions for LD-203 Report
 F-6: Contributions and Expenditures Report for LD-203 Report - Individual or Entity
 F-7: Weekly Time Records for Federal Lobbying Activities
 F-8: Pre-filing Compliance Review and Checklist for LD-203 Reporting
G: House and Senate Gift Rules
 G-1: House Rule XXV
 G-2: Senate Rule XXXV
H: House and Senate Ethics Committees General Gift Rule Guidance
 H-1: House Memo - Gift Rule Amendments at the Beginning of the 110th Congress
 H-2: House Memo - Change in Gift Rule Regarding Charity Events
 H-3: Senate Ethics Committee Paper on Changes Impacting Senate Gift Rule
 H-4: Senate Memo - New Guidance under the Gifts Rule
I: House and Senate Ethics Committees Gift Rule Guidance and Forms - Travel
 I-1: House Memo - Travel Guidelines and Regulations
 I-2: House Memo - New Travel Rules for Officially-Connected Travel Paid for by a Private Source
 I-3: House Memo - Travel Approval Requests Must be Submitted in a Timely Manner
 I-4: House Instructions for Filling Out Private Sponsor Certification Form
 I-5: House Private Sponsor Travel Certification Form
 I-6: House Privately Sponsored Travel: Traveler Form
 I-7: House Employee Post-Travel Disclosure Form
 I-8: House Member/Officer Post-Travel Disclosure Form
 I-9: House Memo - Sept. 2008 Update: Changes to the Pre-Approval Process for Officially Connected Travel Paid for by a Private Source
 I-10: Senate Private Sponsored Travel Best Practices Guide
 I-11: Senate Ethics Committee Regulations and Guidelines for Privately Sponsored Travel
 I-12: Senate Ethics Committee Regulations and Guidelines for Privately Sponsored Travel - Glossary of Terms
 I-13: Senate Privately Sponsored Checklist
 I-14: Senate Private Sponsor Travel Certification Form
 I-15: Instructions for Filling Out Senate Private Sponsor Travel Certification Form
 I-16: Senators and Officers Disclosure of Travel Expenses
 I-17: Senate Employee Advanced Travel and Authorization Form
J: House and Senate Ethics Committees Gift Rule Guidance - National Party Conventions
 J-1: House Memo - Member Participation in Certain Events Taking Place during a National Convention
 J-2: House Memo - Gift Rule Provisions Applicable to the National Party Conventions
 J-3: House Memo - Member Swearing-In and Inauguration Day Receptions and Attendance at Widely Attended Events
 J-4: Senate Memo - Events Honoring Members at the National Party Conventions
 J-5: Senate Memo - Application of Gift Rule at Conventions
K: House and Senate Ethics Committees Guidance and Forms - Post-Employment Negotiations
 K-1: Senate Memo - Employment Negotiations and Arrangements for Senators
 K-2: Disclosure by Member of Job Negotiations and Recusal - Senate
 K-3: Senate Memo - Employment Negotiations and Arrangements for Senior Senate Staff
 K-4: Disclosure by Senior Staff of Job Negotiations and Recusal - Senate
 K-5: House Memo - Negotiating for Future Employment
 K-6: Notification of Negotiations for Future Employment - House
 K-7: Statement of Recusal - House
 K-8: House Memo - Ethics Laws & Rules for Departing Members and Staff
L: House and Senate Forms and Guidance - Foreign Gift Disclosure
 L-1: Instructions for Disclosing Gifts from Foreign Governments - House
 L-2: Form for Disclosing Gifts from Foreign Governments - House
 L-3: Report of Acceptance of Gifts from a Foreign Government or Multinational Organization
M: Executive Branch Rules and Guidance on Gifts
 M-1: Regulations on Gifts from Outside Sources
 M-2: Summary of Provisions of HLOGA that Affect the Executive Branch Ethics Program
 M-3: Office of Government Ethics Memo on Widely Attended Gatherings
 M-4: OGE Memo - Valuation of Gifts of Admission to an Event in a Skybox or Private Suite
 M-5: OGE Memo - Presidential Inaugural Events
 M-6: Executive Order on Ethics Commitments
 M-7: OGE Memo - Executive Order and Ethics Pledge
 M-8: OGE Memo - Lobbyist Gift Ban
 M-9: OGE Memo - Waiver Authority for Ethics Pledge
 M-10: OGE Memo - Who Must Sign the Ethics Pledge
 M-11: OGE Memo - Ethics Pledge: Revolving Door Restrictions - Those Entering Government
N: Sample Compliance Policies and Sample Correspondence
 N-1: Compliance Code for Lobbying Firms
 N-2: Corporate Code of Conduct for Interactions with Government Officials and Employees
 N-3: Trade Association Code of Conduct for Interactions with Government Officials and Employees
 N-4: Sample Correspondence Response to a Solicitation for Contribution from Congressional Member
O: Obama Administration Policies Regarding Lobbyist Communication Related to the American Recovery and Reinvestment Act
 O-1: Memo to Heads of Departments and Agencies: Ensuring Responsible Spending of Recovery Act Funds
 O-2: OMB Interim Guidance Regarding Communications with Registered Lobbyists about Recovery Act Funds
 O-3: White House Update on Recovery Act Lobbying Rules: New Limits on Special Interest Influence
P: Subject Index
 
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