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50-State Assessment of the Costs and Availability of Lobbying Expenditure Data

By Linda King

NATIONAL INSTITUTE ON MONEY IN STATE POLITICS

Updated November 2, 2011

This publication was made possible by grants from:

Sunlight Foundation

TABLE OF CONTENTS
Narrative.............................................................................................................................................3 Alabama.............................................................................................................................................6 Alaska...............................................................................................................................................10 Arizona..............................................................................................................................................13 Arkansas...........................................................................................................................................16 California...........................................................................................................................................20 Colorado............................................................................................................................................25 Connecticut.......................................................................................................................................30 Delaware...........................................................................................................................................34 Florida...............................................................................................................................................37 Georgia.............................................................................................................................................41 Hawaii...............................................................................................................................................44 Idaho.................................................................................................................................................48 Illinois................................................................................................................................................51 Indiana..............................................................................................................................................55 Iowa..................................................................................................................................................58 Kansas..............................................................................................................................................61 Kentucky...........................................................................................................................................65 Louisiana...........................................................................................................................................72 Maine................................................................................................................................................77 Maryland...........................................................................................................................................81 Massachusetts..................................................................................................................................86 Michigan...........................................................................................................................................93 Minnesota.........................................................................................................................................97 Mississippi.......................................................................................................................................105 Missouri...........................................................................................................................................110 Montana..........................................................................................................................................113 Nebraska.........................................................................................................................................116 Nevada............................................................................................................................................120 New Hampshire...............................................................................................................................123 New Jersey.....................................................................................................................................126 New Mexico....................................................................................................................................131 New York........................................................................................................................................135 North Carolina.................................................................................................................................140 North Dakota...................................................................................................................................145 Ohio................................................................................................................................................148 Oklahoma........................................................................................................................................151 Oregon............................................................................................................................................154 Pennsylvania...................................................................................................................................158 Rhode Island...................................................................................................................................162 South Carolina.................................................................................................................................164 South Dakota...................................................................................................................................170 Tennessee......................................................................................................................................173 Texas...............................................................................................................................................177 Utah................................................................................................................................................182 Vermont..........................................................................................................................................186 Virginia............................................................................................................................................190 Washington.....................................................................................................................................194 West Virginia...................................................................................................................................199 Wisconsin........................................................................................................................................203 Wyoming.........................................................................................................................................209

Assessment of Availability and Costs of State Lobbying Expenditure Data


Lobbying is the effort to influence official acts and decisions of government. Lobbying activities are carried on by individual citizens, advocacy groups, public officials, and special economic and political interests. While lobbying is necessary in a representative democracy, it is equally necessary that these efforts be effectively regulated and transparent in order to ensure that decisions are being made to promote the public good. And, akin to the influence of campaign contributions, following the lobbying money trail can lead us to more informed conclusions about how our public officials are and should be representing the public interest. Unlike federal lobbying laws and the lobbying data that is uniformly obtainable through the Federal Elections Commission (FEC), state-level regulation and the availability and quality of state lobbying data vary greatly between the states. The Institute conducted a thorough assessment of lobbying laws and expenditure data available in all fifty states in order to determine the feasibility of collecting this data and providing a free, searchable database of these political expenditures.

This assessment included:


identifying the state agencies responsible for collecting and reporting lobbying expenditures; documenting lobbying expenditure laws, rules, and reporting systems in the individual states; determining the specific data fields necessary for substantive reporting of lobbying activity and identifying if, how, and when the data is available in each state; assessing the availability of the data from each of the states; projecting the costs and timeline for obtaining the data in each state; and projecting the annual costs for building and maintaining a 50-state Lobbying Expenditure database.

Lobbying Expenditure Data


In order to accurately track the influence of money in state-level decision-making activities, it must be feasible to follow the trail of spending by the special interests represented by paid lobbyists, regardless of whether those lobbyists are under contract or in-house employees of that client. For this to be transparent, the Client (referred to in some states as the principal or employer) must report: who they are (legal name, address, phone, individual reporting, nature of business);

actions they seek to influence (identification of legislation, administrative, or rate-making activities); lobbyists employed (name, address, salaries or fees and retainers paid, amounts reimbursed); direct activities (events sponsored, gifts made, honoraria paid, travel, meals and lodging provided); and indirect activities (expenditures urging others to take positions on activities, overhead, support staff).

In addition to the clients, their lobbyists and lobbying firms must also report their specific actions around the legislative, administrative, and rate-making actions being influenced. While every state regulates lobbying to some extent, the Institutes assessment reveals that too few require comprehensive reporting; fewer still make this data readily available to the public. Information necessary for comprehensive disclosure of lobbying activities includes: Client Name, Address, City, State, Zip Client Focus Time Period Bills Lobbied Administrative Actions Lobbied General Interests Lobbied State entity lobbied (Executive branch, State Lawmaker, etc) Payments to outside Lobbyists (Name of Lobbyist, Lobbyist Firm, Fees & Retainers Paid, Type of Lobbyist (firm, independent contractor) expenses reimbursed, other payments) Compensation (to in-house employee lobbyists) Expenses (direct or reimbursed to employees) Activity Expenses (direct expenditures for meetings, receptions, dinners, travel, tickets, lodging, meals, honoraria for public officials and/or their families) Payments to Lobbying Coalitions Other expenditures urging others to take a position on specific issues (overhead, office space, phone, support staff, indirect lobbying activities) Lobbyist expenditures and activities (same detail as above, including payments received from individual clients).

Full Disclosure Issues


One of the more interesting pieces of information garnered through this assessment is the sharp division between states which require disclosure of the full costs of a clients lobbying efforts and those that simply require reporting of direct expenditures by lobbyists on behalf of their employers. Only 25 states include lobbyist compensation to be fully disclosed; another three 4

only require such disclosure for some, but not all, clients; while five more only report very broad ranges of lobbyist compensation. The remaining 17 states completely overlook this often large lobbying expense. The Institutes assessment also revealed that there is poor disclosure of lobbying activity conducted at the Executive level of government. The Executive Branch implements the laws enacted by the Legislative Branch. However, there is far less public scrutiny on the daily actions of the Executive than the Legislative Branch of our state governments, making lobbying disclosure all the more important for the transparent workings of our governments. The Institute also noted a wide disparity among the states in the accessibility of lobbying expenditure data. While every state requires at least some level of reporting of lobbying activities, many do not make that information readily available to the public. Nine states, for example, provide no online disclosure of lobbying activities, and another five states provide only summary data online. Finally, there is the issue of whether or not routine auditing of lobbying reports are conducted. States that conduct routine audits of lobbying expense reports are actively regulating lobbying activities and ensuring compliance with their state's lobbying laws. Unfortunately, to date, only 11 states have enacted such requirements. A Full Disclosure Issues spreadsheet documenting these common disclosure issues by state is attached.

Costs of Building a 50-State Database


The final projected cost for the acquisition and maintenance of a 50-state lobbying expenditure database is just over $1 million/year. The attached Timeline and Costs document summarizes the direct and indirect costs for acquiring data from each of the 50 states as of June 2011. A more detailed description of the costs in each state can be found in the state discussions below. Included in the overall costs of providing and maintaining this database are the costs of managing, supervising, housing, maintaining, and supporting the direct staff and equipment necessary to perform such a mission. The Institutes calculated the costs for these indirect functions at 20 percent of the direct costs supported.

ALABAMA
Lobbying Laws
Governing Laws: Code of Alabama 1975 at Sections 36-25-1 through 36-25-30 as amended in 1995 http://ethics.alabama.gov/news/Ethics_Law_Jan_2010.pdf 2010 amendments: http://ethics.alabama.gov/info-special-session.aspx Regulations: Alabama Ethics Commission Administrative Code Chapter 340 http://alabamaadministrativecode.state.al.us/docs/eth/index.html Only the General Operating Rules have not been repealed (in 1998) and can be found at: http://alabamaadministrativecode.state.al.us/docs/eth/340-X-1.pdf Branches/Activities Covered: Legislature: promoting, opposing, or in any manner influencing or attempting to influence the introduction, defeat, or enactment of legislation before any legislative body; opposing or in any manner influencing the executive approval, veto or amendment of legislation; promoting or attempting to influence the awarding of a grant or contract. Executive: promoting, opposing, or in any manner influencing or attempting to influence the enactment, promulgation, modification, or deletion of regulations before any regulatory body; promoting or attempting to influence the awarding of a grant or contract Judicial/promoting or attempting to influence the awarding of a grant or contract Registration Required: Lobbyists must register and Clients (Principals) must authorize. Required Reports: Quarterly activity reports by both Lobbyists and Clients (Principals). Updates to Registrations and Activity reports as necessary. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Lobbyist First Name, Middle Name, Last Name, Address, (City, State, Zip); Business Name & Address:(Street City State Zip); Normal Business (if different from above)Normal Business Address (Street City State Zip); Business Phone E-Mail; Are you a Public Employee? (Yes/No): categories of subject matters on which you intend to communicate directly with members of any legislative body to influence legislation or legislative action (ex: education, medical, etc.); Business Entities, Associations or Organizations represented; If activity is done on behalf of a group other than a corporation, the number of persons in that group

Regulation, Enforcement, and Collection Agencies


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What agency registers lobbying activities? Alabama Ethics Commission What agency collects lobbying reports? Alabama Ethics Commission What agency maintains lobbying records? Alabama Ethics Commission What agency enforces lobbying laws/regulations? Alabama Ethics Commission and Are audits conducted on reports? Not previous to 2011. Rules are being proposed to implement the changes in the Lobbying Law which were enacted in late 2010 and this may change in the future. Lobbying Manuals/Instructions: Guidelines for Lobbyists/Principals. The Alabama Legislature passed new Ethics Laws regarding Lobbyists/Principals during the Special Session in December 2010. The Guidelines are in the process of being updated to reflect these changes. When completed should be available at: http://ethics.alabama.gov/forms-lobby2.aspx Reporting forms: Lobbyist Registration Statement http://ethics.alabama.gov/forms/2010/Reg_Form_Lobbyist_Principal_2010.pdf Quarterly Statement of Lobbying Activities -- Lobbyist form http://ethics.alabama.gov/forms/form_quarterlob_fillin.pdf Quarterly Statement of Lobbying Activities -- Principals form http://ethics.alabama.gov/forms/form_quarter_fillin.pdf

Data Availability
Client Data Collected: Principal (Name of Business Entity, Association or Organization): Name and title of person signing for Principal; Type Business: Phone: Name(s) of Lobbyist(s); Quarter Covered by Statement; Reporting Year (1st (Jan.-Mar.) 2nd (Apr.-June) 3rd (July-Sept.) 4th (Oct.-Dec.)); Categories of legislation subject to lobbying activities (example: education, medical, etc.); Lobbyist who made expenditure (Name; Phone; Address;) Itemized expenditures expended within a 24-hour period on a public official, public employee,and members of their respective households in excess of $250.00 (Name/Position and Address of Recipients; Date of Expenditure Nature of Expenditure); List of financial transactions, with public officials, candidates, or members of their households, of a value in excess of $500 during the prior quarter (excluding transactions required to be reported by Fair Campaign Practices Act) (Name: (public official) (candidate) (household member) Address; Nature/date of transaction; Loan(s) made or promised to a public official or candidate (Amount of loan; Amount of loan promised; Date of loan; Name/Position of Recipient; Address; Relationship, if any, to public official or

candidate: circumstances surrounding loan; direct business association or partnership with any public official, candidate, or members of the household of such public official or candidate; person having direct business association with reporting person; (Name; Home Address; Job Title or Position sought by candidate; Name of business in which directly associated; Business Address; Nature of business association: Other. Lobbyist Data Collected: Lobbyist First Name, Middle Name, Last Name, Address, (City, State, Zip); Business Name & Address:(Street City State Zip); Normal Business (if different from above)Normal Business Address (Street City State Zip); Business Phone E-Mail; Are you a Public Employee? (Yes/No): categories of subject matters lobbied; Business Entities, Associations or Organizations represented; the number of persons in group represented; Data Missing: Lobbyist compensation; other direct or indirect lobbying costs, specific matters lobbied, allocation of lobbying effort. Reporting frequency: Quarterly How Reported: Lobbyists can register online at: https://www.alabamainteractive.org/ethics_registration/ Lobbyists and Clients (Principals) can file quarterly activity reports online at: https://ethicsform.alabama.gov/LobbyingAct/loginlobbyistprincipal.aspx Online Public Disclosure: Public may view and download a list of registered lobbyists at: http://ethics.alabama.gov/news2.aspx Public may request access to specific activity reports by filing an online request for access to lobbying activity records at https://ethicsform.alabama.gov/LobbyingReqRecord.aspx Only forms for 2009 and after are available for on-line access. Any request for a form prior to 2009 will be mailed at a charge of 50 cents per page plus postage. Specific reports which may be requested include: Notification of Contracts with the State or Any of its Agencies; Notification of Representation for a Fee; Lobbyist Registration Forms; Principal Form - Statement of Lobbyist Registration; Lobbyist Form Quarterly Statement of Lobbying Activities; Principal Form - Quarterly Statement of Lobbying Activities; Supplements to Lobbyist/Principal Registration Statements or Quarterly Reports; Statement of Termination of Lobbying Activities 2010 Amendments to the Lobbying Laws require the Ethics Commission to make a searchable online electronic database available to the public by April 1, 2012. Format of Online Data: List of registered lobbyists is available in .pdf or Excel format. No quarterly statements of lobbying activities are available for viewing online.

Format of Data for Document Requests: Copies of reports mailed to requester. Data may be available in electronic format in future years.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Electronic data not available for 2010, so $0.50/page plus postage. 1400 lobbyists and principals x 3 pages x 4 quarterly reports = 50,440 pages x $0.50 = $25,220 for copies. Impediments to Data Collection: A database is not available; so costs will be exceptionally high. Time to acquire/upload data: Paper: 4 weeks for ethics commission to respond to document request; 2 months to bundle, enter, audit, and upload data each quarter. Annual cost estimate: personnel costs. $50,220 which includes $25,220 for copies and $25,000 in

Alaska
Lobbying Laws
Governing Laws: AS Chapter 24.45, Regulation of Lobbying Act: http://doa.alaska.gov/apoc/pdf/AS_24_45.pdf Regulations: The Public Offices Commission is in the process of revising regulations to meet statutory changes. This process is not complete as of this report. ARTICLE 4. REGULATION OF LOBBYING: http://doa.alaska.gov/apoc/Lobbyists/lobreg.html Branches/Activities Covered: Legislative branch: all actions (preparation, research, drafting, introduction, consideration, modification, amendment, approval, passage, enactment, defeat, or rejection of any bill, resolution, amendment, motion, report, nomination, appointment, or other matter by the legislature, or by a standing, interim, or special committee of the legislature, or by a member or employee of the legislature acting in an official capacity; it includes, but is not limited to, the action of the governor in approving or vetoing a bill or the action of the legislature in considering, overriding, or sustaining that veto and the action of the legislature in considering, confirming, or rejecting an executive appointment of the governor). Executive branch: Administrative actions (the proposal, drafting, development, consideration, amendment, adoption, approval, promulgation, issuance, modification, rejection, or postponement by any state agency of any rule or regulation, or any other quasi-legislative or quasi-judicial action or proceeding). Registration Required: All Lobbyists and Clients (Employers of Lobbyists) file registrations electronically using the reporting system known as Insight Version 2. The only exception is that representational lobbyists are allowed to file paper registrations. Required Reports: Both Clients (Employers of Lobbyists) and Registered Lobbyists are required to file disclosure reports. The only exception is representational lobbyists (persons who engage in lobbying activities for an entity but receive no compensation or fees other than reimbursement for travel and personal living expenses, and are not an employee of the entity) who must register their lobbying activity but are not subject to the reporting statute. Lobbyist Compensation Reported: Yes, on both Lobbyist and Client (Employer of Lobbyist) reports. Compensation includes salary, fees and reimbursement of expenses. Other Lobbying Data Reported: Lobbyist name, address, names(s) of their employer(s); and expenditures made in the categories of food and beverages, living accommodations, and travel. Lobbyists disclose these expenditures for each reporting period and for each Client. Lobbyists 10

also must disclose gifts and exchanges between lobbyists and public officials or family members of public officials, as well as exchanges between lobbyists and business entities owned or controlled by public officials. Clients (Employers of lobbyists) must disclose all expenditures incurred in connection with lobbying activities for each reporting period. Employers of lobbyists must also disclose gifts to public officials and all in-house expenses incurred in connection with lobbying. In-house expenditures include payments to lobbyists and to employees performing activities in support of lobbying; Lobbying Interests (official actions, including specific bill numbers if possible); Nature/Interest of Employer (the nature of the business or organization employing or retaining a lobbyist; e.g., oil and gas company, environmental organization, labor union).

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Alaska Public Offices Commission http://doa.alaska.gov/apoc/home.html What agency collects lobbying reports? Alaska Public Offices Commission What agency maintains lobbying records? Alaska Public Offices Commission What agency enforces lobbying laws/regulations? Alaska Public Offices Commission with possible referral to Attorney General. Are audits conducted on reports? Random reviews are conducted by APOC staff on both Client and Lobbyist reports. Lobbying Manuals/Instructions: Yes: http://doa.alaska.gov/apoc/pdf/2010LobbyingManual.pdf Reporting forms: Only representational lobbyist forms are viewable online http://doa.alaska.gov/apoc/forms/2011EmployerReimburserRepLobbyistRpt.pdf; however, screenshots of online reports can be viewed in the Lobbying Manual: http://doa.alaska.gov/apoc/pdf/2010LobbyingManual.pdf

Data Availability
Client Data Collected: The data collected and data available is significantly different at this time. The only data available for collection at this time includes: Name of Client; Name of employed Lobbyist; amount of Lobbyist Compensation; amount of reimbursed expenditures; and Schedule B total expenses. Lobbyist Data Collected: The data collected and data available is significantly different at this time. The only data available for collection at this time includes: Name of Lobbyist; Name of 11

Client/Employer; amount of Lobbyist fee (by Client/Employer); amount of reimbursed expenditures (by Client/Employer); amount of nonreimbursed expenditures (by Client/Employer); Schedule A1 Reimbursable totals for all clients; and A1 nonreimbursable totals for all clients reports. Data Missing: Any and all detail of expenditures and matters lobbied; allocation of lobbying effort. Reporting frequency: Lobbyists file monthly reports while the legislature is in session and quarterly reports when the legislature is not in session. Clients (Employers of Lobbyists) file quarterly reports. How Reported: All Lobbyists and Clients (employers of lobbyists) file electronically using a new reporting system known as Insight Version 2. The only exception is that the Client (Employer of Lobbyists or Entity Reimbursing) of a Representational Lobbyist is allowed to file a paper report. Online Public Disclosure: Summary data viewable online by Client (Employers of Lobbyists) or by Lobbyist. http://doa.alaska.gov/apoc/Lobbyist/lobcovc.html No detailed or searchable report data is yet available online. Individual lobbyist or employer of lobbyist reports can be requested by calling the Juneau office at 465-4864. Format of Online Data: Summary tables listing total expenditures by broad general categories. Format of Data for Document Requests: Electronic -- specific information requested but not yet provided by state. The state has indicated a desire to make the actual reported data available for downloading outside of their firewall but this is not currently available.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: No cost for obtaining data from state. Impediments to Data Collection: If copy of electronic database is not available, only summary data can be printed from screenshots online. Time to acquire/upload data: 4 weeks to view, print, bundle, manually input and audit annual summary data. Annual cost estimate: Manual input of summary data: $5,500 which includes $5,000 in personnel costs of $500 in printing costs.

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Arizona
Lobbying Laws
Governing Laws: Title 41 State Government, Chapter 7 - Legislature, Article 8.1: Registration and Regulation of Lobbyists (Reprinted starting at page 44 of the Lobbying Manual found at http://www.azsos.gov/election/lobbyist/lobbyisthandbook.pdf.) Regulations: Not found. Governmental Branches/Activities Covered: Legislative: all legislative activities; Executive: formal rule-making proceedings only; and School Districts/bonding and formal rule-making proceedings. Registration Required: Lobbyists (Designated Lobbyists, Designated Public Lobbyists, Lobbyists for Compensation) file between 12/1 of odd-numbered years and 2nd Monday in January of even-numbered years. Employees of Lobbyists are registered by the lobbyist who employs them or by the lobbyist firm when they file their Lobbyist Registration.. Principals/ Public Bodies file between 12/1 of even-numbered years and 2nd Monday in January of oddnumbered years. All file as necessary to update or amend information. Required Reports: Lobbyists file quarterly and Clients (Principals/Public Bodies) file annually. Employees of Lobbyists do not file expenditure reports directly to the Secretary of States office. Instead, the Employee of Lobbyists expenditures are included in their employers Lobbyist Quarterly Expenditure Report. In addition, Designated Lobbyists/Public Lobbyists file and sign the annual reports on behalf of their Clients (Principals/Public Bodies). Lobbyist Compensation Reported: Only public bodies report lobbyist compensation. Other Lobbying Data Reported: Principals/Public Bodies and Lobbyists report direct expenditures (for meals, flowers, gifts, etc). Principals must report expenditures received by or benefiting state officers or employees (which includes members of the legislature); Public Bodies must report expenditures received by or benefiting any member of the legislature. No information, even the most general, is reported on matters being lobbied. Principals report the nature of their primary business or activity, issue, interest, or purpose on their registration form.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State http://www.azsos.gov/

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What agency collects lobbying reports? Secretary of State http://www.azsos.gov/ What agency maintains lobbying records? Secretary of State http://www.azsos.gov/ What agency enforces lobbying laws/regulations? Secretary of State http://www.azsos.gov/ Secretary of State may refer violations to Dept. of Justice for prosecution. Are audits conducted on reports? No. Lobbying Manuals/Instructions: Lobbyist Handbook available at: http://www.azsos.gov/election/lobbyist/lobbyisthandbook.pdf Reporting forms: Clients (Principals/Public Bodies) -http://www.azsos.gov/election/Forms/Lobbyist/PPB_Annual_Report.pdf Lobbyists (Designated Lobbyists, Designated Public Lobbyists, Lobbyists for Compensation) -http://www.azsos.gov/election/Forms/Lobbyist/Lobbyist_Quarterly_Report.pdf

Data Availability
Client Data Collected: Client (Principal/Public Body) Name, Address, City, State, Zip, Phone, Client focus, time period, Expenditures. Single expenditures over $20 on behalf of the principal or public body whether or not made in the course of lobbying are detailed by lobbyist, name and title of person receiving or benefiting from expenditure, date, amount, and category of expenditure. Total expenditures for special events to which all members of the legislature, all members of one house of the legislature, or all members of a specific legislative committee are invited are reported including type of event, date, location, legislative body/committee, and total expenditure. Public Bodies also report expenditures for compensation and reimbursement of expenses to their lobbyists. Lobbyist Data Collected: Lobbyist name(s), time period, Expenditures (Filers representing Principals must report expenditures received by or benefiting state officers or employees; filers representing Public Bodies must report expenditures received by or benefiting any member of the legislature). Expenditures: Aggregate amount of all expenditures less than $20 received by or benefiting a member of the legislature and itemized amounts. (same categories and data as above) are reported; however lobbyists report both the expenditures they make on behalf of Principals/Public Bodies and those not made on behalf of the Principals/Public Bodies, so their reports will potentially include more expenditures than the annual reports of their clients. Compensation/reimbursement to Public Lobbyists paid by Public Bodies are reported. Important Data Missing: Compensation or fees paid by Principals (non-public body Clients) to lobbyists, lobbying fees or other payments received by Lobbyists for Principals, specific lobbying activities (specific matters lobbied, position). Because fees/compensation paid to Lobbyists, or

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other indirect lobby expenses are not reported, no assessment can be made about the level of lobbying activity by private interests on any general or specific issue. Reporting frequency: Quarterly by Lobbyists, Annual for Principals (reported by their Designated Lobbyists). How Filed: Online or paper reports. Online Public Disclosure: Data that is reported is searchable and viewable online.

Format of Online Data: Semi-searchable database -- Searchable by name of Lobbyist or Client (Principal or Public Body). Can select report periods and view screens of individual reports filed. Can print individual screen shots. Paper filed reports are added to the database and are not viewable as originally filed. Format of Data for Document Requests: Can request electronic database through submitting a public documents request. Awaiting information about electronic data availability, data fields available, and cost. Several requests have been submitted but still awaiting information about electronic data availability, data fields available, and cost.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Response to request has not been received; assume $50 per data request (same as with campaign finance data requests). Impediments to Data Collection: If not available in electronic format, would require finding, viewing and printing thousands of individual screenshots, manually inputting the data, auditing for input accuracy, and uploading data to a database. Time to acquire/upload data: If electronic data not available, estimate at least 3 months time for one years data. Principal reports available only annually, so any years data wouldnt be complete until at least April of the following year. Annual cost estimate: Electronic data: $5,000 in acquisition fees and staff time. Printed screen shots: $30,000 which includes $25,000 in personnel costs and $5,000 in paper and printing supplies.

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Arkansas
Lobbying Laws
Governing Laws: AR Code 21-8-601 Regulations: Arkansas Ethics Commission: http://www.arkansasethics.com/ Branches/Activities Covered: All public servants and all legislative and administrative actions. Administrative action means any decision on, or proposal, consideration, or making of any rule, regulation, ratemaking proceeding, or policy action, other than ministerial action, by a governmental body. Legislative action means introduction, sponsorship, consideration, debate, amendment, passage, defeat, approval, veto, or any other official action or nonaction on any bill, ordinance, law, resolution, amendment, nomination, appointment, report, or other matter pending or proposed before a committee or house of the General Assembly, a quorum court, or a city council or board of directors of a municipality Registration Required: A lobbyist who receives or expends over $400 in lobbyist activities must register with the Secretary of State. A business with an employee who lobbies only on behalf of that business must also register as a firm with the Secretary of State. Registration forms may be delivered in person, through mail, or by facsimile. Required Reports: Registered lobbyists must file quarterly reports, unless they lobby members of the General Assembly during session, in which case monthly reports are due. Lobbyist Compensation Reported: No Other Lobbying Data Reported: The name and address of the registered lobbyist and all clients. The lobbyist must report the total of all expenditures made or incurred including reimbursements for expenses, food and refreshments, entertainment, living accommodations, advertising, printing, postage, travel, telephone, and other expenses. Lobbyists must report expenditures made on behalf of public servants, including gifts worth more than $100, payments for food, lodging, or travel over $40 per day, or any other items paid or given to a public servant valued more than $40. Expenditures for amusement, charity, and sporting events more than $40 must be reported. Expenditures for special events do not need to report individuals, but must report the groups or government body invited to the event. The amount expended by the lobbyist for special events must be reported.

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Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Arkansas Secretary of State What agency collects lobbying reports? Arkansas Secretary of State What agency maintains lobbying records? Arkansas Secretary of State What agency enforces lobbying laws/regulations? Arkansas Ethics Commission Are audits conducted on reports? No. If the Arkansas Ethics Commission finds any lobbyist report incorrect (or if a lobbyist fails to report), they can press criminal charges. Lobbying Manuals/Instructions: Reporting forms: Lobbyist Registration Report: http://www.arkansasethics.com/forms/Lobbyist%20Registration%20Form%20(09).doc Lobbyist Activity Report (note: as of Jan. 2010, activity reports must be filed electronically with the Secretary of State): http://www.arkansasethics.com/forms/LobbyistActivityReport.doc Lobbyist Termination Report: http://www.arkansasethics.com/forms/Lobbyist_Termination_2002.doc

Data Availability
Client Data Collected: Client name, address, and phone number, and expenditures for advertising, entertainment, food, lodging, or travel, living accommodations, postage, printing, special events, telephone, and other items. For gifts over $100, the date, cost of gift, public servant benefited (first, middle initial, last names and government body represented), description of gift, amount paid, and client name are reported. For food, lodging, or travel exceeding $40 per day, the date of expenditure, amount paid toward expenditure, public servant benefited (first, middle initial, last names and government body represented), name of conference, seminar, or event, purpose of travel or lodging, lodging information, travel information, and client name are reported. For other items over $40, the date item given, cost/value of item, public servant benefited (first, middle initial, last names and government body represented), amount paid, description of item, and name of client are reported. For special events, the date of event, name of event, location of event, governmental body or groups of public servants invited, amount paid toward total expenditure, and the name of the client are reported.

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Lobbyist Data Collected: In addition to the client data collected, lobbyists also report their name, address, city, state, zip, phone, and signatures of lobbyist (or if a firm is filling out the report, signatures of all lobbyists registered with the firm must be included). Lobbyists must report any loans or promised money for or on behalf of a public servant over the amount of $25, including the date, the public servant benefited/government body represented, and amount. Lobbyists also report any direct business associations or partnerships with public servants being lobbied, including the name of the public servant and the business relationship. Data Missing: Client indirect activities, bills lobbied, administrative actions lobbied, general interests lobbied, payments to outside lobbyists, compensation, payments to lobbying coalitions. Clients and Lobbyists do not both fill out reports (either the registered lobbyist files the reports, or a firm with in-house lobbyists files the reports). Reporting frequency: Quarterly, unless lobbying activity is for the General Assembly during a session, in which case reports are filed monthly. How Reported: Reports are filed electronically as of Jan. 2010. Older paper reports are also viewable as scanned images. https://www.ark.org/sso/index.php?template=sos Lobbying Registration is accomplished with paper filings. Online Public Disclosure: Lobbyist reports can be searched in the online database at http://www.sos.arkansas.gov/filing_search/index.php/filing/search/new. Reports are in pdf files and include all of the information reported. List of Lobbyists and Lobbying Firms with their Clients can be viewed at http://www.sos.arkansas.gov/elections/Pages/pacReports.aspx Format of Online Data: Reports can be searched by name, filing year, and/or range of dates for filed reports. Results are a list of lobbyist or firms for the dates selected with pdf files of the reports. Each report is viewed separately. The quick search includes all of the reports in .pdf format. Lists of Lobbyists and Lobbying Firms and their Clients are available in .pdf format. Format of Data for Document Requests: Electronically filed reports can be searched by report year using the Advanced Search option which will return a listing of all lobbyists filing reports in a given year which can be exported in Excel format http://www.sos.arkansas.gov/lobbyist_search/index.php/search/advanced Paper filed reports are scanned into the system and can be printed from .pdf screenshots using the Quick Search option at: http://www.sos.arkansas.gov/filing_search/index.php/filing/search/new Lobbyists and Lobbying Firms with their associated Clients are viewable and can be printed for manual entry of Lobbyists-Client association. http://www.sos.arkansas.gov/elections/Pages/pacReports.aspx

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Timeline and Costs for Data Acquisition


Cost of obtaining Data: No cost for obtaining electronicdownloading Excel files database or accessing .pdfs of scanned registration reports. Impediments to Data Collection: Excel download has an extraneous data field (listing of a client/employer for which expenditure is not tied) which makes the data a bit confusing. Not all data needed is contained in Excel download; address and other information must be obtained from screenshots of Lobbyists Registration information. Time to acquire/upload data: 4 weeks of data acquisition staff time each quarter (for printing Lobbyist-Client lists, manually entering and auditing the data, and uploading into a database. Excel data must then be matched to the appropriate Lobbyist and Client. Annual cost estimate: printing costs. $18,000 which consists of $15,500 in personnel costs and $2,500 in

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CALIFORNIA
Lobbying Laws
Governing Laws: California's Political Reform Act (Gov. Code Sections 81000-91015). The Act's lobbying provisions are contained in sections 86100-86300 and section 85702. http://www.fppc.ca.gov/Act/2011Act.pdf Regulations: Title 2, sections 18109-18997 of the California Code of Regulations. http://www.fppc.ca.gov/index.php?id=496 Branches/Activities Covered: Legislature: drafting, introduction, consideration, modification, enactment, or defeat of any bill, resolution, amendment, report, nomination, or other matter by the Legislature or by either house or any committee, subcommittee, joint or select committee thereof, or by a member or employee of the Legislature acting in his or her official capacity. Legislative action also means the action of the Governor in approving or vetoing any bill. Executive: proposal, drafting, development, consideration, amendment, enactment, or defeat by any state agency of any rule, regulation, or other action in any ratemaking proceeding or any quasi-legislative proceeding. With regard only to placement agents, the decision by any state agency to enter into a contract to invest state public retirement system assets on behalf of a state public retirement system. Influencing legislative or administrative action, or lobbying activity, is broadly defined to include such activities as following bills and regulations that one is attempting to influence, preparing testimony, attending hearings and floor debates, arranging for witnesses, waiting to meet with officials or staff, communicating with employers, and administering a lobbyists office. Registration Required: Lobbyists, lobbying firms, Clients (Lobbyist Employer or lobbying coalition). Registration is not required for $5,000 filers (an individual or entity that does not make payments to a lobbyist or a lobbying firm but still spends $5,000 or more in a calendar quarter to influence legislative or administrative action, such as placing an advertisement or sending a mailing urging others to contact their legislators concerning pending legislation) or for any lobbyist employer or lobbying coalition that only contracts with a lobbying firm and does not employ an in-house lobbyist. "Placement agents" (any person hired, engaged, or retained by, or serving for the benefit of or on behalf of, an external manager, or on behalf of another placement agent, who acts or has acted for compensation as a finder, solicitor, marketer, consultant, broker, or other intermediary in connection with the offer or sale of the securities, assets, or services of an external manager to a board or an investment vehicle, either directly or indirectly) must register as Lobbyists. Required Reports: Lobbyists (including Placement Agents), Lobbying Firms, Clients (Lobbyist

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Employer or Lobbying Coalition) file quarterly disclosure reports regardless of whether any activity occurred during the quarter. $5,000 filers must file a report electronically for each calendar quarter in which they make payments totaling $5,000 or more. They are not required to file a report for any calendar quarter in which they do not spend $5,000, or if all of the payments are activity expenses (any expense incurred or payment made which benefits in whole or in part any elective state official, legislative official, agency official, state candidate, or a member of the immediate family of one of these individuals). Lobbyist Compensation Reported: Yes, by their employers or firms. Other Lobbying Data Reported: Lobbyists: All activity expenses. All contributions of $100 or more made or delivered by the lobbyist to any elected state officer or state candidate. The lobbyist shall provide this report to his or her employer or firm as well. Lobbying Firms: Name, address, phone. Name, address phone of each entity who contracted with the firm for lobbying services, description of the interests of the contracting entity, total payments including fees and reimbursements from the entity. Total payments received for lobbying services. Periodic reports by each lobbyist in the firm. Each activity expense incurred including those reimbursed by a person who contracts for services. If the firm subcontracts with another lobbying firm, include the name, address, phone of subcontractor; name of entity the subcontractor was retained to lobby; total amount of payments made to subcontractor. Date, amount, recipient of any contribution of $100 or more filer made to elected state official, state candidate, committee controlled by an elected state officer or candidate or committee primarily formed to support such officers or candidates. If the firm communicates directly with elected officials, and lobbying is its main purpose, the report must also contain the name and title of each partner, owner, officer and employee of the firm who, on at least 5 occasions during the period, engaged in direct communication with any elective state official, legislative official or state agency official for the purpose of influencing legislative or administrative action. Clients (Lobbyist employers) and anyone else who spends more than $2,500 per quarter attempting to influence legislative or administrative action: Name, business address, phone of lobbyist employer or other person filing the report. Total amount of payments to each lobbying firm. Total amount of payments to lobbyists employed by the filer. Description of specific lobbying interests of the filer. Periodic reports by each lobbyist employed. Each activity expense of the filer, as well as a total. Date, amount, recipient of any contribution of $100 or more filer made to elected state official, state candidate, committee controlled by an elected state officer or candidate or committee primarily formed to support such officers or candidates. Total of all other payments to influence legislative or administrative action, including overhead expenses and all payments to employees who spend at least 10 percent of their compensated time per month on activities related to influencing legislative or administrative action (unless payments are made to influence ratemaking or quasi-legislative proceedings before the Public Utilities Commission, in which case, other provisions apply.)

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State and Local Agencies: Those required to file must also disclose on a separate form all payments, except for overhead expenses, of $250 or more during period toward: goods and services used by a lobbyist to support lobbying activity; payments of other expenses which wouldn't have been incurred but for lobbying activities; dues or other payments to organizations that spend at least 10 percent of their expenditures or $15,000 per quarter in lobbying activities. For all of the above, the name, address of payee; total payments made during period; and cumulative amount paid for year.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Political Reform Division of Secretary of State http://www.sos.ca.gov/prd/prd.htm What agency collects lobbying reports? Political Reform Division of Secretary of State What agency maintains lobbying records? Political Reform Division of Secretary of State What agency enforces lobbying laws/regulations? The Fair Political Practices Commission http://www.fppc.ca.gov/index.php and the Attorney General http://oag.ca.gov/ Are audits conducted on reports? Yes. Lobbying firms and lobbyist employers/ lobbying coalitions that employ one or more lobbyists are subject to audit on a random basis every two years and have a 25 percent chance of being audited. When a lobbying firm or lobbyist employer/lobbying coalition is selected for audit, all of the individual lobbyists employed by the firm or employer will also be audited. Audits are conducted by the Franchise Tax Board. Lobbying Manuals/Instructions: Lobbying Disclosure Information Manual http://www.fppc.ca.gov/manuals/7-05lobbymanual.pdf Reporting forms: Governmental Agencies Reporting of Other Payments to Influence Person Spending $5,000 or More to Influence Legislative or Lobbyist Report, Form 615 Report of Lobbying Firm, Form 625 Report of Lobbyist Employer and Report of Lobbying Coalition, Form 635 Legislative or Administrative Action, Form 640 Payments Received by Lobbying Coalitions, Form 635-C Payments Made to Lobbying Coalitions, Form 630 Administrative Action, Form 645 Amendment to Lobbying Disclosure Report, Form 690 Copies of the above forms are found at http://www.fppc.ca.gov/index.php?id=506 and at http://www.sos.ca.gov/prd/lobbying_info/forms_instructions/compend_lob_forms.htm

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Data Availability
Client Data Collected: Client (Employer or Lobbying Firm) Name, Report Period, Report Name, Address, City, State, ZipCode, Phone, Client (Employer) Focus, Bill(s) Lobbied, Executive Action(s) Lobbied, General Interest(s) lobbied , Payments to lobbyists, Date, Name of Lobbyist, Name of Lobbyist Firm, Type of Lobbyist (employee, firm, contractor), Lobbying fees paid, Other Payments, Compensation (in house employees) (Name); Activity Expenses (Date, Amount, Type (eg meals, lodging, entertainment, meetings, gifts, etc), Person/Group benefitted (Name, title, Payee name); Other Payments to Influence (Payments to Lobbying Coalitions, amount; Other Payments, amount, description); Payments in connection with ratemaking proceedings (Amount, Date) Lobbyist Data Collected: Lobbyist Name, Report Name, Report Period, Lobbyist Affiliate (Firm), Address, State, Zip code, Client name, Fees and Retainers, Reimbursements of Expenses, Other Payments (description); Activity expense(s) paid by lobbyist, firm or Indep. Contractor (Date, Type (eg meals, lodging, entertainment, meetings, gifts, etc), Amount, Persons benefiting (name, title), Payee (name); Subcontractor Lobbyist(s) (Name, address, city, state, zip, date, amount, Client) Data Missing: General Interests Lobbied, Overhead expenses (Date, Purpose) Bill or persons lobbied, Lobbying activity (Bill/Action/Subject matter, Lobbying hrs) Reporting frequency: Quarterly How Reported: Paper or electronic. Lobbying reports must be filed electronically once the total amount of any category of reportable payments, expenses, contributions, gifts, or other items is $2,500 or more in a calendar quarter. If a Client (Lobbyist Employer) or lobbying firm is required to file electronically, lobbyists employed by the employer or firm also must file electronically. If a lobbyist employer hires a lobbying firm that files electronically, the employer is not automatically required to file electronically. Until the electronic filing requirements have been triggered, only paper reports are required. Electronic filers must file registration forms on paper as well as electronically, but quarterly reports are not required to be filed on paper. Online Public Disclosure: Yes. http://cal-access.ss.ca.gov/Lobbying/ Format of Online Data: Screenshots of information and forms filed electronically. Format of Data for Document Requests: Reports filed on paper are not entered into the database nor scanned for viewing and can only be accessed by ordering paper copies of the reports (at 25 cents per page plus postage) from the Secretary of State. A copy of the lobbying registration and expenditure database is not available. Staff have reviewed the format in which the lobbying data is available online and have determined that data scraping at this time is not possible.

23

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Paper reports are available for $0.25/page plus postage. Impediments to Data Collection: Electronic database exists but is not available. Paper reports and printed screenshots of data will have to be located, printed, bundled, input and audited into an electronic database. Time to acquire/upload data: 3-4 months, 2 times/year Annual cost estimate: Data collection costs will run at least $40,000 ($32,000 in personnel costs and $8,000 in acquisition and printing costs) per year as long as the electronic database is not available but should drop to $25,000 per year if the majority of data could be transferred electronically in future years.

24

COLORADO
Lobbying Laws
Governing Laws: Colorado Constitution Article XXIX Ethics in Government http://www.colorado.gov/?blobcol=urldata&blobheader=application/pdf&blobkey=id&blobtable= MungoBlobs&blobwhere=1224913947935&ssbinary=true Title 24, Article 6, COLORADO SUNSHINE LAW, Part 3, Regulation of Lobbyists Title 1, Article 45 (Fair Campaign Practices Act) http://www.sos.state.co.us/pubs/lobby/files/2010-2011LawsAndRulesProfLobbyist.pdf Regulations: Senate Rule 31, Use of Senate Chamber and Privileges House Rule 39, Lobbyists House Rule 40, Registration of Lobbyists Joint Rule 36, Lobbying Practices Secretary of State Rules Concerning Lobbyist Regulation http://www.sos.state.co.us/pubs/lobby/files/2010-2011LawsAndRulesProfLobbyist.pdf Branches/Activities Covered: Legislature: The drafting, introduction, sponsorship, consideration, debate, amendment, passage, defeat, approval, or veto by any covered official (Governor; Lieutenant Governor; or member of the GA) on: Any bill, resolution, amendment, nomination, appointment, or report, whether or not in writing, pending or proposed for consideration by either house of the general assembly or committee thereof, whether or not the general assembly is in session; and any other matter pending or proposed in writing by any covered official for consideration by either house of the general assembly or a committee thereof, whether or not the general assembly is in session. Executive: the drafting, consideration, amendment, adoption, or defeat of any rule, standard, or rate of any state agency having rule-making authority by a covered official (Governor; Lieutenant Governor; members of a rule-making board or commission or a rulemaking official of a state agency). Registration Required: Lobbyists -- (Professional Lobbyists, Lobbying Firms, State Liaisons (the one person designated by each principal department who is responsible for any lobbying by a state official or employee on behalf of the principal department) , and Volunteer Lobbyists). Some Clients (some may be considered Professional Lobbyists - any person who engages any other person for pay or for any consideration for lobbying). Required Reports: Financial disclosure statements are required from Lobbyists, Lobbying Firms and some Clients (Professional Lobbyists -- individual paid Lobbyists, lobbying firms, and persons employing paid lobbyists). State Liaisons (State Official or State Employee Lobbyists) file different disclosure statements.

