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The Oregon Administrative Rules contain OARs filed through August 15, 2014
 
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OREGON GOVERNMENT ETHICS COMMISSION

 

DIVISION 10

LOBBYING REGISTRATION AND REPORTING

Registration of Lobbyists

199-010-0005

Definitions

As used in these rules:

(1) "Commission" means the Oregon Government Ethics Commission.

(2) "Entertainment" means amusement or diversion. Entertainment may be provided by others (such as athletes at sporting events) but also includes events where the public official, relative, or member of household personally participates. Examples of entertainment include, but are not limited to concerts, plays, movies, operas, sporting events, participating in sports (golf, skiing, hunting or fishing, etc), comedy shows, and similar events.

(3) "Goodwill", as used in the definition of “lobbying”, ORS 171.725(8), means kindness, friendliness, benevolence or generosity by a person or entity directed toward a “legislative official”, ORS 171.725(7) that could cause the legislative official to have a favorable impression of or thankfulness to the person or entity.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.725, 171.745, 171.750
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0025

Lobbyist Registration

(1) Individuals not exempted in ORS 171.735 from the lobbying registration law must register within three working days after spending either $100 or 24 hours during a calendar quarter on lobbying activities.

(2) All lobbyists must register by submitting an official Lobbyist Registration Statement form. The form is available on the Commission’s website at www.oregon.gov/ogec/forms_publications.shtml or from the Oregon Government Ethics Commission by telephone to (503) 378-5105 or by email to ogec.mail@state.or.us.

(3) Lobbyists must file a registration statement for each person, business or organization they represent. This requirement also applies to persons who lobby on behalf of public agencies. An organization or business comprised of more than one lobbyist may file one registration statement on behalf of the lobbyists with that organization or business. The registration statement must include the names of all the individual lobbyists authorized to lobby on behalf of the person, business or organization represented. The form must otherwise conform to the requirements of OAR 199-010-0035. Each named lobbyist shall sign the form certifying to the accuracy of the information on the statement.

(4) All lobbyist registrations expire on December 31 of each odd-numbered year. Renewals must be filed by March 31 of the following even-numbered year to be considered a continuous registration.

(5) Once registered with the Commission, a lobbyist must file a registration statement for each additional client/employer within three working days of engaging in representation of that client/employer.

(6) Either a lobbyist or a represented client/employer may terminate a lobbyist registration at any time by submitting a lobbyist termination form or by providing a written notification to the Commission. Terminations are effective on the date they are received in the Commission offices.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.740
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2002, f. & cert. ef. 10-18-02; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0035

Instructions for Completing Lobbyist Registration Statement

Unless otherwise exempted by ORS 171.735, a lobbyist must file a registration statement on a form provided by the Commission that includes the following information:

(1) Section 1 -- Lobbyist Contact Information:

(a) The mailing address where the expenditure reports are to be sent, telephone and fax numbers, and an email address where the lobbyist or a designated contact person may be reached;

(b) The name of any member of the Legislative Assembly employed, retained or otherwise compensated by the lobbyist.

(2) Section 2 -- Lobbyist Verification: Each lobbyist must certify that the information provided in the registration statement is true and correct by signing and dating the form.

(3) Section 3 -- Client/Employer Information:

(a) The name of the business, organization, person or public agency that the lobbyist represents along with the name of a designated contact person;

(b) The mailing address where the expenditure reports are to be sent, telephone and fax numbers, and an email address where the client’s contact person may be reached;

(c) A general description of the client/employer’s type of business or activity;

(d) Whether or not the client/employer is a public or governmental agency;

(e) The general subject of legislative action or interest of the client/employer;

(f) The name of any member of the Legislative Assembly employed, retained or otherwise compensated by the client/employer.

(4) Section 4 -- Designation: A responsible representative of the client/employer must sign the registration form to certify that the lobbyist has been authorized to lobby on behalf of the client/employer.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.740
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2002, f. & cert. ef. 10-18-02; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

Lobbyist Expenditure Reports

199-010-0060

Who Must File

(1) Any person registered as a lobbyist must file quarterly expenditure reports.

(2) An expenditure report must be filed even if there were no expenditures during the reporting period.