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Lobbyist Compensation Reported: Yes, by Lobbying Firms and those Clients who must register. Other Lobbying Data Reported: Lobbyists (Professional Lobbyists and Lobbyist Firms -- individual paid Lobbyists, lobbying firms, and persons employing paid lobbyists): Gross income for lobbying since last statement; name, address of any source providing $100 or more. (Separate disclosure statements not required for sources named above.) Name of public officials to or for whom expenditures of $50+ have been made by or on behalf of the disclosing person for gifts or entertainment in connection with lobbying; include amount, date, and principal purpose of the gift or entertainment. (All amounts a professional lobbyist spends on a covered official for which the lobbyist is reimbursed, or the source of which is a contribution, shall be deemed to be for gift or entertainment purposes.) Sum of expenditures made by or on behalf of the disclosing person to covered officials (this term includes legislators) for gift or entertainment purposes in connection with lobbying which are not already stated. Cumulative reports must be filed annually. Annual reports should identify the source and amount of all income for lobbying. If any business is subcontracted, only the subcontractor needs to file reports. The firm that subcontracted must file an addendum stating the total amount of gross income that is being reported by another firm. Persons who spend more than $200 in a calendar year on gifts or entertainment benefiting a public official: Expenses for personal needs, such as meals, travel, lodging, parking need not be reported. Report: name, address of persons contributing $100 or more to or for the disclosing person for lobbying during the calendar year; amount of contribution. Sum of contributions made to or for the disclosing person for lobbying since the last disclosure statement. Sum of contributions since last disclosure statement not required to be listed individually. Name of public officials to or for whom expenditures of $50+ have been made by or on behalf of the disclosing person for gifts or entertainment in connection with lobbying; include amount, date, and principal purpose of the gift or entertainment. (All amounts a professional lobbyist spends on a covered official for which the lobbyist is reimbursed, or the source of which is a contribution, shall be deemed to be for gift or entertainment purposes.) Sum of expenditures made by or on behalf of the disclosing person to covered officials (this term includes legislators) for gift or entertainment purposes in connection with lobbying which are not already stated. State Official or State Employee Lobbyists (State Liaisons): Legislation official or employee is lobbying on. Amount of each expenditure of public funds used for lobbying. Estimate of the time spent on lobbying or preparation thereof by any state official or employee of the department.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Professional Lobbyists, Lobbying Firms, and State Liaisons are registered through the Secretary of State's office. Any person lobbying on behalf of a principal department of state government registers with the Secretary of State and copies are filed with the governor's office, Secretary of the Senate and the Chief Clerk of the

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House of Representatives. http://www.sos.state.co.us/pubs/lobby/lobby_home.html Volunteer lobbyists register with the Chief Clerk of the House of Representatives pursuant to Rule 40 of the Rules of the House of Representatives and Rule 36(c) of the Joint Rules of the House and Senate. http://www.leg.state.co.us/house/Lobbyist.nsf What agency collects lobbying reports? Secretary of State, Licensing Division http://www.sos.state.co.us/pubs/lobby/lobby_home.html What agency maintains lobbying records? Secretary of State, Licensing Division What agency enforces lobbying laws/regulations? Secretary of State and may also bring an action in district court to enjoin the acts or practices and to enforce compliance Are audits conducted on reports? Not clear. The Secretary of State has the power to request to examine the books and records of any individual who has received or is seeking to renew a certificate of registration as a lobbyist as such books and records may relate to lobbying and failure to comply with such request is grounds for revocation or suspension of certificate to lobby. However, it appears there is no automatic procedure for auditing reports and this only occurs if an investigation is underway. Lobbying Manuals/Instructions: Guidelines for Lobbyists http://www.sos.state.co.us/pubs/lobby/files/lobby_house_guidelines.pdf Ethics Handbook (developed for public officials, not for Lobbyists) http://www.colorado.gov/cs/Satellite?blobcol=urldata&blobheader=application%2Fpdf&blobhead ername1=Content-Disposition&blobheadername2=MDTType&blobheadervalue1=inline%3B+filename%3D3%2F886%2FEthics+HandbookWeb.pdf&blobheadervalue2=abinary%3B+charset%3DUTF8&blobkey=id&blobtable=MungoBlobs&blobwhere=1251684449995&ssbinary=true Reporting forms: None viewable online or downloadable.

Data Availability
Client Data Collected: Client name, address, and telephone number, industry type, bills lobbied and position. Lobbyist Data Collected: Lobbyists full legal name, business address, and business telephone number; the name, address, and telephone number of any person by whom he is employed; the name, address, and telephone number of any person for whom he will be lobbying; and the name, address, and telephone number of any person by whom the professional lobbyist or firm organized for professional lobbying is paid or is to be paid for such lobbying, specific bills lobbied and position.

27

Data Missing: Client (Principal) expenditure data except for Lobbyist compensation reported by Lobbyist, allocation of lobbying effort to specific issues lobbied. Reporting frequency: Monthly How Reported: Currently, both by paper report and online through the portal maintained by the Secretary of State. Registration and disclosure statements are not required to be filed electronically if the Secretary of State has granted an exception to the electronic filing requirement after written application based on hardship or other good cause. Proposed rules would mandate only online filing in the future. Online Public Disclosure: Scanned images of paper filings can be searched and viewed at http://www.sos.state.co.us/lobby/ImageSearch.do Electronic filings can be searched and viewed at the Online Lobbyist System where one can search by Lobbyist Name, Principal Name, or Bill Number. http://www.sos.state.co.us/lobby/Home.do A listing of Volunteer Lobbyists can be viewed at: http://www.leg.state.co.us/house/Lobbyist.nsf Format of Online Data: Scanned images of paper filings and screenshots of electronically filed data. Currently the Secretary of State can grant waivers for electronic filing, but has proposed rules to require all to file electronically in the future. Format of Data for Document Requests: A Lobbyist Disclosure Data CD containing information about registered lobbyists/firms, including data such as contact details, their principals, legislative issues and income/expenses can be requested. Paper reports must be printed from .pdfs of scanned reports.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: $400 -- $100 for each Lobbyist Disclosure Data CD ordered; personnel costs to locate, print .pdfs, manually input and audit records, and prepare electronic data for merging into database. Impediments to Data Collection: Reports filed on paper will have to be viewed and printed from .pdfs of those reports and then manually input and audited before adding to a unified database. Cant find any .pdfs for paper reports since January 1, 2010, so electronic data may be complete since then. Time to acquire/upload data: Varies widely depending on number of paper reports which must be manually printed. If no data prior to 2010 is collected and the 2010 reports were all filed electronically, then assume quarterly data collection and 1 week staff personnel costs/quarter.

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Annual cost estimate: in personnel costs.

$8,400, which includes $400 for obtaining electronic data and $8,000

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CONNECTICUT
Lobbying Laws
Governing Laws: CHAPTER 10 CODES OF ETHICS (Revised to January 1, 2011) Part 2 http://www.ct.gov/ethics/cwp/view.asp?a=2313&q=432632#part2 Regulations: OFFICE OF STATE ETHICS AGENCY REGULATIONS http://www.ct.gov/ethics/cwp/view.asp?a=2313&q=301724 Proposed Regulatory Amendments: http://www.ct.gov/ethics/cwp/view.asp?a=2313&Q=311896&ethicsNav=| Branches/Activities Covered: Legislative/legislation, including any matter within the cognizance of the legislature, including contacting an executive branch official as part of the effort. Executive/rules or regulations of an executive agency or any other matter within the official cognizance of that agency, also including the actions of an executive or quasipublic agency regarding a contract, grant, award, purchasing agreement, etc. Registration Required: Client Lobbyist is the party paying for lobbying services on its behalf. Communicator Lobbyist receives payment and does the actual lobbying legwork (i.e., communicating or soliciting others to communicate). Client Lobbyists and In-house Communicator Lobbyists register with the ETH-1B form. Individual and Business Organization Communicator Lobbyists register with the ETH-1A form. Required Reports: Communicator Lobbyists file the ETH-2A and ETH-2B forms (IF there are unreimbursed expenditures of $10 or more for the benefit of a public official, a member of his/her staff, or his/her immediate family). Client Lobbyists file the ETH-2D form. Lobbyist Compensation Reported: Yes Other Lobbying Data Reported: Client Lobbyists: Expenditures made. Fundamental terms of contracts, agreements or promises to pay compensation or reimbursement or to make expenditures in furtherance of lobbying. Itemized statement of each expenditure of $10 or more per person for each occasion made by the registrant or a group of registrants for the benefit of a public official in the legislative or executive branch, a member of his staff or immediate family, itemized by date, beneficiary, amount and circumstances. Events where all members of the legislature or all members from a region of the state are invited need not be reported unless the price is more than $30 per person. 30

Communicator Lobbyists: Amounts of reimbursement from each client during the previous year. Fundamental terms of contracts, agreements or promises to pay or receive compensation or reimbursement or to make lobbying expenditures; categories of work to be performed; dollar value or compensation rate of contract at the time of registration. Any amendments to these fundamental contract terms, including any agreements to subcontract lobbying work. Any expenditures for the benefit of a public official in the legislative or executive branch or a member of the staff or immediate family of such official which are unreimbursed and required to be itemized. Such report shall not include the disclosure of food and beverage provided at a major life event, as defined by the commission, of the registrant. Any registrant who reimburses a public official more than $10 in necessary expenses connected with an article or speech in his or her official capacity shall file a separate disclosure statement within 30 days.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Office of State Ethics http://www.ct.gov/ethics/site/default.asp What agency collects lobbying reports? Office of State Ethics What agency maintains lobbying records? Office of State Ethics What agency enforces lobbying laws/regulations? Office of State Ethics Are audits conducted on reports? Yes -- the Chair of the Citizens Ethics Advisory Board periodically selects client registrants to be audited by the Office of State Ethics. Selection ceremonies are open and publicly noticed. Lobbying Manuals/Instructions: Guide to the Code of Ethics for Communicator Lobbyists http://www.ct.gov/ethics/lib/ethics/guides/2010/communicator_guide_10.pdf Guide to the Code of Ethics for Client Lobbyists http://www.ct.gov/ethics/lib/ethics/guides/2010/client_guide_10.pdf The Enforcement Division of the Office of State Ethics also publishes an audit procedures manual that is made available to all lobbyists. Reporting forms: Electronic forms. No screenshots or .pdfs of blank forms are available.

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Data Availability
Client Data Collected: Name, address, city, state, zip, Expenditures made. Fundamental terms of contracts, agreements or promises to pay compensation or reimbursement or to make expenditures in furtherance of lobbying. Itemized statement of each expenditure of $10 or more per person for each occasion made by the registrant or a group of registrants for the benefit of a public official in the legislative or executive branch, a member of his staff or immediate family, itemized by date, beneficiary, amount and circumstances. Events where all members of the legislature or all members from a region of the state are invited need not be reported unless the price is more than $30 per person. Lobbyist Data Collected: Business Organization / Communicator Lobbyist Information; Filing No: Year; Business Organization Members; Communicator Email; Termination Date; Expense Total; Summary of Compensation, Sales Tax and Reimbursement; Total Legislative Expenses; Subcontractor Expense Total; Reimbursement; Compensation Sales Tax; Amount; Month Category; Compensation, sales tax and reimbursement paid to Subcontractor/ Data Missing: Specific actions lobbied. Reporting frequency: Communicator Lobbyists ETH-2B and Client Lobbyists ETH-2D Reports are filed quarterly during the months of April, July and January (the 3rd and 4th quarters are combined); and monthly if the Legislature is in regular session. Communicator Lobbyists ETH-2A Reports are filed annually in January following the year being reported. How Reported: Electronically through Web portal. Online Public Disclosure: Individual reports and a number of summary .pdf reports can be generated using many different search functions at: https://www.oseapps.ct.gov/NewLobbyist/security/loginhome.aspx Format of Online Data: downloaded .pdf reports Format of Data for Document Requests State contacted for availability of electronic database but has not responded. Assume downloaded .pdf reports are only option at present.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: No cost for printing pdf reports from website Impediments to Data Collection: Only broad summary data available from multiple downloads of summary reports online.

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Time to acquire/upload data: Manual input: Assume data will only be acquired manually so that all data can be collected at once; 1 month for data acquisition and bundling and 2 months for manual input, audit and upload. Annual cost estimate: $18,000 which includes $15,000 in personnel costs and $3,000 in printing costs.

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DELAWARE
Lobbying Laws
Governing Laws: Title 29, Chapter 58 Subchapter IV. Registration of Lobbyists http://depic.delaware.gov/sections/lobbying/statute/revlob.pdf Regulations: None Branches/Activities Covered: Legislature: acts to promote, advocate, influence or oppose any matter pending before the General Assembly by direct communication with the General Assembly or any matter pending before a state agency by direct communication with that state agency. Executive: acts to promote, advocate, influence or oppose any matter pending before a state agency by direct communication with that state agency Registration Required: Lobbyists, who also are required to file their Clients (Employers) authorization to represent them. Required Reports: Lobbyists file separate expense reports for each Client (Employer) represented. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Total Lobbyist expenditures during reporting period for all direct expenditures, costs or values, whichever is greater, provided for members of the General Assembly or for employees or members of any state agency for: food and refreshment; entertainment, including the cost of maintaining a hospitality room; lodging; fair value of travel exceeding 100 miles; recreation expenses; and gifts or contributions provided to members of the General Assembly.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Public Integrity Commission http://depic.delaware.gov/default.shtml What agency collects lobbying reports? Public Integrity Commission What agency maintains lobbying records? Public Integrity Commission What agency enforces lobbying laws/regulations? Public Integrity Commission and

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Attorney General. Are audits conducted on reports? No Lobbying Manuals/Instructions: No manuals or instructions. A synopsis of the Advisory Opinions issued by the Commission is available http://depic.delaware.gov/sections/lobbying/opinion/index.shtml Reporting forms: All filed electronically via Web portal hosted by the Commission. No views of reporting forms available. http://www.delawaregov.us/pic/index.cfm?ref=99123

Data Availability
Client Data Collected: Name, address, city, state, zip, general list of matters on which lobbying is authorized. Lobbyist Data Collected: Name, address, city, state, zip, total direct expenditures for food and refreshment; entertainment, including the cost of maintaining a hospitality room; lodging; fair value of travel exceeding 100 miles; recreation expenses; and gifts or contributions provided to members of the General Assembly. Data Missing: Lobbyist Compensation; Overhead/operations costs associated with Lobbying efforts; Names/offices of public officials who are recipients of Lobbying Expenditures; Indirect/Grassroots Lobbying expenses; specific matters lobbied; allocation of lobbying efforts to specific matters lobbied. There is no data collected which would in any meaningful way allow determination of the level of a Clients (Employers) lobbying effort in general or on specific matters. Reporting frequency: Quarterly. How Reported: Electronic registration and reporting at http://www.delawaregov.us/pic/index.cfm?ref=99123 Online Public Disclosure: Yes -- both lists of registered Lobbyists and their Clients (Employers) http://www.delawaregov.us/pic/index.cfm?ref=74391 and quarterly reports filed by Lobbyists http://www.delawaregov.us/pic/index.cfm?ref=31845 Format of Online Data: Screenshots of information contained in database. Format of Data for Document Requests: Formal FOIA request for copy of electronic data.

Timeline and Costs for Data Acquisition


Cost of obtaining data: Electronic data State has not responded to official request. 35

Data Scraper: $5,000 for program development. Impediments to Data Collection: Little data available and must request electronic data through a formal FOIA request. Otherwise, must develop data scraping program. Time to acquire/upload data: 3 weeks to develop data scraping program (once); 2 weeks each quarter to obtain data. Annual cost estimate: $21,000 which includes $16,000 in personnel costs.and $5,000 in one-time programming costs.

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FLORIDA
Lobbying Laws
Governing Laws: Separate Legislative and Executive Branch Lobbying statutes viewable at: http://www.leg.state.fl.us/Lobbyist/index.cfm?Tab=lobbyist&CFID=197077514&CFTOKEN=2293 7350 Regulations: Joint Rule One of the Florida Legislature -- LOBBYIST REGISTRATION AND COMPENSATION REPORTING: http://www.leg.state.fl.us/Lobbyist/jointrule1.pdf Executive Branch Lobbying Rules: https://www.flrules.org/gateway/ChapterHome.asp?Chapter=34-12 Branches/Activities Covered: Legislature: legislative action or nonaction through oral or written communication or an attempt to obtain the goodwill of a member or employee of the Legislature. Executive Branch: policy or procurement matters or an attempt to obtain the goodwill of an agency official or employee. Registration Required: Both Legislative and Executive Branch Lobbyists register with the Lobbyist Registration Office. Required Reports: Legislative Lobbyist and Executive Branch Lobbyist Compensation Reports. Donors Quarterly Gift Disclosure reports: A lobbyist or the partner, firm, principal, or employer of a lobbyist who makes or directs another to make a gift with a value in excess of $25, but not in excess of $100 must file these reports: http://www.ethics.state.fl.us/ethics/forms/Form30_2007i.pdf Lobbyist Compensation Reported: Compensation is reported as the average of several ranges, up to $49,999, after which actual compensation is reported (http://olcrpublic.leg.state.fl.us/aggregate_totals.cfm?CFID=2585955&CFTOKEN=47945626): 1 - 9,999 10,000 - 19,999 20,000 - 29,999 30,000 - 39,999 40,000 - 49,999 50,000 - or more $5,000 $15,000 $25,000 $35,000 $45,000 Actual Amount Reported

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Other Lobbying Data Reported: Name and address of Lobbyist/firm and Client (Principal) (one per form). Each Clients (Principal's) designated lobbyist reports expenditures paid directly by the Client (Principal).

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Legislative Lobbyists register with the Lobbyist Registration Office in the Division of Legislative Information Services of the Office of Legislative Services. Executive Branch Lobbyists register with the Florida Commission on Ethics through the Lobbyist Registration Office of the Legislature (the Ethics Commission has co-located employees in that office). What agency collects lobbying reports? Legislative and Executive Branch Lobbyists file reports with the Lobbyist Registration Office of the Legislature through the Lobbying Firm Compensation Reporting site hosted at: https://secure3.leg.state.fl.us/ What agency maintains lobbying records? Lobbyist Registration Office of the Legislature (with co-located staff of the Florida Ethics Commission). What agency enforces lobbying laws/regulations? Legislative Lobbying laws and regulations are enforced by the Division of Legislative Information Services and either house of the legislature. Executive Branch Lobbying laws are enforced by the Florida Commission on Ethics. http://www.ethics.state.fl.us/ Are audits conducted on reports? Audits are not conducted unless a complaint is filed. Legislative Lobbying Compensation Reports are reviewed for sufficiency within 10 days of filing. Legislative Lobbying documents and records may be subpoenaed for audit by legislative subpoena of either house of the Legislature, and the subpoena may be enforced in circuit court. Executive Branch Lobbying documents and records may be subpoenaed for audit by the Legislative Auditing Committee or the Florida Ethics Commission. Lobbying Manuals/Instructions: Online tutorial on Compensation Reporting: http://www.leg.state.fl.us/Lobbyist/demo/OLCRDemo_files/frame.html Frequently Asked Questions for Legislative Lobbyists: http://www.leg.state.fl.us/cgibin/View_Page.pl?Tab=lobbyist&Submenu=1&File=faq_leg2010.html&Directory=Lobbyist/&Location=app

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Frequently Asked Questions for Executive Branch Lobbyists: http://www.leg.state.fl.us/cgibin/View_Page.pl?Tab=lobbyist&Submenu=1&File=faq_exec2010.html&Directory=Lobbyist/&Location=app Reporting forms: Quarterly Lobbyist Compensation Reports are created and filed electronically at https://secure3.leg.state.fl.us/; however, screenshots of filed reports are accessible at http://olcrpublic.leg.state.fl.us/.

Data Availability
Client Data Collected: Report Quarter, Report Year, Record Type, Principal Name, Principal Address Line 1, Principal Address Line 2, Principal City Name, Principal State Name, Principal Postal Code, Principal Zip Ext, Principal Country Name, Principal Phone Number, Principal Compensation Range. Lobbyist Data Collected: Firm Name, Certification Name, Title Address Line 1, Address Line 2, City, State, Postal Code, Zip +4, Country, Phone Number, Submission Date, Total Compensation Range, Lobbyist Name, Prime Firm Name, Prime Firm Address Line 1, Prime Firm Address Line 2, Prime Firm City Name, Prime Firm State Name, Prime Firm Postal Code, Prime Firm Zip Ext, Prime Firm Country Name, Prime Firm Phone Number. Data Missing: Lobbyist exact compensation, Lobbyist and Client (Principal) expenditure information of any type (only broad ranges of Lobbyist compensation is reported), bills/issues lobbied. Reporting frequency: Quarterly. How Reported: Electronically via Web Access. Online Public Disclosure: Online Sunshine, the official Site of the Florida Legislature (http://www.leg.state.fl.us/Lobbyist/index.cfm?Tab=lobbyist&CFID=197077514&CFTOKEN=229 37350). Format of Online Data: Can view screen shots of quarterly compensation reports of both Legislative and Executive Branch Lobbyists, which are generated from a database seen here: http://olcrpublic.leg.state.fl.us/ Format of Data for Document Requests: Can download quarterly Legislative and Executive Branch Lobbyist compensation reports in tab-delimited files in the (.TXT) format and can be imported into any word processor, spreadsheet, or database program. http://olcrpublic.leg.state.fl.us/download.cfm?CFID=2584298&CFTOKEN=78273367 Can download formatted lobbyist registration data at: http://www.leg.state.fl.us/cgibin/View_Page.pl?Tab=lobbyist&Submenu=1&File=dl_data.cfm&Directory=Lobbyist/&Location= app 39

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free Impediments to Data Collection: None; although very little data is actually collected. Time to acquire/upload data: One week. Annual cost estimate: $1,000 (Personnel costs)

40

GEORGIA
Lobbying Laws
Governing Laws: GEORGIA GOVERNMENT TRANSPARENCY AND CAMPAIGN FINANCE ACT OF 2010: http://www.ethics.ga.gov/references/pdf/EthicsInGovernmentAct.pdf Regulations: 189-3-.07 Provision of Aircraft to a Public Officer by a Lobbyist. http://ethics.georgia.gov/references/Rules/SEC_Rules_Full.pdf Branches/Activities Covered: Legislature: passage of any legislation by the General Assembly, or any committee thereof, or the approval or veto of legislation by the Governor Executive: passage of any rule or regulation of any state agency or influencing a public officer or state agency in the selection of a vendor to supply any goods or services to any state agency. Registration Required: Lobbyists (Clients do not register) Required Reports: State Level Lobbyists (those who promote or oppose the passage of any legislation by the General Assembly, or any committee thereof, or the approval or veto of legislation by the Governor) file semi-monthly during legislative sessions and monthly the rest of the year. State Agency Level Lobbyists (those who are hired to undertake to promote or oppose the passage of any rule or regulation of any state agency) and Vendor Level Lobbyists (those hired specifically to undertake influencing a public officer or state agency in the selection of a vendor to supply any goods or services to any state agency) file monthly reports. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Lobbyist Name, Mailing Address, Contact phone (on Registration Form) Group or Public Officer lobbied, Title, Amount and Date of expenditures in the following categories: Gifts, Meals, Entertainment, Lodging, Equipment, Advertising, Travel, Postage, Description of Expense, Bill number lobbied, Rule or Regulation lobbied, Client Name.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Georgia Government Transparency and Campaign Finance Commission http://www.ethics.ga.gov/main.aspx

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What agency collects lobbying reports? Georgia Government Transparency and Campaign Finance Commission What agency maintains lobbying records? Georgia Government Transparency and Campaign Finance Commission What agency enforces lobbying laws/regulations? Georgia Government Transparency and Campaign Finance Commission Are audits conducted on reports? No Lobbying Manuals/Instructions: Lobbyist online training: http://forum.ethics.ga.gov/lobbyisttraining-power-point/ Frequently Asked Questions: http://forum.ethics.ga.gov/category/lobbyistresources/lobbyist-faqs/ Reporting forms: Lobbyist Registration Form http://ethics.georgia.gov/references/2011Forms/27/FormLOB-FINAL2011.pdf

Data Availability
Client Data Collected: Client Organization Name, Mailing address, Phone, Person authorizing Lobbyist and Title, General business purpose of Client. Lobbyist Data Collected: Lobbyist Name, Mailing Address, Phone, Type of Lobbying (State, State Agency, Local, Vendor), Whether Client will pay Lobbyist more than $10,000 in a calendar year for lobbying, Names of state agencies to be lobbied, whether the Lobbyist works for more than one organization, Description of all expenditures made by the lobbyist or employees on behalf or for the benefit of a public officer. For each expenditure, include: amount, date, description. Name, title of the benefiting public officer or, if simultaneously incurred for an identifiable group of public officers the individual identification of whom would be impractical, a general description of that group. If applicable, the number of the bill, resolution, ordinance, or regulation in support of or opposition to which each expenditure was made. List the aggregate expenditures on food, beverages, and registration at group events to which all members of an agency are invited. Entire legislative chambers or portions of them are considered agencies. List the aggregate expenditures on food, beverages or expenses afforded public officers, members of their immediate families, or others that are associated with normal and customary business or social functions or activities. Disclose the names of members of the immediate family of a public officer employed by or whose professional services are paid for by the lobbyist during the reporting period. Data Missing: Lobbyist compensation and reimbursement, Clients indirect/overhead costs. Reporting frequency: Monthly. State Level Lobbyists file semi-monthly during legislative sessions. 42

How Reported: Electronic reporting via Web access. http://www.ethics.ga.gov/EFiling/default.aspx Online Public Disclosure: Can search for information on Lobbyist, Lobbyist Expenditures, Lobbyist Group Rosters, and Non-Filer reports. Format of Online Data: Can view screenshots of individually generated lobbyist expenditure reports and registration information. Format of Data for Document Requests: Download Access database of lobbyist expenditures.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free Impediments to Data Collection: Access database does not contain Lobbyist name and must be linked to lobbyist id. No Lobbyist compensation or reimbursement reported. Little Client detail collected. Time to acquire/upload data: 1 week for entire database -- which is updated quarterly. Annual cost estimate: $4,000 (personnel costs)

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Hawaii
Lobbying Laws
Governing Laws: Chapter 97, Hawaii Revised Statutes ("HRS") at Constitution, Statutes, and Rules http://hawaii.gov/ethics/constitution Regulations: Chapter 97 requires that people who meet certain criteria must register as lobbyists with the Hawaii State Ethics Commission and/or must report their lobbying expenditures, as well as contributions received for the purpose of lobbying, by filing reports with the Hawaii State Ethics Commission. http://hawaii.gov/ethics/forms/lobbying/lobmanual Branches/Activities Covered: Chapter 97 defines "lobbying" as "communicating directly or through an agent, or soliciting others to communicate with any official in the legislative or executive branch, for the purpose of attempting to influence any legislative or administrative action or a ballot issue." "Legislative action" is defined as the sponsorship, drafting, introduction, consideration, modification, enactment, or defeat of any bill, resolution, amendment, report, nomination, appointment, or any other matter pending or proposed in the legislature. "Administrative action" is defined as the proposal, drafting, consideration, amendment, enactment, or defeat by any "administrative agency" of any rule, regulation, or other action governed by section 91-3, HRS. Section 91-3 describes procedures for the adoption, amendment, or repeal of administrative rules. An "administrative agency" is defined as a commission, board, agency, or other body, or official in the state government that is not a part of the legislative or judicial branch. http://hawaii.gov/ethics/forms/lobbying/lobmanual Registration Required: An individual must register as a lobbyist if the individual is paid or otherwise receives consideration or compensation for his or her lobbying services, whether by fee, retainer, or salary (or portion thereof), AND also meets either of the following two criteria: (1) Spends more than $750 in any reporting period lobbying, OR (2) Spends more than 5 hours in any month of any reporting period lobbying. http://hawaii.gov/ethics/forms/lobbying/lobmanual Required Reports: Statement of expenditures with the state ethics commission on March 31, May 31, and January 31 of each year. The March 31 report shall cover the period from January 1 through the last day of February. The May 31 report shall cover the period from March 1 through April 30. The January 31 report shall cover the period from May 1 through December 31 of the previous year. Lobbyist Compensation Reported: Yes, on FORM ORG called Hawaii State Ethics Commission Organizations or Individuals Expenditures and Contributions Report (To be filed by organization, employing organizations and individuals other than registered lobbyists) http://hawaii.gov/ethics/forms/lobbying

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Other Lobbying Data Reported: Lobbyist, organization, mailing address, phone, reporting period, client (organization) names, expenditures made by lobbyist for each organization by category, expenditures of $25 or more per person per day with name and address, on behalf of what client (organization) and amount or value paid, aggregate expenditures of $150 or more per person with name and address, on behalf of what client (organization) and amount or value paid, contributions received with name and address, on behalf of what client (organization) with amount or value given, subject area of lobbying by area but without identification of support or opposition nor specific amount expended in each subject area.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Hawaii State Ethics Commission http://hawaii.gov/ethics/ What agency collects lobbying reports? Hawaii State Ethics Commission http://hawaii.gov/ethics/ What agency maintains lobbying records? Hawaii State Ethics Commission and retained for four years from date of filing. http://hawaii.gov/ethics/ What agency enforces lobbying laws/regulations? Hawaii State Ethics Commission http://hawaii.gov/ethics/ Are audits conducted on reports? No. Lobbying Manuals/Instructions: Instructions for Lobbyist Registration Form and Instructions for Filing Organzations or Individuals Expenditures and Contributions Report http://hawaii.gov/ethics/forms/lobbying/lobmanual Reporting forms: Lobbyist Registration Form and Filing Organzations or Individuals Expenditures and Contributions Report http://hawaii.gov/ethics/forms/lobbying

Data Availability
Client Data Collected: Called Organization Expenditures. On FORM ORG: contact person, organization, phone, mailing address, reporting period, total expenditures, expenditures by category and amount, compensation paid to lobbyists with name, address of lobbyist along with compensation paid, expenditures of $25 or more per person per day with name and address and amount or value paid, aggregate expenditures of $150 or more per person with name and address and amount or value paid, contributions received with name and address with amount or value given, subject area of lobbying by area but without identification of support or opposition nor specific amount expended in each subject area. 45

Lobbyist Data Collected: On FORM LOB: Lobbyist, organization, mailing address, phone, reporting period, client (organization) names, expenditures made by lobbyist for each organization by category, expenditures of $25 or more per person per day with name and address, on behalf of what client (organization) and amount or value paid, aggregate expenditures of $150 or more per person with name and address, on behalf of what client (organization) and amount or value paid, contributions received with name and address, on behalf of what client (organization) with amount or value given, subject area of lobbying by area but without identification of support or opposition nor specific amount expended in each subject area. Data Missing: client focus, bills lobbied, admin actions lobbied, dates, in-house employees compensation, person or group benefited, payment to lobbying coalitions, specific fees and retainers and reimbursements to lobbyists, subcontractor lobbyists. Reporting frequency: Statement of expenditures with the state ethics commission on March 31, May 31, and January 31 of each year. How Reported: If lobbying for more than one person or organization, a separate registration form must be completed for each person or organization representing. Electronic filing is not available at this time, must file a hard copy of completed form with state ethics commission. Online Public Disclosure: Unsearchable PDFs of hard copy reports filed by client (organization) and lobbyists. Also lists of registered lobbyists, lists of clients (organizations) and lobbyist registration statements. Format of Online Data: Unsearchable PDFs of hard copy reports filed by client (organization) and lobbyists. Also lists of registered lobbyists, lists of clients (organizations) and lobbyist registration statements. Format of Data for Document Requests: Not available electronically. Data for clients (organizations) available in PDF format by alphabetical listing of client (organization), then by report. Would require printing and input of PDFs. Lists of Total Lobbying Expenditures Reported by Organizations or summary report in alphabetical list of client (organization) shows client (organization), amount paid and lobbyist(s) name.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free to print screenshots from website; staff time and printing costs. Impediments to Data Collection: Not available electronically. Would require printing and input of PDFs. Screenshots take a great deal of time to load. Some reports are handwritten so a data scraping program is not feasible.

46

Time to acquire/upload data: 2 months to view and print screenshots, bundle, manually input, audit and upload date, 2 times per year. Annual cost estimate: $20,000 which includes $18,500 in personnel costs and $1,500 in printing costs.

47

IDAHO
Lobbying Laws
Governing Laws: Title 67, Chapter 66, Idaho Code, The Sunshine Law for Political Funds and Lobbyist Activity Disclosure http://www.sos.idaho.gov/elect/SUNSHINE/SunshineLaw.pdf Regulations: Not found. Branches/Activities Covered: Legislative/the approval, modification or rejection of any legislation by the legislature or any committee thereof or by the governor or to develop or maintain relationships with, promote goodwill with, or entertain members of the legislature Executive Branch/influencing the consideration, amendment, adoption or rejection of any rule or rulemaking or any ratemaking decision, procurement, contract, bid or bid process, financial services agreement, or bond issue. Registration Required: Lobbyists must register separately for each Client (Employer) represented. Required Reports: Registered Lobbyists file an annual report. Lobbyists whose activities are confined only to executive officials also file a semi-annual report. Legislative Lobbyists file monthly periodic reports for each month or portion thereof that the legislature is in session. Both Lobbyists and Clients (Employers) must sign the semi-annual and annual reports; only Lobbyists sign the monthly periodic reports. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Totals of all expenditures the Lobbyist made or his or her Employer made (not including payments made directly to the lobbyist.) Totals by category such as entertainment, food and refreshments; advertising, etc. (The lobbyist's reimbursed living and travel expenses need not be reported.) The name of any legislator or executive official to whom or for whose benefit on any one (1) occasion, an expenditure in excess of: seventy-five dollars ($75.00) per person from 2008 through December 31, 2010, and in excess of one hundred dollars ($100) per person on and after January 1, 2011, for the purpose of lobbying, is made or incurred and the date, name of payee, purpose and amount of such expenditure. Expenditures for the benefit of the members of the household of a legislator or executive official are also itemized. In the case of a lobbyist employed by more than one (1) employer, the proportionate amount of such expenditures in each category made or incurred on behalf of each of his employers. The subject matter of proposed legislation and the number of each senate or house

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bill, resolution, memorial or other legislative activity or any rule, ratemaking decision, procurement, contract, bid or bid process, financial services agreement or bond in which the lobbyist has been engaged in supporting or opposing during the reporting period.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State http://www.sos.idaho.gov/elect/lobbyist/lobinfo.htm What agency collects lobbying reports? Secretary of State What agency maintains lobbying records? Secretary of State What agency enforces lobbying laws/regulations? The attorney general or the appropriate prosecuting attorney may prosecute any violations of the act. Are audits conducted on reports? No Lobbying Manuals/Instructions: Reporting Manual for Registered Lobbyists http://www.sos.idaho.gov/elect/lobbyist/lobbyist_reporting_manual.pdf Frequently Asked Questions: http://www.sos.idaho.gov/elect/lobbyist/lobbyfaq.htm Reporting forms: Lobbyist Registration Statement http://www.sos.idaho.gov/elect/lobbyist/L_1.pdf Monthly Report form: http://www.sos.idaho.gov/elect/lobbyist/L_3.pdf Annual/Semi-Annual Report Form: http://www.sos.idaho.gov/elect/lobbyist/L_2.pdf

Data Availability
Client Data Collected: The name and address of the lobbyists employer, a contact persons name and email for the employer along with the occupation of the lobbyists employer. Entertainment, Food and Refreshment expenses; Living Accommodations including all expenditures for the lobbyists transient place of living pertaining to lodging, groceries, meals, and other expenditures necessary for the lobbyists subsistence. If the lobbyist is reimbursed for these expenses, they do not have to be reported. Advertising, Travel, Telephone (If the lobbyist is reimbursed for personal travel, such travel expense does not have to be reported). Other Expenses or Services (includes contributions of tangible or intangible property to or on behalf of any legislator or executive official or member(s) of their household). Itemized legislation being supported or opposed including the Subject Codes and Bill, Resolution or other legislative identification number. Identification of any rule, ratemaking decision, procurement, contract bid or bid process, financial services agreement of bond supported or opposed.

49

Lobbyist Data Collected: Lobbyists full name, complete mailing address, telephone number(s), email address and any temporary residence or business address in Ada County, whether employed permanently or temporarily, and if temporarily, the duration of the employment, whether the lobbying activities will be directed at the Legislature, Executive Official(s) or both, whether the lobbyist operates solely as a lobbyist or is performing lobbying duties in connection with regular employment. The name and address of the person who will have custody of the books required to be kept. Data Missing: Lobbyist compensation and reimbursements, allocation of lobbying activities. Reporting frequency: Annual reports must be filed by January 31 after the end of each year. Semi-annual reports must be filed by July 31. All reports are cumulative. How Reported: Hand-delivered, mailed or faxed paper reports. Online Public Disclosure: Summary reports and viewable individual reports accessible at: http://www.sos.idaho.gov/elect/lobbyist/lobinfo.htm Format of Online Data: pdf images of scanned reports. Format of Data for Document Requests: Print .pdf documents viewed online.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free Impediments to Data Collection: Individual reports must be located online, printed off, and manually input and audited. Time to acquire/upload data: Assuming all reports are gathered at the end of the year, 3 weeks of printing and bundling reports, another 4 weeks to input and audit the data. Annual cost estimate: $10,000 ($2,000 in printing costs; $8,000 in personnel costs to print, bundle, manually input and audit approximately 9,000 pages of lobbying reports.)

50

ILLINOIS
Lobbying Laws
Governing Laws: Laws governing Illinois Lobbying are contained in the Illinois Lobbyist Registration Act found at http://www.ilga.gov/legislation/ilcs/ilcs3.asp?ActID=465&ChapAct=25%26nbsp%3BILCS%26nb sp%3B170%2F&ChapterID=6&ChapterName=LEGISLATURE&ActName=Lobbyist+Registratio n+Act Regulations: The Annual Registration Guide is available at: http://www.cyberdriveillinois.com/publications/pdf_publications/ipub31.pdf. Branches/Activities Covered: Illinois law requires all lobbyists to register unless not making reportable expenditures and that all reportable expenditures made in an attempt to influence any executive, legislative, or administrative action. The law covers Legislative, Executive, and Administrative branches, meaning lobbying efforts directed at all state agencies.) Registration Required: Lobbyists and clients must both register. Clients are called lobbying entities; if they have exclusive lobbyists, they have to name them in their registration. Lobbyists must also register, even if they are an exclusive lobbyist for a lobbying entity that listed their name in their own registration. Required Reports: The following expenditure reports are required semi-annually: Itemized Schedule - meaning any expenditures that have to be itemized, such as meals paid on behalf of an official. Large Gathering Schedule - expenditures related to gatherings of 25 or more officials, but the officials dont have to be named. Giveaways Schedule - expenditures incurred for generic gifts or substantially similar items (eg, pens) given to 25 or more officials. Officials dont have to be named. Grass Roots Lobbying Statement - expenditures made by an individual who participates in a grass roots communication or event sponsored by the registered entity. This allows a member of an organization that lobbies to report without having to register as a lobbyist. Activity Detail Report - reports the name of each lobbyist, each state agency lobbied, and all types of action. Responses tend to be non-specific about actual bills or policies discussed. Expenditure Summary Report - summarizes all reported expenditures; is automatically generated by the system. Lobbyist Compensation Reported: Lobbyist compensation is not reported. Other Lobbying Data Reported: No other lobbying data is disclosed.

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Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Illinois Secretary of State Lobbying Division, found at http://www.cyberdriveillinois.com/departments/index/lobbyist/home.html. What agency collects lobbying reports? Illinois Secretary of State What agency maintains lobbying records? Illinois Secretary of State What agency enforces lobbying laws/regulations? Illinois Secretary of State Are audits conducted on reports? The Inspector General of the Secretary of State audits and reviews all SOS operations. See the Inspector Generals website at http://www.reportitnow.net/. Lobbying Manuals/Instructions: Illinois provides the Illinois Lobbyist Ethics Training document, available here: http://www.cyberdriveillinois.com/publications/pdf_publications/i231.pdf. Reporting forms: Registration: Lobbyist Registration form, Registered Entity Registration form for registration. Reporting forms: Expenditures: Itemized Schedule, Large Gatherings Schedule, Giveaways Schedule, Grass Roots Lobbying Statement, Activity Detail Report, Expenditure Summary Report.

Data Availability
Client Data Collected: Clients (known as registered entities) register and report expenditures made by them. A client also reports activities and expenditures made by a lobbyist who lobbies only for that one entity. Support staff expenses and lobbyist fees, salaries, and other compensation to the lobbyist are non-reportable expenditures. Clients and lobbyists report individual expenditures along with the name of the official on whose behalf the expenditure was made - that includes meals, gifts, honoraria, and travel. They also report giveaways, large gathering expenses, grassroots lobbying, and activities. All registrants must file using the electronic system. Lobbyist Data Collected: Lobbyists register and report activities and expenditures made by them, unless they lobby only for a single client, in which case the client reports. Support staff expenses and lobbyist fees, salaries, and other compensation to the lobbyist are non-reportable expenditures. Clients and lobbyists report individual expenditures along with the name of the official on whose behalf the expenditure was made - that includes meals, gifts, honoraria, and

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travel. They also report giveaways, large gathering expenses, grassroots lobbying, and activities. All registrants must file using the electronic system. Data Missing: The following data is not collected: Bills lobbied, Administrative Actions lobbied, Payments to lobbyists, Overhead expenses, and whether or not a lobbyist subcontracts for another. Reporting frequency: Expenditure reports are filed semi-annually. Registration is required annually. How Reported: Lobbyists and clients file electronically through CyberDrive Illinois http://www.cyberdriveillinois.com/departments/index/lobintro.html. Online Public Disclosure: All information is available through the portal at http://www.ilsos.gov/lobbyistsearch/. Users can search by Lobbying Entity, Exclusive Lobbyist, Contractual Entity, Expenditure Reports, Expenditures Made on Officials, and Client Entity. Format of Online Data: Expenditure reports come in system-generated pdfs that have a summary first, and organize the expenditures by schedule. Registration data shows the data in html that looks like a form. It doesnt come in a spreadsheet or text file with the information in fields. Users can obtain Lobbyist Lists (a list of clients that shows each clients lobbyists) and Lobbyist Cross-Reference List (a list of lobbyists which shows each lobbyists clients) in a text file available on the home page or in pdf. Heres the link: http://www.cyberdriveillinois.com/departments/index/lobbyist/home.html. Format of Data for Document Requests: The state has indicated that all information is available on the website. While the Institute has requested additional clarification to confirm that electronic data for the expenditure reports is not available, the state has not responded. It is likely that the Institute will have to print, bundle, input and audit the information available on the website.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: The state of Illinois indicated that the information is available online and has not responded to a request for clarification about cost and electronic format of data currently only available for viewing and printing. It is possible that data can be gathered with a data scraping program. Impediments to Data Collection: Expenditure reports are not available in an electronic format. Time to acquire/upload data: With data scraping program: 2 weeks to develop a data scraping program (one-time); 2 weeks to scrape data and upload to database each 6 months reporting period.

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Manual printing: Printing reports from screenshots, bundling, manually entering and auditing data and uploading to database: 3 months of staff time each 6 months. Annual cost estimate: Using a scraping program: $15,000 in personnel costs. Manual printing: $28,500 which includes $25,000 in personnel costs and $3,500 in printing costs.

54

Indiana
Lobbying Laws
Governing Laws: IC 2-7 available at http://www.in.gov/ilrc/files/New_Leg_Lobby_Law_11_1_10.pdf Regulations: Links to regulations of various activities are available on the website of the Indiana Lobby Registration Commission at http://www.in.gov/ilrc/ Branches/Activities Covered: Legislative only, including any communications with legislators or legislative candidates to influence legislation. Registration Required: Lobbyists and clients register with the Indiana Lobby Registration Commission. Lobbyists in Indiana are referred to as compensated lobbyists, and clients are referred to as employer lobbyists. Required Reports: Registrations are required. The registrations terminate at the end of the calendar year, but if a lobbyist ceases lobbying before the end of the year, they must file a termination notice within 15 days. Activity reports are due from both lobbyists and clients semi-annually on May 31 and November 30. Lobbyists file a separate activity report for each client from which the lobbyist receives compensation. Gift Reports are required if and when a gift is given to a legislative person, as defined in Indiana law. Lobbyist Purchase Reports are required for the purchase of services or goods from a legislator, a legislative candidate, or a business solely owned by a legislator or legislative candidate or their family. Lobbyist Compensation Reported: Lobbyist salaries/fees are reported. Reimbursements for lobbying expenses are reported. Other Lobbying Data Reported: Expenses related to a reception for legislators are reported. Money spent on meals and other entertainment is reported. Expenses for gifts are reported, including indications of which legislators received the gifts. Expenses related to filing costs, such as registration fees and late fees, are reported. A total for the various expenses is reported. Legislators are required to provide the lobbyist with an affidavit indicating they received income from the lobbyist, and these legislators are identified in the lobbyists report. Lobbying interests

55

are identified from a list of issues and interest areas, along with a place to report which legislation was being targeted.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Indiana Lobby Registration Commission http://www.in.gov/ilrc/ What agency collects lobbying reports? Indiana Lobby Registration Commission http://www.in.gov/ilrc/ What agency maintains lobbying records? Indiana Lobby Registration Commission http://www.in.gov/ilrc/ What agency enforces lobbying laws/regulations? Indiana Lobby Registration Commission http://www.in.gov/ilrc/ Are audits conducted on reports? The Indiana Lobby Registration Commission audits at least five percent of filed registrations and lobbying activity reports at random. Additional reports may be audited if there is an apparent discrepancy. When audited, the lobbyists or clients must provide paperwork verifying the information in their reports. Extensive information about auditing procedures is available in the lobbying handbook available on the Indiana Lobby Registration Commission website. Lobbying Manuals/Instructions: Various lobbying manuals, and instruction sheets are available on the ILRC website at http://www.in.gov/ilrc/. Reporting forms: Reporting forms and instructions are available on the Indiana Lobby Registration Commission website at http://www.in.gov/ilrc/.