(3) An expenditure report must be filed for any portion of a reporting period prior to a registration termination.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.745
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0070

When Reports Must Be Made

Lobbyist expenditure reports must be filed by the 15th of the month following each calendar quarter (January 15, April 15, July 15, and October 15). Postmark dates will be used as the filing date for those expenditure reports returned by U.S. Postal Service. Expenditure reports returned by fax or email will be considered filed on the date they are received.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.752
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 14, f. & ef. 1-31-77; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0075

Content of Lobbyist Quarterly Expenditure Report (ORS 171.745)

(1) Part A: A lobbyist must list the total amount of money spent during the reporting period for all lobbying activity expenditures that were made for food, refreshment and limited entertainment during the reporting period as required by ORS 171.745(1)(a).

(a) Except for entertainment provided under the conditions set forth in ORS 244.020(6)(b)(M) or (N), entertainment expenses paid for a public official are subject to a $50 limit on the aggregate value of gifts from a source who could reasonably be known to have a legislative or administrative interest as provided in ORS 244.025.

(b) The lobbyist must list the total amount reimbursed to them for food, refreshment and entertainment and must identify each client or employer and the amount of reimbursement that each provided.

(c) If a lobbyist initiates and participates in the lobbying activity and uses or arranges for payment with a credit card, debit card or any other form of payment, it is the lobbyist’s responsibility to report the expense. In the following examples, the methods of payment are the equivalent of a reimbursed expense that must be reported by the lobbyist:

(A) A lobbyist arranges a lobbying activity and those arrangements include placing the charges on a credit or debit card account belonging to the lobbyist’s client or employer.

(B) A lobbyist registered to represent a client or employer is also an employee or executive official of that same client or employer. The client or employer is the holder of a credit or debit card and authorizes the lobbyist to use the credit or debit card.

(C) A lobbyist places a lobbying activity expense on a personal or business account. When the billing statement is received, it is submitted to and paid by the represented client or employer.

(d) The lobbyist must list the net expenditures made for food, refreshment and entertainment, which is the result of subtracting the total of expenditures reimbursed by the client or employer from the total of all expenditures reported.

(e) If lobbying services are provided by two or more registered lobbyists from the same business, public agency or other organization, a quarterly expenditure report may be filed that consolidates the lobbying activity expenditures of the lobbyists. The lobbying activity expenses reimbursed to each individual lobbyist must be detailed as required in (1)(b), (1)(c) and (1)(d) of this rule. To use this method of reporting lobbying expenditures, contact the Oregon Government Ethics Commission for additional information (ORS 171.745(4)).

(2) Part B: A lobbyist must list each occasion when an amount exceeding $50 was spent for a lobbying purpose that was for the benefit of a legislative or executive official. The information listed must include the date, payee, name of the official, purpose and amount (ORS 171.745(1)(b)).

(a) If a legislative or executive official was accompanied by a relative or a member of the official’s household on the itemized occasion, the expenditure made for the benefit of the relative or a member of the official’s household must be included in the aggregate value of the lobbying expenditure that was for the benefit of the legislative or executive official. The relative or member of the household that accompanied the official must be identified.

(b) 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 official’s household is reported as a benefit to the legislative or executive official. The relative or member of the household that participated must be identified.

(c) 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 lobbyist’s quarterly expenditure report. The lobbyist designated to itemize the occasion must also identify the other lobbyists and the amount paid by each (ORS 171.745(1)(b) and 244.025(1)).

(d) If a client or employer of the lobbyist has itemized the expenditure as required by ORS 171.750(1)(b) and OAR 199-010-0095 in Part B of the client’s or employer’s quarterly expenditure report, the expenditure does not have to be itemized by the lobbyist.

(e) 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 (ORS 171.745(4)).

(3) The lobbyist must attach to the quarterly expenditure report copies of any written notices that were provided to legislative or executive officials as required by ORS 244.100(1) and 244.100(2).

(4) The lobbyist must certify that the information contained in the report is correct by signing and dating the expenditure report form.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.745
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1980(Temp), f. & ef. 12-24-80; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1998(Temp), f. & cert. ef. 9-1-98 thru 2-28-99; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 1-2008(Temp), f. & cert. ef. 3-7-08 thru 5-6-08; Administrative correction 5-20-08; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0080

How to Report Expenditures

(1) A lobbyist must report all lobbying related expenditures made during reporting periods, as defined in OAR 199-010-0075.

(2) The expenditures must be reported on a quarterly expenditure report form provided by the Commission.