Data Availability
Client Data Collected: Lobbying activity reported by clients is available to download in Excel from the states website at http://www.in.gov/ilrc/2335.htm. Lobbyist Data Collected: Information reported by lobbyists is available to download in Excel from the states website at http://www.in.gov/ilrc/2335.htm. Data Missing: Contact information for lobbyists and clients (such as addresses and phone numbers) are not included in the spreadsheets. There are PDF lists of lobbyists and clients that contain this information. Reporting frequency: Semi-annually for both lobbyists and clients.

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How Reported: The filers have the option to choose whether to file electronically or on paper. Reports filed on paper are input by the state. Online Public Disclosure: Indiana Lobby Registration Commission website http://www.in.gov/ilrc/. Format of Online Data: Data from all reports is available online in Excel spreadsheets. Images of the orginal paper-filed reports are not available online. Format of Data for Document Requests: Data appears to be available only as Excel files.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free downloads from state; staff time to obtain, input, audit and prepare data for upload. Impediments to Data Collection: None Time to acquire/upload data: 6 weeks to print, input and audit Lobbyist and Client contact information; 2 weeks to download and prepare electronic data and merging with manually input data each 6 months. Annual cost estimate: $16,000 in personnel costs.

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IOWA
Lobbying Laws
Governing Laws: Government Ethics and Lobbying Act http://www.iowa.gov/ethics/legal/68bcontent.htm Regulations: http://coolice.legis.state.ia.us/CoolICE/default.asp?Category=billinfo&Service=Billbook&menu=false&ga=83&hbill=SR6 http://www.legis.state.ia.us/ChamberRules/HouseRulesGoverningLobbyists.pdf http://www.legis.state.ia.us/aspx/ACODOCS/DOCS/351.8.pdf CHAPTER 8 EXECUTIVE BRANCH LOBBYING http://www.legis.state.ia.us/aspx/ACODOCS/DOCS/351.8.pdf Branches/Activities Covered: Legislature: the passage, defeat, approval, veto, or modification of legislation. Executive: the passage, defeat, approval, veto, or modification of a rule or an executive order by a state agency or any statewide elected official. Registration Required: Lobbyists engaged in lobbying activities before the general assembly file the registration statement with the chief clerk of the house of representatives or the secretary of the senate. Lobbyists engaged in lobbying activities before the office of the governor or any state agency file the registration statement with the Ethics and Campaign Disclosure Board. Required Reports: Clients file an annual report for the period July 1 - June 30. Lobbyists file Session Function Pre-Registration (5 days before the function) and Session Function Reports (within 28 business days of the function). Lobbyist Compensation Reported: Yes Other Lobbying Data Reported: Lobbyist Name and mailing address; Client Name(s) and mailing address, Client contact person and job title, contact phone number. Legislative lobbying expenses, Legislative function expenses, bills lobbied, position on bills (Lobbyist Declarations). A general description of the issues or interests that the lobbyist might follow and a list of agencies or offices that may be lobbied. Whether or not the lobbyist is a governmental official representing the official position of the lobbyists department, agency, or governmental entity.

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Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Legislative lobbyists register with the House or the Senate. Executive branch lobbyists register with the Ethics and Campaign Disclosure Board. What agency collects lobbying reports? The General Assembly collects Legislative Lobbyist and function reports: http://www.legis.state.ia.us/Lobbyists/LobbyistReports.htm. The Iowa Ethics and Campaign Finance Board collects Executive Branch Client lobbying reports at www.iowa.gov/ethics. What agency maintains lobbying records? Legislature http://www.legis.state.ia.us/Lobbyists/LobbyistReports.htm and Ethics and Campaign Disclosure Board http://www.iowa.gov/ethics/viewreports/index.htm#lobbying What agency enforces lobbying laws/regulations? The ethics committee of each house for Legislative Lobbyists and Clients; The Ethics and Campaign Finance Board for Executive Branch Lobbyists and Clients. http://www.legis.state.ia.us/Central/Guides/LBB/EthicsJurisd.pdf Judicial review of the actions of the board may be sought in accordance with chapter 17A. Judicial enforcement of orders of the board may be sought in accordance with chapter 17A. Are audits conducted on reports? Ethics and Campaign Finance Board audits all reports (including Lobbyist registrations) filed with that agency. Lobbying Manuals/Instructions: Instructions for online registration and declarations of Legislative Lobbyists: http://www.legis.state.ia.us/Lobbyists/QuickRefLobbyist.pdf Guide for Executive Branch Lobbyists http://www.iowa.gov/ethics/forms_brochures/brochures/lobbyist/lobbying%20guide.htm Instructions for online Executive Branch Client reporting: http://www.iowa.gov/ethics/filing/lobbyist_help/helpclient_maininfo.htm Reporting forms: Electronic reporting; no blank forms viewable online.

Data Availability
Client Data Collected: Legislative and Executive Client name, lobbyist firm, lobbyist name(s), date paid, amount, details/comments. Lobbyist Data Collected: Lobbyist firm, Lobbyist name, address, phone, compensation received, reimbursement received, general interests lobbied.

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Data Missing: Specific expenses for lobbying activities, bills or specific actions lobbied, Reporting frequency: Annual How Reported: Electronic Online Public Disclosure: Yes. Since 2010, combined Legislative and Executive Branch lobbying is reported together at: http://www.iowa.gov/ethics/lobbying/client_reports.htm and http://www.iowa.gov/ethics/viewreports/session_reports.htm. In addition, Legislative Lobbyist declarations and Function reports can be accessed through the Legislatures website at: http://www.legis.state.ia.us/Lobbyists/LobbyistReports.htm. Format of Online Data: Combined Legislative and Executive Client reports are viewable online in pdf or excel format from the Ethics Commission Website http://www.iowa.gov/ethics/lobbying/client_reports.htm. Legislative Lobbyist Function reports and Lobbyist Declarations (positions on bills lobbied) can be viewed online at the Legislatures website. http://www.legis.state.ia.us/Lobbyists/LobbyistReports.htm. Can search Lobbyist Declarations by Lobbyist name, Client name, or bill number. Format of Data for Document Requests: Can download all Client reports in excel format from the Ethics Commission website. Legislative Lobbyist and Function reports and Lobbyist Declarations are available in electronic format from the Legislature.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free Impediments to Data Collection: If Function and Lobbyist Declaration data is not available electronically, will have to print off individual screenshots and manually input and audit the data. Time to acquire/upload data: 1 month for Legislature to respond to electronic document request and 1 month staff time. Annual cost estimate: $8000 in personnel costs.

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KANSAS
Lobbying Laws
Governing Laws: 2009 Kansas Statutes Annotated (K.S.A) Chapter 46, Article 2 http://kansasstatutes.lesterama.org/Chapter_46/Article_2/ Regulations: http://www.kansas.gov/ethics/Lobbying/Rules_&_Regulations/index.html Branches/Activities Covered: Legislature: Promoting or opposing in any manner action or non-action by the legislature on any legislative matter constitutes lobbying. Legislative matters include any bills, resolutions, nominations, or other issues or proposals pending before the legislature or any committee, subcommittee, or council thereof. An issue or proposal is pending before any such body if it is being directly considered by such body, if it has been communicated to such body or a member thereof even if not directly considered by it, or if it is an issue subject to continuing review by any such body. State Agencies: Promoting or opposing in any manner the adoption or non-adoption of any rule and regulation by any state agency constitutes lobbying. ``Rules and regulations'' means such rules and regulations as are required by law to be filed with the secretary of state and does not include those adopted by the judicial branch or any court. Registration Required: If lobbying for more than one person or organization, a separate registration form must be completed for each person or organization representing. Each registration must be filed electronically through the Kansas Secretary of States office at http://www.kssos.org/elections/lobbyist_online.asp. Activity reports are filed with the Kansas Governmental Ethics Commission. http://www.kansas.gov/ethics/Lobbying/Blank_Forms/index.html Required Reports: All lobbyists under the purview of the Commission must file Lobbyist Registration Form, Lobbyist Badge Order Form, Amended Lobbyist Registration Statement, Lobbyist Termination Statement. To report expenditures, they must file either an Affidavit of Exemption From Filing Lobbyist Employment and Expenditures Reports or the periodic Lobbyist Employment and Expenditures Reports. http://www.kansas.gov/ethics/Lobbying/Blank_Forms/index.html A report shall be filed on or before the 10th day of the months of February, March, April, May, September and January. http://www.kansas.gov/ethics/Lobbying/Report_Due_Dates/index.html Lobbyist Compensation Reported: The amount of compensation is not disclosed. However, on the Lobbyist Registration Form, the type of compensation is reported: Not compensated,

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compensated through an hourly contract rate, compensated through a fixed contract amount, employed (in whole or in part) to lobby and receive a monthly salary or an other method that must be specified. Form and instructions at http://www.kansas.gov/ethics/Lobbying/Blank_Forms/index.html Other Lobbying Data Reported: The Kansas Lobbyists Registration Form contains Lobbyist name, calendar year of applicable registration, client (person, organization or client on whose behalf the lobbyist is registering), lobbyists business address, telephone and fax numbers, email address, home address, home telephone and fax numbers, the expected amount to be expended on this particular client. The client information: name of person, organization or client, street address, mailing address, email address and telephone or fax numbers, purpose of lobbying or subject matter, such as legislative action or non-action, adoption or non-adoption of state agency rules and regulations, including bill numbers and bill titles. The type of compensation ranging from no compensation, hourly contract rate, fixed contract amount, employed (in whole or part) to lobby and receive monthly salary, to another method.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? The Kansas Governmental Ethics Commission is charged, in part, with administering the state's lobbying law, and provides for the registration and reporting of expenditures by lobbyists. http://www.kansas.gov/ethics/Lobbying/index.html What agency collects lobbying reports? K.S.A. 25-4142 et seq. and K.S.A. 46-215 et seq. require lobbyists to file Government Ethics Commission forms with the Secretary of State, a separate state agency and the public repository for such forms. http://www.kansas.gov/ethics/Lobbying/Blank_Forms/index.html What agency maintains lobbying records? The Government Ethics Commission's staff enters expenditure data from the Lobbyist Employment and Expenditures Reports. Statistics and the recipient's name are available to be viewed from this Internet site link to Expenditure Data: http://www.kansas.gov/ethics/Lobbying/index.html What agency enforces lobbying laws/regulations? The Government Ethics Commission http://www.kansas.gov/ethics/Commission/Procedural_Rules_&_Regulations/index.html Are audits conducted on reports? Reviews and audits may be conducted by the executive director of any matter which is required to be reported or filed under the provisions of relevant law. Such reviews and audits shall employ generally accepted auditing standards and provisions as adapted to relevant law. http://ethics.ks.gov/statsandregs/19-3-2.html Lobbying Manuals/Instructions: http://www.kansas.gov/ethics/Lobbying/Blank_Forms/index.html

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Reporting forms: http://www.kansas.gov/ethics/Lobbying/Blank_Forms/index.html

Data Availability
Client Data Collected: The clients of lobbyists are not required to register or report expenditures. The lobbyists provide their clients name, address, telephone and fax number. Lobbyist Data Collected: The Lobbyist Employment & Expenditure Report contains lobbyist name, address, telephone and fax number. The period covered and due date of report. The name of the client, client address, telephone and fax number. Amount and type of expenditures with target name (Name of Recipient), whether they are a legislator, legislative employee, judge, or judicial employee and a detailed description of the purpose of the expenditure. The Types of Expenditures are detailed on separate pages in the following categories: Food and Beverage, Recreation, Entertainment, Gifts, Honoraria, Mass Media Communications, and Communications to Influence. Also a section for Other Reportable Expenditures. Data Missing: name of lobbyist firm, type of lobbyist, lobbying fees, compensation (in house employees, date of expenditure, payee name, other payments to influence other than an aggregate total on the cover page, report name, lobbyist affiliate, fees and retainers, overhead expenses, subcontractor lobbyists; general interests lobbied, specific actions lobbied; allocation of lobbying efforts. Reporting frequency: Reports are due the 10th day of February, March, April, May, September and January. http://www.kansas.gov/ethics/Lobbying/Report_Due_Dates/index.html How Reported: Either electronically at http://www.kssos.org/elections/lobbyist_online.asp or on paper forms filed with the Secretary of State, at the discretion of the filer. The Commission's staff enters expenditure data from the paper-filed Lobbyist Employment and Expenditures Reports after filing due date. Online Public Disclosure: Statistics and the recipient's name are available to be viewed from this Internet site link to Expenditure Data. Also available are Pdf versions of the summary reports of data required to be disclosed - Lobbyist Employment and Expenditure reports. http://www.kansas.gov/ethics/Lobbying/Lobbying_Statistical_Charts/index.html. Summary and itemized data can be viewed in spreadsheet format. Summary data can be selected by client (business name) or by lobbyist last name (can include first name but not necessary). The resulting spreadsheet shows Year, Month, client (business name) Lobbyist Last Name, Lobbyist First Name, Expenditure type which includes Food and beverage, Recreation, Entertainment, Gifts, Honoraria, Media, Communication Leg. Action, Communcation Exec. Action, Other and the Total. Itemized data can be selected by client (business name) or by lobbyist last name (can include first name but not necessary) or by target (Recipient.) The resulting spreadsheet shows Year,

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Month, client (Business Name) Lobbyist Last Name, Lobbyist First Name, target (Recipient Name) Itemized List which includes Food and beverage, Recreation, Entertainment, Gifts, Honoraria, Media, Communication Leg. Action, Communcation Exec. Action, Other, the Purpose of the expenditure and the Amount. http://www.accesskansas.org/lobbyistexpenditure/index.html Format of Online Data: Screenshots of reports generated from electronic database or HTML spreadsheets which can be printed. Only current year expenditure data viewable online. Format of Data for Document Requests: HTML spreadsheets of current year data can be copied and pasted into Excel or saved as text files and then imported into Excel or Access; online PDFs must be printed and input. Prior year summary data can be downloaded in .pdf format; prior year detailed data must be requested from the Commission.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: None for copying or printing current year data or for printing summary data for prior years. Commission contacted for information about availability and cost of obtaining detailed data from previous years. Impediments to Data Collection: Only the current year's detailed data is available online. Prior year data is available only in summary form. Lobbying reports are amended through out the year. Data appearing in summary publications are only accurate as of the date of their original printing. Therefore if summary data must be used, only the year-end summary reports can be used. Time to acquire/upload data: Current year's data: 1 week of staff time, 3 times/year. Prior years data: Manual entry: 8 weeks of staff time, 1 time/year Annual cost estimate: Current year data: $6,000 in personnel costs . Prior years data: Manual entry: $16,250 which includes $16,000 in personnel costs and $250 in printing costs.

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KENTUCKY
Lobbying Laws
Governing Laws: Legislature: KRS 6.601 to 6.849 cited as the "Kentucky Code of Legislative Ethics." http://www.lrc.ky.gov/KRS/006-00/CHAPTER.HTM Executive: KRS Chapter 011A00 Executive Branch Code of Ethics http://www.lrc.state.ky.us/KRS/011A00/CHAPTER.HTM Regulations: Legislature: administrative regulations promulgated under the Code ( 2 KAR 2:010 to 2:040 ) Executive: Title 9 of the Kentucky Administrative Regulations, as well as Executive Order 2008-454 and its amendment, Executive Order 2009-882. Branches/Activities Covered: Legislature: bills, resolutions, amendments, nominations, and any other matter pending before the General Assembly or any of its interim committees, or the executive approval or veto of any bill acted upon by the General Assembly. Executive: decision(s) of an executive agency (office of an elected executive official, a cabinet, or any other state agency, department, board, or commission controlled or directed by an elected executive official or otherwise subject to his authority) regarding the expenditure of funds of the state or of an executive agency with respect to the award of a contract, grant, lease, or other financial arrangement under which those funds are distributed or allocated. Registration Required: Legislature. Joint registration: Each Lobbyist (Legislative Agent) and Client (Employer) is required to register within seven days following engagement of a Lobbyist (Legislative Agent). Each Client (Employer) of one or more legislative agents is required to pay a registration fee of $250. If a Lobbyist (Legislative Agent) is engaged by more than one Client (Employer), the Lobbyist (Agent) is required to file a separate initial registration for each engagement. Executive: Joint registration: Each Executive Agency Lobbyist (EAL) must file an Initial Registration Statement that will, simultaneously, register the Lobbyist, the employer, and the Real Party in Interest. An EAL engaged by more than one Employer or Real Party in Interest must file a separate Initial Registration Statement for each engagement, i.e., for each Employer or Real Party in Interest (Client, if the Client is not the Employer) within ten days following the engagement.

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Required Reports: Legislature: Updated Registration Statements are filed by Lobbyists (Legislative Agents) and Clients (Employers). The Client (Employer) who is also registered as a Lobbyist (Legislative Agent) is only required to file a Clients (Employers) updated registration statement and is not required to file a separate Lobbyist (Legislative Agent) form. Executive: Executive Agency Lobbyists, Employers, and Real Parties in Interest are each required to file an Updated Registration Statement annually by July 31 for the reporting period July 1 through June 30. An Executive Agency Lobbyist is required to file only one Updated Registration Statement for each year. The single Updated Registration Statement contains information for each of the Lobbyist's Employers. Both the Employer and the Real Party in Interest are required to file only one Updated Registration Statement for all of their Lobbyists for each year. Each Lobbyist, Employer and Rreal Party in Interest is responsible for the filing of their respective form. When a Lobbyist has only one Employer and that Employer has only one Lobbyist, with the Lobbyist listed as the "employer contact" on the Initial Registration Statement, the Lobbyist and Employer may alternately file an Updated Registration Statement Lobbyist/Employer "COMBINED" in lieu of filing two separate updated registration statements. The "COMBINED" form may only be used if neither the Lobbyist nor the Employer has expenses or financial transactions to report. An executive agency lobbyist is required to file a separate statement of expenditures for each employer engaging him; however, this is accomplished on one form. Each employer or real party in interest is required to file only one statement of expenditures regardless of the number of executive agency lobbyists it engages. Lobbyist Compensation Reported: Legislature: Yes Executive: No

Other Lobbying Data Reported: Legislature: Lobbyists (Legislative Agents) must file separate forms for each employer. Representatives or organized associations, coalitions or public interest entities must identify the source of the organization's financial resources. All Filers report expenditures on behalf of legislators or members of their immediate family for food, beverages consumed on premises give name of legislator or family member, total expenditures, description and date. Lobbyists (Legislative Agents) report: Total expenditures, regardless of whether they were reimbursed. Cumulative amounts, except personal expenses, spent on food, beverages, lodging, transportation, entertainment, and other lobbying expenses, details of financial transactions for the benefit of members of the legislature, the governor, cabinet secretaries, or certain state employees. Clients (Employers) report: Total lobbying expenditures. Itemized list of amounts spent for receptions or other events, date, location, name of the group of public servants invited. Itemized list of other amounts spent for lobbying, including food and lodging, reimbursements to public officials; not including personal expenses, and details of financial transactions for the benefit of members of the legislature, the governor, cabinet secretaries, or certain state employees. Executive: Lobbyists (Executive Agency Lobbyists) report: Name, EAL#, Occupation, Title, Business Address, Business Telephone, Residential Address, Email address, Fax number,

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Name of Employer(s), Termination dates for any Employer(s), Name of Real Party in Interest, Business Address, Employer, Date of Addition, Date of Deletion, Executive Agency Decisions Lobbied, Elected Executive Officials, departments or agencies lobbied, Expenditures and Financial Transactions Employers and Real Parties in Interest report: Full name, Contact person, Business Address, Business Telephone, Email address, FAX number, Name(s) and Lobbyist Registration # of EALs registered during the year, terminations and engagement date of EALs during the year, Names of Real Party(ies) in Interest, Business Address, date of addition, date of deletion, specific executive agency decisions lobbied, Expenditures and Financial Transactions..

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Legislature: Kentucky Legislative Ethics Commission http://klec.ky.gov/default.htm Executive: Executive Branch Ethics Commission. http://www.state.ky.us/agencies/ethics/index.html What agency collects lobbying reports? Legislature: Kentucky Legislative Ethics Commission Executive: Executive Branch Ethics Commission What agency maintains lobbying records? Legislature: Kentucky Legislative Ethics Commission Executive: Executive Branch Ethics Commission What agency enforces lobbying laws/regulations? Legislature: Kentucky Legislative Ethics Commission Executive: Executive Branch Ethics Commission Are audits conducted on reports? No. Lobbying Manuals/Instructions: Legislature: Not found. Executive: http://ethics.ky.gov/SiteCollectionDocuments/ExecutiveAgencyLobbyingHandbookJanuary2007. pdf

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Reporting forms: Legislature: Blank reporting forms can be downloaded in Word format at http://klec.ky.gov/forms/ Executive: Blank reporting forms and instructions can be downloaded in Word format at http://www.state.ky.us/agencies/ethics/lobbying/lobbyingforms.html

Data Availability
Client Data Collected: Legislature: Client (Employer) Name of individual, business, or organization, Name of person responsible for directing legislative activity, business address, city, state, zip code, telephone, real party in interest, if different from employer, nature of business, List of specific bills or resolutions on which the Lobbyist (Agent) lobbied; statement of expenditures for food and beverages consumed on the premises provided to individual legislator or individual legislator's immediate family (Names, Amount $, Date, and Description), Expenditures for receptions, meals, or events (Names of individuals, or group of public servants invited, Date and location of event, Amount $, Description), Expenses directly associated with lobbying activities (Food, beverages, lodging and transportation, $ Amount , Office expenses, $ Amount , Professional & technical research & assistance (eg. consulting fees), $ Amount, Educational & promotional items $ Amount, Miscellaneous expenses, $Amount), Compensation paid to Lobbyists (Legislative Agents) prorated using the accrual accounting method to reflect time engaged in lobbying during the reporting period (Lobbyist/Agent name and $ Amount), Financial transactions (with or for the benefit of any member of the General Assembly, Governor, secretary of a cabinet, or any member of the staff of those officials); and updates/changes in any information previously provided in the initial registration statement. Executive: Employer Information (Full name of company/organization, Type of industry, Business address, Employer Contact (Name, Title, Address, Telephone, Email address), Real Party in Interest Information (full name of company/organization, type of industry, business address, contact person (name, title, address, telephone, Email address), Executive Agency Decision(s) being Lobbied, Executive Branch Agencies being Lobbied. Name(s) and Lobbyist Registration #(s) of EALs registered during the year, terminations and engagement date of EALs during the year, Names of Real Party(ies) in Interest, Business Address, date of addition, date of deletion, Expenditures (not reported by an EAL) (Name of Official, Employee or Staff Member; Description of Expenditure and of each Meeting, Event or Occasion, Date, and Amount) and Financial Transactions (Name of official, employee or staff member; purpose and nature of transaction, date, and other). Lobbyist Data Collected: Legislature: Lobbyist (Agent) name, business address, city, state, zip code, telephone number, cell phone number, email address, specific bills or resolutions lobbied, statement of expenditures or financial transactions; and updates/changes in any information previously provided in the initial registration statement. 68

Executive: Executive Agency Lobbyist Full name, EAL#, Occupation, Title, Firm Name, Business Address, Business Telephone, FAX, Email address, Cell/Mobile Telephone, Permanent Residential Address, Date of Engagement of EAL with Employer, Name of Employer(s), Termination dates for any Employer(s), Name of Real Party in Interest, Business Address, Employer, Date of Addition, Date of Deletion, Executive Agency Decisions Lobbied, Elected Executive Officials, departments or agencies lobbied, Expenditures (Name of Official, Employee or Staff Member; Type of expenditure; Description of each Meeting, Event or Occasion , Date, Amount) and Financial Transactions (Name of official, employee or staff member, Description of the purpose and nature of the transaction, Date, Other details). Data Missing: Legislature: Allocation of Lobbying Effort. In addition, details of expenses, expenditures, and bills lobbied are collected but are not viewable online. Checking to learn if we can obtain that detail data. Executive: Lobbyist compensation, Allocation of Lobbying Effort. Addresses, phone, fax, Occupation, Title, Residential Addresses, Dates of Engagement, Executive Agency Decision Lobbied, Elected Executive Officials, departments or agencies lobbied, Expenditures (Name of Official, Employee or Staff Member; Type of expenditure; Description of each Meeting, Event or Occasion , Date, Amount) and Financial Transactions (Name of official, employee or staff member, Description of the purpose and nature of the transaction, Date, Other details) are collected but not viewable online. Reporting frequency: Legislature: January 1 - 31, due February 15th February 1 - 28, due March 15th March 1 - 31, due April 15th April 1 - 30, due May 15th May 1 - August 31, due September 15th Sept. 1 December 31, due January 15th Executive: Annually for the period July 1 - June 30. How Reported: Legislature: Electronically via Web portal or paper reports, filers discretion. Legislative Ethics Commission staff manually enter paper reports into the database. Executive: The Initial Registration Statement, Updates (which include lobbying expenditure information), Termination forms may be completed electronically via the Commissions website, but must be printed, signed in ink, and mailed or delivered to the Executive Branch Ethics Commission.

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Online Public Disclosure: Legislature: List of Clients (Employers) of Lobbyists (Legislative Agents), List of Lobbyists (Legislative Agents), Lobbyist (Legislative Agent Compensation), Client (Employer) Expenses (by Employer Name or by Industry) in .pdf, word, or text formats. Details of Expenses and Expenditures collected in actual reports are not viewable online. Information is available for the current and immediate previous calendar year only at: http://klec.ky.gov/reports/employersagents.htm Executive: An alphabetical listing of all executive agency lobbyists, and employers or real parties in interest of executive agency lobbyists, is available online There are two lists available; one listed alphabetically by executive agency lobbyist, http://www.state.ky.us/agencies/ethics/lobbying/listingbylastname.pdf; and the other listed alphabetically by employer or real party in interest. http://www.state.ky.us/agencies/ethics/lobbying/listingbyemployer.pdf In its biennial report, the Executive Branch Ethics Commission includes statistical information regarding the Updated Registration Statements filed by executive agency lobbyists, employers, and real parties in interest during the preceding year. Format of Online Data: Legislature: Pdf, word, or text. Executive: No online data other than Lobbyist name, Employer name, Real Party in Interest name. Format of Data for Document Requests: Legislative: LEC contacted but has not responded to requests for information about availability of electronic data. May have to print off screenshots of reports filed. Executive: Paper copies of filed reports.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Legislative: Printing Executive: $500 plus $25 postage. Impediments to Data Collection: Legislature: Electronic database may not be available for legislative branch lobbying data in which case screen shots would need to be printed and manually entered. Screenshots of multiple summary reports would have to be printed to get all information available for each Lobbyist/Client and will be very difficult to integrate. Executive: State does not have staff to handle request and expects document request would take several months to fulfill. Legislative and Executive lobbying data will have to be integrated for lobbyists lobbying both Legislature and Executive. Different filing schedules for the two branches.

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Time to acquire/upload data: Legislature: State has not responded to 2 requests for electronic data availability. If screenshots must be printed and integrated, 4 months to locate, print, bundle, input, audit and upload data 3 times/year. Executive: 3 months for document request, 2 months to bundle, input, audit and upload data. Annual cost estimate: Legislature: Paper: $30,000 which includes $25,000 in personnel costs and $5000 in printing costs. Executive: $5,525 which includes $525 for reports; $5,000 personnel costs to bundle, input, audit and upload data. Total costs would be $35,500 each year.

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LOUISIANA
Lobbying Laws
Governing Laws: TITLE 49. STATE ADMINISTRATION PART IV. EXECUTIVE BRANCH LOBBYING http://www.ethics.state.la.us/Pub/Laws/Title49ExecutiveLobbying.pdf TITLE 24. LEGISLATURE AND LAWS PART III. LOBBYING http://www.ethics.state.la.us/Pub/Laws/Title24LegislativeLobbying.pdf Regulations: RULES FOR THE BOARD OF ETHICS http://www.ethics.state.la.us/Pub/Other/rules.pdf Branches/Activities Covered: Legislature: any direct act or communication with a legislator, the purpose of which is to aid in influencing the passage or defeat of any legislation; preparation or research specifically intended, at the time it is performed, for use in or in support of any ongoing or planned direct act or communication with a legislator, the purpose of which is to aid in influencing the passage or defeat of any legislation; and conducting or attending a meeting the purpose of which is to discuss direct communication with a legislator to aid in influencing the passage or defeat of any legislation. Executive: any direct act or communication with an executive branch official (an elected official, an appointed official, or an employee) in an executive branch agency (the state, and any state office, department, board, commission, institution, or any quasi-public entity created in the executive branch of state government by or pursuant to law or by or pursuant to the constitution, specifically including but not limited to the Public Service Commission), the purpose of which is to aid in influencing an executive branch action (any act by an executive branch agency or official to effectuate the public powers, functions, and duties of an executive branch official or an executive branch agency, including but not limited to any act in the nature of policymaking, rulemaking, adjudication, licensing, regulation, or enforcement; relative to contracts, requests for proposals, development of specifications, or engaging another person to perform a governmental function; to formulate, adopt, amend, or repeal any rule; to adopt, repeal, increase, or decrease any fee imposed on the affairs, actions, or persons regulated by an executive branch agency; or to affect the passage, defeat, or implementation of any legislation).. Registration Required: Lobbyists Required Reports: Lobbyists file registration statements and monthly expenditure reports. Lobbyist Compensation Reported: In broad ranges on the Lobbyists registration. Ranges include: $24,999 or less; $25,000-$49,999; $50,000-$99,999; $100,000-$249,999; and $250,000 or more.

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Other Lobbying Data Reported: Lobbyist name, address, each subject matter lobbied during each reporting period; total of all expenditures made during each reporting period; the aggregate total of expenditures attributable to an individual legislator or public servant other than a legislator, in the legislative branch of state government during each reporting period, including the name of the legislator or other public servant. The aggregate total of expenditures attributable to the spouse or minor child of a legislator during each reporting period (the name of the spouse or minor child shall not be included). The aggregate total of such expenditures (aggregate total of expenditures attributable to the spouse of (insert name of legislator) was (insert aggregate total of expenditures). The aggregate total of expenditures attributable to the minor child or children of (insert name of legislator) was (insert aggregate total of expenditures)." The aggregate total of expenditures for all reporting periods in the same calendar year. The aggregate total of all expenditures attributable to an individual legislator or public servant (other than a legislator) in the legislative branch of state government for all reporting periods during the same calendar year, including the name of the legislator or other public servant. The aggregate total of all expenditures attributable to the spouse or minor child of a legislator for all reporting periods during the same calendar year. The name of the spouse or minor child shall not be included. The aggregate total of such expenditures shall be reported as follows: "The aggregate total of expenditures attributable to the spouse of (insert name of legislator) for all reporting periods during the year was (insert aggregate total of expenditures).The aggregate total of expenditures attributable to the minor child or children of (insert name of legislator) for all reporting periods during the year was (insert aggregate total of expenditures)." Each report shall include a statement of the expenditure for each reception, social gathering, or other function to which the entire legislature, either house, any standing committee, select committee, statutory committee, committee created by resolution of either house, subcommittee of any committee, recognized caucus, or any delegation thereof, is invited which amount is attributable to such invitation. Any report of such amount shall include the name of the group or groups invited and the date and location of the reception, social gathering, or other function. Any expenditure for any reception or social gathering sponsored in whole or in part by a lobbyist, individually or on behalf of a principal he represents, held in conjunction with a meeting of a national or regional organization of legislators or legislative staff shall be reported by including the name of the national or regional organization, the date and location of the reception or social gathering, a general description of persons associated with the organization invited to attend the reception or social gathering, and the amount of the expenditure. The provisions include without any limitation any expenditure for any of the following: a single activity, occasion, reception, meal, or meeting held during the same period and in the same general locale as a meeting of such an organization and to which some persons associated with the organization are invited; a single activity, occasion, reception, meal or meeting that is part of the scheduled activities of a meeting of such an organization and that is open to persons attending the meeting. Any expenditure for any meal or refreshment consumed by a legislator in connection with any out-of-state event shall be reported in accordance with the provisions of this Section. Any expenditures by a lobbyist's principal or employer made in the presence of the lobbyist shall be reported by the lobbyist as provided in this part.

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Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Board of Ethics http://www.ethics.state.la.us/default.aspx What agency collects lobbying reports? Board of Ethics What agency maintains lobbying records? Board of Ethics What agency enforces lobbying laws/regulations? Board of Ethics Are audits conducted on reports? Not as a matter of course. Audits may be conducted during fact finding procedures. Lobbying Manuals/Instructions: Overview of registration and reporting requirements http://www.ethics.state.la.us/pub/Lobbying/Legislative%20Lobbying%20Summary%202011.pdf Information Sheets http://www.ethics.state.la.us/EthicsPublicationsInfoSheets.aspx Lobbyist Opinions http://204.196.0.53/Rulingsa.nsf/34f11fd546943b1b862567f900759946?OpenView Reporting forms: All registration and reporting is accomplished through a Web portal. No blank reporting forms are available for viewing.

Data Availability
Client Data Collected: Name, address, range of compensation paid to Lobbyist. Lobbyist Data Collected: Name, Address, employer name and address; compensation ranges by Client; subject matter lobbied; total of all expenditures made; aggregate total of expenditures attributable to an individual legislator or public servant, other than a legislator, in the legislative branch of state government including the name of the legislator or other public servant; aggregate total of expenditures attributable to the spouse or minor child of a legislator; aggregate total of expenditures for all reporting periods in the same calendar year; aggregate total of all expenditures attributable to an individual legislator or public servant (other than a legislator) in the legislative branch of state government for all reporting periods during the same calendar year, including the name of the legislator or other public servant; aggregate total of all expenditures attributable to the spouse or minor child of a legislator for all reporting periods during the same calendar year; expenditure amounts for each reception, social gathering, or other function to which the entire legislature, either house, any standing committee, select committee, statutory committee, committee created by resolution of either house, subcommittee of any committee, recognized caucus, or any delegation thereof, is invited, including the name of the group or groups invited and the date and location of the reception, social gathering, or 74

other function; expenditure amounts for any reception or social gathering sponsored in whole or in part by a lobbyist, individually or on behalf of a principal he represents, held in conjunction with a meeting of a national or regional organization of legislators or legislative staff including the name of the national or regional organization, the date and location of the reception or social gathering, a general description of persons associated with the organization invited to attend the reception or social gathering, and the amount of the expenditure, including any expenditure for any of the following: a single activity, occasion, reception, meal, or meeting held during the same period and in the same general locale as a meeting of such an organization and to which some persons associated with the organization are invited; a single activity, occasion, reception, meal or meeting that is part of the scheduled activities of a meeting of such an organization and that is open to persons attending the meeting, and expenditures for any meal or refreshment consumed by a legislator in connection with any out-of-state event. (Any expenditures by a lobbyist's principal or employer made in the presence of the lobbyist is reported by the lobbyist.) Data Missing: Specific compensation amounts; Client expenditures; specific lobbying activities of Clients who are represented by Lobbyists which also represent other clients; allocation of lobbying efforts to specific actions. Overhead costs. Indirect/grassroots lobbying activities and costs. Reporting frequency: Monthly. How Reported: Lobbyists register and file all reports electronically online through the Louisiana Ethics Administration Program, the state agency which staffs the Board of Ethics. Online Public Disclosure: Yes, Lobbyist registration data, including their Clients, broad compensation ranges, general lobbying activities, and regulated expenditures may be viewed online at: http://www.ethics.state.la.us/LobbyistData/ List of Registered Lobbyists and the Companies They Represent http://www.ethics.state.la.us/LobbyistLists.aspx Format of Online Data: Screenshots of data compiled from database. List of Lobbyists and their Clients can also be exported in .pdf format. Format of Data for Document Requests: Electronic data provided by Board of Ethics in Excel format.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: $50/data request. Impediments to Data Collection: Lobbyist compensation only provided in broad ranges. Lobbyists representing more than one client do not distinguish which expenditures reported are related to a specific Client. In order to determine overall expenditures of an individual Client with multiple lobbyists, individual lobbyist reports must be added together by the viewer. While

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actions lobbied are reported, Lobbyists with multiple clients do not identify which client(s) is represented by the lobbying activity. Time to acquire/upload data: One week for state to respond to data request and one week to prepare and upload data to database for each set of data acquired. Annual cost estimate: in personnel costs. $4,200, assuming four data requests/year: $200 for data and $4,000

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MAINE
Lobbying Laws
Governing Laws: Lobbyist Disclosure Law (3 M.R.S.A. 311 - 326) Regulations: Rules of the Maine Commission on Governmental Ethics and Election Practices http://www.maine.gov/ethics/pdf/laws/commission_rules.pdf Branches/Activities Covered: Legislature: drafting, introduction, consideration, modification, enactment or defeat of any bill, resolution, amendment, report, nomination or other matter by the Legislature, by either the House of Representatives or the Senate, any committee or an official in the Legislative Branch acting in his official capacity, or action of the Governor in approving or vetoing any legislative document presented to the Governor for his approval. In addition to communicating with legislative branch officials and committees, executive branch officials and constitutional officers, lobbying includes the time spent to prepare and submit to the Governor, an official in the legislative branch, an official in the executive branch, a constitutional officer, or a legislative committee oral and written proposals for, or testimony or analyses concerning, a legislative action. Lobbying does not include time spent by any person providing information to or participating in a subcommittee, a stakeholder group, task force, or other work group regarding a legislative action by the appointment or at the request of the Governor, a Legislator or legislative committee, a constitutional officer, a state agency commissioner or the chair of a state board or commission. Registration Required: Lobbyists and Lobbyist Associates (individuals who: are a partner, associate or employee of a lobbyist or is a co-employee of a regular employee of another person if that regular employee is registered as a lobbyist; Lobby on behalf of the employer named on the lobbyist registration; and Expend more than 8 hours in any calendar month lobbying on behalf of an employer of the lobbyist) must file a joint registration with the Ethics Commission for each Client once they have reached 8 hours of lobbying in a calendar month. The registration form and fee must be filed no later than 15 business days after the lobbyist has lobbied more than 8 hours in a calendar month. Required Reports: Registered lobbyists must file monthly reports. Those who did not engage in any lobbying must submit a Short Form for that month. If a registered lobbyist spent some time lobbying, but still less than eight hours in a month, the lobbyist must still file a Long Form Monthly Report. Lobbyist Compensation Reported: Yes

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Other Lobbying Data Reported: Contact information for the lobbyist and each lobbyist associate, the name of any person authorized to sign reports on the lobbyists behalf, contact information for the lobbyists client, the date when lobbying commenced or is expected to commence, the date on which the time spent lobbying reached 8 hours in a calendar month, a description of the nature of the clients business activity or mission or a description of the industry, trade or profession that the client represents, the areas of the clients legislative interests, and the legislative committees that the lobbyist will lobby on behalf of the client, actual legislation and officials lobbied, monthly expenditures (including indirect lobbying expenditures over $15,000), legislation lobbied.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Maine Commission on Governmental Ethics and Election Practices http://www.maine.gov/ethics/index.htm What agency collects lobbying reports? Maine Commission on Governmental Ethics and Election Practices What agency maintains lobbying records? Maine Commission on Governmental Ethics and Election Practices What agency enforces lobbying laws/regulations? Maine Commission on Governmental Ethics and Election Practices Are audits conducted on reports? Not routinely. The Commission may undertake an investigation to determine the accuracy and completeness of a registration or monthly report. To initiate an investigation, the Commission must find that there is cause to believe that a violation may have occurred based on a properly filed complaint or other information received by the Commission. Lobbying Manuals/Instructions: Lobbyist Guidebook http://www.maine.gov/ethics/pdf/publications/2010_lobbyist_guidebook.pdf Reporting forms: Lobbyist Registration http://www.maine.gov/ethics/pdf/lobbyist_registration.pdf

Data Availability
Client Data Collected: Client name, principal contact, address, phone, fax, email (the data on expenditures the lobbyist reports (see below) is actually expenditures by the Client.)

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Lobbyist Data Collected: Lobbyist name, mailing address, phone, fax, email, lobbyist associates, Total compensation for lobbying, total expenditures made to or on behalf of officials and family members (Legislative Branch Officials, Executive Branch Officials, Constitutional Officers) (Date, Name of Official or Family Member, Amount), Expenditures of $25 or more for officials and family members (Date, Name of Official or Family Member, Amount, Purpose); List of events and attendees if $250 or more was spent on officials (Officials Attending, Family Members Attending, Date, Description of Event, Cost of Event). Legislative Actions that were the subject of lobbying, Bills, Issues, Legislative Branch Officials Executive Branch Officials Legislative Branch When expenditures on indirect lobbying (communication with members of the general public to solicit them to communicate directly with any covered official for the purpose of influencing legislative action, when that solicitation is made by: A broadcast, cable or satellite transmission; a communication delivered by print media; or a letter or written communication delivered by mail or by comparable delivery service. E-mail is not considered a letter) exceed $15,000 during a calendar month, the lobbyist must report those expenditures made or incurred by the lobbyist, lobbyist associates, and clients in the monthly report. The lobbyist must report the expenditure using expenditure categories as determined by the Commission, indicate the legislative actions that are the subject ofthe indirect lobbying and provide a general description of the intended recipients. Data Missing: Allocation of specific lobbying efforts under $1,000/month (most efforts fall beneath this threshold), indirect lobbying less than $15,000/month. Client doesnt report separately so it is not clear which expenditures reported belong to the client or the lobbyist. Reporting frequency: Monthly. The cummulative Annual report is generated automatically from the monthly reports. Lobbying year is December 1 through November 30. How Reported: All lobbyists must file through the Commissions electronic filing system. The Commission may make an exception to the electronic filing requirement if a lobbyist submits a written request that states that the lobbyist lacks access to the technology or does not have the technological ability to file reports electronically. The request for exception must be submitted at least 10 days prior to the deadline for the first report that the lobbyist is required to file for the lobbying year. Online Public Disclosure: Maine Campaign Finance Public Access Site http://www.mainecampaignfinance.com/public/home.asp Lobbyist and client profiles, registration information, and monthly and annual disclosure reports are available to the public on the website. The public can also search for which lobbyists and clients lobbied on specific legislative actions. Format of Online Data: .pdf images of reports generated from database.

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Format of Data for Document Requests: Can download an updated version of the MaineExport.mdb database from the following link. The website generates a new file at that link every morning. https://secure.mainecampaignfinance.com/ExportZip/MaineExport.zip

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free Impediments to Data Collection: None Time to acquire/upload data: Two weeks for each data download assume 4 downloads each year. Annual cost estimate: $8,000 in personnel costs

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MARYLAND
Lobbying Laws
Governing Laws: Public Ethics Law may be found in the Maryland Code Annotated, State Government Article, Title 15 Subtitle 7. http://www.michie.com/maryland/lpext.dll?f=templates&fn=main-h.htm&2.0 Regulations: Code of Maryland Regulations (COMAR) Title 19A, which can be accessed online at: www.dsd.state.md.us/comar/ Branches/Activities Covered: Legislature: action or non-action as to introduction, sponsorship, consideration, debate, amendment, passage, defeat, approval, veto, or any other official action or non-action on any bill, resolution, amendment, nomination, appointment, report, or any other matter pending which is within the official jurisdiction of the General Assembly. Executive: any act taken by an official or employee of the executive branch for which the executive branch is responsible Registration Required: Lobbyists -- (Legislative Action Lobbyists, Executive Action Lobbyists, Grassroots Lobbyists (any person, group, organization or business entity that expends $2,000, including salaries, contractual employees, postage, telecommunication services, electronic services, advertising, printing and delivery services, in a reporting period for the express purpose of soliciting others to communicate with any official to influence any legislative or executive action) Clients (Employers) -- Those who spend at least $2,500 to provide compensation to one or more persons are required to register as lobbyists, unless they meet the two registration and reporting exemption requirements listed below and claim this exemption on their lobbyists registration form. The Client (Employer) must not engage in other acts (other than employing a lobbyist) that require registration and the employed lobbyist must report all of the lobbying related expenses of the Client (Employer) on the lobbying activity report, including compensation, other expenditures made by the lobbyist and any other support expenses, compensation or other lobbying related expenditures made by the Client (Lobbyists Employer). The exemption must be claimed on the lobbying registration form signed by the Lobbyist and the Client (Employer). If the lobbyist neglects to file any of the required reports, the employer will be responsible for doing so. Required Reports: A Lobbyist or Client (Employer) required to register is required to report expenses relating to lobbying activity. A lobbying activity report is required for any part of a six-

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month reporting period during which the Lobbyist is registered. The reporting periods are November 1 to April 30 (form is due by May 31) and May 1 to October 31 (form is due by November 30). If a person is registered as a lobbyist and has not participated in any lobbying activities during the lobbying reporting period, that person must still file a lobbying activity report and check no activity in the introductory paragraph of the form Lobbyist Compensation Reported: Yes Other Lobbying Data Reported: Total executive or legislative lobbying expenditures in these categories: Office expenses of the regulated lobbyist; Professional and technical research; Publications that expressly encourage communication with one or more officials or employees; Witnesses, including the name of each and the fees and expenses paid to each; Meals, beverages for officials, employees, or members of their immediate families, food, beverages, and incidental expenses for officials of the Legislative Branch for meals and receptions to which all members of any legislative unit were invited; Food, beverages for members of the General Assembly at the respective times and geographic locations of meetings of legislative organizations; Food, lodging, scheduled entertainment for officials and employees at meetings at which the officials and employees were scheduled speakers; Tickets, free admission extended to legislators to attend charitable, cultural, and political events sponsored or conducted by the reporting entity and to each of which all members of a legislative unit were invited if this is at least the second occurrence and the cumulative value of the tickets is more than $100; Other gifts worth more than $200 to or for officials, employees, or members of their immediate families; other expenses; Date, location, and total expense of the regulated lobbyist for each meal, reception, event, or meeting reported; Name of each official, employee, or member of the immediate family of an official or employee who has benefited from one or more gifts with a cumulative value of $75 during the reporting period regardless of whether the gift was from more than one entity or was given in connection with lobbying activity. Certain receptions need not be allocated to individual recipients by name. Regulated lobbyists who are not individuals must also report the name and permanent address of each entity that provided at least 5% of the regulated lobbyist's total receipts during the preceding 12 months.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? State Ethics Commission http://ethics.gov.state.md.us/ What agency collects lobbying reports? State Ethics Commission What agency maintains lobbying records? State Ethics Commission What agency enforces lobbying laws/regulations? Civil proceedings are within the jurisdiction of the Ethics Commission and criminal proceedings fall within the aegis of the State Prosecutor. The Commission may execute consent agreements for a confidential cure of the violation. Orders issued by the SEC are judicially enforceable and a lobbyist may seek judicial 82

review as provided in State Government Article Title 10 Subtitle 2. An order issued by the SEC is stayed automatically until the time for seeking judicial review has expired, and, if a timely appeal is filed, the order is stayed until final disposition by the court. Civil proceedings are within the jurisdiction of the SEC while the State Prosecutor handles criminal proceedings. Are audits conducted on reports? No Lobbying Manuals/Instructions: Online Training available at http://ethics.gov.state.md.us/training%20intro.htm Special Informational Memorandums Lobbyists http://ethics.gov.state.md.us/Special%20Info%20Memos%20-%20Lobbyists.htm FINANCIAL DISCLOSURE QUESTIONS FOR STATE EMPLOYEES & PUBLIC OFFICIALS http://ethics.gov.state.md.us/questionethics.htm Lobbying Activity Report Instructions Reporting forms: Form #3 (PAPER FORM) Lobbying Registration Form & Instructions Form #4 Lobbying Activity Report & Instructions Form 13A Employer Expenditure on Meals and/or Beverages Form 13B Lobbyists Personal Expenditure Meals and/or Beverages Form 13C Single Employer - Disclosure of Gifts of $75 or More Form 13D - Lobbyist's Personal Expenditure - Gift of $75 or More Form 13E Meal or Reception Legislative Unit Invitation Form 13F Regulated Lobbyist Meal or Reception Legislative Unit - 14-Day Report Form 12 Contributors Form & Instructions Form 21 Individual Lobbyist Business Transactions with Official Form 22 Individual Regulated Lobbyist Campaign Contribution Report Regulated Lobbyists Serving on a State Board or Commission - Disclosure of Interest Forms: Form 23A Representation Before A State Agency Form 23B Business Relationship With State Government Form 23C Interest in Business Entity Regulated by or Doing Business With The Board or Commission Form 24 Statement of Recusal

Data Availability
Client Data Collected: Client (Compensating Entity) name, address, and nature of business of the entity, if any, accompanied by a statement indicating whether, because of the filing and reporting of the regulated lobbyist, the compensating entity is exempt from reporting, If Client (Compensating Entity) is required to report, the same data is collected as referenced for Lobbyist data.

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Lobbyist Data Collected: Lobbyist's name and permanent address; name and permanent address of each other regulated lobbyist that will be lobbying on the regulated lobbyist's behalf; the name, address, and nature of business of the entity, if any, that has engaged the regulated lobbyist for lobbying purposes, accompanied by a statement indicating whether, because of the filing and reporting of the regulated lobbyist, the compensating entity is exempt from reporting, and the identification, by formal designation if known, of the matters on which the regulated lobbyist expects to perform acts, or to engage another regulated lobbyist; total expenditures in connection with influencing executive action or legislative action in each of the following categories: total individual regulated lobbyist compensation, office expenses, professional and technical research and assistance; publications that expressly encourage communication with one or more officials or employees; witnesses, including the name of each and the fees and expenses paid to each; meals and beverages for officials, employees, or members of the immediate families of officials or employees; food, beverages, and incidental expenses for officials of the Legislative Branch for meals and receptions to which all members of any legislative unit were invited; food and beverages for members of the General Assembly at the respective times and geographic locations of meetings of legislative organizations, to which meetings those members' attendance at State expense has been approved by the appropriate presiding officer; food, lodging, and scheduled entertainment for officials and employees at meetings at which the officials and employees were scheduled speakers or scheduled panel participants; tickets and free admission extended to members of the General Assembly as a courtesy or ceremony to the office to attend charitable, cultural, and political events sponsored or conducted by the reporting entity and to each of which all members of a legislative unit were invited; other gifts to or for officials, employees, or members of the immediate families of officials or employees; and other expenses; and the date, location, and total expense of the regulated lobbyist for each meal, reception, event, or meeting; the name of each official, employee, or member of the immediate family of an official or employee who has benefited from one or more gifts with a cumulative value of $75 during the reporting period from the regulated lobbyist, regardless of whether the gift is attributable to more than one entity or was given in connection with lobbying activity. Lobbying Firms must also report: the name and permanent address of each entity that provided at least 5% of the regulated lobbyist's total receipts during the preceding 12 months, including funds spent on the regulated lobbyist's behalf, at its direction, or in its name. Data Missing: Specific actions lobbied, allocation of lobbying effort. Reporting frequency: Quarterly reports of income and expenditures; annual report of lobbying activities. The lobbying year for Maryland extends from November 1 of one year through October 31 of the succeeding year and reports are filed at the end of each 6 months. How Reported: Registrations and reports can be either written (paper filings) or electronic filing, at the filers discretion. Lobbyist and Client (Lobbying Employers) registration and activity data is filed electronically at https://lobby.ethics.state.md.us/

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Online Public Disclosure: Lobbyist and Client registrations, activity reports and event reports that are available to the public can be viewed at: lobby.ethics.state.md.us/index.cfm by clicking on the Published Reports button. A listing of Lobbyists and their Clients is available at http://ethics.gov.state.md.us/listing.htm Summary Report Totals are available at http://ethics.gov.state.md.us/LOBBYING%20REPORT%20TOTALS.htm Format of Online Data: .pdfs of registrations and reports generated from database. Format of Data for Document Requests: Online screenshots of reports.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Electronic data not available. Cost will be staff time to scrape data from online views of reports and upload to database. Impediments to Data Collection: Electronic data is not available so data scraping program must be built to obtain data from online screenshots of reports. The six-month reporting periods span calendar years, so the data available will not be precisely comparable to the calendar year data reported in other states Time to acquire/upload data: Significant time will be required to pull up each report for viewing and scrapping. In 2008, there were 743 lobbyists filing separate reports for their 1255 clients. Because each Lobbyist files separate reports for each Client and many Clients have multiple Lobbyists, there may be around 8,000 separate reports (often containing many pages of sub-reports) to be viewed and scrapped. Assume it will take 1 month of staff time to obtain data for each 6-month reporting period. Annual cost estimate: $8,000 in Personnel costs.

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MASSACHUSETTS
Lobbying Laws
Governing Laws: An Act to Improve the Laws Relating to Campaign Finance, Ethics and Lobbying is the legislation that governs Massachusetts lobbying regulations. http://www.malegislature.gov/Laws/GeneralLaws/PartI/TitleI/Chapter3 Regulations: Lobbying in Massachusetts is governed by M.G.L. Chapter 3, Sections 39 50. http://www.malegislature.gov/Laws/GeneralLaws/PartI/TitleI/Chapter3 Branches/Activities Covered: Executive and legislative branch lobbying are regulated and communications with local town or city officials can be considered legislative or executive branch lobbying if the communications are intended to influence legislation or a decision at the state level. The states definition of what constitutes lobbying was recently expanded, and is as follows: Legislative Lobbying: any act to promote, oppose, influence or attempt to influence legislation, or to promote, oppose or influence the governors approval or veto thereof including, without limitation, any action to influence the introduction, sponsorship, consideration, action or nonaction with respect to any legislation; provided further, that legislative lobbying shall include acts to influence or attempt to influence the decision of any officer or employee of a city or town when those acts are intended to carry out a common purpose with legislative lobbying at the state level; and provided further, that legislative lobbying shall include strategizing, planning and research if performed in connection with or for use in an actual communication with a government employee; provided, however, that legislative lobbying shall not include providing information in writing in response to a written request from an officer or employee of the legislative branch for technical advice or factual information regarding any legislation for the purposes of this chapter. Executive Lobbying: any act to promote, oppose, influence, or attempt to influence the decision of any officer or employee of the executive branch or an authority, including but not limited to, statewide constitutional officers and employees thereof, where such decision concerns legislation or the adoption, defeat or postponement of a standard, rate, rule or regulation promulgated pursuant to any general or special law, or any act to communicate directly with a covered executive official to influence a decision concerning policy or procurement; provided further, that executive lobbying shall include acts to influence or attempt to influence the decision of any officer or employee of a city or town when those acts are intended to carry out a

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common purpose with executive lobbying at the state level; and provided further, that executive lobbying shall include strategizing, planning, and research if performed in connection with, or for use in, an actual communication with a government employee; and provided, further, that executive lobbying shall not include providing information in writing in response to a written request from an officer or employee of the executive branch or an authority for technical advice or factual information regarding a standard, rate, rule or regulation, policy or procurement for the purposes of this chapter. Both of these definitions come from Massachusetts statute: http://www.malegislature.gov/Laws/GeneralLaws/PartI/TitleI/Chapter3/Section39 Registration Required: Any person who meets all of the following four criteria must register as either a lobbyist, entities and sub-agent, and client: engage in executive or legislative lobbying (defined by the statute) receive compensation for lobbying in excess of $2,500 in a six-month reporting period as regular salary or payments for lobbying spend 25 hours or more engaged in lobbying activities in the 6 month reporting period personally make at least one direct lobbying communication with a government employee.

Massachusetts defines a lobbyist as: an Individual Lobbyist represents only one client, and is not part of any group, company, or organization whose main business is providing lobbyist-type services. An individual lobbyist may be a salaried employee of the client he or she represents; for example, an employee hired by a union or trade group to provide lobbying services as part of their job. http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/02_RegLob.pdf Entities and sub-agents are defined as: one or more lobbyists providing lobbyist-type services to a client. An entity is responsible for the registration of any sub-agent it employs. An individual whose main business is providing lobbyist-type services is required to register as an entity. This lobbyist registers as the entitys sub-agent. http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/03_RegEnt.pdf A client is the individual or organization that employs an entity or an individual lobbyist. http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/04_RegClient.pdf There are certain, limited exceptions to these rules. If an individual lobbyist or sub-agent performs less than 25 hours of lobbying activity and received less than $2,500 in lobbying fees 87

in a particular reporting period, will be labeled as a simply incidental status. Incidental lobbyists do not have to disclose meals, travel, and entertainment expenses or their campaign contribution, but still are required to register with the state. http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/07FilingAsIncidental.pdf Required Reports: 2 semi-annual disclosure reports are required of lobbyists, entities, subagents, and clients, which are filed on July 15 and January 15, respectively. Lobbyist Compensation Reported: Yes, both entities and clients must disclose the salaries paid to their individual lobbyists and sub-agents. Other Lobbying Data Reported: Individual lobbyists have to report the following information: operating expenses; activities and bill numbers; meals, travel, entertainment; additional expenses; and campaign contributions. For detailed descriptions of the lobbyist forms, see: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/03InstructionsLOB.pdf Entities and sub-agents disclose the following information: operating expenses and sub-agent salaries; activities and bill numbers; meals, travel, entertainment; additional expenses; and campaign contributions. For more detailed descriptions, see: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/04InstructionsENT.pdf Clients must disclose: operating expenses and lobbyist salaries; meals, travel, entertainment; additional expenses. For more detailed descriptions of the disclosure forms for clients: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/05InstructionsCLIENT.pdf The respective statues that explicate these disclosure requirements are Sections 43, 44, and 47 of Title I, Chapter 3 of Massachusetts General Laws. These can be viewed here: http://www.malegislature.gov/Laws/GeneralLaws/PartI/TitleI/Chapter3/Section43 http://www.malegislature.gov/Laws/GeneralLaws/PartI/TitleI/Chapter3/Section44 http://www.malegislature.gov/Laws/GeneralLaws/PartI/TitleI/Chapter3/Section47

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Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of the Commonwealth of Massachusetts, Public Records Division. What agency collects lobbying reports? Secretary of the Commonwealth of Massachusetts, Public Records Division. What agency maintains lobbying records? Secretary of the Commonwealth of Massachusetts, Public Records Division. What agency enforces lobbying laws/regulations? Secretary of the Commonwealth of Massachusetts and the Massachusetts Attorney General. The Secretary of the Commonwealth is responsible for assessing and collecting noncompliance fees. See: http://www.malegislature.gov/Laws/GeneralLaws/PartI/TitleI/Chapter3/Section44 The attorney generals office becomes involved if criminal prosecution becomes necessary. Are audits conducted on reports? No audits are performed. Lobbying Manuals/Instructions: Every lobbyist must, according to statute, view the following educational materials as part of their registration process: http://www.sec.state.ma.us/LobbyistWeb/Common/CertificationInformation.aspx Additional manuals can be found here: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp.aspx Reporting forms: The states reporting system is completely electronic, so there are no individual report forms available. Step-by-step manuals detailing the information contained in each of the electronic forms are available, however. For lobbyists: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/02_RegLob.pdf For Entities and Sub-agents: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/03_RegEnt.pdf

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For Clients: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/04_RegClient.pdf

Data Availability
Client Data Collected: Yes, client data is collected. Their data is filed in five major categories-operating expenses; activities and bill numbers; meals, travel, entertainment; additional expenses; and campaign contributions--which are further detailed below. Operating expenses have to itemized by type of expense, amount, and name of payee. Type of expense includes the following categories: advertising expenses; photocopies, scans; computer equipment, supplies; professional dues; fax charges; Internet fees; legal fees; postage, shipping, delivery; office supplies, equipment; printing expenses; public relations expenses; rent; office and support staff salaries; professional subscriptions; taxes, telephone, cell phone, handheld; utilities (heat, water, electricity); other operating expenses. Meals, travel, and entertainment. Each expense must be itemized according to these required fields: date of event, type of event, location of event, amount, name addresses of all participants attending event. Additional expenses. These include any other type of spending not captured by the operating expenses or meals, travel, and entertainment forms, e.g., tickets, lodging expenses, gifts, or charitable donations. Each itemized entry has the following required fields: date of expense, purpose of expense, name of recipient or payee, and amount. For more detailed instructions, see: http://www.sec.state.ma.us/LobbyistWeb/ReadMe/OnlineHelp/2010/05InstructionsCLIENT.pdf Lobbyist Data Collected: Yes, lobbyist data is collected. Their reports are broken down into the following categories: operating expenses; activities and bill numbers; meals, travel, and entertainment; additional expenses; and campaign contributions. Operating expenses have to itemized by type of expense, amount, and name of payee. Type of expense includes the following categories: advertising expenses; photocopies, scans; computer equipment, supplies; professional dues; fax charges; Internet fees; legal fees; postage, shipping, delivery; office supplies, equipment; printing expenses; public relations expenses; rent; office and support staff salaries; professional subscriptions; taxes, telephone, cell phone, handheld; utilities (heat, water, electricity); other operating expenses.

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Activities and bill number. Each entry has to fill in the required fields: activity, legislation, or bill number promoted or opposed; agents position (either support or oppose); name of public official with whom agent has a direct business association; client(s) represented within this reporting period; compensation received. Meals, travel, and entertainment. Each itemized entry has the following required fields: date of event, type of event; amount; names and addresses of all participants attending event. Additional expenses. This form is designed to capture any expense information that is not disclosed on either the previous forms. Examples include: tickets, lodging expenses, gifts, or charitable donations. Each itemized entry mush fill out these required fields: date of expense, purpose of expense, name of recipient or payee, amount. Lobbyists also must disclose any campaign contributions. Each itemized contribution has the required fields: date of contribution, name of recipient (candidate, party, or political action committee), name of office sought by recipient, amount of contribution. Lobbyist information is also captured by the Entities and sub-agent reporting forms, which require disclosure in the following categories: operating expenses and sub-agent salaries; activities and bill numbers; meals, travel, entertainment; additional expenses; campaign contributions. The form is identical to the lobbyist firm except for the sub agent salaries category, which discloses the each sub-agents, i.e. lobbyists salary. The following categories are required: name of lobbyist and amount. Data Missing: For Employer/Client/Principal: Bill(s) Lobbied, Admin Action(s) Lobbied, General Interest(s) lobbied, Name of Lobbyist Firm, Type of Lobbyist (employee, firm, contractor), Expenses Reimbursed, Other Payments. Compensation (in house employees), and Payments in connection with ratemaking proceedings. For Lobbyist(s)/Firms: Reimbursements of Expenses, Lobbying hours. Reporting frequency: 2 semi-annual disclosure reports are required by all filers, due July 15 and January 15, respectively. How Reported: All of Massachusetts data from 2005-present is available electronically from the Public Records Divisions website: http://www.sec.state.ma.us/LobbyistPublicSearch/Default.aspx Pre-2005 data can be found here: http://db.state.ma.us/SEC/PRE/search.asp

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Online Public Disclosure: All reported data is viewable and searchable online, but only one report at a time. Format of Online Data: All the states data is available via their website: http://www.sec.state.ma.us/LobbyistPublicSearch/Default.aspx. Data can be sorted in a variety of ways. A user must first select from the following options: lobbyist, entity, or client; type of industry; campaign contribution; and activity or bill number. Users can then search by year, individual or company name, lobbyist type, industry type, activity or bill number. Each search then displays all relevant entries, from which users can select individual reports. Format of Data for Document Requests: A single electronic database is available from the state.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: State will not provide a cost estimate until a records review is submitted in writing. Impediments to Data Collection: If not available in this format, a data scraping program would need to be designed and staff time to obtain the data and prepare it for upload. Time to acquire/upload data: Electronic: 1 month for state to respond to data request; 2 weeks of staff time to prepare data for upload each 6 months. Data Scraper: 2 weeks to build program (1 time costs); 3 weeks of staff time to scrape the data and prepare it for upload each 6 months. Annual cost estimate: Electronic: $12,000, which includes $11,000 in personnel costs and an estimated $1,000 in data acquisition costs. Manual: $18,500 which includes $15,000 in personnel costs and $3,500 in programming costs

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MICHIGAN
Lobbying Laws
Governing Laws: Michigan Lobby Registration Act, Public Act 472 of 1978 http://www.legislature.mi.gov/%28S%28gvu0yg55erd5qpay11pfx4jz%29%29/mileg.aspx?page= getobject&objectname=mcl-Act-472-of-1978&queryid=18393748

Regulations: http://www.state.mi.us/orr/emi/admincode.asp?AdminCode=Single&Admin_Num=00400411&Dp t=ST&RngHigh

Branches/Activities Covered: Legislature: introduction, sponsorship, support, opposition, consideration, debate, vote, passage, defeat, approval, veto, delay, or an official action by an official in the executive branch or an official in the legislative branch on a bill, resolution, amendment, nomination, appointment, report, or any matter pending or proposed in a legislative committee or either house of the legislature. Legislative action does not include the representation of a person who has been subpoenaed to appear before the legislature or an agency of the legislature. Executive: proposal, drafting, development, consideration, amendment, enactment, or defeat of a nonministerial action or rule by an executive agency or an official in the executive branch of state government. Administrative action does not include a quasi-judicial determination as authorized by law. Registration Required: Lobbyists (called Lobbyist Agents) and Clients (called Lobbyists) and Lobbying Firms (usually registered as Lobbying Agents). Clients/Principals are deemed to be the Lobbyists and those employed on their behalf are deemed to be Lobbyist Agents. Required Reports: All registered Lobbyists (Lobbyist Agents) and Clients (Lobbyists) and Lobbying Firms (Lobbyist Agents) file financial reports. Lobbyist Compensation Reported: Yes -- included in Other on Summary Financial Reports filed by Clients (Lobbyists) and not itemized. Other Lobbying Data Reported: Lobbying expenditures by category, listed for the reporting period and cumulative totals. Required categories are as follows: food and beverage for public 93

officials that exceeds $25/day or $150/year (include recipient name and amount. for large receptions, list total amount, rather than prorated per attendee); advertising and mass mailings; other expenditures of more than $5. Date, nature, amount and parties to financial transactions worth at least $775 in goods or services between the reporting person or someone acting on his or her behalf and a public official or a member his or her immediate family, or a business with which the individual is associated. Date, nature, amount and parties to travel, lodging expenses of more than $500 paid for or reimbursed to a public in connection with public business by that public official in excess of $500.00. (Several exceptions apply to financial transaction disclosure requirements.) Brief description of lobbying activities for the period.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State http://www.michigan.gov/sos/0,1607,7-127-1633_11945---,00.html What agency collects lobbying reports? Secretary of State What agency maintains lobbying records? Secretary of State What agency enforces lobbying laws/regulations? Secretary of State Are audits conducted on reports? Reports are reviewed for accuracy and completeness but no audits are routinely carried out. Lobbying Manuals/Instructions: E-Lobby Filing http://www.michigan.gov/documents/Lobby_E-Filing_Program_141098_7.pdf No manual exists but instructions are included with each form listed below. Reporting forms: Lobby Registration http://www.michigan.gov/documents/LRNEW05_141382_7.pdf Financial Report Summary http://www.michigan.gov/documents/LR-3-05_118554_7.pdf Itemized Expenditures http://www.michigan.gov/documents/LR-4-04_118555_7.pdf

Data Availability
Client Data Collected: Name, type (Lobbyist or Lobbyist Agent), Financial Report Year, Financial Report Type (Summer or Winter), Expending Lobby ID#, $Amount of Food/Beverage

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Expense, $Amount of Mail/Advertising Expense, $Amount of Other Expense and Itemized Expenditures over reporting limits as follows: Type of Expenditure, Public Official Title/Office/Group Description, Public Official Last Name/Parties Involved, First name, middle name, Lobbying Activity or Purpose, Date of Expenditure, $Amount of Expenditure, $Amount YTD of Expenditure. Lobbyist Data Collected: Name, type (Lobbyist or Lobbyist Agent), Financial Report Year, Financial Report Type (Summer or Winter), Expending Lobby ID#, $Amount of Food/Beverage Expense, $Amount of Mail/Advertising Expense, $Amount of Other Expense and Itemized Expenditures over reporting limits as follows: Type of Expenditure, Public Official Title/Office/Group Description, Public Official Last Name/Parties Involved, First name, middle name, Lobbying Activity or Purpose, Date of Expenditure, $Amount of Expenditure, $Amount YTD of Expenditure. Data Missing: Itemization of Other expenses which would break down lobbyist fees and overhead expenses; specific bills or actions lobbied, allocation of lobbying activities. Reporting frequency: Twice per year by all registered Lobbyists (Lobbyist Agents), Clients (Lobbyists) and Lobbying Firms (Lobbyist Agents). How Reported: Registration by paper; Expense reports can be filed on paper by online electronic filing at http://www.michigan.gov/sos/0,1607,7-127-1633_11945-122563--,00.html All filers have the choice to file expense reports in the manner they choose. Data from paper reports is entered into the database. Online Public Disclosure: Searches and downloads of Summary and Itemized Expense reports are available. http://miboecfr.nicusa.com/cgi-bin/cfr/lobby_stats.cgi and http://miboecfr.nicusa.com/cgi-bin/cfr/lobby_exp_anls.cgi A list of all registered Lobbyists (Lobbyist Agents), Lobbying Firms (Lobbyist Agents) and Clients (Lobbyists) is available at http://miboecfr.nicusa.com/cgi-bin/cfr/lobby_srch_res.cgi While one may click on any of the registrants viewed from this listing and see a screen listing reporting entity, employees, summary financial information, this information is not exportable in .csv format (unlike the expense report data). Format of Online Data: Searchable database which can be viewed as individual screenshots or downloaded as a .csv file (in the case of expense report data, only). Format of Data for Document Requests: Most data can be downloaded from the website in

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.csv format. Public inspection and copying of registrations, statements, and reports during regular business hours in a department office designated by the Secretary of State. A list of inspection and copying procedures and a schedule of charges for copying is posted in the office where filings are available for public inspection.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free downloads from SOS Website. Impediments to Data Collection: None. Time to acquire/upload data: 1 month total for both sets of reports filed each year. $4,000 in personnel costs.

Annual cost estimate:

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MINNESOTA
Lobbying Laws
Governing Laws: The following laws govern lobbying in Minnesota: 10A.27, 10A.03, 10A.04, 10A.05, 10A.06, and 10A.71. Regulations: Chapter 4511 of Minnesota Administrative Rules regulates lobbyist registration and reporting. https://www.revisor.mn.gov/rules/?id=4511 Branches/Activities Covered: Legislative and Judicial Branches Lobbying is defined as, attempts to influence: Legislative action, Administrative action (the amendment, adoption, or repeal of administrative rule), or the official actions of a metropolitan governmental unit. Stat. 10A.01, subd. 21, as well as, any activity that directly supports this communication is considered a part of lobbying. Minn. Rules 4511.0100, subp. 3. Legislative action is defined as: Attempts to influence action by either house of the legislature, committee, or subcommittee in support of or in opposition to a bill, resolution, amendment, nomination, appointment, report or gubernatorial approval or veto of a bill. Administrative action is defined as: Attempts to influence the adoption, amendment, or repeal of a rule; attempts to influence the application of adopted rules in the cases of rate setting, power line and power plant siting, and granting certificates of need under Minn. Stat. Ch. 216B.243. Metropolitan Governmental Unit Action is defined as: Attempts to influence the official actions of a Metropolitan governmental unit as defined in Minn. Stat. 10A.01, subd. 24. A list of all metropolitan governmental units is included as Appendix A. Source: http://www.cfboard.state.mn.us/law/LOBCLE.pdf Registration Required: All individuals who meet the following requirements must register with the Campaign Finance and Public Disclosure Board within 5 days, Minn. Stat. 10A.01, subd. 21. A lobbyist is an individual: a. engaged for pay or other consideration of more than$ 3,000 from all sources in any year attempting to influence legislative action, administrative action, or the official action of a metropolitan governmental unit by communicating with or urging others to communicate with public officials or local officials in metropolitan governmental units.

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b. who is appointed as a local official or an employee in a political subdivision who spends more than 50 hours in any month attempting to influence legislative action, administrative action or the official action of a metropolitan governmental unit by communicating with or urging others to communicate with public officials or local officials in metropolitan governmental units; (other than lobbying the political subdivision employing the official or employee). Included in the 50 hour time threshold: time spent monitoring any of the forenamed official actions and related research, analysis and compilation and dissemination of information relating to legislative, administrative or metropolitan governmental unit policies in Minnesota. c. who spends more than $250 of the individual's own funds in any year (not including travel expenses and membership dues) attempting to influence legislative action, administrative action, or the official action of a metropolitan governmental unit by communicating with or urging others to communicate with public officials or local officials in metropolitan governmental units. Source: http://www.cfboard.state.mn.us/handbook/hb_lobbyist.pdf A lobbyist principal is an individual or association that 1) spends more than $500 in the aggregate in any calendar year to engage a lobbyist, compensate a lobbyist, or authorize the expenditure of by a lobbyist; or 2) is not included in 1) and spends a total of at least $50,000 in any calendar year on efforts to influence legislative action, administraction action, or the offical action of metropolitan governmental untis, as defined in Minn. Stat. 10A.01, subd. 24 A lobbyist must register with the Campaign Finance and Public Disclosure Board every time they lobbying on behalf of a different entity or association. When an association employs more than one lobbyists, however, the reporting can become more complicated, as lobbyists working for the same entity can designate other lobbyists working for the same association to report their disbursements. To keep track of this the state has created the following definitions: authorizing lobbyist, reporting lobbyist, self-reporting lobbyist, and a designated lobbyist. A designated lobbyist is defined as: the lobbyist assigned by the entity to be responsible for reporting lobbying disbursements made by the entity during the period covered on the lobbyist disbursement report. An entity that employs lobbyists must have one and only one designated lobbyist at any given time. An authorizing lobbyist is lobbyist who authorizes another lobbyist (known as the reporting lobbyist) to report the authorizing lobbyists disbursements for an entity that employs both the authorizing and reporting lobbyists. If a lobbyist reports only their own disbursements directly to the Board, they file as a selfreporting lobbyist. Source: http://www.cfboard.state.mn.us/handbook/hb_lobbyist.pdf All lobbyists, regardless of type, disclose the following information on their lobbyist forms:

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a. the lobbyists name, address and principal place of business; b. the name and address of individual or association represented; c. the name and address of the association's officers and directors; d. the name and address of lobbyist's principal (if different from individual or association represented); e. a description of subjects on which the lobbyist intends to lobby,and the kinds of lobbying intended (legislative, administration, metropolitan governmental unit action); and f. the lobbyists signature and date of signature. The states definition of a lobbyist does not include: a. an individual who communicates with a public or local official to obtain information or request an interpretation of a law, rule or agency action; b. a public official; c. an employee of the state, including an employee of any of the public higher education systems; d. an elected local official; e. an individual while engaged in selling goods or services to be paid for with public funds; or f. an individual participating on an administrative rulemaking advisory committee established by statute. g. other exemptions from lobbyist registration are listed in Minn. Stat. 10A.01, subd. 21. Source: http://www.cfboard.state.mn.us/law/LOBCLE.pdf Additionally, lobbyist principals also must register and file disclosure reports with the Campaign Finance and Public Disclosure Board. Principals are defined as: an individual or association that: (1) spends more than $500 in the aggregate in any calendar year t engage a lobbyist, compensate a lobbyist, or authorize the expenditure of my by a lobbyist; or, (2) is not included in (1) and spends a total of at least $50,00 in any calendar year on efforts to influence legislative action, administration action, or the official action of metropolitan governmental units, as defined in Minn. Stat. 10A.01, subd. 24. Required Reports: Minnesota has several required lobbying reports: Self-Reporting Lobbyist Designated Self-Reporting Lobbyist Reporting Lobbyist Designated Reporting Lobbyist Lobbyist Personal Disbursement Report Forms of all of these reports are available here: http://www.cfboard.state.mn.us/all_forms.htm Lobbyist Compensation Reported: Yes, it is reported, but the disclosed information is incomplete. A lobbyist only has to disclose when an association pays them $500 dollars or more per year. Lobbyist principals only have to disclose the total amount they spent on overall

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expenditures, lobbyist salaries, and direct payments to contracted lobbyists as a single lumpsum figure, rounded to the nearest $20,000 increment. Other Lobbying Data Reported: Each type of disbursement form contains the following expenditure categories: 1. Preparation and distribution of lobbying materials, 2. media advertising, 3. telephone and communications, 4. postage and distribution, 5. fees, allowances, public relations campaigns, 6. entertainment, 7. food and beverages, 8. travel and lodging, 9. salary and administrative costs of support staff, and 10. all other lobbying disbursements. Additionally, all spending in the above categories has to be separated by whether it was spent to influence legislative action, influence administrative action including rule making or amending of rules, or influence metropolitan governmental unit action. Lobbyist registration information includes: a. the lobbyists name,address and principal place of business; b. the name and address of individual or association represented; c. the name and address of the association's officers and directors; d. the name and address of lobbyist's principal (if different from individual or association represented); e. a description of subjects on which the lobbyist intends to lobby, and the kinds of lobbying intended (legislative, administration, metropolitan governmental unit action); and f. the lobbyists signature and date of signature.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? The Campaign Finance and Public Disclosure Board. http://www.cfboard.state.mn.us/all_pubs.htm What agency collects lobbying reports? The Campaign Finance and Public Disclosure Board. Reports can be found here: http://www.cfboard.state.mn.us/all_pubs.htm What agency maintains lobbying records? The Campaign Finance and Public Disclosure Board. What agency enforces lobbying laws/regulations? Minnesota Campaign Finance Board and Public Disclosure Board. Are audits conducted on reports? No. Lobbying Manuals/Instructions: Minnesotas lobbyist handbook can be accessed here: http://www.cfboard.state.mn.us/handbook/hb_lobbyist.pdf Reporting forms: There are several different forms that various lobbying entities disclose their activities on:

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Lobbyist Disbursement Report for Self-reporting Lobbyists http://www.cfboard.state.mn.us/forms/Lobbyist/January/Lob_Jan_Self_Rpt.pdf Lobbyist Disbursement Report for Designated Self-reporting Lobbyists http://www.cfboard.state.mn.us/forms/Lobbyist/January/Lob_Jan_Desisn_Self_Rpt.pdf Lobbyist Disbursement Report for Reporting Lobbyists http://www.cfboard.state.mn.us/forms/Lobbyist/January/Lob_Jan_Auth.pdf Lobbyist Disbursement Report for Designated Reporting Lobbyists http://www.cfboard.state.mn.us/forms/Lobbyist/January/Lob_Jan_Design_Auth.pdf The four types of disbursement reports are identical in form, but the content varies depending on the type of lobbyist filing each report. The definitions of the various types of lobbyists can be found above, in registration section. Report of Lobbyist Disbursements from Personal Funds must be filed if lobbyist makes disbursements that are not attributable to their employer or principal, they file a Report of Lobbyist Disbursements from Personal Funds twice a year, on January 15 and June 15. http://www.cfboard.state.mn.us/forms/Lobbyist/Lob_Report_of_Lobbyist%27s_Disbursements_f rom_Personal_Funds.pdf All of the lobbyist disbursement reports are filled biannually, with reports due January 15 and June 15. Annual Report of Lobbyist Principal reports are filed by entities who employ lobbyists and are filed on March 15 every year. The principal only has to disclose one dollar amount, rounded to the nearest $20,000 increment, representing how much they spent on: 1) all expenditures for advertising, mailing, research, analysis, compilation and dissemination of information, and public relations campaigns; 2) all salaries and administrative expenses for paid lobbyists and support staff; and 3) all direct payments to lobbyists under contract. http://www.cfboard.state.mn.us/forms/Lobbyist/Lob_Annual_Report_Of_Lobbyist_Principal.pdf Contribution Solicitor Report must be filed by a lobbyist or other individual, political fund, or political party unit that directly solicits and causes others to make contributions to candidates for state elective offices or to a caucus of the members of a political party in a house of the legislature, that in aggregate are more than $5,000. It is due 15 days before a primary election, 10 day before a general election, and January 31of each year. http://www.cfboard.state.mn.us/forms/Contribution_Solicitor_Report.pdf Each principal that had a lobbyist registered with the Board during the previous calendar year must file an annual report on March 15th.

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Data Availability
Client Data Collected: Lobbyists only have to disclose and file their disbursements for each client and association separately, unless they pay for the disbursements out of their own pocket. Lobbyist principals have to disclose: the principals name, name and title of individual authorized to file Lobbyist Principal report, Principals address, telephone number, website, and the lobbyist designated to report principal expenditures. Lobbyist Data Collected: All Lobbyist disbursements include the same three disclosure schedules: a) total lobbying disbursements; b) honoraria, gift, loan, item, or benefit; 3) other sources of funds. Schedule A contains the following expenditure categories: 1. Preparation and distribution of lobbying materials, 2. media advertising, 3. telephone and communications, 4. postage and distribution, 5. fees, allowances, public relations campaigns, 6. entertainment, 7. food and beverages, 8. travel and lodging, 9. salary and administrative costs of support staff, and 10. all other lobbying disbursements. Only totals have to be disclosed, the amounts are not itemized by bill or rule number. But the spending in the above categories has to be separated by whether it was spent to influence legislative action, influence administrative action including rule making or amending of rules, or influence metropolitan governmental unit action. On schedule B, lobbyists must report the full name and office of each public and local offical to whom the lobbyist, lobbyists employer, lobbyists principal, or employee of the lobbyist gave or paid an honorarium, gift, loan, item, or benefit equal to $5 or more, in a single transaction, whether or not it was given for a lobbying purpose. The following fields are required for each gift: date, name and office held by recipient, item given, cost of item, and exemption number. On Schedule C, lobbyists have to disclose other sources of funds, which are defined as the source of funds, from other than the entity for which the lobbyist is registered, that paid more than $500 in this calendar year to the individual, association, political subdivision, or public higher education system you represent to be used for lobbying purposes. The following fields are required for schedule C: name and address of source, employer/occupation/principal place of business (if source is an individual), and kind of lobbying (either legislative, administrative, or metropolitan governmental unit). Lobbyists may also file a Contribution Solicitor Report if they directly solicits and causes others to make contributions to candidates for state elective offices or to a caucus of the members of a political part in a house of the legislature, that in aggregate are more than $5,000.

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The following fields are required: name of contributor; amount of contribution if in-kind contribution,list item fair market value; name and registration number of recipient. http://www.cfboard.state.mn.us/forms/Contribution_Solicitor_Report.pdf Each lobbyist registration information includes: a. the lobbyists name,address and principal place of business; b. the name and address of individual or association represented; c. the name and address of the association's officers and directors; d. the name and address of lobbyist's principal (if different from individual or association represented); e. a description of subjects on which the lobbyist intends to lobby, and the kinds of lobbying intended (legislative, administration, metropolitan governmental unit action); and f. the lobbyists signature and date of signature. Data Missing: The following data is not collected: For Employer/Client/Principal data: Bill(s) Lobbied, Admin Action(s) Lobbied, General Interest(s) lobbied, Payments to lobbyists (amount disclosed is not separated by individual lobbyist), Lobbying fees paid (same caveat as payments to lobbyists), expenses reimbursed, Person/Group benefitted, Payments to Lobbying Coalitions, Payments in connection with ratemaking proceedings. For Lobbyists and Lobbyist Firms: Fees and Retainers; Reimbursements of Expenses; Description of Other Payments; Lobbying hours; Persons benefiting; Payee; Date, Purpose, Bill or Persons Lobbied, and client expenses for overhead as well as other expenses; Bill/Action/Subject matter; Lobbying hrs; Subcontractor Lobbyist(s). Reporting frequency: All disbursement reports are filled biannually, on June 15 and January 15. Lobbyist Principal Expenditure reports are filed annually on March 15th. Contribution Solicitor Reports are due 15 days prior to a primary election, 10 days prior to a general election, and January 31st every year. How Reported: Filers can choose to file their reports on paper or electronically. Online Public Disclosure: All reports, regardless of how they were filed, are available online. The states electronic database is can be accessed here: http://www.cfbreport.state.mn.us/rptViewer/viewRptsLob.php Format of Online Data: Lobbyist disbursements can be searched for and viewed individually as PDF files. The search function is accessible here: http://www.cfbreport.state.mn.us/rptViewer/viewRptsLob.php Principal expenditure data, however, is only available as a summary table, which can be accessed here: http://www.cfboard.state.mn.us/lobby/LobPrincipalExpend_Current.html The principal expenditure data does not have to be the exact figure actually spent by principals, but can be rounded to the nearest $20,000.

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Format of Data for Document Requests: The state can provide, at no cost, an Access database of its lobbying data upon request. This would include the reports filed on paper, since the state inputs those into the database. Paper filed reports are available for public viewing and photocopying within 48 hours after receipt in the Board office.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free Impediments to Data Collection: None identified Time to acquire/upload data 2 weeks for each collection 5 per year. This includes 2 weeks for the state to respond to the data request and 2 weeks of staff time to prepare data for upload. Annual cost estimate: $10,000 in personnel costs.

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MISSISSIPPI
Lobbying Laws
Governing Laws: Lobbying Law Reform Act of 1994 http://michie.lexisnexis.com/mississippi_print/lpExt.dll/mscode/874/a2e?fn=documentframe.htm&f=templates&2.0 Regulations: Lobbying Appeals: Rules of the Mississippi Ethics Commission: http://www.ethics.state.ms.us/ethics/ethics.nsf/webpage/A_procedural_rules/$FILE/MEC%20Ru les.pdf?OpenElement Branches/Activities Covered: Legislature: Influencing or attempting to influence legislative action through oral or written communication or solicitation of others to influence legislative action, or paying or promising to pay anything of value directly or indirectly related to legislative action. Executive Branch: Influencing or attempting to influence executive action through oral or written communication or solicitation of others to influence executive action, or paying or promising to pay anything of value directly or indirectly related to executive action. Registration Required: Lobbyists and lobbyists Clients who lobby on an ongoing basis register by January 1 of each year. Persons who have not lobbied the previous year, or who begin lobbying later in the year, must register within five calendar days of being employed as a lobbyist, or, in the case of the lobbyists Client, within five (5) calendar days of employing a lobbyist. Lobbyists who represent more than one client must fill out separate registration forms for each client, and each form must bear all appropriate signatures. Lobbyist receives a separate Certificate and number for each Client represented. Required Reports: Lobbyists file 3 reports/year: the Legislative Mid-Session report (Form E) February 25th, the Legislative End-of-Session report (Form E) 10 days after sine die, and the Annual Report of Expenditures (Form A) January 30th. Separate reports are filed for each Client a lobbyist represents. The lobbyists Client files one annual report (Form C) for all lobbyists employed to represent that client each year. Lobbyist Compensation Reported: Yes (by both Lobbyist and Client on their annual reports).

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Other Lobbying Data Reported: Lobbying expenditures in these categories: whether reimbursement or other expenses at request of lobbyist; payments for those portions of office rent, utilities, supplies, support personnel attributable to lobbying activities; payments incurred soliciting or urging others to communicate with officials when at the request of the client; purchase, payment, distribution, loan, forgiveness of a loan or payment of a loan by a third party, advance, deposit, transfer of funds, a promise to make a payment, or a gift of money or anything of value for any purpose. Name of giver and recipient, description, value, nature of item, place and date of transfer for each thing of value given to a public official. For events to which all legislators are invited, report of the total cost of the reception and the number in attendance.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Elections Division of the Secretary of States Office http://www.sos.ms.gov/elections_candidates_lobbyists_center3.aspx What agency collects lobbying reports? Elections Division of the Secretary of States Office What agency maintains lobbying records? Elections Division of the Secretary of States Office What agency enforces lobbying laws/regulations? Secretary of States Office, along with the district attorneys, the Attorney General, and the Mississippi Ethics Commission Commissionhttp://www.ethics.state.ms.us/ethics/ethics.nsf (which holds hearings on appeals by a Lobbyist or a Lobbyists Client of civil penalties assessed by the Secretary of States Office). Are audits conducted on reports? No Lobbying Manuals/Instructions: Lobbying Guide: http://www.sos.ms.gov/links/elections/candidates_lobbyist_center/tab3/LobbyingHandbook.pdf STAR Web Portal Users Guide: http://www.sos.ms.gov/elec/HelpDocument/MS-ElectionsUserGuide.pdf Reporting forms: Beginning in 2011, all reporting is electronic. Previous paper forms are shown in the Lobbying Handbook http://www.sos.ms.gov/links/elections/candidates_lobbyist_center/tab3/LobbyingHandbook.pdf

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Data Availability
Client Data Collected: Client Full Name, Physical Address (permanent business physical address), Mailing Address, Phone, Fax, Email/Other Phone, Federal Tax ID Number, Contact Person and Title, whether Client an agency of the state, Full Name and Title of Principals (Corporation the full names of all officers and all directors; Firm the full names of the officers/partners; Partnership the full names of the partners; Association the full names of the association members, or alternatively, the names of all association officers), Nature of Clients Business (business, occupation, or employment). Administrative Operation Costs (Listing of all Lobbyists Registered by the client during the calendar year, their certificate number, and total compensation for each lobbyist, Total Compensation paid to each lobbyist for the year, Total Compensation for all lobbyists, Reimbursement(s) to Lobbyists, Overhead (total expenditures for office rent, utilities, supplies, and compensation of support personnel), Direct Payments made at the request or suggestion of lobbyists, Lobbying Expenses (total expenditures by lobbyist/client/employees for purpose of lobbying), Expenditures Urging others to communicate (advertising, direct mail, etc.), and Total. Lobbyist Data Collected: Lobbyists Full Name (This must be an individual. If the lobbyist is a firm, the person assigned to the task of lobbying must be shown as the lobbyist), Occupation, Physical and Mailing Address, Phone, Fax and Email/Other Phone, beginning and ending date of lobbying employment with Client, level of Lobbying (State, County, Municipality), Issues areas lobbied, Lobbyist/Client Certificate Number, Cycle Year, Type of Report (reporting period), Itemized Expenditures (Recipients name - government official receiving or being promised the thing of value or other payment; Recipients Office Title; Date; Place - The name of the place or location the lobbying activity occurred; Description - A description of the gift, payment or thing of value; Providers Name - The person promising or providing the thing of value or other payment to the government official), Value or Cost. Lobbyist Compensation (itemized by Fee, Salary, Retainer, Reimbursement (expenses reimbursed by the lobbyists client), and Other (items such as automobiles, cellular telephones, apartments, tickets to sporting events, etc), and Total Compensation. Administrative Operation Costs (Overhead (office rent, utilities, supplies, and compensation of support personnel), .Support (total payments by another person (other than the lobbyists client) in support of the lobbyists lobbying activities, including those made at the suggestion or request of the lobbyist), Expenditures for employees who communicate with public officials, Expenditures for Urging others to communicate with government officials, and Total. Payments to Public Officials/Employees (itemized by Food and beverages, travel and lodging; and Entertainment, gifts, anything of value, loans, honorariums). Itemized Expenses and Receptions: Recipient, Recipients Office Title, Date, Place, Provider (this is usually the lobbyist), Item Description, Value or Cost. Itemized Lobbying Receptions date of the reception place/location of the reception, total number of public officials in attendance, total number of attendees, and total cost. Data Missing: Specific actions being lobbied, allocation of lobbying effort.

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Reporting frequency: Clients file Annual Report (Form C) by January 30 of the next year. Lobbyists file Mid-Session Reports, End-of-Session Reports and Annual Reports. How Reported: Since Jan 2011, electronically via online Web portal. Prior to that, paper reports filed. Online Public Disclosure: Searchable database displaying lists and screenshots of individual report data for 2011 and later at: http://www.sos.state.ms.us/elections/Lobbying/Lobbyist_Dir_Search.asp Format of Online Data: Several search functions are available which deliver screenshots: Semi-searchable listing of Lobbyists and Principals for viewing of paper-filed reports for 2010 and earlier at: http://www.sos.state.ms.us/elections/Lobbying/Lobbyist_Dir_Search.asp Lobbyist Compensation Report. This report lists compensation for each lobbyist for the year selected in the Search Criteria. For reports ordered by Lobbyist, Client and Cert ID, the data listed is Lobbyist Name with the Client Name indented just below, Cert ID, Total Compensation, Salary, Fee, Retainer, Reimbursement and Other. A separate entry is made in the report for each lobbyist / client relationship detailing the compensation between the two. Ordering by lobbyist name will group the same lobbyists together whereas ordering by Client will group all of the clients together. Ordering by Lobbyist (Overall Compensation) will give just the lobbyist's names and the total compensation from all clients for the year selected. Client Search: Search on a particular client by entering any part of the name that is known. If the name field is left blank, then a list of all of the clients for the selected year is returned. The search for all clients can take some time. If the Details is unchecked, then a simple list is presented from which you may click on the client link to see more information. You may also do historical searches by changing the Year drop down box. Lobbyist Search. Search on a particular lobbyist by entering any part of the name that is known. A search is performed on first and/or last names. If each of the name fields are left blank, then a list of all of the lobbyists for the selected year is returned. If you uncheck the Details check box, then a simple list is presented to you from which you may click on the lobbyist link to see more information on the person. You may also do historical searches by changing the Year drop down box. Format of Data for Document Requests: For 2010 reports, must individually locate, view and print .pdf images of paper-filed reports. Copies of electronic data may be available for future years.

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Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free to view and print .pdf images from state website. Impediments to Data Collection: Electronic data not available until 2011. 1050 lobbyists and clients file over 5,000 reports/year averaging 3 pages each.which must be individually accessed and printed from screenshots. Some reports are handwritten and hard to read. Time to acquire/upload data: 3 months of staff time to locate, view, print, bundle, manually input, audit and upload data, 3 times/year. Annual cost estimate: $25,000 which includes $20,000 in personnel costs and $5,000 in printing costs.

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MISSOURI
Lobbying Laws
Governing Laws: Section 105.470 through 105.478, RSMo http://www.moga.mo.gov/statutes/C105.htm Regulations: Rules of Office of Administration Division 50Missouri Ethics Commission Chapter 3Late Fee: http://www.sos.mo.gov/adrules/csr/current/1csr/1c50-3.pdf Branches/Activities Covered: Legislative: attempting to influence any action or matter pending before Missouri House or Senate (legislature). A legislative lobbyist includes attorneys at laws engaged in activities described above. Executive: attempting to influence the executive branch of state governments actions taken by an elected/appointed official or government employee. Judicial: acting or attempting to act to influence purchasing decision(s) of the judicial branch of government. Elected local government officials: attempting to influence any local government officials (county, city, town, or village with annual operating budget over $10 million dollars) acts.

Registration Required: Lobbyists http://www.mec.mo.gov/WebDocs/PDF/Fillable/Lobbyist/LOB_Reg.PDF Required Reports: Lobbyists file monthly reports disclosing any monies spent on elected officials, their family, and/or staff and disclosing business relationships with public officials Lobbyist Compensation Reported: No Other Lobbying Data Reported: Lobbyists report monies spent by the Client (Lobbyist Principal) and/or the lobbyist. They report monies spent on behalf of public officials, their staff and employees, spouses, and dependent children. Reported lobbyist monies spent include: Printing & Publication, Media & other Advertising, Travel, Entertainment, Honorariums/Gifts, Meals/Food/Beverages, Other. List of Principals and Legislative Action: General description of the proposed legislation or action by the executive branch or judicial branch the lobbyist or lobbyist principal either supported or opposed.

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Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Missouri Ethics Commission http://www.mec.mo.gov/EthicsWeb/Default.aspx What agency collects lobbying reports? Missouri Ethics Commission What agency maintains lobbying records? Missouri Ethics Commission What agency enforces lobbying laws/regulations? Missouri Ethics Commission Are audits conducted on reports? Missouri Ethics Commission has authority to review and audit lobbyist registration and reporting for timeliness, accuracy, and completeness of content. Lobbying Manuals/Instructions: Frequently Asked Questions: http://www.mec.mo.gov/WebDocs/PDF/Lobbyist/LobbyistFAQs.pdf 2011 Guide to Ethics Law http://www.mec.mo.gov/WebDocs/PDF/Misc/EthicsGuide2011.pdf Missouri Lobbying Laws Fact Sheet http://www.mec.mo.gov/WebDocs/PDF/Lobbyist/LobbyistFactSheet.pdf Lobbyist Basics Tutorial - Part I Lobbyist Requirements and Enforcement Tutorial - Part II Lobbyist Resources and Online Searches Tutorial - Part III Lobbyist Online Filing Tutorial - Part I Reporting forms: Lobbyist Registration http://www.mec.mo.gov/WebDocs/PDF/Fillable/Lobbyist/LOB_Reg.PDF List of Principals and Legislative Action: http://www.mec.mo.gov/WebDocs/PDF/Fillable/Lobbyist/LOB_PrincList.PDF

Data Availability
Client Data Collected: Lobbyist name, public officials name, date, cost, type of activity/expense (e.g. meals/food/beverage, travel, gift). Lobbyist Data Collected: Lobbyist name, public officials name, date, cost, type of expense (e.g. meals/food/beverage, travel, gift), principal name. Data Missing: Lobbyist compensation and reimbursements, Specific legislation and other actions lobbied, allocations of lobbying effort. Reporting frequency: Every lobbyist is required to file a Monthly Lobbyist Expenditure Report electronically which is due by the 10th of the following month.

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Lobbyist or Client (Lobbyist Principal) files a List of Principals and Legislative Action: General description of the proposed legislation or action by the executive branch or judicial branch the lobbyist or lobbyist principal either supported or opposed; this report is filed annually by March 15th and May 30th by each Lobbyist or Client (Lobbyist Principal). How Reported: Initial registrations, renewals, and Lists of Principals and Legislative Action are mailed to Ethics Commission. Updates to Registrations and Monthly Lobbyist Expenditure reports are filed electronically at: http://www.mec.mo.gov/LobElectronicWeb/ Online Public Disclosure: Lobbyist Search: To view lobbyists monthly reports http://www.mec.mo.gov/EthicsWeb/Lobbying/Lob_SearchLob.aspx Principal Search: To view the lobbyists who are registered to represent the specific principal. http://www.mec.mo.gov/EthicsWeb/Lobbying/Lob_SearchPrin.aspx Lobbyist Expense Public Official: To view expenses reported by lobbyists, as paid on behalf of a public official, their spouse, or dependent children. http://www.mec.mo.gov/EthicsWeb/Lobbying/Lobbying.aspx Format of Online Data: Screenshots of lists and reports generated from database. Lobbyist and Principal Lists also available in .pdf or Excel format. Lists of Principals and Legislative Action are not viewable online. Format of Data for Document Requests: Can view and print individual screenshots of Lobbyist monthly expense reports. Electronic data can be ordered and will be available as an.xls or .csv download from the Ethics web server.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free Impediments to Data Collection: None Time to acquire/upload data: 2-3 weeks for document request to be processed and 1 month of staff time to prepare data for upload for each data request. Assume data will be collected every 6 mos. Annual cost estimate: $8,000 (Personnel costs)

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MONTANA
Lobbying Laws
Governing Laws: Title 5, chapter 7, MCA http://data.opi.mt.gov/bills/mca_toc/5_7.htm Montanas Lobbyist Disclosure Initiative (I-85) was approved by the Montana electorate in the November 1980 election. I-85 was immediately the subject of two legal challenges resulting in two 1981 Montana Supreme Court decisions. See Montana Automobile Association v. Greely, 193 Mont. 378, 632 P. 2d 300 (1981); and State Bar of Montana v. Krivec, 193 Mont. 477, 632 P. 2d 707 (1981). After this initial flurry of litigation and rulemaking proceedings to implement I85, there have been only infrequent but failed attempts to enact legislation or adopt rules clarifying provisions of the Montana Lobbyist Disclosure Act and rules Regulations: Lobbyist Disclosure Rules http://www.mtrules.org/gateway/ChapterHome.asp?Chapter=44.12 Branches/Activities Covered: Legislature: promoting or opposing the introduction or enactment of legislation before the legislature or legislators; and promoting or opposing official action of the legislature. Executive: if a legislator is involved in taking administrative action (for example, a legislator who serves on an executive branch advisory council that is created to draft or develop policy, practice, or rules) Registration Required: Lobbyists who receive payments of $2,450 or more in a calendar year (excluding reimbursements for personal living expenses) to promote, oppose, or modify the introduction or enactment of legislation on behalf of one or more Clients (Principals). Clients (Principals) must register by filing an Authorization statement before Lobbyist registration will be complete. Required Reports: Clients (Principals) report. Once a principal registers for the purpose of lobbying, an initial (January) report must be filed. The principal must also file the post-session report, and a report covering the post-session to year-end time frame. These reports are required whether or not there was reportable activity. Monthly reports for February and March are only required if the principals lobbying payments exceed $5000 for the month. Lobbyist Compensation Reported: Yes (aggregate for all Lobbyists employed by each Client/Principal) Other Lobbying Data Reported: If payments are made to influence any official action by a public official or made to influence other action and legislative action, report must include all payments in which the principal spent $5,000 or more. Itemized and identifying payee and beneficiary, in these categories: printing; advertising; postage; travel; salaries and fees,

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including allowances, rewards, and contingency fees; entertainment, including food and refreshment; telephone; other office expenses. Lobbying expenses worth at least $25 to benefit a public official. Lobbying expenses worth at least $100 to benefit more than one public official, but if an entire chamber is invited, list the beneficiary as such. Contributions, membership fees of $250 or more per year paid to the principal for lobbying purpose, with full address of each payer and issue area for which payment was earmarked. Official actions on which the principal or the principal's agents exerted a major effort, statement of principal's position.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Commissioner on Political Practices What agency collects lobbying reports? Commissioner on Political Practices What agency maintains lobbying records? Commissioner on Political Practices What agency enforces lobbying laws/regulations? Commissioner on Political Practices Are audits conducted on reports? Not on a regular basis. Lobbying Manuals/Instructions: Frequenty Asked Questions http://politicalpractices.mt.gov/content/4lobbying/LobbyingFrequantlyAskedQuestions In addition, reporting forms contain specific instructions. Reporting forms: Lobbyist License Application http://politicalpractices.mt.gov/content/4lobbying/2011SessionL1Form Principal Authorization Statement http://politicalpractices.mt.gov/content/4lobbying/2011SessionL2Form Lobbying Financial Report http://politicalpractices.mt.gov/content/4lobbying/2011SessionL5Form

Data Availability
Client Data Collected: Full name, complete business mailing address, full name of Clients (Principals) representative (signing authority) and the e-mail address and phone number of the Clients (Principals) representative; subjects of legislation lobbied. The Client (Principal) Dockets must be kept current, so if authorized specific subjects of legislation are added, a Client (Principal) is required to file additions by filing an amended Form L-2. Total reportable payments to lobbyists, total payments to individuals other than registered lobbyists employed or retained to lobby or to support or assist lobbying activity, travel expenses, advertising (include production costs), entertainment (include all food and refreshments), communication (include phone, fax, e-mail), postage, printing, other office expenses, and total payments for lobbying

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activity. Issues lobbied: (LC #, SB #, HB #, Position (support, oppose or modify); earmarked contributions and membership fees of $250 or more paid to the principal to promote, oppose, or modify the introduction or enactment of legislation (full name of each payer, the issue, and the amount, aggregated from January 1 to December 31); Itemized payments of $25 or more paid to the benefit of any public official, and each separate payment of $100 or more paid to the benefit of more than one public official (Full name of payee, Benefit amount, Name of official receiving the benefit, $ Amount). Lobbyist Data Collected: Full name, complete business mailing address, e-mail address, and phone number; subjects of legislation the individual is authorized to lobby on behalf of each Principal; date individual was employed to lobby on behalf of the Principal, and date of termination. Data Missing: Individual lobbyist compensation if more than one was employed, allocation of lobbying activities. indirect (grassroots) lobbying expenditures, executive branch lobbying. Reporting frequency: Clients (Principals) file 5 activity reports in odd-numbered years (monthly during Legislative sessions and then a report from end of session through end of calendar year) and 1 activity report for even-numbered years For special sessions of the Legislature, a report is due within 1 month after end of session. . How Reported: Lobbyist and Principal registration and activity reports may be filed electronically but must be followed by a paper filing. Online Public Disclosure: https://app.mt.gov/cgi-bin/camptrack/lobbysearch/lobbySearch.cgi

Format of Online Data: Searchable and viewable individual reports in .pdf format -- or downlowadable data in csv format. Format of Data for Document Requests: Downloadable csv files of financial reports by Client (Principal) name. The Commissioner may also provide a copy of entire database upon request.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free downloads of individual files from website. State has indicated a full database may be available but has not been able to provide a cost of full copy of database. Impediments to Data Collection: None if copy of database becomes available. Currently, must individually download data for each report filed. Time to acquire/upload data: Manual download and preparation of data: 5 weeks of staff time 2 times/year. Annual cost estimate: $10,000 which includes $10,000 in personnel costs. 115

NEBRASKA
Lobbying Laws
Governing Laws: Nebraska Political Accountability and Disclosure Act (With 2009 Amendments) http://www.nadc.state.ne.us/pdf/2009%20NPADA_with%202009%20Amend_.pdf Regulations: Title 4, Chapter 6, Rules and Regulations for Lobbying http://www.nadc.state.ne.us/pdf/Rule6%2009.pdf Branches/Activities Covered: Legislature: promoting or opposing for another person the introduction or enactment of legislation or resolutions before the Legislature or the committees or the members thereof, and the practice of promoting or opposing executive approval of legislation or resolutions. Executive branch is not covered except executive approval of legislation. Registration Required: Lobbyists Required Reports: Lobbyists and Clients (Principals) file quarterly receipts and expenditures reports and Lobbyists file an annual activity report 45 days after adjournment sine die disclosing specific activities lobbied. Any Lobbyist or Client (Principal) who receives or expends more than $5,000.00 (compensation disclosed on Forms A or A-R excepted) for lobbying purposes during any calendar month in which the Legislature is in session, is required to file a Special Report within 15 days after the end of that month. Lobbyist Compensation Reported: Yes Other Lobbying Data Reported: Amounts spent on lobbying expenses, itemized, in these categories: miscellaneous expenses; entertainment, including expenses for food and drink, lodging, travel, lobbyist compensation, lobbyist expense reimbursement, admissions to a stateowned facility or a state-sponsored industry or event, and extraordinary office expenses directly related to the practice of lobbying. Amount, terms, recipient of any money loaned, promised, paid by a lobbyist, principal, or anyone acting on behalf of either to an official in the executive or legislative branch or member of such official's staff. Total spent on gifts, other than admissions to a state-owned facility or a state-sponsored industry or event, aggregated in these categories: legislators, executive branch officials. Aggregate expenses for entertainment, admissions, and gifts for each of the following categories of elected officials: legislators and officials in the executive branch of the state. When the nature of an event at which members of the Legislature or executive branch are entertained makes it impractical to determine the actual cost, the cost of entertainment shall be the average cost per person multiplied by the number of members of the Legislature or executive branch in attendance. Although these reports are required quarterly, a

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separate, additional report is required anytime a lobbyist or principal receives or spends more than $5,000 in one month for lobbying purposes.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Clerk of the Legislature http://nebraskalegislature.gov/divisions/clerk.php What agency collects lobbying reports? Clerk of the Legislature What agency maintains lobbying records? Electronic database is maintained by Nebraska Accountability and Disclosure Commission. What agency enforces lobbying laws/regulations? Nebraska Accountability and Disclosure Commission http://www.nadc.state.ne.us/index.html Are audits conducted on reports? Commission has authority to audit reports but does not appear to do so on any type of regular basis -- only during investigations. Lobbying Manuals/Instructions: Lobbying Manual http://www.nadc.state.ne.us/pdf/LobbyGuideNov09.pdf Copies of registration and reporting instructions at http://nadc.nol.org/cf/forms.html Reporting forms: Copies of registration and reporting forms at http://nadc.nol.org/cf/forms.html

Data Availability
Client Data Collected: Principal ID, Name, Office Address, Office City, Office State, Office Zip, Office Phone, Official Contact, Nature Of Business, Receipts And Expenditures 1 Name and address of every person for whom more than $100 has been received in any one month for lobbying purposes; Receipts And Expenditures 2 Money loaned, promised or paid to any official in the Legislative or Executive Branch or member of the official's staff; Total Receipts, Miscellaneous Expenses, Entertainment Expenses for Members of the Legislature, Entertainment Expenses for Elected Executive Branch Officials, Entertainment Expenses for all other, Total Entertainment Expenses, Lodging Expenses, Travel Expenses, Office Expenses, Lobbyist Compensation paid by Principal, Lobbyist Reimbursement paid by Principal, Gifts to Members of the Legislature, Gifts to Elected Executive Branch Officials, Gifts to all others, Total Gifts, Gifts of Admissions to Members of the Legislature, Gifts of Admissions to Elected Executive Branch Officials, Gifts of Admissions to all Others, Total Gifts of Admissions, Other Info. Lobbyist Data Collected: Lobbyist ID, Lobbyist Name, Office Address, Office City, Office State, Office Zip, Office Phone, Residence Address, Residence City, Residence State, Residence Zip, Residence Phone, Document ID, Date Received, Postmark Date, Year 117

Covered, Nature Of Filing (Number refers to quarter i.e. 1=First Quarter), Amended Report 1 if amended report, Receipt And Expenditures - Money loaned, promised or paid to any official in the Legislative or Executive Branch or a member of the official's staff, Compensation received by lobbyist, Reimbursement of expenses, Miscellaneous Expenses, Entertainment expenses for members of the legislature, Entertainment expenses for elected executive branch officials, Other entertainment expenses, Total entertainment expenses, Lodging expenses, Travel expenses, Office expenses, Lobbyist compensation paid by lobbyist, Lobbyist reimbursement paid by lobbyist, Gifts, except for admissions, for members of legislature, Gifts, except for admissions for elected executive branch officials, Other gifts, except for admissions, Total gifts, except for admissions, Gifts of admissions for members of legislature, Gifts of admissions for elected executive branch officials, Other gifts of admissions, Total gifts of admissions, Other Information. Bills, amendments or other procedural matters lobbied and position taken. Data Missing: Allocation of lobbying effort to specific actions (bill numbers, amendments, vetos, etc). While positions on specific matters are reported, there is no reporting of the amount of effort expended on such matters. Reporting frequency: Quarterly by both Lobbyists and Clients (Principals) and an activity report within 45 days after completion of legislature. How Reported: Paper reports filed with Clerk of the Legislature. Online Public Disclosure: Searchable financial and activity reports are viewable at: http://www.nadc.state.ne.us/lobbyist_search/index.cgi Lists of Lobbyists and the Clients (Principals) and of Clients (Principals) and their Lobbyists are available at http://nebraskalegislature.gov/reports/lobby.php Annual summaries of income and expenditures of all Lobbyists and Clients (Principals) at http://nebraskalegislature.gov/pdf/reports/lobby/expense.pdf Format of Online Data: Commissions website includes screenshots of financial and activity report data created by a database, searchable by Lobbyist, Client (Principal), date, type of report, certain schedule amounts, bills lobbied, etc. Clerk of the Legislatures website includes .pdf images of lists of Lobbyists and Clients (Principals) and Summary financial report totals by Lobbyist and Client (Principal). Format of Data for Document Requests: Disc of full database (includes campaign finance data as well as lobbying data in .csv format.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: $75/order.

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Impediments to Data Collection: Have to sift through quite a bit of extraneous campaign finance data to pull out just the lobbying information. Time to acquire/upload data: 1 week for document request and 2 weeks for preparing data for upload for each quarters reports. Four months if reports are collected quarterly. Annual cost estimate: $8,300 which includes $300 for data; $8,000 in personnel costs.

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NEVADA
Lobbying Laws
Governing Laws: Nevada Lobbying Disclosure Act, Title 17 Chapter 218H http://www.leg.state.nv.us/nrs/NRS-218H.html Regulations: REGULATION ON LOBBYING ADOPTED BY THE LEGISLATIVE COMMISSION, August 13, 2010 http://www.leg.state.nv.us/App/Lobbyist/2011/Docs/Legislative%20Commission%20Regulations %208-13-10.pdf Branches/Activities Covered: Legislature: introduction, sponsorship, debate, voting and any other official action on any bill, resolution, amendment, nomination, appointment, report and any other matter pending or proposed in a legislative committee or in either House of the Legislature, or on any matter which may be the subject of action by the Legislature. Registration Required: Lobbyists register with the Director of the Legislative Counsel Bureau. Clients (Employers) do not register. Required Reports: Lobbyists file monthly expenditure reports during Legislative sessions. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Total expenditures made on behalf of a legislator or organization whose primary purpose is to support legislators of a particular political party and house, including expenditures made by others on behalf of the registrant. Identity of each legislator and organization on whose behalf expenditures were made, itemized by legislator and organization (unless all legislators were invited). For expenditures over $50 made by or on behalf of a registrant, include a compilation of expenditures itemized in the following categories: entertainment; costs of events hosted by the organization represented by the registrant; gifts and loans to a legislator, to an organization whose primary purpose is to provide support for Legislators of a particular political party and house, or to any other person for the benefit of a Legislator or such an organization; other expenditures directly associated with legislative action, not including personal expenditures for food, lodging and travel expenses or membership dues.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? The Legislative Commission http://www.leg.state.nv.us/73rd/interim/Interim/LC/

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What agency collects lobbying reports? The Legislative Commission http://www.leg.state.nv.us/App/Lobbyist/A/ What agency maintains lobbying records? The Legislative Commission What agency enforces lobbying laws/regulations? The Legislative Commission and the Attorney General. Are audits conducted on reports? The Director of the Legislative Commission inspects each statement and report filed within 10 days after its filing. The Legislative Commission may authorize an audit or investigation by the Legislative Auditor. Lobbying Manuals/Instructions: Guidelines for Lobbyists: http://www.leg.state.nv.us/App/Lobbyist/2011/Docs/Guidelines%20for%20Lobbyists.pdf Lobbyist Registration Overview: http://www.leg.state.nv.us/App/Lobbyist/2011/Docs/Lobbyist%20Registration%20Overview%20%20Requirements%20and%20Fees.pdf Lobbyist On-Line Registration Instructions: http://www.leg.state.nv.us/App/Lobbyist/2011/Docs/REGISTRATION%20INSTRUCTIONS.pdf Reporting forms: Electronic reporting -- no forms available for online viewing.

Data Availability
Client Data Collected: Employer Name, address, phone. Lobbyist Data Collected: Name, address, phone, lobbying interests, expenditures for specific lobbying activities (identified by legislator, organization, event or person and categorized in the following manner: "Entertainment," which must include the expenditures for any intangible item such as a fee for a membership in a club, the price of admission to a theatrical performance or the cost of food or beverage. Entertainment includes the price paid for admission to a sporting event or other form of entertainment. "Party or similar event" hosted by the organization represented by the registrant; "Gifts and loans." These include money or service on anything of value provided to a legislator, organization, or any other person for benefit of a legislator or organization. "Gift" includes expenditures for any tangible item such as books, hardware, software for computers, plaques or flowers. "Gift" does not include a ticket for admission to a sporting event or other form of entertainment; and "Other" expenditures which may include the separate meal costs of a guest of a legislator or the cost of a special purpose trip for a legislator). Data Missing: Any and all data for Legislative branch lobbying outside of legislative sessions Lobbyist compensation, Client indirect expenditures, bills lobbied, general interests lobbied, Executive Branch lobbying activities. Although collected, no expenditures for specific lobbying activities are available to public online. Any and all data for Executive Branch lobbying activities. 121

Although collected, no expenditures for specific lobbying activities are available to the public online. Reporting frequency: Monthly during legislative sessions How Reported: Electronic reporting via Web-based system. Online Public Disclosure: Summary expenditures by Lobbyist and by Legislator are viewable at http://www.leg.state.nv.us/AppCF/Lobbyist/index.cfm No details of expenditures viewable online even though reported. Format of Online Data: Screenshots of data generated from database. Format of Data for Document Requests: State contacted several times for information about electronic data availability and costs but no response was received. In lieu of electronic data, screenshots must be printed and bundled for manual entry.

Timeline and Costs for Data Acquisition


Timeline and Costs for Data Acquisition
Cost of obtaining Data: Screenshots are free to print from state's website. State has not responded to repeated requests for availability and cost of electronic data. Impediments to Data Collection: If electronic data not available, will have to print off individual screenshots and manually input and audit the data. Online data has no details of monthly expenditures. Time to acquire/upload data: 2 months: 2 weeks to view, print and bundle reports; 6 weeks to manually input, audit, and upload data, 2 times/year. Annual cost estimate: Manual data entry: $16,500 which consists of $16,000 for personnel costs and $500 for printing costs.

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NEW HAMPSHIRE
Lobbying Laws
Governing Laws: LOBBYISTS (RSA 15) http://www.sos.nh.gov/Lobbyist%20law%202009.pdf Regulations: Not found. Branches/Activities Covered: Legislature: promote or oppose, directly or indirectly, any legislation pending or proposed before the general court, or to promote or oppose, directly or indirectly, any action by the governor, governor and council, or any state agency, where such action concerns legislation or contracts pending or proposed before the general court. Executive: promote or oppose, directly or indirectly, any any action by the governor, governor and council, or any state agency, where such action concerns any pending administrative rule or the procurement of goods or services that are being or may be purchased by the state. Registration Required: Lobbyists Required Reports: Statement of Income and Expenses by lobbyists. Lobbyist Compensation Reported: Yes. All fees received from any lobbying client that are related, directly or indirectly, to lobbying, such as public advocacy, government relations, or public relations services including research, monitoring legislation, and related legal work. Other Lobbying Data Reported: All expenditures made from lobbying fees, including by whom paid or whom charged. Any honorarium or expense reimbursement or political contribution made by the lobbyist in his or her professional capacity, on behalf of the lobbyist, the partnership, firm, or corporation or by the lobbyist on behalf of the client or employer or by a family member of the lobbyist. The name of the client on whose behalf the expense reimbursement or honorarium was made, the name of the person receiving, the value, and a brief description of the honorarium or expense reimbursement. For each political contribution made: name of the candidate, office the candidate is seeking, value of the contribution, and a brief description of the contribution if it is an in-kind contribution. For all expenditures for salaries, benefits, support staff, and office expenses, related directly or indirectly to lobbying, a statement of the total aggregate expenses shall satisfy the requirement that an itemized statement of these expenses be filed.

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Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State http://www.sos.nh.gov/lobbyist%20information.htm What agency collects lobbying reports? Secretary of State What agency maintains lobbying records? Secretary of State What agency enforces lobbying laws/regulations? Are audits conducted on reports? No. Lobbying Manuals/Instructions: General information: http://www.sos.nh.gov/lobbyist%20information.htm Reporting forms: Lobbyist Registration Form http://www.sos.nh.gov/Lobbyist%20Registration%20FormFirm2011.pdf Statement of Income and Expenses for Lobbyists http://www.sos.nh.gov/Lobbyist%20summary-2011.pdf Lobbyists Fees and Expenses, Addendum A http://www.sos.nh.gov/Addendum%20A%20lobbyist2009.pdf Lobbyists Report of Honorariums or Expense Reimbursement, Addendum B http://www.sos.nh.gov/Addendum%20B%20lobbyist2009.pdf Lobbyists Report of Political Contributions, Addendum C http://www.sos.nh.gov/Addendum%20C%20lobbyist2009.pdf Attorney General http://doj.nh.gov/

Data Availability
Client Data Collected: Business, Corporation, Organization, entity name; Last Name First Name Middle Name/Initial, Usual Occupation or primary field of business, business address and contact information or if none, residence address and contact information for individual client or principal/representative, (telephone) (fax) (e-mail), (mailing address) (city) (state) (zip code), subject(s) of legislative or executive branch action to which the lobbying relationship being reported relates, registered lobbyists employed by the partnership, firm, or corporation who are not representing this client, .name of any person registered as a lobbyist on the date of this registration who is affiliated with or employed by the lobbying partnership, firm, or corporation which is being registered on this form who will not be representing or working on behalf of the client being registered on this form (Last Name, First Name, Middle Name/Initial). Lobbyist Data Collected: Last Name, First Name, Middle Name/Initial, (telephone) (fax) (email), (mailing address) (city) (state) (zip code), Usual occupation or primary field of business, Lobbyists partnership, firm, or corporation name, (telephone) (fax) (e-mail), (mailing address)

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(city) (state) (zip code). Character of Employment (Full-time/part-time employee of Client, Independent Contractor working directly for Client, Contract between Client and Lobbyist/Lobbyists Firm, Other), Duration of employment, Total of all fees received in reporting period $, Total of all fees received this calendar year, prior to this reporting period) $, Total of all fees received to date $, amount of any such fees that are due, but have not yet been paid $. Total aggregate expenses for salaries, benefits, support staff, and office expenses, related directly or indirectly to lobbying $, Total aggregate of expenditures during this reporting period not otherwise reported of $25 or less $, total of all itemized expenditures reported in detail, Total expenses for this reporting period $, total of expenses paid in calendar year, prior to this reporting period $, total of all expenses year to date $, other Expenses. (expenditures of more than $25 made from lobbying fees during this reporting period (Paid to, Amount), Honorarium(s) paid (name of the person receiving the honorarium or expense reimbursement, value of the honorarium or expense reimbursement $, the event to which the honorarium or expense reimbursement relates. (Name, date(s) and location(s)). Political contributions (Full name of candidate, Amount of contribution $, Office Candidate is Seeking, if an in-kind contribution, a description of the goods or services provided, and the actual cost of the in-kind contribution). Data Missing: Specific issues lobbied, allocation of lobbying effort (Nothing is reported online). Reporting frequency: Lobbyists report quarterly by individual client or a separate report for expenses not attributable to a single client. How Reported: Paper reports filed with Secretary of State. Online Public Disclosure: List of registered lobbyists and Clients they represent: http://www.sos.nh.gov/LobName.html Format of Online Data: Screenshot of Lobbyists and Clients. No expenditure or compensation reporting available online. Format of Data for Document Requests: Copies of paper reports.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: 800 lobbyists file four 4-page reports/year @ $0.25/page = $3,200 plus postage. Impediments to Data Collection: No online reports available. Time to acquire/upload data: 6 weeks for state to respond to data request, 2 months to bundle, input and audit data. Annual cost estimate: $20,000 ($3,500 data acquisition. $16,500 personnel costs for ordering, bundling, inputting and auditing data.) 125

NEW JERSEY
Lobbying Laws
Governing Laws: The Legislative and Governmental Process Activities Disclosure Act is at N.J.S.A. 52:13C. Conflict of interest laws are at 52:13D. (To use New Jersey's system, scroll to Title 52. Click on the cross button to the left of the title to view all the sections in the title. Click on the arrow icon in the lower right corner of the screen to view more sections. Do this until Section 52:13C is visible. This is the start of the state's legislative ethics laws. Scroll to 52:13D for Conflict of Interest law.) http://lis.njleg.state.nj.us/cgibin/om_isapi.dll?clientID=37829997&depth=2&expandheadings=off&headingswithhits=on&infob ase=statutes.nfo&softpage=TOC_Frame_Pg42 Regulations: New Jersey Administrative Code at N.J.A.C. 19:25-1.1, et seq. http://www.elec.state.nj.us/pdffiles/regulations/regulations.pdf Branches/Activities Covered: Legislature: any attempt, whether successful or not, to secure or prevent the initiation of any legislation, or to secure or prevent the passage, defeat, amendment, or modification of legislation. Included are efforts to influence the preparation, drafting, content, introduction, and consideration of any bill, resolution, amendment, report or nomination or the approval, amendment or disapproval thereof by the Governor. Executive: to secure or prevent the proposal of any regulation or to secure or prevent the consideration, amendment, issuance, promulgation, adoption, or rejection thereof by an officer or any authority, board, commission or other agency or instrumentality in or of a principal department of the Executive Branch of State Government empowered by law to issue, promulgate or adopt administrative rules and regulations. Promulgating executive orders; Rate setting; Public contracting; Issuing, denying, modifying, renewing, revoking or suspending permits, licenses, or waivers; Bidding procedures; Imposing or modifying fines and penalties; Purchasing procedures; Award, denial, modification, renewal or termination of financial assistance, grant, and loan processing; and, Rendering of administrative determinations Registration Required: Lobbyists (Governmental affairs agents) who spend or are paid more than $2,500 a year to lobby. Clients (Lobbyists --in this state "lobbyist" has a meaning similar to "principal" or "lobbyist employer" in other states)

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Required Reports: Lobbyists (Agents) must file a quarterly report of their lobbying activity on the Quarterly Report of Activities (Form Q-4). A Lobbyist (Governmental Affairs Agent) or Client (Represented Entity/Lobbyist) who or which receives receipts in excess of $2,500 or makes expenditures of more than $2,500 in any calendar year for the purpose of communication with, or providing a benefit to, a State official for the purpose of influencing legislation, regulations, or governmental processes, or for the purpose of communication with the general public ("grassroots lobbying") must file an Annual Report. Also, a person other than a Governmental Affairs Agent or Represented Entity who makes expenditures or receives contributions in excess of $2,500 for the purpose of communication with the general public ("grassroots lobbying") must file an Annual Report. Lobbyist Compensation Reported: Yes Other Lobbying Data Reported: Description of the particular items of legislation, regulation, or governmental process and any general category or type of legislation, regulation or governmental process on which the Lobbyist (governmental affairs agent) lobbied, and any particular items or general types of legislation, regulation, or governmental processes which he actively promoted or opposed. Expenditures relating to communication with, or providing benefits to, a legislator, legislative staff, the Governor, the Governor's staff, an officer or staff member of the Executive Branch, or communication with the general public, in these categories: media, including advertising; entertainment; food and beverage; travel and lodging; honoraria; loans; gifts; and salary, fees, allowances or other compensation paid to an agent. Report in aggregate by category unless they exceed $25.00 per day on one person, in which case detail separately as to the name of the recipient, date and type of expenditure, amount and to whom paid. Where the aggregate expenditures for communication with or providing benefits to one official exceed $200.00 per year, detail the type of expenditures, name of the intended recipient, amount and to whom paid. Where the aggregate expenditures for communication with the general public are more than $100.00 for one occasion, include the date and type of expenditure, amount and to whom paid. Whether the Lobbyist (governmental affairs agent) serves on certain state or local authorities, boards or commissions; date upon which his term expires.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? New Jersey Election Law Enforcement Commission http://www.elec.state.nj.us/ What agency collects lobbying reports? New Jersey Election Law Enforcement Commission What agency maintains lobbying records? New Jersey Election Law Enforcement Commission

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What agency enforces lobbying laws/regulations? New Jersey Election Law Enforcement Commission Are audits conducted on reports? Not as a matter of course. The Commission may conduct audits regarding the actions and expenses of Lobbyists (Governmental Affairs Agents) and Clients (Lobbyists). All relevant documents and records must be kept for a period of 3 calendar years following the year of the activity. Records of single expenditures that are less than $5 are excluded. Lobbying Manuals/Instructions: Lobbying Manual http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/Lobbying_Manual.pdf Reporting forms: Annual Report of Represented Entity http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/L1L.pdf Annual Report of Governmental Affairs Agent http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/L1A.pdf Annual Report of Communication with the General Public http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/L1G.pdf Designation of Governmental Affairs Agent http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/L2.pdf Certification of Consent to Service of Process and Submission to Jurisdiction in the State of New Jersey http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/L3.pdf Governmental Affairs Agent Notice of Representation http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/lobby_extended_forms/nr_saveable.pdf Governmental Affairs Agent Notice of Termination http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/lobby_extended_forms/nt_saveable.pdf Governmental Affairs Agent Quarterly Report http://www.elec.state.nj.us/pdffiles/forms/lobbyforms/lobby_extended_forms/Q-4_Saveable.pdf

Data Availability
Client Data Collected: Name, Business Address, City, State, Zip Code, Occupation or Principal Business, interest (represented entity's primary economic, social, political, or other interest), person(s) having organizational or financial control of the membership organization or

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corporation (Name, Address, City, State, Zip Code, Occupation); full name, business address, and occupation or principal business of any person or entity in whose interest the Governmental Affairs Agent acts in consideration of the compensation paid, if such person or entity is other than the represented entity listed, (Name, Business Address, City, State, Zip Code, Occupation or Principal Business); type(s) of legislation, regulation(s), or governmental process(es) lobbied; any specific legislation, regulation, or governmental process which will be promoted or opposed; salary and other compensation paid to the Governmental Affairs Agents, pro rata share of the costs of support personnel, Assessments, membership fees, or dues, Communication expenses (costs of printed materials, (i.e., correspondence, flyers, and publications) films, slides, video, audio, TV, radio, and other broadcast medium, including the Internet, postage, telephone, telegram, or facsimile), pro rata portion of overhead costs of events such as a conference, reception, or industry seminar where a State official covered by the Act is in attendance, travel and lodging costs of Lobbyists, expenditure for a State official or the State official's immediate family member exceeding $25 per day or $200 per calendar year (full name and office, date, Description ("E" Entertainment, "F" Food and Beverages, "T" Travel, L Lodging, "H" Honoraria, "Loan" Loans, "G" Gifts, and "O" Other), Amount, Name/Address of Payee/Vendor. Lobbyist Data Collected: First Name, Last Name, Business Name, Registration #, City, State, Zip Code, (Area Code) Telephone Number, Business Address, Action(s), occupation, proposed services, General category of legislation or regulation, Senate or Assembly bill number or the proposed rule number, Supported or Opposed, bills primary sponsor or the rules agency, Description of bill or NJ Title of Rules, name of the represented entity or client, type of governmental process, governmental process identifier, if the governmental process was Promoted or Opposed, name of the agency associated with the governmental process, Data Missing: Apportionment of lobbying activities to specific actions; most Principals do not report specific actions lobbied. Reporting frequency: Lobbyists (Governmental Affairs Agents) report quarterly and annually. Clients (Lobbyists/Represented Entities) report annually. How Reported: Paper reports. Online Public Disclosure: http://www.elec.state.nj.us/publicinformation/gaa_annual.htm

Format of Online Data: .pdf Summary Reports (Benefit Passing - Alphabetical by Provider, Expenditures Ranking, Receipts Ranking, Summary of Expenditures by Category, Designation of Governmental Affairs Agent (L_2_List) Alphabetical by Represented Entity, Authorities, Boards and Commissions, All 2010 Summary Data (Excel format). .pdf copies of scanned annual reports (available more than 6 months after filing). Format of Data for Document Requests: .pdf copies of reports printed from Web site.

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Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free to print .pdf reports viewed online. Impediments to Data Collection: Quarterly reports are not scanned for viewing online. Annual reports are not available for viewing until many months after annual filings. Reports must be viewed individually and printed from scanned copies; some reports are handwritten and hard to read. Time to acquire/upload data: More than 6 months after annual filing deadlines for scanned copies of reports to become available and then 4 months of staff time to print reports, bundle, manually input, audit and upload the data. Annual cost estimate: $25,000, which includes $22,000 in personnel costs and $3,000 in printing costs (3000 reports x 10 pages each).

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New Mexico
Lobbying Laws
Governing Laws: Chapter 2, Article 11 NMSA 1978 -- "Lobbyist Regulation Act" http://www.sos.state.nm.us/pdf/2010LobbyistRegulationAct.pdf Gift Act http://www.sos.state.nm.us/pdf/GiftAct2009.pdf Regulations: None found. Branches/Activities Covered: Legislature: any matter to be considered or being considered by the legislative branch of state government or any legislative committee or any legislative matter requiring action by the governor or awaiting action by the governor. Executive: action or nonaction of a state official or state agency, board or commission acting in a rulemaking proceeding (a formal process conducted by a state agency, board or commission for the purpose of adopting a rule, regulation, standard, policy or other requirement of general applicability and does not include adjudicatory proceedings). Registration Required: Lobbyists, Clients (Lobbyist Employers) who engage in lobbying activities, Organizers of Lobbying Advertising Campaigns. Required Reports: Lobbyists and Clients (Lobbyist Employers) who engage in lobbying activities file the the following reports: January 15 report: covers any expenditures and political contributions made or incurred during the preceding year (from the May report through December 31) and not previously reported. 48-hour legislative report: this report is due within 48-hours of making or incurring an expenditure of $500 or more during a regular or special legislative session and must include each separate expenditure of $500 or more. May 1 report: this report covers all expenditures and political contributions made or incurred from the date of registration for 2011 through April 25, 2011 and not previously reported in a 48hour legislative report. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Lobbyist or Client (Lobbyist Employer) name, address, phone, Cumulative total of the expenditures made or incurred, in categories that identify the total separate amounts spent on: meals and beverages; other entertainment expenditures; gifts; and other expenditures (expenditures of $75 or more are itemized). Amount, date, name of recipient of each political contribution made. Names, addresses and occupations of other

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contributors and the amounts of their separate political contributions if the lobbyist or lobbyist's employer delivers directly or indirectly separate contributions from those contributors in excess of $500 in the aggregate for each election to a candidate, a campaign committee or anyone authorized by a candidate to receive funds on his behalf.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State, Ethics Administration www.sos.state.nm.us What agency collects lobbying reports? Secretary of State, Ethics Administration What agency maintains lobbying records? Secretary of State, Ethics Administration What agency enforces lobbying laws/regulations? Secretary of State, Ethics Administration The Secretary of State may refer a matter to the Attorney General or a district attorney for a civil injunctive or other appropriate order or enforcement. Are audits conducted on reports? At discretion of Secretary of State -- no regular audits conducted. Lobbying Manuals/Instructions: Instructions for Completing Lobbyist Reports of Expenditures and Contributions: http://www.sos.state.nm.us/pdf/2011LobbyistReportingForm2.pdf Prohibited Periods: http://www.sos.state.nm.us/pdf/2011ProhibitedPeriod.pdf Reporting forms: Lobbyist Registration Form: http://www.sos.state.nm.us/pdf/2011LobbyistRegistration.pdf Supplemental Lobbyist Registration Form: http://www.sos.state.nm.us/pdf/2011Supplemental.pdf Lobbyist Authorization Form: http://www.sos.state.nm.us/pdf/2011LobbyistAuthorizationForm.pdf Lobbyist Report of Expenditures and Contributions: http://www.sos.state.nm.us/pdf/2011LobbyistReportingForm2.pdf Lobbying Advertising Campaign Reporting Form http://www.sos.state.nm.us/pdf/2011AdvertisingReportingForm.pdf

Data Availability
Client Data Collected: Unless the Client (Lobbyist Employer) is required to file a Report of Expenditures and Contributions due to their own lobbying activities, the only data collected is: Name, mailing address, and telephone number, sources of funds to be used for lobbying (e.g. membership dues, corporate funds, or none), and general areas of interest that will be lobbied. 132

Lobbyist Data Collected: Report period, Lobbyist name, address, phone, fax, itemized expenditures (made or incurred of more than $75) including: Date, Name of Payee/Beneficiary (e name of the person (Payee) and the name of the person, ballot issue or type of official action affected by the expenditure), Type (number (1) for meals and beverages; (2) for other entertainment expenditures; (3) for gifts; or (4) for other expenditures), .Purpose (the reason the expenditure was made or incurred and any clients whose interests were being represented), Amount) Unitemized expenditures. Special Events: Date, Type of Event & Location (e.g., dinner, an athletic event, or specific identification of any other function and the actual physical location (address) of the special event), Group(s) Invited (name of each body or group invited) and Total Expenses. Political Contributions (including the date it was made or incurred, the amount and the name of the candidate or ballot issue supported or opposed). Bundling Disclosure (If Lobbyist, or any of Lobbyists employers delivered, directly or indirectly, separate political contributions from other contributors of $500 or more, in the aggregate, for an election to a candidate, a campaign committee, or anyone authorized by a candidate to receive funds on his/her behalf, listing of the names, addresses and occupations of the contributors). Data Missing: Lobbyist compensation, indirect expenses, Client (Lobbyist Employer) on whose behalf Lobbyist expenditures are made are not generally disclosed (unless Client/Lobbyist Employer files the report), specific actions being lobbied, Clients purpose or type of business. Reporting frequency: Twice per year plus 48-hr reports for expenditures over $500. The 48hr reports are not duplicated in regular reports. How Reported: Paper reports mailed or faxed to state. Online Public Disclosure: Minimally-searchable listing of lobbyists which brings up links to .tif images of reports filed prior to 2010 can be found at: http://www.docs.sos.state.nm.us/LibertyIMS::/sid7UTF72X5aB4S7U96/Cmd%3D%24%2461EB oJ8dlYb7-wHPv%3BRXSoN6v%3DCB-SDzL.3h4 2010 and later reports can be viewed by clicking on links at: http://www.sos.state.nm.us/sosLobbyist.html , Format of Online Data: Online images of scanned original documents in .pdf format Format of Data for Document Requests: Printed .pdf documents.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Screenshots of .pdfs are freely available on the states website. Impediments to Data Collection: Reports are filled in by hand (not printed) and often writing is not legible so accuracy of data input will be questionable.

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Time to acquire/upload data: Data collection would be most expedient if all reports filed in a given year are collected at one time, It will take approximately 3 months to view and print reports from online screenshots, bundle, input and audit the data. If data is collected twice per year, the cost estimate would more than double because of increased staff time to view and print reports viewable online. Annual cost estimate: $7,500, which includes $7000 in personnel costs and $500 in printing costs.

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New York
Lobbying Laws
Governing Laws: "Lobbying Act" created by Chapter 2 of the Laws of 1999, as amended by Chapter 62, of the Laws of 2003, Chapter 1 of the Laws of 2005, and as amended most recently by Chapter 14 of the Laws of 2007. http://www.nyintegrity.org/law/lob/lobbying2.html Regulations: No specific Lobbying regulations found. Branches/Activities Covered: Legislature: any attempt to influence (any activity intended to support, oppose, modify, delay, expedite or otherwise affect) the passage or defeat of any legislation by either house of the state legislature or approval or disapproval of any legislation by the governor. Executive: any attempt to influence (any activity intended to support, oppose, modify, delay, expedite or otherwise affect) the adoption, issuance, rescission, modification or terms of a gubernatorial executive order; the adoption or rejection of any rule or regulation having the force and effect of law by a state agency; the outcome of any rate making proceeding by a state agency; any determination: by a public official, or by a person or entity working in cooperation with a public official related to a governmental procurement; or the approval, disapproval, implementation or administration of tribal-state compacts, memoranda of understanding, or any other tribal-state agreements and any other state actions related to Class III gaming except to the extent designation of such activities as "lobbying" is barred by the federal Indian Gaming Regulatory Act, by a public official or by a person or entity working in cooperation with a public official in relation to such approval, disapproval, implementation or administration. Judicial: any attempt to influence (any activity intended to support, oppose, modify, delay, expedite or otherwise affect) any determination by an officer or employee of the unified court system, or by a person or entity working in cooperation with an officer or employee of the unified court system related to a governmental procurement; Local Governments: any attempt to influence (any activity intended to support, oppose, modify, delay, expedite or otherwise affect) the passage or defeat of any local law, ordinance, resolution, or regulation by any municipality or subdivision thereof; the adoption, issuance, rescission, modification or terms of an executive order issued by the chief executive officer of a municipality; the adoption or rejection of any rule, regulation, or resolution having the force and effect of a local law, ordinance, resolution, or regulation; or the outcome of any rate making proceeding by any municipality or subdivision thereof. Registration Required: Every lobbyist required to file a registration statement (Principal Lobbyist) that reasonably anticipates incurring, expending, or receiving more than $5,000 in combined reportable compensation and expenses for lobbying activity on a state and/or local level in any year during the biennial period is required to file a biennial Statement of 135

Registration. If the principal lobbyist is a retained individual or organization, all other lobbyists employed by such retained organization or individual may be listed as additional lobbyists on the registration. If the principal lobbyist is an employee of the client, only those lobbyists employed by such client may be listed as additional lobbyists. As an alternative, separate registrations can be filed by each lobbyist. Public Corporations (municipal corporations, district corporations, or public benefit corporations) register in the same manner as private lobbyists. However, in this case, no individual lobbyists for the corporation registers individually; they are disclosed by the Public Corporation the same as private firms/lobbyists disclose their employees on registration forms. The individual Public Corporation would be considered the Client in most other jurisdictions. A copy of a signed, written lobbying agreement or written authorization must be submitted with each registration, specifying the period of the year or biennial period covered and disclosing the terms and amount of compensation. If the lobbyist is retained by the organization, the actual compensation must be reported. If the retainer is based on a daily or hourly rate, the fee per day or per hour must be reported. If the lobbyist is a salaried employee of the organization, the lobbyist's prorated salary for lobbying activity must be reported. Required Reports: Clients file semi-annually. Lobbyists (Principal Lobbyists) file bimonthy reports (6/year). In addition, Principal Lobbyists who in any lobbying year reasonably anticipate they will expend, incur or receive combined reportable compensation and expenses in an amount in excess of $5,000 in connection with any attempts to influence a determination by a public official, or by a person or entity working in cooperation with a public official, with respect to the solicitation, award or administration of a grant, loan, or agreement involving the disbursement of public monies in excess of $15,000, is required to file a NYS Lobbyist Disbursement of Public Monies Report on the same bi-monthly basis. Public Corporations (municipal corporations, including counties, cities, towns, villages and school districts, district corporations, and public benefit corporations as defined in section sixtysix of the general construction law) file bi-monthly reports the same as Lobbyists. Lobbyist Compensation Reported: Yes. "Reportable Compensation" includes any salary, fee, gift, payment, benefit, loan, advance, or any other thing of value paid, owed, given, or promised to the lobbyist by the client, or employer, for lobbying. For reporting purposes, this also includes all salaries and other compensation paid to staff such as those of lobbying employees or clerical help. Compensation and expenses for local and state level lobbying are reported on the same form. Other Lobbying Data Reported: Expenditures (itemized over $75), Advertising, telephone, electronic advocacy, food, beverages, tickets, entertainment, parties, receptions or similar events, advocacy rallies, consultant services, expenses for non-lobbying support staff, and

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courier services when said expenses are part of a lobbying effort. Any item that is exempt as a gift in Section 1 (c)(j) of the Lobbying Act must be reported if it is part of a lobbying effort.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? New York State Commission on Public Integrity http://www.nyintegrity.org/ What agency collects lobbying reports? New York State Commission on Public Integrity What agency maintains lobbying records? New York State Commission on Public Integrity What agency enforces lobbying laws/regulations? New York State Commission on Public Integrity Are audits conducted on reports? Yes, the Commission conducts a random audit program as required by law. Lobbying Manuals/Instructions: No manual exists, but links to instructions can be found at http://www.nyintegrity.org/forms/lobbying.html. In addition, there are quarterly newsletters which delve into various lobbying issues in detail. These are available for review online at: http://www.nyintegrity.org/pubs/news.html. Reporting forms Clients: http://www.nyintegrity.org/forms/lob/pdf/ClientSemiAnnualREVISED.pdf Public Corporations: http://www.nyintegrity.org/forms/lob/pdf/PublicCorporationBimonthlyREVISED.pdf Lobbyists (Principal Lobbyist): http://www.nyintegrity.org/forms/lob/pdf/LobbbyistBimonthlyReportREVISED.pdf Disbursement of Public Monies: http://www.nyintegrity.org/forms/lob/pdf/PublicMoniesREVISED.pdf

Data Availability
Client Data Collected: Client name, address, phone, type of lobbying (procurement, nonprocurement). Names, addresses and types of lobbyists paid, and compensation paid.. Aggregate expenses $75 or less, aggregate expenses of all nonlobbying employees, and details of expenses over $75 (to whom paid, amount, purpose). General subjects lobbied, individual 137

persons or agencies lobbied, Bill, Rule, Regulation or Rate Numbers lobbied, Title and Identifying Numbers of procurement contracts/documents lobbied, Number or Subject Matter of Executive Order of Governor/Municipality lobbied, and Subject Matter of and Tribes involved in tribal-state compacts, etc lobbied. Lobbyist Data Collected: Lobbyist's name, address, phone number. Lobbyist's client's name, address, phone. General description of subjects lobbied on, as well as the legislative bill numbers of any bills and the rule, regulation, and ratemaking numbers on which the lobbyist has lobbied. Names of people, organizations, or legislative bodies before which the lobbyist has lobbied. Compensation paid or owed to the lobbyist, and any lobbying expenses, to be listed in the aggregate if $75 or less and individually if more than $75. For items listed individually, disclose the amount, recipient and purpose. Expenses not to include: personal sustenance; printing and mailing less than $500. Must report lobbying activities for grants, loans and other disbursements of public funds over $15,000. Public Corporations Data Collected: Public corporation's name, address, phone number. Names, addresses, phones of all lobbyists retained, employed or designated. Copies of all agreements relating to each such retainer, employment or designation, and if the agreement was oral, a statement of its substance. General description of subjects lobbied on, as well as the legislative bill numbers of any bills and the rule, regulation, and ratemaking numbers on which the lobbyist and the public corporation have lobbied. Names of people, organizations, or legislative bodies before which the public corporation or its lobbyists have lobbied. Compensation paid or owed to each lobbyist and any expenses whether directly for the benefit of public officials or through lobbyists. List expenses in the aggregate if $75 or less and individually if more than $75. For items listed individually, disclose the amount, recipient and purpose. Expenses not to include: personal sustenance; printing and mailing less than $500. Data Missing: No allocation of lobbying effort to any specific legislative or administrative actions. Reporting frequency: Principal Lobbyists and Public Bodies file every 2 months. Clients file twice each year. Lobbying activities involving disbursement of Public Monies only are made during 2-month activity periods during which the lobbying activities on such matters actually occur. How Reported: Online registration and reporting or mailed paper registration and reports for those unable to file electronically. Online Public Disclosure: Searchable database of lobbyists, clients, and public corporations with large numbers of parameters available for limiting search results. http://www.nyintegrity.org/public/lobby_data.html Paper-filed registrations and reports are input into the database by state agency staff and not viewable online

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Format of Online Data: Screen shots of individual registrations and reports generated from database. Format of Data for Document Requests: Copy of electronic database may be requestted at http://www.nyintegrity.org/public/request.html). Screenshots of data can be printed.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: The Commission charges $0.25 per copy (if more than 40 pages) or the cost of electronic reproduction. Sent three separate requests with no response from the state regarding the cost of e-reproduction. Impediments to Data Collection: If electronic database not available, would be required to locate, view and print over 75,000 individual screen shots/year. Time to acquire/upload data: Electronic: 4 weeks for state to respond to request; 3 weeks for staff to prepare and upload data; 2 times/year. For paper reports, 4 weeks for staff to print and bundle screenshots of data; 2 months to manually input, audit and upload data, 2 times/year. Annual Cost Estimate: Electronic: $16,000, which includes $15,000 in personnel costs plus $1,000 in data acquisition costs. Paper: $30,000 which includes $25,,000 in personnel costs plus $5,000 in printing costs.

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NORTH CAROLINA
Lobbying Laws
Governing Laws: Lobbying Law (N.C.G.S. Ch. 120C) Regulations: NCAC Title 18 - Secretary of State Chapter 12 - Lobbying http://reports.oah.state.nc.us/ncac.asp?folderName=\Title%2018%20%20Secretary%20of%20State\Chapter%2012%20-%20Lobbying NCAC Title 30 State Ethics Commission Chapter 10 - Lobbying http://reports.oah.state.nc.us/ncac.asp?folderName=\Title%2030%20%20State%20Ethics%20Commission\Chapter%2010%20-%20Lobbying Branches/Activities Covered: Legislature: Legislative action (preparation, research, drafting, introduction, consideration, modification, amendment, approval, passage, enactment, tabling, postponement, defeat, or rejection of a bill, resolution, amendment, motion, report, nomination, appointment, or other matter, whether or not the matter is identified by an official title, general title, or other specific reference, by a legislator or legislative employee acting or purporting to act in an official capacity. It also includes the consideration of any bill by the Governor for the Governor's approval or veto).through direct communication or activities with a designated individual or that persons immediate family; and/or developing goodwill through communications or activities, including the building of relationships, with a designated individual or that persons immediate family with the intention of influencing current or future legislative Executive: executive action (preparation, research, drafting, development, consideration, modification, amendment, adoption, approval, tabling, postponement, defeat, or rejection of a policy, guideline, request for proposal, procedure, regulation, or rule by a public servant purporting to act in an official capacity) through direct communication or activities with a designated individual or that persons immediate family; and/or developing goodwill through communications or activities, including the building of relationships, with a designated individual or that persons immediate family with the intention of influencing current or future executive action. Registration Required: The Lobbyist, the Client (Principal), Solicitors (those not otherwise a lobbyist or client but who ask the public to communicate directly with or contact one or more officials for the purpose of influencing or attempting to influence legislation or executive action), and Liaisons (any State or local government employee, employed counsel, or officer whose principal duties, in practice or set out in that person's job description, include lobbying legislators or legislative employees). Before lobbying or within one business day of engaging in lobbying for payment, a lobbyist is required to file a registration statement. A Client (Lobbyist Principal) must also file a written authorization for a lobbyist to represent the principal within 20 business days after the date the lobbyist registers. Prior to lobbying a designated individual (public

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servants, legislators, and legislative employees), lobbyists must identify themselves and their principal. Required Reports: Lobbyist, Client (Principal) and Solicitors must file expense reports. Quarterly reports are mandatory. Monthly reports are required for Lobbyists and Clients (Principals) when reportable expenditures are incurred in any month while the General Assembly is in session. Clients (Principals) must also file an annual statement regarding lobbyist compensation. Solicitors only are required to file Quarterly reports. Liaisons are not required to file expense reports. Lobbyist Compensation Reported: Yes (Reported on Clients (Principals) 4th Quarter Expense Report). Other Lobbying Data Reported: Lobbyists, Clients (Principals) and "solicitors" must report expenditures of more than $3000 on "solicitation" of members of the general public to influence legislative or executive action. Reports must include (1) reportable expenditures made for the purpose of lobbying, (2) solicitations of others costing more than $3,000, (3) reportable expenditures reimbursed to a lobbyist by the lobbyists principal, and (4) all reportable expenditures for gifts that are given under the exceptions to the gift ban set forth in G.S. 138A32(e). Reportable expenditures are generally defined as contracts with designated individuals and their immediate family members and any expenditure of more than $10 in value per designated individual per calendar day. Lobbyists principals are required to file quarterly reports that include the same information as lobbyists reports as well as details of the compensation paid to lobbyists. A person must report expenditures of more than $200 in a calendar quarter made to a designated individual for the purpose of lobbying, even if the person making the expenditures is not a lobbyist. Clients (Lobbyist Principals) also report: The cumulative combined total of all payments paid to a lobbyist for lobbying, direct and goodwill, and for certain communications or activities that were used to lobby, including research, drafting written communications, monitoring legislative or executive action, and advice regarding proposed or pending legislative or executive action, and the name of persons who are not registered principals for whom the principal directs the lobbyist to lobby, whether for pay or not.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Department of the Secretary of State, Lobbyist Compliance Division: http://www.secretary.state.nc.us/lobbyists/ What agency collects lobbying reports? Department of the Secretary of State, Lobbyist Compliance Division What agency maintains lobbying records? Department of the Secretary of State, Lobbyist Compliance Division

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What agency enforces lobbying laws/regulations? Department of the Secretary of State, Lobbyist Compliance Division for registration and reporting matters; the State Ethics Commission http://www.ethicscommission.nc.gov/default.aspx for interpreting the lobbying law, conducting training for lobbyists and state and local government personnel, issuing formal advisory opinions, and hearing complaints on lobbying law infractions (except for registration and reporting infractions). Are audits conducted on reports? Yes, through random selection. Lobbying Manuals/Instructions: Current Lobbying Guidelines Frequently Asked Questions http://www.secretary.state.nc.us/lobbyists/faq.aspx Electronic Filing Instructions http://www.secretary.state.nc.us/lobbyists/ State Ethics Commission Formal Advisory Opinions http://www.ethicscommission.nc.gov/ao/aoLobbying.aspx Reporting forms: http://www.secretary.state.nc.us/lobbyists/lobforms.aspx

Data Availability
Client Data Collected: Name of Client (Registered Lobbyist Principal) Name of Lobbyist(s), Reportable Expenditures (If 15 or less designated individuals (DIs) are benefited, list by name; if more than 15, list approximate number benefited and basis for their selection such as the name of the legislative body, committee or caucus or the name of the public servant group whose membership list is a matter of public record. If DIs immediate family members are benefited, list them separately.) (Date, Description of Expenditure, Payee/Beneficiary and Address, Designated Individual(s) or Immediate Family Member(s) Benefited, Exp. Code (TL: Transportation and Lodging, FB: Food and Beverages, GI: Gifts, EN: Entertainment, ME: Meetings and Events, OT: Other) Amount, Total Expenditures Reportable This Period).:Principal reimbursed to Lobbyist (including if also reported on lobbyists report) (Date, Description of Expenditure, Payee/Beneficiary and Address, Name of Lobbyist, Designated Individual(s) or Immediate Family Member(s) Benefited, Exp. Code, Amount, Expenditures Reportable This Period). Contractual arrangements, promises, obligations and/or direct business relationships (Effective Date(s), Description of Contractual Arrangement, Promise, Obligation or Direct Business Relationship, Applicable Designated Individual (DI), or DI Immediate Family Member, Amount or Other Consideration (Value), Expenditures Reportable This Period). Solicitation of others exceeding $3,000 (Date(s) of Solicitation, Description of Solicitation, Payee/Beneficiary and Address, Expense Amount, Expenditures Reportable This Period). Lobbyist Data Collected: Complete Name of Lobbyist, Firm Name of Lobbyist (If Applicable): Business Address (Physical NOT a P.O. Box), Mailing Address, Telephone No, Fax No, Email Address, General subjects lobbied, Expenditures Principal Reimbursed (Date, Description of Expenditure, Payee/Beneficiary and Address, Designated Individual(s) or Immediate Family Member(s) Benefited. Exp. Code (Transportation and Lodging, Food and Beverages, Gifts,

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Entertainment, Meetings and Events, Other) Amount, Expenditures Reportable This Period, Subtotal. Lobbyist Expenditures that Principal did not reimburse (Date, Description of Expenditure, Payee/Beneficiary and Address, Designated Individual(s) or Immediate Family Member(s) Benefited, Expenditure Code, Amount, Expenditures Reportable This Period). Contractual arrangements, promises, obligations and/or direct business relationship (Effective Date(s), Description of Contractual Arrangement, Promise, Obligation or Direct Business Relationship, Applicable Designated Individual or DI Immediate Family Member, Amount or Other Consideration (Value), Expenditures Reportable This Period). Solicitation of others exceeding $3,000.00 (Date(s) of Solicitation, Description of Solicitation, Payee/Beneficiary and Address, Expense Amount, Expenditures Reportable This Period). Lobbyist Name, $ Paid for year and, If the lobbyist is not an employee of the principal, indicate to whom payment was made( Lobbyist or Firm Name), whether lobbyist was a full-time employee of the principal during registration period, or if lobbyist was paid by annual fee or retainer during registration period and if lobbyist provided statement(s) estimating the portion of such annual salary, fee or retainer reasonably allocated for lobbying. Data Missing: Specific actions being lobbied, allocation of lobbying efforts. Reporting frequency: Quarterly, even if there were no "reportable expenditures," filed by 10 days after the reporting period ends. Lobbyists and Clients (Principals) must file additional reports when they make reportable expenditures during any month the General Assembly is in session. These reports must be filed within 10 days of the end of the month in which the reportable expenditure was made. Clients (Principals) also file annual cumulative reports. How Reported: Paper or electronically, via the Secretary of States Website. Filing format is at the discretion of the filer. Online Public Disclosure: http://www.secretary.state.nc.us/lobbyists/lsearch.aspx

Format of Online Data: .pdf images of scanned reports and those filed online. Can download text file of Lobbyists/Clients (Principal) but not of activity reports. Can download annual compilation of activity reports filed by individual Lobbyists, Clients (Principals), and Solicitors in .pdf format. Format of Data for Document Requests: .pdf images of reports printed from Web site.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free downloads. Impediments to Data Collection: Must locate and print all documents for manual data input and auditing. If detailed reporting is not necessary, could probably scrape annual compilation reports for necessary data.

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Time to acquire/upload data: 3-4 months. Annual cost estimate: $15,000. 1500 Lobbyists and Clients file 5-2 page registrations and reports/year, 15000 pages = $2,000. Personnel costs for locating, printing, inputting and auditing data: $13,000. If annual compilation (summary) reports are used, cost could be reduced to around $4,000 by using a scraping program.

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North Dakota
Lobbying Laws
Governing Laws: North Dakota Century Code, Section 54-05.1 http://www.legis.nd.gov/cencode/t54c051.pdf Regulations: No Branches/Activities Covered: Legislature: all legislative activities; Executive: Gubernatorial approval or veto of legislation Registration Required: Lobbyist http://www.nd.gov/eforms/Doc/sfn11106.pdf (and Clients must authorize representation http://www.nd.gov/sos/forms/pdf/lobauth.pdf). Required Reports: Lobbyist Expenditure Report -- filed annually. No Client reporting. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Each expenditure of $60 or more spent on any single occasion on any individual, including the spouse or other family member of a legislator or the governor. Includes a description of the nature of the expenditure; the amount; the date; and the name of the recipient.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State http://www.nd.gov/sos/lobbylegislate/ What agency collects lobbying reports? Secretary of State http://www.nd.gov/sos/lobbylegislate/lobbying/how-to.html What agency maintains lobbying records? Secretary of State What agency enforces lobbying laws/regulations? Attorney General http://www.ag.state.nd.us/ Are audits conducted on reports? No Lobbying Manuals/Instructions: No.

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Reporting forms: Lobbyist Expenditure Report http://www.nd.gov/eforms/Doc/sfn07654.pdf

Data Availability
Client Data Collected: Name of entity; general nature of activity (e.g., Agriculture, Banking, Business, Education, Energy, Health, Senior Citizens, Transportation, Utilities, Human Services, Labor, Mining, Youth, Other); Business Address, City, State, Zip. (On initial Lobbyist Registration form, only -- entities could be identified on Lobbyist Expenditure Report under on whose behalf expended for individual listed expenditures.) Lobbyist Data Collected: Name, business phone, address, city, state, zip, itemization of expenditures over $60 (including: Date of expenditure, nature of expenditure, on whose behalf expended, name of recipient of expenditure, amount of expenditure) Data Missing: Lobbyist compensation, bills or general interests lobbied, total expenditure levels of lobbyists and/or clients. Reporting frequency: Annually How Reported: Mailed, emailed, or faxed paper report Online Public Disclosure: No expenditure data available online. Lists of Lobbyists and organization they represent available for viewing online http://www.nd.gov/sos/lobbylegislate/lobbying/reg-mnu.html Format of Online Data: No expenditure data -- lists of registered lobbyists and their clients can be printed manually from screenshots. Format of Data for Document Requests: Mailed copies of paper reports.

Timeline and Costs for Data Acquisition


Timeline and Costs for Data Acquisition
Cost of obtaining Data: $250. Information requested several times from state with no response. Assume the cost will be $0.50/page plus postage . Impediments to Data Collection: Must request copies of paper reports. Time to acquire/upload data: Assume 6 weeks for document requests to be honored and another 6 weeks for bundling, data input, auditing, and upload of 200, 2 page reports.

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Annual cost estimate: $12,250 which includes $12,000 for personnel costs and $250 for acquisition costs.

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OHIO
Lobbying Laws
Governing Laws: Statutes governing lobbyist expenditures are as follows: O.R.C. 101.70 101.79 Legislative Lobbying, O.R.C. 121.60 - 121.69 Executive Agency Lobbying, and O.R.C. 101.90 - 101.99 Retirement System Lobbying. A list and links may be found at http://www.jlec-olig.state.oh.us/. Each lobbyist and each entity that employs a lobbyist must file reports within ten days of an entity hiring a lobbyist. Registration is effective until the end of the next even-numbered year. Entities and lobbyists then file activity reports triannually; lobbyists file one report for each client. Regulations: The complete Ohio Lobbying Activity Center (OLAC) manual can be found here: http://www.jlec-olig.state.oh.us/PDFs/OLAC%20TUTORIAL%20V.2.pdf. Specific definitions related to legislative lobbying are found Ohio Administrative Code 101-9, http://codes.ohio.gov/oac/101-9-01, and at Ohio Administrative Code 101-11, http://codes.ohio.gov/oac/101-11-01, for executive agency lobbying. Branches/Activities Covered: From the website at http://www.jlec-olig.state.oh.us/: The OLIG [Office of the Legislative Inspector General] is responsible for lobbying compliance relative to attempts to influence legislation, executive agency decisions, and the investment decisions of the five state retirement systems. Registration Required: All lobbyist clients and lobbyists, including state employees, are required to register. Required Reports: Required Activity & Expenditure Reports are filed tri-annually; September December, January - April, and May - August. Required Registration Reports are filed annually, no later than January 31 of the year in which an entity or lobbyist intends to engage in lobbying activity. Lobbyist Compensation Reported: Lobbyist compensation is specifically excluded from the reporting requirements in the law. See: ORC, Title I, 101.73, found at http://codes.ohio.gov/orc/101.73. Other Lobbying Data Reported: Only expenditures are reported.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? The Office of the Legislative Inspector General, found at http://www.jlec-olig.state.oh.us/, registers lobbyists and clients, collects and maintains lobbying reports, and enforces lobbying laws and regulations.

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What agency collects lobbying reports? Office of the Legislative Inspector General What agency maintains lobbying records? Office of the Legislative Inspector General What agency enforces lobbying laws/regulations? Office of the Legislative Inspector General Are audits conducted on reports? Not routinely. Lobbying Manuals/Instructions: The complete Ohio Lobbying Activity Center (OLAC) manual can be found here: http://www.jlec-olig.state.oh.us/PDFs/OLAC%20TUTORIAL%20V.2.pdf. Reporting forms: Reporting is conducted online. Registration is updated each two-year election cycle and expenditure reporting is completed three times a year according to this calendar: http://www.jlec-olig.state.oh.us/PDFs/2011%20Lobbying%20Calendar.pdf.

Data Availability
Client Data Collected: Client data can be publicly accessed via the OLAC system, Public Access, Lists and Searches, Current Agents and Employers. Users then choose Listed by Employers to download the Excel file of current clients. This shows the name of each employer, agent name(s), contact name(s), address, and phone. Lobbyist Data Collected: Client data can be publicly accessed via the OLAC system, Public Access, Lists and Searches, Current Agents and Employers. Users then choose Listed by Agents to download the Excel file of current lobbyists. This shows the name of the lobbyist, employer name(s), contact name(s), address, and phone. Data Missing: The lobbyist name is not reported on the Expenditure Search information which shows what clients spent on meals, gifts, and large gatherings. Lobbyist compensation is not required to be disclosed. Reporting frequency: Activity & Expenditure Reports are filed tri-annually; September December, January - April, and May - August. Registration reports are filed annually, no later than January 31 of the year in which an entity or lobbyist intends to engage in lobbying activity. How Reported: All information is reported electronically, using the states online OLAC system. Online Public Disclosure: All information is available via the OLAC system at: http://www2.jlec-olig.state.oh.us/olac/Reports/ReportsHome2.aspx.

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Format of Online Data: Client focus and names of officials lobbied is available in the Regisration Search, viewable via html and printable. Expenditure records are viewable and downloadable in an Excel format. Format of Data for Document Requests: Data is available in html for printing and Excel for download. Choose Expenditure Search from this page: http://www2.jlecolig.state.oh.us/olac/Reports/ReportsHome2.aspx. Then choose the branch lobbied - Executive, Legislative, or Retirement System, report period(s) and year. A list of all expenditures is returned and available for download in Excel format when one leaves each of the filters blank and chooses only the report and year. However, this excludes the detail about the bills or branches were related to the expenditures which must be printed from screenshots and manually entered.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free to obtain downloadable expenditure records and screenshots of legislation lobbied. Impediments to Data Collection: Clients and lobbyists report the client focus and that displays via the Registration Search, which are not downloadable and potentially would have to be manually input. Specific legislation lobbied is not downloadable data and would have to be manually input. Time to acquire/upload data: Two months of staff time to download Excel data, view and print screenshots of data which must be manually input, and input, audit and upload data to database, 3 times/year. Annual cost estimate: $25,000 which includes $24,000 in personnel costs and $1,000 in printing costs.

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OKLAHOMA
Lobbying Laws
Governing Laws: Sections 187.1 and 334 of Title 21 and Sections 4249 through 4257 of Title 74 of the Oklahoma Statutes. http://www.ok.gov/oec/documents/LAWS08a.pdf Regulations: Chapter Twenty-Three of the Constitutional Ethics Rules; Section 257:23-1-1 through 23-1-3 of the Rules of the Ethics Commission 74 O.S. Supp. 2010 , Ch. 62, App. http://www.ok.gov/oec/documents/LAWS08a.pdf Branches/Activities Covered: Legislature: passage, defeat , formulation, modification, interpretation, amendment, adoption, approval or veto of any legislation. Executive: passage, defeat , formulation, modification, interpretation, amendment, adoption, approval or veto of any rule, regulation, executive order or any other program, policy or position of the state government (including the Corporate Commission). Judicial: passage, defeat , formulation, modification, interpretation, amendment , adoption, approval or veto of any rule, regulation, or any other program, policy or position. Registration Required: Lobbyists (who name their Clients (Principals) at time of registration) Required Reports: Lobbyists and Clients (Principals) file gift reports. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Lobbyist's name, business address, telephone number. Clients (Principals) name and address. For each thing of value given to a state officer or employee or a member of his or her family that exceeds $10 in the aggregate during a 6-month period, list the name of the recipient, date given, nature of thing of value, amount of expenditure, name of lobbyist principal on whose behalf item given.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Ethics Commission http://www.ok.gov/oec/Lobbyist_Reporting/

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What agency collects lobbying reports? Ethics Commission What agency maintains lobbying records? Ethics Commission What agency enforces lobbying laws/regulations? The Ethics Commission may recommend to the district court, and the district court, upon finding that a respondent has violated a provision of the law, may impose civil or criminal penalties. Are audits conducted on reports? No. Lobbying Manuals/Instructions: Lobbyist Registration and Regulation http://www.ok.gov/oec/documents/MAN11.lob.pdf User Guide Lobbyist Disclosure and Reporting System https://www.ok.gov/ethics/lobbyist/docs/OECLobbyistManualFINAL.pdf Reporting forms: Lobbyist or Other Person Gift Report http://www.ok.gov/oec/documents/L2.10.pdf

Data Availability
Client Data Collected: Business/Organization name and mailing address. Lobbyist Data Collected: Name, address, phone, fax, principals represented and gifts made (last, first, middle name of person benefited, Position, Date, Nature of gift, Amount, Principal Name, Lobbyist Name) Data Missing: Lobbyist Compensation, bills or other actions lobbied, general lobbying activities, indirect lobbying expenses, Client (Principal) expenditures for lobbying activities, Client (Principal) business or organizational interest. Reporting frequency: Lobbyists must register and name their Clients (Principals) each year. Lobbyists file gift reports twice/year. Clients (Principals) file once/year when a gift has been given. How Reported: Electronically via Ethics Commission Web site portal. http://www.ok.gov/oec/Lobbyist_Reporting/index.html Online Public Disclosure: Public can search for the following data: Transactions of recipients and principals; Oklahoma Registered Principal List; Oklahoma Registered Lobbyists; and gifts by reporting period at https://www.ok.gov/ethics/lobbyist/public_index.php 152

Format of Online Data: Screenshots of Client (Principal) listing including Business/Org name, mailing address, and name and registration number of Lobbyist. Screenshots of Lobbyist listing (including personal and business address and names of Clients (Principals). .CSV files containing details of gift reports (which can be opened in spreadsheet or database programs). Format of Data for Document Requests: Gift reports can be downloaded in .CSV format. Address information for Lobbyists and Clients (Principals) must be manually entered from screenshots of lists available online.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free from website. Impediments to Data Collection: Lobbyist and Client (Principal) address data is not available in electronic format, so wed need to print off screenshots of Lobbyist and Client (Principal) lists and manually input and auditing the data Time to acquire/upload data: 1 month. Annual cost estimate: $25 printing costs; $1,000 in personnel costs

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OREGON
Lobbying Laws
Governing Laws: Oregon Government Ethics law - ORS Chapter 244 http://landru.leg.state.or.us/ors/244.html Lobby Regulation Law - ORS - ORS 171.725-171.785 http://landru.leg.state.or.us/ors/171.html Regulations: Oregon Administrative Rules, Division 10 -- Lobbying Registration and Reporting http://arcweb.sos.state.or.us/rules/OARS_100/OAR_199/199_010.html Branches/Activities Covered: Legislature: introducing, sponsoring, testifying, debating, voting or any other official action on any measure, resolution, amendment, nomination, appointment or report subject to action by the Legislative Assembly. Legislative action is also the approval or veto of legislative action by the Governor. Engendering goodwill (not defined) is considered Lobbying. No Executive branch activities covered except for approval or veto of legislative action. Registration Required: A lobbyist must separately register for each client or employer they represent. When a lobbyist registers to represent a client or employer, the lobbyist must obtain authorization from the client or employer. The signature and contact information of the client or employer is provided on the Lobbying Registration Statement submitted by the lobbyist. Required Reports: All registered Lobbyists and their Clients/Employers (any person, public agency, organization or business that authorizes a person to represent them as a lobbyist, with or without pay or any other consideration) must submit quarterly expense reports. Lobbyist Compensation Reported: Yes, by Client/Employer. Other Lobbying Data Reported: Lobbyist Name, address, total amount of all money spent on food, beverage and entertainment; sums that were reimbursed by the lobbyists client or employer along with the identity of the client or employer who made the reimbursement: net sum of personal lobbying expenses (the difference between the total expended and the total reimbursed). Client/Employer Name, address, lobbyist(s) or organization(s) paid moneys for lobbying (Paid To, Compensation Total, Reimbursed Total); Total expenditures for lobbying (total amount of all money spent on lobbying activities, including compensation, reimbursements, overhead costs, office space, equipment, and telecommunication costs. Also included are a lobbyists travel expenses related to lobbying, except for travel expenses incurred when visiting Salem to engage in lobbying activities) not reported by individual Lobbyists.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Oregon Government Ethics Commission http://www.oregon.gov/OGEC/index.shtml 154

What agency collects lobbying reports? Oregon Government Ethics Commission What agency maintains lobbying records? Oregon Government Ethics Commission What agency enforces lobbying laws/regulations? Oregon Government Ethics Commission Are audits conducted on reports? Not as a matter of course. Documents must be retained and available if a formal inquiry is made. Lobbying Manuals/Instructions: Guide to Lobbying in Oregon http://www.oregon.gov/OGEC/forms_publications.shtml Reporting forms: Lobbying Registration Statement http://www.oregon.gov/OGEC/docs/Forms/Lobby_Registration_Statement_12-09.pdf Lobbyist Quarterly Expenditure Report http://www.oregon.gov/OGEC/forms_publications.shtml Quarterly Client/Employer Expenditure Report http://www.oregon.gov/OGEC/forms_publications.shtml

Data Availability
Client Data Collected: The name of the business, organization, person or public agency that the lobbyist represents along with the name of a designated contact person; mailing address, telephone and fax numbers, and an email address where the clients contact person may be reached; general description of the client/employers type of business or activity; whether or not the client/employer is a public or governmental agency; general subject of legislative action or interest of the client/employer; name of any member of the Legislative Assembly employed, retained or otherwise compensated by the client/employer; total amount spent (including overhead costs related to lobbying activity) Name of each lobbyist compensated to provide lobbying services and the amount paid in compensation and the amount paid in reimbursement to the lobbyist for food, refreshment and entertainment; each occasion when an amount exceeding $50 was spent for a lobbying purpose that was for the benefit of a legislative or executive official (date, payee, name of the official, name of relative/household member, purpose and amount); Lobbyist Data Collected: Lobbyist name, mailing address, telephone and fax numbers, and an email address where the lobbyist or a designated contact person may be reached; The name of any member of the Legislative Assembly employed, retained or otherwise compensated by the lobbyist; total amount of money spent during the reporting period for food, refreshment and limited entertainment, the total amount reimbursed to them for food, refreshment and entertainment; name of each client or employer and the amount of reimbursement that each provided; the net expenditures made for food, refreshment and entertainment (total of all expenditures minus the total of expenditures reimbursed by the client); list each occasion when an amount exceeding $50 was spent for a lobbying purpose (date, payee, name of the official

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(and any relative or household member), purpose and amount); (If a relative or a member of the household of a legislative or executive official is not accompanied by the legislative or executive official on the itemized occasion, the expenditure made for the benefit of the relative or a member of the officials household is reported as a benefit to the legislative or executive official. The relative or member of the household that participated must be identified.) When a legislative or executive official receives a benefit exceeding $50 and the expense is shared by two or more lobbyists, one lobbyist must be designated to itemize the occasion in Part B of the designated lobbyists quarterly expenditure report. The lobbyist designated to itemize the occasion must also identify the other lobbyists and the amount paid by each. If a business, public agency or other organization, with two or more lobbyists, chooses to file a quarterly expenditure report that consolidates the lobbying activity expenditures, the itemization of the occasion must include the identity of the individual lobbyists responsible for the itemized lobbying activity expense Data Missing: Specific actions (bills, amendments, etc) lobbied and allocation of lobbying activities to specific actions; lobbying activities with executive branch agencies. Reporting frequency: Quarterly for both Lobbyists and their Clients How Reported: Reports are filed on paper. (In 2008 it was announced that OGEC would be moving to electronic filing but this has not happened yet.) Online Public Disclosure: Lists of Lobbyists and Clients/Employers http://www.oregon.gov/OGEC/forms_publications.shtml Annual summaries of Lobbyist and Lobbying Client/Employer expenditures are available at http://www.oregon.gov/OGEC/public_records.shtml No detailed disclosure of quarterly expenditures are available online. Format of Online Data: .pdf and Excel downloads of lists of Lobbyists and Clients and summary data from quarterly expenditure reports. Format of Data for Document Requests: Copies of individual reports can be obtained by email, fax, U.S. mail, or picked up in person.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: $0.25/page plus states staff time and postage Impediments to Data Collection: No electronic data available. Time to acquire/upload data: At least 6 weeks for OGEC to respond to each quarterly data request; 1,650 Lobbyists and Clients submit 4 reports each year. An additional 2 months to bundle, input, audit and upload each quarters reports.

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Annual cost estimate: $25,000, which includes $5,000 for copies of paper reports and $20,000 in personnel costs

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PENNSYLVANIA
Lobbying Laws
Governing Laws: The Lobbying Disclosure Law, Act 2006-134 (65 Pa.C.S. 13A01 et seq.) http://www.ethics.state.pa.us/portal/server.pt/community/lobbying/9042/the_lobbying_disclosure _law/541100 Regulations: Lobbying Disclosure 51 PA. CODE CHS. 51, 53, 55, 57, 59, 61, 63, 65, 67 AND 69 http://www.pabulletin.com/secure/data/vol39/39-15/691.html and http://www.pabulletin.com/secure/data/vol39/39-15/691a.html Branches/Activities Covered: Legislature: Bills, resolutions, amendments and nominations pending or proposed in either the Senate or the House of Representatives. The term includes any other matter which may become the subject of legislative action by either chamber of the General Assembly. Any other matter includes: Draft legislation; Any bills, resolutions, amendments and nominations pending or proposed by any State official or employee. Legislative action--An action taken by a State official or employee involving the preparation, research, drafting, introduction, consideration, modification, amendment, approval, passage, enactment, tabling, postponement, defeat or rejection of any of the following: Legislation; Legislative motions; A veto by the Governor; and Confirmation of appointments by the Governor or of appointments to public boards or commissions by a member of the General Assembly. Executive: An agency's (any executive agency or independent agency, board, commission or authority) proposal, consideration, promulgation or rescission of a regulation; development or modification of a guideline or a statement of policy; approval or rejection of a regulation; or procurement of supplies, services and construction under 62 Pa.C.S. (relating to procurement); the review, revision, approval or disapproval of a regulation under the Regulatory Review Act, the Governor's approval or veto of legislation; the nomination or appointment of an individual as an officer or employee of the Commonwealth; proposal, consideration, promulgation or rescission of an executive order. Registration Required: Lobbyists, Lobbying Firms, and Clients (Principals). Registration periods commence on the first day of each odd-numbered year and continue through December 31 of the following even-numbered year. Required Reports: Clients (registered Principals) file quarterly expense reports. If a Lobbyist or Lobbying Firm reports all expenses to and through their respective Clients (Principals), then the lobbyist or lobbying firm is not required to file quarterly expense reports. However, if a Client 158

(Principal) does not submit a quarterly expense report, or if a principal does not include all expenses of a lobbying firm or lobbyist in its report, then a lobbying firm or a lobbyist not associated with a lobbying firm files a quarterly expense report for any expenses not included in a principal's quarterly expense report. Lobbyist Compensation Reported: Yes (as part or all of the Direct Communications and Indirect Communications expenses reported). Other Lobbying Data Reported: Names and registration numbers and general subject matter or issue being lobbied. Total costs of all lobbying for period, including: office expenses, personnel expenses, expenditures related to gifts, hospitality, transportation and lodging to state officials or employees or their immediate families, and any other lobbying costs. Costs for direct communication, costs for indirect communication. Name, position and each occurrence, a State official or employee who receives from a principal or lobbyist anything of value which must be included in the statement. Name, permanent business address and telephone number of any individual, association, corporation, partnership, business trust or other business entity which contributed more than 10% of the total resources received by the principal.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Department of States Bureau of Commissions, Elections and Legislation http://www.palobbyingservices.state.pa.us/act134/default/aspx http://www.dos.state.pa.us/portal/server.pt/community/lobbying_disclosure/12746 What agency collects lobbying reports? Department of States Bureau of Commissions, Elections and Legislation http://www.palobbyingservices.state.pa.us/act134/default/aspx What agency maintains lobbying records? Department of States Bureau of Commissions, Elections and Legislation What agency enforces lobbying laws/regulations? State Ethics Commission http://www.ethics.state.pa.us/portal/server.pt/community/home/8992 Attorney General, Lobbying Disclosure Regulations Committee http://www.attorneygeneral.gov/theoffice.aspx?id=2099&ethicsNav=|10533| Complaints concerning violations pertaining to Conflicts of Interests for lobbyists who are also attorneys are handled by the Disciplinary Board of the Supreme Court of Pennsylvania. http://www.padisciplinaryboard.org/ Are audits conducted on reports? Yes. Each year 3% of Clients (Principals), 3% of Lobbyists, and 3% of Lobbying Firms are chosen by lottery for independent audit. 159

Lobbying Manuals/Instructions: Manual for Accounting and Reporting http://www.attorneygeneral.gov/uploadedFiles/The_Office/Final%20Lobbying%20Disclosure%2 0Manual%20w.%20AG%20Letter%20011309.pdf Reporting forms: Lobbyist, Lobbying Firm, and Client (Principal) Registration forms can be viewed at http://www.portal.state.pa.us/portal/server.pt/community/registration_forms/12747 Quarterly Expense Report/Amended Quarterly Expense Report forms can be viewed at http://www.portal.state.pa.us/portal/server.pt/community/expense_report_forms/12754

Data Availability
Client Data Collected: Name, Registration Number, Filing Period, Permanent Business Address, Contact Information of Filer (daytime telephone number, fax number and email address), Identification of Individual Filing Report (last name, first name and middle initial), Identification of Lobbyist(s)/Lobbying Firms(s) Lobbying on Principals Behalf, Total Expenditures for Gifts, Hospitality, Transportation and Lodging for State Officials or Employees or their Immediate Families, Total Costs for Direct Communication (includes lobbying fees paid, personnel expenses and office expenses), Total Costs for Indirect Communication (can include lobbying fees as well as media costs, personnel expenses and office expenses), Total Costs of all Lobbying for the Period, Subject(s) of Lobbying, Identification of State Official(s)/Employee(s) Receiving Gifts in the Aggregate of $250 or more for the Calendar Year and the Gifts Received (The name and position of the state official or employee, including the governmental body of the state official or employee; the name and address of the source of the gift; the date the gift was given and the value of the gift; and the circumstances of the gift, including the description of the gift), Identification of State Official(s)/Employee(s) receiving Payment/Reimbursement for Transportation and Lodging or Hospitality (Meals, Beverages, Recreation and entertainment) exceeding $650 in the Aggregate for the Calendar Year and the Payment/Reimbursement received (name and position of the state official or employee, including the governmental body of the state official or employee; name and address of the source of the payment; value of the transportation, lodging or hospitality and the date of the payment or reimbursement); Source of Contributions to Principal Resources Exceeding 10% (name, permanent business address, daytime telephone number, fax and email address of any individual, association, corporation, partnership, business trust or other business entity.), Lobbyist Data Collected: Name (If a lobbyist is a lobbying firm, association, corporation, partnership, business trust or other entity, its name and the names of the individuals who lobby on behalf of the principal must be included. Also indicate the permanent address and daytime telephone number as well as registration number for all identified lobbyists); Clients (Principal(s)) Represented. Expenditures are generally reported only by the Client (Principal); however, Lobbyists report any expenses not reported by the Principal (same categories as above).

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Data Missing: No detail on Direct and Indirect Communications costs, no allocation of lobbying effort to specific legislation or executive activity. Reporting frequency: Quarterly. An expense report is filed when total expenses for lobbying exceed $2,500 for a registered Client (principal) in a reporting period. In a reporting period in which total expenses are $2,500 or less, a statement to that effect is filed. How Reported: Electronically via Web portal maintained by Secretary of State, or paper reports mailed or hand delivered. While registration and subsequent reports may be filed either on paper or electronically, If a Lobbyist, Firm or Client (Principal) registers electronically, they must also file quarterly expense reports electronically. Online Public Disclosure: Searchable database, using quick search, Registration, Expenses, Affirmations, Public Reports, and Directory options. https://www.palobbyingservices.state.pa.us/ACT134/Public/EnhancedSearch.aspx A Lobbyist Directory is also available https://www.palobbyingservices.state.pa.us/act134/public/documents/LobbyistDirectory.pdf Format of Online Data: Screenshots of Registrations and Quarterly Expense Reports filed generated from database. Choosing Expenses option and year filed will generate listings of all quarterly reports filed for the year which can be viewed by clicking on the name of the filer. Format of Data for Document Requests: Electronic (state contacted for details) or printing screenshots from online queries.

Timeline and Costs for Data Acquisition


Timeline and Costs for Data Acquisition
Cost of obtaining Data: No response from State for cost of electronic data; printing screenshots from online is free at state website. Impediments to Data Collection: State has not responded to several requests for availability and cost of electronic data. Time to acquire/upload data: 4 weeks to print and bundle screenshots of 6800 reports/year; 6 weeks to manually input, audit and upload data. Annual cost estimate: Manual input: $25,000 which includes $20,000 in personnel costs and $5,000 in printing costs.

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RHODE ISLAND
Lobbying Laws
Governing Laws: Legislative Branch:CHAPTER 22-10, Lobbying http://www.rilin.state.ri.us/Statutes/TITLE22/22-10/INDEX.HTM Executive Branch: CHAPTER 42-139, Executive Branch and Public Corporation Lobbying http://www.rilin.state.ri.us/Statutes/TITLE42/42-139/INDEX.HTM Regulations: Legislative Branch Lobbying Rules: http://sos.ri.gov/documents/publicinfo/lobbying/SOS_3228.pdf Executive Branch Lobbying Rules: http://sos.ri.gov/documents/publicinfo/lobbying/SOS_3381.pdf Branches/Activities Covered: Legislature: promoting, opposing, amending, or influencing in any manner the passage by the general assembly of any legislation or the action on that legislation by the governor. Executive: promoting, opposing, or influencing any policy-making decisions or policy-making actions of the executive branch of government or of public corporations; or any decisions or actions on the part of the executive branch of government or any public corporation involving the sale, lease or other alienation or encumbrance of any real property owned or leased by the state or any public corporation. Registration Required: Legislative and Executive Branch Lobbyists, Lobbying firms and their Clients Required Reports: Legislative Branch Lobbying: Clients and Lobbyists file monthly reports The first monthly report of the year is due on March 15th and covers the months of January and February. Updated reports are filed by the fifteenth (15th) day of each month thereafter until the final adjournment of the general assembly. A final report is filed no later than thirty (30) days after the final adjournment Executive Branch Lobbying: Executive Clients and Lobbyists are required to file financial reports semiannually. The first report, covering the period January 1 through June 30 is due on July 30. The second report, covering the period July 1 though December 31 is due on January 30.

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Lobbyist Compensation Reported: Yes. Other Lobbying Data Reported: Complete report of lobbying expenditures including advertising; all campaign contributions in excess of $100 to state and municipal elected officials and state political action committees; expenditures, gifts, and honorariums to public officials of $25 or more for each occurrence; The report includes the names of the individuals receiving or in whose behalf the expenditures have been made, and the reason, date, and place of the expenditures.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State, Public Information Division http://sos.ri.gov/publicinfo/lobbying/ What agency collects lobbying reports? Secretary of State, Public Information Division What agency maintains lobbying records? Secretary of State, Public Information Division What agency enforces lobbying laws/regulations? Secretary of State, Public Information Division Are audits conducted on reports? No regularly scheduled audits. Lobbying Manuals/Instructions: Registering As A Lobbyist http://sos.ri.gov/publicinfo/lobbying/registering/ Reporting forms: All forms are electronic and screenshots of forms can be found at http://sos.ri.gov/publicinfo/lobbying/reports/

Data Availability
Client Data Collected: Legislature: Clients (name, address, phone) report all expenditures made for the purpose of lobbying, including, but not limited to, advertising expenses and all compensation paid to the lobbyists for lobbying, and all campaign contributions in excess of one hundred dollars ($100) to state and municipal elected officials and state political action committees. The report also includes any expenditure, gift, or honorarium of twenty-five dollars ($25.00) or more for each occurrence concerning any legislative offical paid or incurred. The report includes the names of the individuals receiving or in whose behalf the expenditures have been made, and the reason,

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date, and place of the expenditures. Any function to which the entire membership of the general assembly, or of either chamber or of any legally constituted legislative committee or commission within the general assembly, is invited, which is sponsored by any Client is deemed a lobbying activity, and any funds expended or incurred for that function is reported. Executive Branch: Clients (name, mailing address, phone) file a report of all compensation paid to the lobbyist for lobbying, and all campaign contributions in excess of one hundred dollars ($100) or more to state and municipal elected officials and state political action committees. The report includes the total amount expended for lobbying purposes, and an itemization of any expenditure, gift, or honorarium of twenty-five dollars ($25.00) or more for each occurrence paid or incurred for the specific purpose of promoting or opposing in any manner action by members of the executive branch or of public corporations, including the names of the persons receiving or in whose behalf the expenditures have been made, and the reason, time, and place of the expenditures. Lobbyist Data Collected: Legislature: Lobbyists (name, address, phone, firm name, client name) report of expenditures made for the purpose of lobbying which are not separately reported by their Clients, including, advertising expenses and all compensation paid to the lobbyists for lobbying, and all campaign contributions in excess of one hundred dollars ($100) to state and municipal elected officials and state political action committees. The report also includes any expenditure, gift, or honorarium of twenty-five dollars ($25.00) or more for each occurrence concerning any legislative or executive official paid or incurred by the person who engages the lobbyist and the lobbyist. The report includes the names of the individuals receiving or in whose behalf the expenditures have been made, and the reason, date, and place of the expenditures. Any function to which the entire membership of the general assembly, or of either chamber or of any legally constituted legislative committee or commission within the general assembly, is invited, which is sponsored by a lobbyist, is also reported. Executive Branch: Lobbyists (name, address, phone, firm name, client name) report of all compensation paid to the lobbyist for lobbying, and all campaign contributions in excess of one hundred dollars ($100) or more to state and municipal elected officials and state political action committees (not reported by Client). The report includes the total amount expended for lobbying purposes (not reported by Client), and an itemization of any expenditure, gift, or honorarium of twenty-five dollars ($25.00) or more for each occurrence paid or incurred by the lobbyist for the specific purpose of promoting or opposing in any manner action by members of the executive branch or of public corporations. Reports include the names of the persons receiving or in whose behalf the expenditures have been made, and the reason, time, and place of the expenditures. Data Missing: Executive branch actions lobbied, allocation of lobbying effort to specific actions. There is no list of Lobbyists and their Firms and Clients available in one place; one has to

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search by alphabetical listings to generate individual lists of registered lobbying entities and then click on the links provided for registration and report information. Reporting frequency: Legislative Clients and Lobbyists file monthly (except first report covers months of January and February), and annual/final reports for the calendar year Executive Clients and Lobbyists file semi-annually How Reported: Electronically though a Web portal maintained by the Secretary of State. Online Public Disclosure: Lobby Tracker http://sos.ri.gov/ltpublic/ Format of Online Data: Screenshots of reports generated by database (can search by: Lobbyists, Lobbyfirms, Entities, Bills, Topics, Reports In addition, the Secretary of State compiles data from all reports filed by Clients, Lobbyists and Lobbyist Firms into an annual report which is available in .pdf format. http://sos.ri.gov/ltpublic/?page=reports_view Format of Data for Document Requests: Locate and print screenshots of individual reports filed by Lobbyists, Lobbying Firms, and their Clients. State contacted about availability of copy of electronic database but has not responded.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free to access, view and print screenshots online. Impediments to Data Collection: Must individually locate, view and print off screenshots of over 9,000 reports filed each year. Time to acquire/upload data: 4 months of staff time to view, print, bundle, manually input and audit and upload data, 2 times/year. Annual cost estimate: $21,000 which includes $16,000 in personnel costs and $5,000 in printing costs.

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SOUTH CAROLINA
Lobbying Laws
Governing Laws: Lobbying Law Section 2-17-5, et al. http://ethics.sc.gov/Lobbying/Pages/LobbyingLaw.aspx Regulations: None found. Branches/Activities Covered: Legislature: bills, resolutions, amendments, reports, legislative acts, vetoes, nominations, rules, and regulations pending or proposed in either the House or Senate; any other matter which may be the subject of action by either house; or the appointment of committees of conference and free conference by the Speaker of the House of Representatives or the President of the Senate. Executive: Gubernatorial actions (approval or veto of legislation; consideration or issuance of any executive order; consideration or making of any appointment; or consideration of or the decision to award any grant derived from federal or other funds or from any source), proposal, drafting, development, consideration, amendment, withdrawal, or promulgation of a regulation Registration Required: Lobbyists and Clients (Principals). Required Reports: Lobbyists and Clients (Principals) each file semi-annual expenditure reports and updated/amended registrations as necessary. Lobbyists must file separate reports for each Client (Principal) represented. Lobbyist Compensation Reported: Yes Other Lobbying Data Reported: Lobbyists and Principals: Lobbyist's or Clients (Principal's) name, address, phone. Names of persons on whose behalf the reporting lobbyist lobbied or names of lobbyists who acted on the principal's behalf. Official name, number, or description of legislation, covered agency actions, or covered gubernatorial actions on which the reporting lobbyist lobbied. Sources, amounts of lobbyist's income or amounts and recipients of all lobbying compensation the principal paid. Itemized totals of all amounts spent in the performance of lobbying, segregated by: office expenses, rent, utilities, supplies, and compensation of support personnel; expenditures reimbursed by the principal. Name of each member of the judiciary on whose behalf a lobbyist initiated or made expenditures and an itemized account of the amount expended by the lobbyist for each member of the judiciary. Statement detailing certain business relationships the lobbyist or lobbyist principal has with

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legislators, the governor, the lt. governor or other constitutional officers and state agency employees. Any commercial transaction between a lobbyist or a lobbyist's principal and a member of the General Assembly, the Governor, the Lieutenant Governor, any other statewide constitutional officer, any public official of any state agency who engaged in covered agency actions, or any of their employees in which the fair market value of the goods transferred or services rendered is paid. Additional Requirements for Principals: Names of public officials on whose behalf a lobbyist's principal initiated or made expenditures, and an itemized list of the amount spent on each public official. Allowable reimbursements to public officials for travel to speaking engagements, etc. Name of each member of the judiciary on whose behalf a lobbyist initiated or made expenditures and an itemized account of the amount expended by the lobbyist for each member of the judiciary. Names of members of the organization who contributed more than $500 per year or 20 percent of all contributions to the organization. State Agencies: Identification of each public official, public employee, or other person who engaged in lobbying for that agency. Legislation, covered agency actions, or covered gubernatorial actions about which the persons engaged in lobbying. Recipients and amounts of all income attributable to lobbying. Itemized account of all expenditures made or incurred by state agency lobbyists in the performance of lobbying, segregated by office expenses, rent, utilities, supplies, and compensation of support personnel. Name of public officials on whose behalf the state agency or department initiated or made expenditures, itemized account of the amount expended by the state agency or department for each public official. Reimbursement of or allowable expenditures to public officials.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? State Ethics Commission http://ethics.sc.gov/Lobbying/Pages/index.aspx What agency collects lobbying reports? State Ethics Commission What agency maintains lobbying records? State Ethics Commission What agency enforces lobbying laws/regulations? State Ethics Commission (administrative or disciplinary action, public warnings and reprimands, order restitution, or civil penalties up to $2,000) Any criminal activity is subject to prosecution by the Attorney General's office/ Are audits conducted on reports? Not as a matter of course. Reviews are conducted and audits may be ordered if the review gives cause for a more formal investigation.

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Lobbying Manuals/Instructions: Electronic Filing Lobbying Activity Account Set-Up and Registration http://ethics.sc.gov/PDFs/AccountSetupandRegistrationUserGuidev10102.pdf Lobbyist's Principal Disclosure Filing User Guide http://ethics.sc.gov/PDFs/userGuidelpfiling.pdf Lobbyist Disclosure Filing User Guide http://ethics.sc.gov/PDFs/userGuide%20lobbyist%20filing.pdf Reporting forms: All reports filed electronically. Screenshots of reporting forms can be viewed in the above user guides.

Data Availability
Client Data Collected: : Client (Principal) name, report period, report deadline, filing type (Original, amended) mailing address, phone, contact person, Total Paid to Lobbyists (Amount, YTD Amount, Date, Payment Type, Lobbyist Name), Expenditures (Supplies, Rent, Utilities, Compensation of Support Personnel, Other Expenditures, Expenditures made on behalf of Public Official, Expenditures made on behalf of Judiciary, Speaking Engagements, Contributions, Voluntary Memberships Organizations (Amount, YTD Amount), Lobbyist Data Collected: Lobbyist name, report period, report deadline, filing type (Original, amended) mailing address, phone, Client (Principal) Name, Total Income received for lobbying (Amount, YTD Amount), Expenditures (Supplies, Rent, Utilities, Compensation of Support Personnel, Other Expenditures, Expenditures made on behalf of Judiciary, Direct business relationships. Data Missing: General business/organizational interest of Client (Principal), specific bills or actions lobbied, allocation of lobbying efforts. Reporting frequency: Income and Expenditure reports are filed bi-annually by both Lobbyists and Clients (Principals). Lobbyists file separate reports for each Client (Principal). How Reported: Electronically Online Public Disclosure: Public Disclosure and Accountability Reporting System for Lobbying Activity http://apps.sc.gov/LobbyingActivity/LAIndex.aspx Format of Online Data: Lists of Lobbyists and their related Clients (Principals) and Clients (Principals) with their related Lobbyists. Screenshots of individual Lobbyist and Client (Principal Reports) generated from database of electronic filings.

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Format of Data for Document Requests: Lists of Lobbyists and their related Clients (Principals) and Clients (Principals) with their related Lobbyists can be downloaded in .CSV format. Screenshots of individual Lobbyist and Client (Principal Reports) can be printed from screenshots. The state indicates their database is not in a format that would be useful but would be willing to run a specific query and provide a .csv file to be loaded to Access database.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Electronic: Depends on the individual query requested. Estimate cost at $250/request. Plus staff time to prepare data for upload. Impediments to Data Collection: Must define a specific query to obtain electronic format. Time to acquire/upload data: 1 month for state to respond to data request and 2 weeks of staff time to prepare data for upload, 2 times per year. Annual cost estimate: $5,000, which includes $500 for data and $4,500 in personnel costs.

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South Dakota
Lobbying Laws
Governing Laws: Title 2 Legislature and Statutes, Chapter 12 - Lobbyists. Available at http://legis.state.sd.us/statutes/DisplayStatute.aspx?Statute=2-12&Type=Statute Regulations: Not found. Branches/Activities Covered: Legislative only. Any activity to affect legislation in any way. Registration Required: There is not a specific registration schedule or date for lobbyist registration. Once a lobbyist has registered, he or she has ten days to produce a client (employer) authorization form indicating that the lobbyist is authorized to lobby for that employer. Required Reports: Lobbyists must file expense reports disclosing expenses paid or incurred influencing legislation by July 1 each year, excluding costs associated with the lobbyists private needs such as food and lodging. Clients (employers of registered lobbyists) also must file reports disclosing the expenses paid or incurred to influence legislation by July 1 each year. http://legis.state.sd.us/statutes/DisplayStatute.aspx?Type=Statute&Statute=2-12-11 Lobbyist Compensation Reported: No. Other Lobbying Data Reported: Email addresses for lobbyists and clients (lobbyist employers). The email address requirement is related to an upcoming switch to an online system, so this may not have been a requirement in previous years. The client expense reports also include the name and position of the person filling out the form, and the organizations address. The actual expenses on the client or lobbyist expense reports are supposed to include any kind of expense incurred to influence legislation, excluding personal expenses of the lobbyist such as the lobbyists own lodging, food, etc. These expense purposes are written descriptions, so the quality of the descriptions is likely to vary from report to report.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State http://www.sdsos.gov/

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What agency collects lobbying reports? Secretary of State http://www.sdsos.gov/ What agency maintains lobbying records? Secretary of State http://www.sdsos.gov/ What agency enforces lobbying laws/regulations? The Attorney Generals office or states attorney of the county were a violation is alleged to have been committed is responsible for bringing prosecutions of violations of lobbying laws, as noted in SD cod 2-12-12. http://legis.state.sd.us/statutes/DisplayStatute.aspx?Type=Statute&Statute=2-12-12 Are audits conducted on reports? Reports are not audited. Lobbying Manuals/Instructions: A link to lobbying laws is available on the Secretary of States website at http://www.sdsos.gov/adminservices/lobbyistreg.shtm. There is no manual available online. Reporting forms: Registration and expense forms are available on the Secretary of States website at http://www.sdsos.gov/adminservices/lobbyistreg.shtm

Data Availability
Client Data Collected: On the lobbyist authorization form filled out by the client (lobbyist employer) to indicate that a lobbyist is authorized to lobby in the clients behalf, the agent filling out the disclosure forms for the client (this is someone other than the hired lobbyist) is identified, along with the agents mailing address. The lobbyists name and the subject of interest that the client wants the lobbyist to address are also included. This subject of interest is a written description, so the quality of this data is likely to vary from report to report. On the client (lobbyist employer) expense report, up to three client email addresses are provided, along with the name of the person filling out the form and the persons title. The clients address is also provided. Lobbyist Data Collected: On the lobbyist registration form, the lobbyists name, mailing address, residence, occupation, home and business phone numbers, local or mobile phone numbers (for lobbyists temporarily staying in Pierre during the session), client, clients mailing address, and clients subject of interest are all included. The lobbyists email address may also be included, although this is optional. On the lobbyist expense reports, the lobbyist is required to provide one or more email addresses, along with a home address and a phone number. Data Missing: Lobbyist salaries/fees are not reported. It is possible that when viewing the reports, the quality of the written expense purposes may vary from descriptive to largely meaningless.

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Reporting frequency: The lobbyist and client (lobbyist employer) expense reports are due by July 1 to disclose expenses related to the legislative session that spring. How Reported: Reports are filed on paper Online Public Disclosure: The expenses from the lobbyist and client expense reports are not available online. A list of lobbyist/client relationships in all or any years can be viewed online. There is a list of these relationships for public lobbyists (lobbyists hired by public agencies), and a list of these relationships for other clients. The list for public lobbyists includes the lobbyist name, client name, and year of the relationship. The list for other lobbyists/clients includes the lobbyist name, address, city, state, and zip code, along with the client name, address, city, state and zip code, and also contains the year of the relationship. Format of Online Data: The expenses from the lobbyist and client expense reports are not available online. The list of lobbyist/client relationships is in HTML, and is searchable and sortable. Format of Data for Document Requests: We would have to order paper to be shipped to us from the state.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Secretary Gant suggested that they may charge as much as a $1 per report plus postage, and estimates that there are probably around 1,000 reports, so that would come to about $1,000 plus postage, reliant on the accuracy of the estimate of the number of reports. Impediments to Data Collection: All reports as of April 2011 have been filed on paper, and these paper reports are not available to view online and so will have to be ordered from the state. Time to acquire/upload data: 6 weeks for state to respond to document request. 2 months for bundling, inputting and auditing data for upload to database. Annual cost estimate: $17,250 which includes $16,000 in personnel costs and $1,250 in copying fees and postage.

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TENNESSEE
Lobbying Laws
Governing Laws: Title 3. Legislature Chapter 6. Ethics and Lobbying -- see Appendix A of the Lobbying Manual http://www.tn.gov/sos/tec/forms/Lobbyist%20Manual%202-2011_1.pdf http://www.tn.gov/sos/tec/forms/Lobbyist Manual 2-2011_1.pdf Regulations: RULES OF THE TENNESSEE ETHICS COMMISSION, CHAPTER 0580-01-05 RULES PERTAINING TO PROHIBITED CONDUCT -- see Appendix B of the Lobbying Manual. Branches/Activities Covered: Legislature: introduction, sponsorship, debate, voting or any other nonministerial official action or nonaction on any bill, resolution, amendment, nomination, appointment, report or any other matter pending or proposed in a legislative committee or in either house of the general assembly. Executive: taking of any recommendation, report or nonministerial action; the making of any decision or taking any action to postpone any action or decision; action of the governor in approving or vetoing any bill or resolution; the promulgation of a rule; or any action of a quasilegislative nature (not including ordinary and routine permitting, licensing, or compliance decisions by an official of the executive branch of state government). Registration Required: Lobbyists (including those within a lobbying firm) must register separately for each Client (Employer) on an annual basis. (A lobbying firm is not considered a Client (Employer) of any lobbyist within the firm for Client (Employer) registration purposes.) Clients (Employers of lobbyists) are required to annually register for each lobbyist they hire. Required Reports: Clients (Employers) report semi annual lobbying expenditures. Lobbyist Compensation Reported: Yes, by Clients (Employers) who report the "aggregate total amount of lobbyist compensation." For compensation paid to a person who performs duties in addition to lobbying "and related activities," the compensation is to be apportioned "to reflect the lobbyist's time allocated for lobbying and related activities." There is no definition of "related activities." The report is to be in monetary ranges (A) Less than $10,000; (B) At least $10,000 but less than $25,000; (C) At least $25,000 but less than $50,000; (D) At least $50,000 but less than $100,000; (E) At least $100,000 but less than $150,000; (F) At least $150,000 but less than $200,000; (G) At least $200,000 but less than $250,000; (H) At least $250,000 but less than $300,000; (I) At least $300,000 but less than $350,000; (J) At least $350,000 but less than $400,000; or (K) $400,000 or more; provided, however, that, if the aggregate total amount is reported within this range, then the employer rounds the aggregate total amount to the nearest $50,000 and reports the rounded amount within the disclosure report; from less than

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$10,000 to $400,000 or more. Other Lobbying Data Reported: Lobbyist full contact information, whether he or she has an immediate family member who is a legislative or executive branch official and whether he or she has any business arrangements with such officials. Identifying information concerning the Lobbyists Clients (Employers). Client (Employer) name, address, telephone number, and e mail address. The names of the individuals performing the functions of chief executive officer and chief financial officer (or equivalent executive). The name and contact information of each Lobbyist authorized to represent the Client (Employer); and the date that the employer received or downloaded a copy of the manual. The "aggregate total amount of Client (Employer) expenditures incurred for the purpose of influencing legislative or administrative action through public opinion or grassroots action, excluding lobbyist compensation." There is a required apportionment for "multi-state effect," and the report is to be in ranges from less than $10,000 to $400,000 or more. The "aggregate total amount" of expenditures for events paid for by the Client (Employer) to which the entire membership of the Tennessee General Assembly was invited.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Tennessee Ethics Commission http://state.tn.us/sos/tec/index.htm http://state.tn.us/sos/tec/index.htm What agency collects lobbying reports? Tennessee Ethics Commission What agency maintains lobbying records? Tennessee Ethics Commission What agency enforces lobbying laws/regulations? Tennessee Ethics Commission Are audits conducted on reports? Yes. Each year no more than 4% of the registration statements, amendments to registration statements and reports of all lobbyists to determine compliance with the Act.2 The lobbyists are selected randomly, in the presence of a representative of the Office of the Attorney General and Reporter. Lobbying Manuals/Instructions: MANUAL FOR LOBBYISTS AND EMPLOYERS OF LOBBYISTS http://www.tn.gov/sos/tec/forms/Lobbyist%20Manual%202-2011_1.pdf Lobbyist Random Audit Guidelines http://www.tn.gov/sos/tec/forms/Rand.audit.guidelines.1.6.09-1.pdf http://www.tn.gov/sos/tec/forms/Rand.audit.guidelines.1.6.09-1.pdf Reporting forms: Semi Annual Lobbying Expenditure Report for Employers of Lobbyists. InState Event Disclosure Form http://www.tn.gov/sos/tec/forms/ss-8007.pdf Lobbyist Indirect Gift Disclosure Form http://www.tn.gov/sos/tec/forms/ss-8008.pdf http://www.tn.gov/sos/tec/forms/ss-8008.pdf http://www.tn.gov/sos/tec/forms/ss-8008.pdf

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Data Availability
Client Data Collected: Name, address, telephone, fax, email address, names of CEO and CFO, date TEC Manual provided, nature of company business, name and title of lobbyist supervisor, affiliated Lobbyists, Total Aggregate Lobbyist Compensation (by range); LobbyingRelated Expenses (by range); and Aggregate Total of All In-State Events (by range). Lobbyist Data Collected: Name, address, phone, email, Client (Employer) name, registration date. Data Missing: Specific lobbying expenditures of any type (no specific compensation paid to lobbyists, other lobbying costs such as office space, utilities, support staff, etc) specific actions lobbied, allocation of lobbying efforts. Reporting frequency: Semi-annually: October 1 - March 31 (due May 15) and April 1 September 30 (due November 14). Recently the General Assembly passed legislation to change the reporting periods to coincide with the calendar year. A report will be due May 15 2011 covering October 2010-March 2011. The next report will be due February 14, 2012 and will cover April - December 2011. How Reported: Electronically through a Web portal. https://apps.tn.gov/ilobby/ https://apps.tn.gov/ilobby/ Online Public Disclosure: Yes https://apps.tn.gov/ilobbysearch-app/search.htm https://apps.tn.gov/ilobbysearch-app/search.htm Format of Online Data: Screenshots of Lobbyist and Client (Employer) data generated by searching by name, subject matter (which is actually nature of Clients business rather than specific actions lobbied), or year. Leaving the search variables blank produces a list of all Clients (Employers). Clicking on a Client (Employer) name will bring up registration information and allow users to view individual expenditure reports filed. Format of Data for Document Requests: Download names and addresses of Lobbyists and Clients (Principals) online. Expense data in electronic format can be requested from the Ethics Commission.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free downloads and expenditure data request Impediments to Data Collection: Expenditure data through March 2011 is not reported on a calendar year basis. Time to acquire/upload data: 3 weeks each collection (6 weeks/year). 175

Annual cost estimate:

$7,500/year in personnel costs.

176

TEXAS
Lobbying Laws
Governing Laws: Chapter 305, Government Code, Registration of Lobbyists http://www.ethics.state.tx.us/statutes/09ch305.htm Regulations: Chapter 34. Regulation of Lobbyists http://www.ethics.state.tx.us/legal/ch34.html Branches/Activities Covered: Legislature: a bill, resolution, amendment, nomination, or other matter pending in either house of the legislature; any matter that is or may be the subject of action by either house or by a legislative committee, including the introduction, consideration, passage, defeat, approval, or veto of the matter; or any matter pending in a constitutional convention or that may be the subject of action by a constitutional convention. Executive: rulemaking, licensing, or any other matter that may be the subject of action by a state agency or executive branch office, including a matter relating to the purchase of products or services by the agency or office. The term includes the proposal, consideration, or approval of the matter or negotiations concerning the matter. Registration Required: Lobbyists, Lobbyist Firms, Clients (all referred to as registrants and Lobbyists), A person must register if the person: makes a total expenditure of $200 in a calendar quarter, not including the persons own travel, food, or lodging expenses or the persons own membership dues, to communicate directly with one or more members of the legislative or executive branch to influence legislation or administrative action; or receives, or is entitled to receive under an agreement under which the person is retained or employed, compensation or reimbursement, not including reimbursement for the persons own travel, food, or lodging expenses or the persons own membership dues, of more than $200 in a calendar quarter from another person to communicate directly with a member of the legislative or executive branch to influence legislation or administrative action. (A person must register if the person, as part of his regular employment, has communicated directly with a member of the legislative or executive branch to influence legislation or administrative action on behalf of the person by whom he is compensated or reimbursed, whether or not the person receives any compensation for the communication in addition to the salary for that regular employment.) Required Reports: Monthly Lobby Activities Reports are filed by registrants and amended or updated reports as necessary. If the registrant files a written declaration of intent not to exceed $1,000 in expenditures during each calendar year in which that registration or registration renewal is effective, only one annual Lobby Activities Report is due. Lobbyist Compensation Reported: Yes -- in broad ranges. Compensation or reimbursement is reported in the following categories unless reported as an exact amount: (1) $0 if no compensation or reimbursement is received; (2) less than $10,000; (3) at least $10,000 but less

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than $25,000; (4) at least $25,000 but less than $50,000; (5) at least $50,000 but less than $100,000; (6) at least $100,000 but less than $150,000; (7) at least $150,000 but less than $200,000; and (8) at least $200,000 but less than $250,000; (9) at least $250,000 but less than $300,000; (10) at least $300,000 but less than $350,000; (11) at least $350,000 but less than $400,000; (12) at least $400,000 but less than $450,000; (13) at least $450,000 but less than $500,000; and (14) $500,000 or more (in which case the exact amount must be reported). Other Lobbying Data Reported: Total expenditures made to communicate directly with a member of the legislative or executive branch to influence action and that are directly attributable to a member of the legislative or executive branch or the immediate family of a member of the legislative or executive branch, in these categories: transportation and lodging; food and beverages; entertainment; gifts, other than awards and mementos; expenditures made for the attendance of members of the legislative or executive branch at political fund-raisers or charity events. Total expenditures made by the registrant or by others on the registrant's behalf and with the registrant's consent or ratification for: broadcast or print advertisements, direct mailings, and other mass media communications. List of the specific categories of subject matters about which the registrant, any person the registrant retains or employs to appear on the registrant's behalf, or any other person appearing on the registrant's behalf communicated directly with a member of the legislative or executive branch. Include the number or other designation assigned to the administrative action, if known. If a registrant, or someone on the registrant's behalf, makes an expenditure that's more than 60 percent of the legislative per diem for transportation or lodging, or food and beverage for a member of the legislative or executive branch, include a report detailing: name of public official, place and date, purpose. In the case of food and beverage, report if given to members of public official's family. If a registrant, or someone on the registrant's behalf, gives a gift, memento or award worth more than $50, the name of recipient, a description of the gift, and amount. If a registrant, or someone on the registrant's behalf, makes expenditures for the attendance of a member of the legislative or executive branch at a political fund-raiser or charity event, the name of the member of the legislative or executive branch in whose behalf the expenditure is made; name of the charity or the name of the candidate or officeholder for whom the political fund-raiser was held; and the date of the fund-raiser or event.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Texas Ethics Commission http://www.ethics.state.tx.us/main/lobbyist.htm What agency collects lobbying reports? Texas Ethics Commission What agency maintains lobbying records? Texas Ethics Commission What agency enforces lobbying laws/regulations? The commission, the attorney general, or any county or district attorney.

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Are audits conducted on reports? Not routinely. Lobbying Manuals/Instructions: Lobbying in Texas, A Guide to the Texas Law http://www.ethics.state.tx.us/guides/LOBBY_guide.htm Lobby Registration -FORM REG - Instruction Guide http://www.ethics.state.tx.us/forms/REG_ins.pdf Form LA Instruction Guide pdf file Legislative Advertising http://www.ethics.state.tx.us/pamphlet/B07legad.htm Reporting forms: 2011 Lobby Registration (Form REG) (Form SSN must be submitted with Form REG) 2011 Lobby Registration Amendment (Form AREG) Form AREG Instruction Guide pdf file Corrected Form REG / AREG and Good-Faith Affidavit Confidential Social Security Information (Form SSN) Lobby Activities Report (Form LA) Corrected Form LA and Good-Faith Affidavit Lobby Termination Notice (Form TN) Conflict of Interest Notice to Client by Lobbyist (Form CI-CLIENT) Conflict of Interest Statement Filed with Texas Ethics Commission by Lobbyist (Form CI-TEC) Lobby Electronic Filing Password (Form LOBBY PASS) Affidavit For Lobbyist: Electronic Filing Exemption Notice Filed by Legislator Concerning Relative Who Is A Lobbyist (Form LEG-REL) Notice Filed by Lobbyist Related to Legislator (Form LOB-REL) Affidavit of Defense (to raise a defense to late filing)

Data Availability
Client Data Collected: Name and Mailing Address. If Client is also required to file as a Lobbyist (which is quite rare): Registrant/Lobbyist Name; Unique Report#; How filed (Electronic or Paper); Year; Period Covered, Entity Code. Lobbyist Title; Lobbyist Suffix; Lobbyist Nickname/Acronym; Lobbyist Name as Signed; Individual Reporting for Entity?(Yes/No); Report Type; Transportation & Lodging; Food & Beverages; Entertainment; Gifts ; Pol Fundraisers/Charity Events; Mass Media Communications; State Senators; State Representatives; Other Elected/Appointed Offcls; Legislative Branch Employees; Executive Agency Employees; Family of Legis/Exec Branch; Events - All Legis Invited; Guests Number. General interests lobbied. For detailed expenditures: Recipient Last Name; Recipient First Name; Recipient Title; Recipient Suffix; Recipient Nickname; Name of Restaurant/Other Place/Vendor; City; State Code; Zip Code; Credit Card Expenditure; Expenditure Date; Amount (Less than $100; $100 but less than $150; $150 but less than $200; $200 but less than $250; $250 but less than $300; $300 but less than $350; $350 but less than $400; $400 but less than $450; $450 but less than $500; Exact $)

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Lobbyist Data Collected: Registrant/Lobbyist Name; Unique Report#; How filed (Electronic or Paper); Year; Period Covered, Entity Code. Lobbyist Title; Lobbyist Suffix; Lobbyist Nickname/Acronym; Lobbyist Name as Signed; Individual Reporting for Entity?(Yes/No); Report Type; Transportation & Lodging; Food & Beverages; Entertainment; Gifts ; Pol Fundraisers/Charity Events; Mass Media Communications; State Senators; State Representatives; Other Elected/Appointed Offcls; Legislative Branch Employees; Executive Agency Employees; Family of Legis/Exec Branch; Events - All Legis Invited; Guests Number. General interests lobbied. For detailed expenditures: Recipient Last Name; Recipient First Name; Recipient Title; Recipient Suffix; Recipient Nickname; Name of Restaurant/Other Place/Vendor; City; State Code; Zip Code; Credit Card Expenditure; Expenditure Date; Amount (Less than $100; $100 but less than $150; $150 but less than $200; $200 but less than $250; $250 but less than $300; $300 but less than $350; $350 but less than $400; $400 but less than $450; $450 but less than $500; Exact $) Data Missing: Specific Lobbyist compensation paid/received; specific amounts in expenditure categories (reported only in ranges); specific actions lobbied; allocation of lobbying activities. Unless the Client also registers as a Lobbyist (which is very rare), there are no details available about expenditures, nature of Clients business, specific actions lobbied, allocation of lobbying efforts. Reporting frequency: Regular filers file monthly Lobby Activities Reports (FORM LA). Registrants who elected at the time of registration to file on a modified basis (and remain eligible to do so) file an annual activities report between January 1 and January 10. How Reported: Lobbyist registration reports and lobby activity reports are required to be filed electronically, unless the lobby registrant is eligible to claim an exemption. Lobbyists not required to file electronically are those who expect to be paid (compensated and/or reimbursed) less than $10,000/year for lobbying (and have received less than $10,000/year during the past two years), do not expect to spend more than $1,000 per year in lobbyist expenditures (and have not spent more than $1,000/year during the past two years), do not use computer equipment to keep records of their clients/employers, and do not contract or employ persons or entities who use computer equipment to keep records of their clients/employers. Online Public Disclosure: The Texas Ethics Commission provides public access to Lobbyist Registration and Activities Reports at: Search Lobby Registrations , Search Lobby Activities Reports , and Lobby Lists and Reports Itemized expenditures can be searched for electronically filed reports only; paper filed reports are not entered into the database.http://www.ethics.state.tx.us/dfs/loblists.htm Format of Online Data: Searchable database of Lobbyist Registrations and Activities Reports that have been filed electronically.

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Format of Data for Document Requests: Lobby Activities Reports Database can be downloaded at: Access Database | Text Files Copies of paper reports must be ordered from the Commission.http://www.ethics.state.tx.us/tedd/TEC_LA_CSV.zip

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Electronic data is free; paper reports cost $0.25/page plus shipping. Impediments to Data Collection: Paper filed reports are not input into the database or scanned for viewing/printing online and must be ordered. There are still a large number of paper reports filed each year. Time to acquire/upload data: 2 months each order/upload. Assume ordered semi-annually, total of 4 months. Annual cost estimate: $10,500 which includes $7,500 in personnel costs and $3,000 in acquisition costs for paper reports.

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UTAH
Lobbying Laws
Governing Laws: Lobbyist Disclosure and Regulation Act http://elections.utah.gov/utahlobbyistlaw.html Regulations: Rule R623-1. Lieutenant Governor's Procedure for Regulation of Lobbyist Activities (As in effect on April 1, 2011) http://www.rules.utah.gov/publicat/code/r623/r623001.htm Branches/Activities Covered: Legislative: a bill, resolution, amendment, nomination, veto override, or other matter pending or proposed in either house of the Legislature or its committees or requested by a legislator; and the action of the governor in approving or vetoing legislation. Executive: a nomination or appointment by the governor; the proposal, drafting, amendment, enactment, or defeat by a state agency of a rule; agency ratemaking proceedings; or adjudicative proceedings of a state agency. Registration Required: Lobbyists. Required Reports: Lobbyists, Clients (Principals) (if they make expenditures benefiting governmental officials independent of their Lobbyist(s)) and Government Officers (if they make expenditures benefiting governmental officials) file quarterly expense reports. Lobbyist Compensation Reported: No Other Lobbying Data Reported: Total amount of expenditures made to benefit public officials during the quarterly reporting period. Total amount of expenditures made, by the type of public official, during the quarterly reporting period. Total amount of expenditures made to benefit any public official and total amount of expenditures made, by the type of public official, during the last calendar year. Disclosure of each expenditure made during the quarterly reporting period to reimburse or pay for travel or lodging for a public official, including: each travel destination and each lodging location, the name of each public official who benefited from the expenditure on travel or lodging, the public official type of each public official named, for each public official named, a listing of the amount and purpose of each expenditure made for travel or lodging, and the total amount of expenditures listed. Disclosure of aggregate daily expenditures greater than $10 made during the quarterly reporting period including: date, purpose, and location of expenditure, name of any public official benefited, type of the public official benefited, and the total monetary worth of the benefit that the expenditure conferred on any public official. For each public official who was employed by the lobbyist, principal, or government officer, a list that 182

provides: name of the public official, and nature of the employment with the public official. Each bill or resolution, by number and short title, on behalf which the lobbyist, principal, or government officer made an expenditure to a public official. Description of each executive action on behalf of which the lobbyist, principal, or government officer made an expenditure to a public official. General purposes, interests, and nature of the entities that the lobbyist, principal, or government officer filing report represents. For a lobbyist, a certification that the information provided in the report is true, accurate, and complete to the lobbyist's best knowledge and belief.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Lieutenant Governor http://www.utah.gov/ltgovernor/ What agency collects lobbying reports? Lieutenant Governor What agency maintains lobbying records? Lieutenant Governor What agency enforces lobbying laws/regulations? Lieutenant Governor, Attorney General Are audits conducted on reports? Not regularly. May be audited in the course of an investigation. Lobbying Manuals/Instructions: On-line instructions http://elections.utah.gov/lobbyistsregistrationandregistrationform.html Reporting forms: Lobbyist Registration https://secure.utah.gov/lobbyist/lobb

Data Availability
Client Data Collected: Name, Address, the total amount of expenditures made to benefit any public official; the total amount of expenditures made, by the type of public official; total amount of expenditures made to benefit any public official during the last calendar year; and expenditures made to reimburse or pay for travel or lodging for a public official, (each travel destination and each lodging location; name of each public official who benefitted from the expenditure on travel or lodging; public official type, a listing of the amount and purpose of each expenditure made for travel or lodging; and the total amount of expenditures); aggregate daily expenditures greater than $10 (date and purpose of the expenditure; location of the expenditure; name of any public official benefitted by the expenditure; type of the public official; and total monetary worth of the benefit that the expenditure) for each public official who was employed by the Client (Principal) or government officer, a list that provides (name of the public official; and the nature of the employment); each bill or resolution, by number and short title, on

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behalf of which the Client (Principal), or government officer made an expenditure to a public official; a description of each executive action on behalf of which the Client (Principal) or government officer made an expenditure to a public official; the general purposes, interests, and nature of the entities that the Client (Principal), or government officer filing the report represents. Lobbyist Data Collected: Name, Address, and for expenditures made directly by the Client (Principal): the total amount of expenditures made to benefit any public official; the total amount of expenditures made, by the type of public official; total amount of expenditures made to benefit any public official during the last calendar year; and expenditures made to reimburse or pay for travel or lodging for a public official, (each travel destination and each lodging location; name of each public official who benefited from the expenditure on travel or lodging; public official type, a listing of the amount and purpose of each expenditure made for travel or lodging; and the total amount of expenditures); aggregate daily expenditures greater than $10 (date and purpose of the expenditure; location of the expenditure; name of any public official benefited by the expenditure; type of the public official; and total monetary worth of the benefit that the expenditure) for each public official who was employed by the lobbyist, a list that provides (name of the public official; and the nature of the employment); each bill or resolution, by number and short title, on behalf of which the lobbyist made an expenditure to a public official; a description of each executive action on behalf of which the lobbyist made an expenditure to a public official; the general purposes, interests, and nature of the entities that the lobbyist, principal, or government officer filing the report represents. Data Missing: Lobbyist compensation, Indirect lobbying expenses, support staff, printing, communications and other office expenses; allocation of lobbying effort on specific actions. Reporting frequency: Quarterly How Reported: Electronic through Web portal Online Public Disclosure: Utah Lobbyist Online, Citizens Center https://secure.utah.gov/lobbyist/lobbysearch Format of Online Data: Alphabetical Lists of Lobbyists and Principals with hyperlinks to screenshots of individual filed reports. Format of Data for Document Requests: Printing individual screenshots of reports. State has not responded to inquiries for format of electronic data

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Electronic: State has not responded to requests for availability and cost of electronic data. Printing screenshots is available free online at the state's website. 184

Impediments to Data Collection: State has not responded to requests for information about availability and costs of electronic data. Manual data collection will take significant time and resources. Time to acquire/upload data: 2 weeks for viewing, printing, and bundling 1800 reports per year; 2 months to manually input, audit and upload data. Annual cost estimate: Manual data acquisition: $21,000 which includes $20,000 in personnel costs and $1,000 in printing costs.

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Vermont
Lobbying Laws
Governing Laws: Vermont Statutes Annontated, Title 2, Chapter 11: http://www.leg.state.vt.us/statutes/sections.cfm?Title=02&Chapter=011 Regulations: None found. Branches/Activities Covered: All legislators and administrative officials: all legislative actions and administrative activities. Legislative action means any action by a legislator with regard to introduction of a bill, resolution or amendment or with regard to any bill, resolution, amendment, report, appointment, recommendation, nomination, election, proposed or final proposed rule or other matter proposed for consideration by or pending in the general assembly or in any committee of the general assembly. Administrative activity means any action taken by an administrative official or by any agency, department, division, office, board or commission of state government with regard to any proposal, drafting, development or consideration of a policy, practice or rule. Registration Required: Lobbyists who receive or expend $500 or more for lobbying must register with the Secretary of State, and must file a separate registration for each client (employer) represented. Lobbyists pay a $25 registration fee once and a $5 fee for each client (employer), and must submit a passport-type photograph with the registration form. Clients (Lobbyist Employers) register with the Secretary of State listing every lobbyist employed. A lobbyist employer pays an initial registration fee of $25 and $5 for each lobbyist added. After the initial registration, if a client files a supplemental report they must again file a $25 fee plus $5 for every lobbyist listed in the supplemental report, plus an additional $5 to link the lobbyist to the client. Lobbying Firms file a Lobbying Firm Listing that lists all lobbyists who are employed by, subcontracted by, members of, or affiliated with the firm. No fee is associated with this form. Required Reports: Lobbyist Registration form: http://vermontelections.org/elections1/Registration%20Forms/2011-2012%20Lobbyist%20Registration.pdf Client form: http://vermont-elections.org/elections1/Registration%20Forms/20112012%20Lobbyist%20Employer%20Registration.pdf

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Lobbyist Firm Listing: http://vermont-elections.org/elections1/Registration%20Forms/20112012%20Lobbying%20Firm%20Listing.pdf Lobbyist Compensation Reported: Yes, as of 2009. Lobbyists not affiliated with a lobbying firm must report the total compensation paid to the lobbyist for lobbying activities, including the name and address of each client. Lobbying firms are responsible for reporting compensation paid to lobbyists affiliated with them. Lobbying firms report the total compensation paid to the firm by all lobbyist clients for the reporting period and list the names and addresses of each client who compensated the lobbying firm. Lobbyist clients report compensation paid to individual clients not listed with a lobbying firm, or compensation paid to the lobbying firm. Clients must list the names and addresses of any lobbying firms or lobbyists compensated, including reimbursements to lobbyists or lobbying firms for other expenditures. Other Lobbying Data Reported: All lobbyists, clients, and lobbying firms must break down expenditures into four categories: advertising, telemarketing, contracts (over $100) and other expenditures. Gifts over $15 made to legislators or administrative officials, including political contributions, anything of value bestowed for less than adequate consideration, a meal, alcoholic beverage, ticket, fee, or honorarium, or a loan made on terms more favorable than those made generally to the public, must be reported.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Vermont Secretary of State http://vermontelections.org/elections1/lobbyist.html What agency collects lobbying reports? Vermont Secretary of State What agency maintains lobbying records? Vermont Secretary of State What agency enforces lobbying laws/regulations? Vermont Attorney General, however, the Vermont Secretary of State assesses late filing fees. Are audits conducted on reports? No. The Attorney General investigates reports on his or her own initiative or in response to complaints filed in writing. Lobbying Manuals/Instructions: http://www.vermontelections.org/elections1/lobbyist_law.html Reporting forms: http://www.vermont-elections.org/elections1/lobbyist_forms.html

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Data Availability
Client Data Collected: Client (Lobbyist Employer) name, address, city/town, state, zip, name/address changes, compensation paid to all lobbyists, expenditures for advertising, telemarketing, contracts with legislators or administrative officials, and other expenditures, and lobbyist names and addresses for the reporting period. If expenditures for telemarketing, contracts, or gifts are reported, a detailed form must also be attached. On the Details of expenditures and/or gifts form, the lobbyist/client/lobbying firm must list their name address, city, state, and zip, and report the amount, to whom paid, date of expenditure, and description for telemarketing expenditures, the amount, name of legislator/admin. official, start date, and end date for contracts, and/or the value, recipient of gift, date, nature of gift, and requested by for gifts. Lobbyist Data Collected: Lobbyist name, address, city/town, state, zip, address changes, compensation paid by all clients, expenditures for advertising, telemarketing, contracts with legislators or administrative officials, or other, and names and addresses of clients. If expenditures for telemarketing, contracts, or gifts are reported, a detailed form must also be attached. On the Details of expenditures and/or gifts form, the lobbyist/client/lobbying firm must list their name address, city, state, and zip, and report the amount, to whom paid, date of expenditure, and description for telemarketing expenditures, the amount, name of legislator/admin. official, start date, and end date for contracts, and/or the value, recipient of gift, date, nature of gift, and requested by for gifts. For Lobbyists employed by Lobbying Firms, this data is reported by their firm for all employed lobbyists. Data Missing: Client focus, Client actions they seek to influence, indirect activities, bills lobbied, specific actions lobbied, general interests lobbied, allocation of expenditures/lobbying effort. Reporting frequency: (1) On April 25, for the period beginning January 1 through March 31 (2) On July 25, for the period beginning April 1 through June 30, (3) On January 25, for the period beginning July 1 through December 31 How Reported: Reports are filed on paper. Online Public Disclosure: Users can search online for lobbyists or clients (Lobbyist Employers) by name. For the lobbyists, you can see the name, address, and status of the lobbyist and employer, total expenditures for each report, and compensation. A link is also included with the lobbyists photos. No reports filed by Lobbying Firms are available for online viewing and therefore, none of the compensation or expenditures of their individual lobbyists are available for viewing online. http://vermont-elections.org/elections1/lobbyist.html For the client search, results will show the client name, address, phone number, status, lobbyists employed (with start and end dates), gift information (with recipient name, date, value, nature, and requested by), and disclosure information (report date, total expenditure amount,

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and total compensation amount). Details of expenditures and gifts required to be reported can be searched by the recipients (public official receiving or benefitting from the expenditure) name which will return the date and general nature of the expenditure but not the amount. Format of Online Data: Information can be searched for separately by each lobbyist or client name, or an .xls list can be downloaded with a summary of all lobbyist and expenditure information (except gift detail) for a given year. Gift detail must be searched separately by recipient last name and does not include value of gift. Format of Data for Document Requests: Copies of paper disclosure reports filed.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Paper reports are available for $20/hr plus $0.05/page. The State estimates 2,750 pages of 2010 reports. Assume 60 hrs of copying time = $1,200 plus $1,375 for copying costs = $2,575. Impediments to Data Collection: Only summary data viewable online and that data obviously has errors since the total Compensation reported by Clients (Lobbyists Employers) is less than the total Compensation reported by their Lobbyists and Lobbying Firms; must obtain paper copies of reports filed and manually enter, audit and upload data to a database. Time to acquire/upload data: 1 month for state to respond to data request; 2 months to bundle, manually enter, audit, and upload data each 6 months. Annual cost estimate: $10,575 which consists of $2,575 in data acquisition costs plus $8,000 in personnel costs.

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VIRGINIA
Lobbying Laws
Governing Laws: Code of Virginia Lobbyist Registration Act: http://www.commonwealth.virginia.gov/StateGovernment/Lobbyist/lobbyDocs/lobbyistRegAct.pd f Regulations: Not found. Branches/Activities Covered: Legislative: Preparation, research, drafting, introduction, consideration, modification, amendment, approval, passage, enactment, tabling, postponement, defeat, or rejection of a bill, resolution, amendment, motion, report, nomination, appointment, or other matter by the General Assembly or a legislative official (A member or member-elect of the General Assembly; A member of a committee, subcommittee, commission, or other entity established by and responsible to the General Assembly or either house of the General Assembly; or Persons employed by the General Assembly or an entity established by and responsible to the General Assembly).; Action by the Governor in approving, vetoing, or recommending amendments for a bill passed by the General Assembly; or Action by the General Assembly in overriding or sustaining a veto by the Governor, considering amendments recommended by the Governor, or considering, confirming, or rejecting an appointment of the Governor. Executive: proposal, drafting, development, consideration, amendment, adoption, approval, promulgation, issuance, modification, rejection, or postponement by an executive agency (an agency, board, commission, or other body in the executive branch of state government, including the State Corporation Commission, the Virginia Department of Workers' Compensation, and the State Lottery Department) or official (Governor; Lieutenant Governor; Attorney General; Any officer or employee of the office of the Governor or Lieutenant Governor other than a clerical or secretarial employees; and the Governor's Secretaries, the Deputy Secretaries, and the chief executive officer of each executive agency; or Members of supervisory and policy boards, commissions and councils) of legislation or executive orders issued by the Governor. Registration Required: Lobbyists. State and local government agency officials are also required to register their designated employees who will lobby on their behalf (these agencies are not allowed to hire outside Lobbyists). Required Reports: Lobbyists Disclosure Statement filed annually by July 1 for the twelvemonth period beginning May 1 and ending April 30. This is a jointly filed report by the Lobbyist

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and the Client (Principal). Principals who spend more than $500 to employ multiple lobbyists file a consolidated report. Lobbyist Compensation Reported: Yes Other Lobbying Data Reported: Client (Principal's) name, business address, phone, list of executive and legislative actions lobbied on, description of activities conducted. Total expenditures in these categories: entertainment, gifts, office expenses, communications, personal living and travel, compensation of lobbyists, honoraria, registration costs, other. Lobbyist's name, business address, phone. Whether lobbyist is employed by the principal, retained by the principal or not compensated. List of other lobbyists who represent the same principal.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Office of the Secretary of the Commonwealth http://www.commonwealth.virginia.gov/StateGovernment/Lobbyist/lobbyist.cfm What agency collects lobbying reports? Office of the Secretary of the Commonwealth What agency maintains lobbying records? Office of the Secretary of the Commonwealth What agency enforces lobbying laws/regulations? Office of the Secretary of the Commonwealth and the Attorney General Are audits conducted on reports? No Lobbying Manuals/Instructions: Lobbyist Disclosure Statement Instructions: http://www.commonwealth.virginia.gov/StateGovernment/Lobbyist/lobbyDocs/DisclosureInstruct s2007.pdf Reporting forms: Lobbyist Registration Form: http://www.commonwealth.virginia.gov/StateGovernment/Lobbyist/lobbyDocs/lobbyistRegForm. pdf Lobbyists Disclosure Statement: http://www.commonwealth.virginia.gov/StateGovernment/Lobbyist/lobbyDocs/DisclosureStatem ent2007.pdf

Data Availability
Client Data Collected: Name of Client (Principal), Permanent Business Address, Business telephone, executive and legislative actions lobbied, Expenditures for Entertainment (Date and Location of Event, Description of Event, Total Number of Persons Attending, Names of

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Legislative and Executive Officials attending if average value was greater than $50, Costs of food, beverages, transportation, lodging, performers, speakers, displays, rentals, service personnel, and Misc), Gifts (date of gift, description, Name of each legislative or executive official who is a recipient of a gift, Cost of individual gifts, and total cost to Client (Principal); Other Expenses (Date, description, amount, and total Other). Lobbyist Data Collected: Lobbyist Name, Permanent Business Address, Business Telephone; type of lobbyist (employed, retained, not compensated); all other registered lobbyists for same Client (Principal), job title (if employed by Principal); Compensation; names of other members of lobbying firm, org, assoc, corp, or other entity who lobbied for Principal; total amount paid to lobbying firm, org, assoc, etc. Data Missing: Allocation of lobbying efforts; all details on expenditures. Reporting frequency: Annuallly. Report covers May 1 through April 30, and is due July 1. How Reported: Electronic filed online or paper reports mailed to Secretary of State; manner of filing is at discretion of filer. https://www.soc-apps.virginia.gov/disclosure/ Online Public Disclosure: There are listings of Lobbyists and Clients (Principals). One can search by Principal (from a drop-down list) and year to find out how much an organization paid its lobbyist(s) but no other data is available online. http://www.commonwealth.virginia.gov/StateGovernment/Lobbyist/database.cfm The Virginia Public Access Project has a detailed database of lobbying expenditures at: http://www.vpap.org/lobbyists/disclosures Format of Online Data: Screenshots generated from database. Format of Data for Document Requests: State indicates an electronic copy of the data could be available on diskett but has not provided more specific information about data format.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: $500 for data diskett. Impediments to Data Collection: No expenditure detail available online at state website. The lobbying year overlaps calendar years so comparison with other states data will be problematic. Time to acquire/upload data: Reports due by July 1 of each year; since paper filed reports must be manually entered into database by state staff, electronic data not complete until at least Aug 1. Assuming another month for state to complete data request and 2 weeks of staff time to prepare the data for upload to 50-state database, the earliest data could be available is approximately 6 months after the reporting period. 192

Annual cost estimate: $4,500 which includes $500 for data diskett and $4,000 in personnel costs.

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WASHINGTON
Lobbying Laws
Governing Laws: The Public Disclosure Law, Adopted as Initiative 276 in 1972, Codified as Chapter 42.17, Revised Code of Washington http://apps.leg.wa.gov/rcw/default.aspx?cite=42.17&full=true Regulations: Title 390, WAC http://apps.leg.wa.gov/wac/default.aspx?cite=390 Branches/Activities Covered: Legislature: the passage or defeat of any legislation (bills, resolutions, motions, amendments, nominations, and other matters pending or proposed in either house of the legislature, including any other matter that may be the subject of action by either house or any committee of the legislature and all bills and resolutions that, having passed both houses, are pending approval by the governor. Executive: the adoption or rejection of any rule, standard, rate, or other legislative enactment of any state agency under the state Administrative Procedure Act Registration Required: Lobbyists (individuals and entities who lobby or are regular employees of a company or organization and only devote a fraction of his or her time to lobbying, law firms whose partners or employees undertake protecting the legislative interests of its clients, lobbying firms which employ several agents to further the objectives of one or more clients, or individuals who agree to carry an organization's banner without payment except for travel and living expenses). Lobbying firms file a registration statement for each client-employer, listing the names of the firm's partners or employees who will conduct the actual lobbying. Employees who lobby on behalf of Public Agencies are not required to register. Required Reports: Lobbyists (including Lobbying Firms required to file as Lobbyists) report monthly. Clients (Lobbyist Employers) and Lobbying Firms (Lobbyist Employers) report annually (by the last day of the next February) and whenever triggered by special events such as Grassroots Lobbying activities. Public agencies report quarterly if they undertake lobbying activities. Lobbyist Compensation Reported: Yes, monthly by Lobbyists for each Client (Employer). Lobbyists for Public Agencies who are not otherwise required to register and report as Lobbyists have their compensation reported on quarterly Public Agency reports. Other Lobbying Data Reported: Lobbyists: Name, mailing address, Total lobbying expenditures by the lobbyist or on the lobbyist's behalf, segregated according to lobbyist employer and financial categories including: compensation; food and refreshments; living

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accommodations; advertising; travel; contributions; and other expenses or services. Total expenditures for lobbying expenses including political advertising, public relations, telemarketing, polling, including amounts, to whom paid and brief description of activity. Clients (Lobbyist Employers): Name, mailing address, Names of public officials or their family members to whom a lobbyist employer has paid compensation more than $500 in the preceding calendar year for personal employment or professional services, amount of compensation paid. Names of state officials to whom the reporting party made expenditures, amount, purpose. Total lobbying expenditures, whether through a lobbyist or not. All contributions made to a candidate or political committee supporting or opposing a statewide ballot proposition. Names, addresses of lobbyists employed, and total expenditures by each. Names, offices sought, party affiliations of candidates for state offices supported or opposed by independent expenditures of the person reporting, amount. Identifying proposition number, brief description of any statewide ballot proposition supported or opposed by expenditures not reported under this subsection, amount of each such expenditure. Additional special reports are required if contributions over $100 to certain public officials made. Public (State or local) agencies: Name of the agency filing the statement. Name, title, and job description and salary of each elected official, officer, or employee who lobbied. General description of the nature of the lobbying. Proportionate amount of time spent on the lobbying. Listing of expenditures incurred by the agency for lobbying including but not limited to travel, consultant or other special contractual services, and brochures and other publications, the principal purpose of which is to influence legislation. All of the above: Certain grassroots lobbying campaigns (programs "addressed to the general public, a substantial portion of which is intended, designed or calculated primarily to influence state legislation") expenses must be reported

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Public Disclosure Commission http://www.pdc.wa.gov/default.aspx What agency collects lobbying reports? Public Disclosure Commission What agency maintains lobbying records? Public Disclosure Commission What agency enforces lobbying laws/regulations? Public Disclosure Commission Are audits conducted on reports? Yes, Each year, a limited number of lobbyists and lobbyist employers will be the subject of random audits. Audits are also conducted for cause. Lobbying Manuals/Instructions: Lobbyist Reporting Instruction Manual - 2011 - PDF (637 KB)

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Lobbyist Employer Reporting Instruction Manual - 2011 - PDF (262 KB) Public Agency Lobbying instructions - 2010 - PDF (499 KB) Reporting forms: L-1 Lobbyist Registration (Identifies lobbyist and employer. Indicates employment status and financial arrangements, Shows general subject areas of expected lobbying activities). L-2 Lobbyist Expenses (Shows lobbyists expenses and compensation; Includes employers expenditures on behalf of lobbyist to assist in the lobbying effort). L-2 Memo With L-2 (optional) (Reports and provides notice to recipients of contributions and other items of value. Used in lieu of reporting this information on L-2 and giving recipients copy of L-2 report). L-3 Employers Report (Shows the total expenditures of the employer for lobbying. Includes information not required of the lobbyist). L-3c Employers Contribution report (Identifies recipients and amounts of contributions exceeding $100 made by employers of lobbyists). L-5 State & Local Government Agencies (Identifies employees who lobby on behalf of state or local governmental agencies. Includes general description of activities and information on salary, travel, printing and consultant expenses for lobbying). L-6 Grass Roots Lobbying (Lists expenses of sponsors of lobbying campaigns designed to gain public support for their positions. Includes list of contributors to these campaigns). http://www.pdc.wa.gov/filers/page.aspx?c1=0&c2=135&c3=136 L-7 Employment of Legislators and State Officials (Shows new employment relationship between lobbyist or lobbyist employer and state officials or employees who might be lobbied. Lobbyist reporting forms are available for viewing at http://www.pdc.wa.gov/filers/page.aspx?c1=0&c2=131&c3=132 Lobbyist Employer reporting forms are available for viewing at http://www.pdc.wa.gov/filers/page.aspx?c1=0&c2=133&c3=134 Public Agency reporting forms are available for viewing at https://www.pdc.wa.gov/filers/blank_forms/acrobat/lobbying/pdcl7.PDF

Data Availability
Client Data Collected: Clients (Lobbyist Employers): Name, mailing address, Names of public officials or their family members to whom a lobbyist employer has paid compensation more than $500 in the preceding calendar year for personal employment or professional services, amount of compensation paid. Names of state officials to whom the reporting party made expenditures, amount, purpose. Total lobbying expenditures, whether through a lobbyist or not. All contributions made to a candidate or political committee supporting or opposing a statewide ballot proposition. Names, addresses of lobbyists employed, and total expenditures by each. Names, offices sought, party affiliations of candidates for state offices supported or opposed by independent expenditures of the person reporting, amount. Identifying proposition number, brief description of any statewide ballot proposition supported or opposed by expenditures not reported under this subsection, amount of each such expenditure. Additional special reports are

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required if contributions over $100 to certain public officials made. Details of any Grassroots Lobbying efforts. Public (State or local) agencies: Name of the agency filing the statement. Name, title, and job description and salary of each elected official, officer, or employee who lobbied. General description of the nature of the lobbying. Proportionate amount of time spent on the lobbying. Listing of expenditures incurred by the agency for lobbying including but not limited to travel, consultant or other special contractual services, and brochures and other publications, the principal purpose of which is to influence legislation. Details of any Grassroots Lobbying efforts. Lobbyist Data Collected: Name, mailing address, Total lobbying expenditures by the lobbyist or on the lobbyist's behalf, segregated according to lobbyist employer and financial categories including: compensation; food and refreshments; living accommodations; advertising; travel; contributions; and other expenses or services. For expenditures of more than $25, date, place, amount, names of those partaking. (Unreimbursed personal living expenses, office expenses including rent and salaries for paid staff not required to be reported.) Itemized list of contributions of money or personal property to candidates, elected officials and state agency officials or employees with date, amount, name of recipient. Subject matter of legislative or rulemaking activity the lobbyist is lobbying on. Listing of each gift or honorarium of more than $50 to a public official with date, recipient and value. Total expenditures for lobbying expenses including political advertising, public relations, telemarketing, polling, including amounts, to whom paid and brief description of activity. Certain grassroots lobbying campaigns (programs "addressed to the general public, a substantial portion of which is intended, designed or calculated primarily to influence state legislation") expenses must be reported Data Missing: Specific legislative actions lobbied and allocation of lobbying resources to specific actions. Reporting frequency: Quarterly reports of income and expenditures; annual report of lobbying activities. How Reported: Paper reports and electronic filing (about 50% are filed each way) at the filers discretion. Electronic filing portal available at http://www.pdc.wa.gov/filerapp/login.asp Online Public Disclosure: Pictorial Directory of Registered Lobbyists (detailed information about registered lobbyists, including photographs, client names, biographies and contact information) Printable Address List of Registered Lobbyists (View, print, or save a PDF file of the names and contact information of registered lobbyists) Index of Registered Lobbyists (This index includes Registered Lobbyists, Employers of Registered Lobbyists, Lobbying Firms, and Agents, from 2000 to present).

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Lobbyist Expenditure Summary Reports (Review summary reports for total compensation, expenses, advertising, literature, entertainment, and contributions for lobbyists and their employers) Lobbyist Top Spending and Paid Reports (Review summary reports of the top spenders and top earners) Format of Online Data: Summary reports and Screenshots of electronically filed or scanned paper reports. Format of Data for Document Requests: Electronic database of electronically filed reports and printing screenshots of scanned paper reports.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free from Public Disclosure Commission. Impediments to Data Collection: Electronic database will take much time to prepare for upload. Paper-filed reports will have to be printed from screenshots (each page of each report must be viewed and printed individually) and manually entered (at least 50% of reports are filed on paper). Time to acquire/upload data: 3 months staff time to print and bundle documents, manually enter and audit paper reports, and prepare electronic data for upload each time data is collected. Annual cost estimate: Assuming 2 collections/uploads each year, $30,000 which includes $25,000 in personnel costs and $5,000 in paper and printing costs.

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WEST VIRGINIA
Lobbying Laws
Governing Laws: Ethics Act -- W. Va. Code 6B article 3 Regulations: Not found. Branches/Activities Covered: Legislature: Communicating with a government officer (member of the Legislature, a legislative employee, the under the legislative branch of state government who is empowered or authorized to make policy and perform nonministerial functions. In the case of elected offices, the term "government officer or employee" includes candidates who have been elected but who have not yet assumed office) to influence passage or defeat or the executive approval or veto of any legislation (bills, resolutions, motions, amendments, nominations and other matters pending or proposed in either house of the Legislature and includes any other matters that may be the subject of action by either house or any committee of the Legislature and all bills or resolutions that, having passed both houses, are pending approval or veto by the Governor). Executive: Communicating with a government officer (the Governor and other members of the Board of Public Works, heads of executive departments and any other public officer or public employee under the executive branch of state government who is empowered or authorized to make policy and perform nonministerial functions. In the case of elected offices included herein, the term "government officer or employee" includes candidates who have been elected but who have not yet assumed office) or employee to promote, advocate or oppose or otherwise attempt to influence the adoption or rejection of any rule, regulation, legislative rule, standard, rate, fee or other delegated legislative or quasilegislative action to be taken or withheld by any executive department. Registration Required: Lobbyists who receive compensation for lobbying or spend money on a public servant in furtherance of their lobbying activities. http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/Registration%20201112%20revised.pdf. While Clients do not register separately, they must sign a representation form that is attached to the Lobbyists registration form. http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/Representation%20Statement%2020 11-12%20revised.pdf. Also, any person or organization spending more than $200 in one month, or more than $500 in a three-month period presenting a grass roots lobbying program must register. A separate registration is necessary for each new campaign. http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/GR1%20grassroots%20registration% 20report.pdf

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Required Reports: All registered lobbyists file activity reports every 4 months (3 per year). This includes those registering due to grassroots lobbying efforts. No Client reports filed. Lobbyist Compensation Reported: No Other Lobbying Data Reported: All expenditures made by the lobbyist or by his or her employer on government officials or employees in furtherance of lobbying activities are reportable expenses. Expenses are segregated by financial category, including meals and beverages; living accommodations; advertising; travel; contributions; gifts to public officials or employees or to members of the immediate family of a public official or employee; and other expenses or services. (Unreimbursed living expenses, office expenses, rent and salaries to support staff are not required to be reported.) Expenses in the reporting categories of meals and beverages, living accommodations, travel, gifts or other expenditures, also report the name of the public official or employee to whom or on whose behalf the expenditures were made, the total amount of the expenditures, and the subject matter of the lobbying activity, if any

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? WV Ethics Commission http://www.ethics.wv.gov/lobbyist/Pages/Registration.aspx What agency collects lobbying reports? WV Ethics Commission http://www.ethics.wv.gov/lobbyist/Pages/Reporting.aspx What agency maintains lobbying records? WV Ethics Commission http://www.ethics.wv.gov/lobbyist/Pages/Reporting.aspx What agency enforces lobbying laws/regulations? WV Ethics Commission http://www.ethics.wv.gov/complaints/Filecomplaint/Pages/default.aspx Anyone may file a complaint with the Ethics Commission, if he or she has information that a public servant has violated the Ethics Act. The Commission also has authority to initiate complaints if it receives credible information which, if true, would merit an inquiry into whether a violation of the Ethics Act had occurred. Are audits conducted on reports? Yes, random audits. However, no lobbyist will be subject to a random audit more than once in any 24-month period. Audits are done by a professional CPA contracted by the Ethics Commission. Lobbying Manuals/Instructions: Yes -http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/Lobbyist%20Booklet%20final.pdf

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Reporting forms: Lobbyist Activity Reporting http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/Form_2011_lobby_Report.pdf http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/Form%20Schedule%20A%202010.pd f and http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/2005%20New%20Schedule%20B111 1.pdf Grassroots Campaign Periodic Lobbying Report http://www.ethics.wv.gov/SiteCollectionDocuments/Lobby/GR2%20grassroots%20report.pdf

Data Availability
Client Data Collected: Complete name of represented Employer, Organization or Association, Mailing address, phone, fax, Occupation or type of business, and a general description of the subjects, topics or issues which will be the focus of lobbying efforts is listed in the Representation Form the Lobbyist files during the initial registration process. In addition, Lobbyists must report all expenses by category for each employer or organization they represent on their activity reports. Lobbyist Data Collected: Name, address, city, state, zip, phone, fax, employers represented, the name of the recipient of Meals and Beverages, Lodging, Travel, Gifts or Other Expenses, along with all amounts spent. Trivial or inexpensive gifts given to all members of the House or Senate, the entire Legislature or to a standing or joint committee are listed in Group Gifts, only identifying the name of the group. Any expenses relating to a recipients participation in a Panel or Speaking Engagement are reported and subjects of lobbying are to listed. Totals of all spending are listed on the Lobbyist Activity Report in the appropriate categories attributable to employers represented. Also reported are amounts spent for hosting specific group entertainment events or functions, along with description of the function and group attending. Grass Roots Lobbying (public campaigns aimed at public opinion on legislation) data includes Name of Campaign, Sponsors name, purpose of the campaign, including the specific legislation, rules, rates, standards or proposals that are the subject matter of the campaign; the names, addresses, and titles of the controlling persons responsible for managing the sponsors affairs; names, addresses, businesses or occupations, and terms of compensation of all persons organizing and managing the campaign, or hired to assist the campaign (including Public Relations or Advertising Firms). In addition, names and addresses of persons contributing more than $25 to the campaign during the period covered by the report and the aggregate amount contributed during the period as well as all campaign expenditures by sponsor, or another on sponsors behalf segregated by: Entertainment (including Meals & Beverages), Advertising, Newspaper, Radio, TV, Other, Contributions, Office Expenses, Rent, Staff Salaries, Consultant Compensation, Printing , Mailing, or other identified categories.

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Data Missing: Lobbyist compensation and any support costs. Reporting frequency: Every four months, for a total of 3 reports/year. (Grass Roots Lobbying reports are only required if efforts occurred during the reporting period.) How Reported: Paper reports hand delivered or mailed. State has plans to begin electronic reporting by end of 2011. Online Public Disclosure: No lobbying activity or expenditures are available to search or view online. Lists of registered Lobbyists and organizations represented are viewable online. There may be online search capabilities after 2011. Format of Online Data: No expenditure data online. Lists of Lobbyists and Clients are in .pdf format. Format of Data for Document Requests: Printed copies of paper reports. Electronic data may become available after 2011.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: .$0.10/page plus personnel costs at $10/hr. 1800 pages of records, approximately $500 including postage. Impediments to Data Collection: Not viewable online and no way of knowing which reports have been filed. Time to acquire/upload data: Estimate it will take 6 weeks for one, annual document request to be honored by the State and another 4-6 weeks to bundle, input, audit, and standardize the data before it can be uploaded. Annual cost estimate: $7,500. $500 in acquisition costs from WV. Additional personnel costs for bundling, inputting, auditing and standardizing the data is estimated at $7,000.

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WISCONSIN
Lobbying Laws
Governing Laws: REGULATION OF LOBBYING Subchapter III, Chapter 13, Wisconsin Statutes http://gab.wi.gov/sites/default/files/publication/68/lobbylaw_pdf_29453.pdf Regulations: Chapter GAB 16 LOBBYING http://gab.wi.gov/sites/default/files/publication/68/gab016_pdf_90670.pdf Branches/Activities Covered: Legislature: attempting to influence legislative action (development, drafting, introduction, consideration, modification, adoption, rejection, review, enactment or defeat of any bill, resolution, amendment, report, nomination, proposed administrative rule or other matter by the legislature or by either house or any committee, subcommittee, joint or select committee thereof, or by a legislator or employee of the legislature acting in an official capacity. Legislative action also means the action of the governor in approving or vetoing any bill or portion thereof, and the action of the governor or any agency in the development of a proposal for introduction in the legislature) by oral or written communication with any elective state official or legislative employee, and includes time spent in preparation for such communication and appearances at public hearings or meetings or service on a committee in which such preparation or communication occurs. Executive: attempting to influence administrative action (proposal, drafting, development, consideration, promulgation, amendment, repeal or rejection by any agency of any rule) by oral or written communication with any elective state official or agency official, and includes time spent in preparation for such communication and appearances at public hearings or meetings or service on a committee in which such preparation or communication occurs. Registration Required: Clients (Principals) who make expenditures or incur obligations in an aggregate amount exceeding $500 in a calendar year for the purpose of engaging in lobbying. Individual Lobbyists must be licensed and authorized by their Clients (Principals) to lobby on their behalf. Required Reports: Clients (Principals) file semi-annual Statements of Lobbying Activities and Expenditures for the preceding reporting period. On July 31 and January 31 each year, every Lobbyist and Client (Principal) is required to provide a daily itemization of the time spent lobbying during the previous January through June and July through December reporting periods. At the end of each reporting period, each principal will provide an estimate of the percentage of time spent on each bill, proposed rule, or topic that accounted for 10% or more of the principal's lobbying time for the period.

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Every state agency identifies employees whose normal duties include lobbying the legislature on the agency's behalf. The report also includes Area of Interest, the general subject area each employee attempted to influence during the preceding 6 month period and any new areas for the upcoming 6-month period; percentage of time spent lobbying; Annual state salary. Lobbyist Compensation Reported: Yes, by Clients (Principals) and State agencies. Other Lobbying Data Reported: Aggregate total lobbying expenditures made by Client (Principal) and all lobbyists employed, excluding expenses for clerical support. Include expenses incurred while preparing to perform lobbying services, if research conducted is less than 3 years old. Include, if over $500, advertising campaigns or costs of other efforts to urge the general public to attempt to influence legislative or administrative action. Names, addresses of lobbyists who made or incurred more than $200 in lobbying expenses during the period, amount. If lobbyist is an employee, officer or director of the principal, include expenses for office space, utilities and employees used in preparing lobbying communications. For each legislative or administrative action or subject the Client (Principal) spends more than 10% of his or her time lobbying on, an estimate of the time spent lobbying on it. Daily itemized record of time spent lobbying, segregated by: meetings with officials; research and preparation. Names of principal employees who are not a lobbyist, but devoted time to lobbying communications. Names of officials to whom certain reimbursements were paid, amount and date. Expenses for personal travel and living expenses except for those of unpaid volunteers whose primary traveling purpose is other than lobbying.

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Government Accountability Board http://gab.wi.gov/lobbying What agency collects lobbying reports? Government Accountability Board What agency maintains lobbying records? Government Accountability Board What agency enforces lobbying laws/regulations? Government Accountability Board Are audits conducted on reports? Yes. Lobbying Manuals/Instructions: Guidelines for Lobbyists http://gab.wi.gov/guidelines/lobbying Lobbying Opinions http://gab.wi.gov/about/opinions/lobbying

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Reporting forms: GAB800 GAB801 GAB802 2011-2012 Lobbying Registration Checklist 2011-2012 Application for Lobby License 2011-2012 Organization Registration and Authorization of Lobbyist Limited Lobbying Organization Registration 2011-2012 Amendment of Lobby License 2011-2012 Amendment of Registration and Lobbyist Authorization 2011-2012 Surrender of Lobbying License 2011-2012 Cessation of Organization's Lobbying Activity Click to download

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GAB803 GAB804 GAB805

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GAB806 GAB807

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http://gab.wi.gov/forms/GAB807CessationofOrganization%27sLobbyingActivity-20112012

Data Availability
Client Data Collected: Client (Principal) name, business address, the general areas of legislative and administrative action which the principal is attempting to influence, the names of any agencies in which the principal seeks to influence administrative action, and information sufficient to identify the nature and interest of the principal, including: If the principal is an individual, the name and address of the individuals employer, if any, or the individuals principal place of business if self-employed, a description of the business activity in which the individual or the individuals employer is engaged and the individuals social security number. If the principal is a business entity, a description of the business activity in which the principal is engaged and the name of its chief executive officer, or in the case of a partnership or limited liability company the names of the partners or members. If the principal is an industry, trade or professional association, a description of the industry, trade or profession which it represents including a specific description of any segment or portion of the industry, trade or profession which the association exclusively or primarily represents and the name of the chief executive

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officer and the approximate number of its members. If the principal is not an individual, business entity or industry, trade or professional association, a statement of the principals nature and purposes, including a description of any industry, trade, profession or other group with a common interest which the principal primarily represents or from which its membership or financial support is primarily derived and the approximate number of its members. The name and position or relationship to the principal of any designee who is authorized to sign. The aggregate total amount of lobbying expenditures made and obligations incurred for lobbying by the principal and all lobbyists for the principal, excluding lobbying expenditures and obligations for the principals clerical employees, lobbying expenditures and obligations for any employee of the principal who is not a lobbyist and who devotes not more than 10 hours to lobbying during a reporting period, and lobbying expenditures and obligations With respect to expenditures and obligations included in the amount reported: Lobbying expenditures made and obligations incurred for lobbying shall include compensation to lobbyists for lobbying, whether in cash or inkind, and reimbursements to lobbyists and to the principal or officers or employees of the principal for lobbying or expenses. Lobbying expenditures made and obligations incurred in preparing for lobbying shall be included in the aggregate total. A reasonable estimate of lobbying expenditures made and obligations incurred for conducting, compiling or preparing research, information, statistics, studies or analyses used in lobbying shall be included in the aggregate total. Lobbying expenditures and obligations shall not be reported under this subdivision if the use in lobbying occurs more than 3 years after the completion of the research or the compilation or preparation of the information, statistics, studies or analyses. If the research, information, statistics, studies or analyses are used by the principal both for lobbying and for purposes other than lobbying, the principal shall allocate the lobbying expenditures and obligations among the purposes for which the research, information, statistics, studies or analyses are used and include the portion allocated to lobbying in the aggregate total. Lobbying expenditures made and obligations incurred for providing or using research, information, statistics, studies or analyses in lobbying are included in the aggregate total. Lobbying expenditures made and obligations incurred for paid advertising and any other activities conducted for the purpose of urging members of the general public to attempt to influence legislative or administrative action are included in the aggregate total, if the total amount of all such lobbying expenditures made and obligations incurred exceeds $500 during the reporting period. If the total amount of lobbying expenditures and obligations made or incurred to any lobbyist for the principal exceeds $200 during the reporting period, the name and address of the lobbyist and the total amount of the lobbying expenditures made or obligations incurred to the lobbyist during the reporting period are listed. If a lobbyist is an employee, officer or director of a principal and the lobbyist is paid a salary or given consideration other than reimbursement of expenses, the aggregate total amount of lobbying expenditures made or obligations incurred by the principal for office space, utilities, supplies and compensation of employees who are utilized in preparing for lobbying communications. Any lobbying expenditures made or obligations incurred for office overhead costs which are included in the amount reported are not included in the amounts reported. For each legislative proposal, proposed administrative rule, budget bill subject or other topic that

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accounts for 10% or more of the principals time spent in lobbying during the reporting period, the principals reasonable estimate of the proportion of its time spent in lobbying associated with that legislative proposal, proposed administrative rule, budget bill subject or other topic. A record disclosing the amount of time spent to influence legislative or administrative action. The record includes a daily itemization of the time, except the time of a clerical employee, the time of an employee who is not a lobbyist and who devotes not more than 10 hours to lobbying during a reporting period and the time of an unpaid volunteer, spent by the principal on: Meeting with elective state officials, agency officials, legislative employees of the state and other state employees having decision-making authority. Research, preparation and any other activity which includes lobbying. The name of any employee of the principal, other than a clerical employee, who is not a lobbyist and who devoted time to lobbying communications during the reporting period. The name of any agency official, legislative employee, elective state official or candidate for elective state office to whom the principal or any lobbyist for the principal provided reimbursement (date and amount reimbursed). The total lobbying expenditures made and obligations incurred for personal travel and living expenses, except for expenditures made or obligations incurred for the travel and living expenses of unpaid volunteers if the primary purpose of the travel is for reasons unrelated to lobbying. Lobbyist Data Collected: Name, address, bills lobbied. All information is reported by Client (Principal). Data Missing: None. Reporting frequency: Semi-annually. How Reported: Licensed Lobbyists and registered Clients (Principals) are required to complete a Statement of Lobbying Activities and Expense Report every 6 months. They are also required to report within 15 days of lobbying on a specific legislative and administrative proposal and topic. All reporting of lobbying administration is done online using the Eye on Lobbying website. http://ethics.state.wi.us/scripts/slaeonline/slaeonlinemain.asp Online Public Disclosure: Yes. Information is reported in realtime at Eye on Lobbying portal http://ethics.state.wi.us/LobbyingRegistrationReports/LobbyingOverview.htm Format of Online Data: Searchable online database by issue, bill, lobbying organization and legislative session. It displays every organization lobbying on a bill or legislative proposal, as well as how much time and money each organization puts into its lobbying effort every six months. Format of Data for Document Requests: Electronic database provided by Government Accountability Board.

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Timeline and Costs for Data Acquisition


Cost of obtaining Data: Free. Impediments to Data Collection: Substantial staff time to prepare/merge extensive tables of electronic data for upload into a 50-state database. Time to acquire/upload data: 3 weeks of staff time to prepare data for each upload. Annual cost estimate: Assuming 2 uploads/year: $7500 in personnel costs.

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WYOMING
Lobbying Laws
Governing Laws: W.S. Title 28, Chapter 7, Title 1 found at: http://legisweb.state.wy.us/statutes/statutes.aspx?file=titles/Title28/T28CH7.htm Regulations: Wyoming Secretary of State, Lobbyist Rules, CHAPTER 1 http://soswy.state.wy.us/Rules/RULES/3342.pdf Branches/Activities Covered: Legislature: any attempt to influence legislation Executive branch activities are not covered. Registration Required: Lobbyists only, Clients do not register Required Reports: Lobbyists (who are compensated or reimbursed $500 or more) : Annual Activity Report for period May 1 through April 30th, due by June 30. Clients/Employers of Lobbyists are also required to report activity expenses unless this information is reported by the lobbyist. The organization and the lobbyist may make a joint report and the lobbyist may report on behalf of the organization. So, it is doubtful that Clients actually make any reports -- since there are no separate reporting forms on which for them to file. Paid Advertising to Influence Legislation: In addition to the lobbyist activity report that may be required, any group of persons which, through a private or public association, raises, collects or spends money for paid advertising in any communication medium or for printed literature to support, oppose or otherwise influence state legislation in the state of Wyoming files a statement of applicable receipts and expenditures due by June 30 for the previous May 1 - April 30 reporting period. Lobbyist Compensation Reported: No. Other Lobbying Data Reported: Sources of funding for expenditures, each loan, gift, gratuity, special discount or hospitality paid or given to or on behalf of any legislator, state elected official or state employee acting in his official capacity which exceeds fifty dollars ($50.00) in value identified by date, amount and the name of the legislator, state elected official or state employee. Lobbyists report the organization and business address, phone and fax numbers of

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those clients for whom they lobby on their original or amended registration forms. http://soswy.state.wy.us/Forms/Lobbyists/LobbyistRegistration.pdf

Regulation, Enforcement, and Collection Agencies


What agency registers lobbying activities? Secretary of State, Elections Division http://soswy.state.wy.us/Elections/Elections.aspx What agency collects lobbying reports? Secretary of State, Elections Division http://soswy.state.wy.us/Elections/Elections.aspx What agency maintains lobbying records? Secretary of State, Elections Division http://soswy.state.wy.us/Elections/Elections.aspx What agency enforces lobbying laws/regulations? There is no formalized enforcement however any person or individual having evidence of a violation of the registration or filing requirements for lobbyists may file a report with the appropriate local law enforcement agency or with the Attorney General. http://attorneygeneral.state.wy.us/ Are audits conducted on reports? No Lobbying Manuals/Instructions: No Reporting forms: Lobbyist Annual Activity Report http://soswy.state.wy.us/Forms/Lobbyists/LobbyistActivityReport.pdf Paid Advertisment to Influence Legislation http://soswy.state.wy.us/Forms/Lobbyists/LobbyistAdvertising.pdf

Data Availability
Client Data Collected: Name of Organization, business address, phone, fax (on Lobbyists registration), funding source on Lobbyist activity reports. Lobbyist Data Collected: Lobbyist name, business address, phone, fax, and direct expenditures including: Each loan, gift, gratuity, special discount or hospitality given to or on behalf of any legislator, state elected official or state employee more than $50.00, date, amount, name of public official. Special events costing more than $500 to which legislators, members of any committee or any regional legislative delegation have been invited with the total expense, the group of legislators invited Data Missing: Lobbyist compensation, general interests of Client, specific bills or general interests lobbied, any executive branch lobbying information except efforts to influence on legislative manners (because only efforts to consider legislation is considered lobbying).. 210

Reporting frequency: Annually. How Reported: Paper filed reports. Online Public Disclosure: No online disclosure of lobbying activity expenditures. There are lists of current year lobbyists and organizations employing lobbyists. Format of Online Data: No expenditure data available online. Can download .pdf of current and historical lobbyist registration data or, for current year only, text, tab-delimited files with Lobbyist and Organization names, addresses, and other contact information. Format of Data for Document Requests: Copies of individual paper-filed activity reports.

Timeline and Costs for Data Acquisition


Cost of obtaining Data: $0.25/page (Assume there will be 500 reports filed, averaging 3 pages, cost should be total under $500, including postage.) Impediments to Data Collection: Must order reports with no listing available for which reports have been filed and WY says not all lobbyists are required to file reports, so it will extremely difficult to know whether reports were missed or simply not required to be filed. Time to acquire/upload data: Approximately 6 weeks for the WY to fulfill the data request and then at least 4 weeks to bundle, input, audit, standardize the data before uploading. Annual cost estimate: $2,500 (including $500 for copies of reports and $2,000 in personnel costs for bundling, manual input, audit, and standardization of the data.)

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