(3) If the amount of any expenditure required to be included in the statement is not accurately known at the time of the report, an estimate thereof should be submitted and updated in a subsequent report when more accurate information is available.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.745
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1980(Temp), f. & ef. 12-24-80; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2002, f. & cert. ef. 10-18-02; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

Client/Employer Reports

199-010-0085

Who Must File

(1) Any person, business, organization or public agency that engages anyone to lobby, who is registered as a lobbyist under OAR 199-010-0025 of these regulations, must file a report for its lobbying expenditures.

(2) The expenditures must be reported on a Quarterly Client/Employer Expenditure Report form provided by the Commission.

(3) A report must be filed even if there were no expenditures during the reporting period.

(4) A report must be filed for any portion of a reporting period prior to a registration termination.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.750
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; Suspended by EC 1-1980(Temp), f. & ef. 12-24-80; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2002, f. & cert. ef. 10-18-02; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0090

When Must Reports Be Filed

(1) Client/Employer Expenditure Reports must be filed by the 15th of the month following each calendar quarter (January 15, April 15, July 15, October 15).

(2) Postmark dates will be used as the filing date for those reports returned by U.S. Postal Service. Reports returned by fax or e-mail will be considered filed on the date they are received.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.752
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 14, f. & ef. 1-31-77; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0095

Content of Client/Employer Quarterly Expenditure Report (ORS 171.750)

(1) Part A: A client/employer of a lobbyist must list the total amount spent during the reporting period on lobbying related activities (ORS 171.750(1)(a)).

(a) Include overhead costs related to lobbying activity. Expenses related to travel for the purpose of lobbying are excluded from the reporting requirement (ORS 171.750(1)(c)).

(b) List each registered lobbyist who is compensated to provide lobbying services and include the amount paid in compensation and the amount paid in reimbursement to the lobbyist for food, refreshment and entertainment (ORS 171.750(1)(c)).

(c) If the lobbyist representing the client/employer has initiated and participated in a lobbying activity and has used or arranged for payment with the client’s/employer’s credit card, debit card or any other form of payment, it is the lobbyist’s responsibility to report the expense as a reimbursement from the client/employer and the client/employer must list the expense as a reimbursement to the lobbyist. In the following examples, the methods of payment are the equivalent of a reimbursed expense to the lobbyist and must be reported as such by the client/employer:

(A) A lobbyist arranges a lobbying activity and those arrangements include placing the charges on a credit or debit card account belonging to the client/employer.

(B) A lobbyist registered to represent a client/employer is also an employee or executive official of that same client/employer. The client/employer is the holder of a credit or debit card and authorizes the lobbyist to use the credit or debit card.

(C) A lobbyist places a lobbying activity expense on a personal or business account. When the billing statement is received, it is submitted to and paid by the represented client/employer.

(d) If lobbying services are provided to a client/employer by two or more registered lobbyists from the same business, public agency or other organization, list the amounts paid for compensation and for reimbursed expenses to the business, public agency or organization (ORS 171.750(1)(c)). In listing reimbursed expenses, use the same criteria to identify a reimbursed expense as described in (1)(b) and (1)(c) of this rule.

(2) Part B: A client/employer must list each occasion when an amount exceeding $50 was spent for a lobbying purpose that was for the benefit of a legislative or executive official. The information listed must include the date, payee, name of the official, purpose and amount (ORS 171.750(1)(b)).

(a) If a legislative or executive official was accompanied by a relative or a member of the official’s household on the itemized occasion, the expenditure made for the benefit of the relative or a member of the official’s household must be included in the aggregate value of the lobbying expenditure that was for the benefit of the legislative or executive official. The relative or member of the household that accompanied the official must be identified.

(b) 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 official’s household is reported as a benefit to the legislative or executive official. The relative or member of the household that participated must be identified.

(c) When a legislative or executive official receives a benefit exceeding $50 and the expense is shared by two or more client/employers, one client/employer must be designated to itemize the occasion in Part B of the designated client/employer’s quarterly expenditure report. The client/employer designated to itemize the occasion must also identify the other contributing client/employers and the amount paid by each (ORS 171.750(1)(b) and 244.025(1)).

(d) If the lobbyist representing the client/employer has itemized the expenditure as required by ORS 171.745(1)(b) and OAR 199-010-0075 in Part B of the lobbyist’s quarterly expenditure report, it does not need to be itemized by the client/employer.

(e) If the client/employer has reimbursed the lobbyist for an occasion that is itemized in Part B of the client/employer’s quarterly expenditure report, the lobbyist who received the reimbursement must be identified.

(3) The client/employer must attach to the quarterly expenditure report copies of any written notices that were provided to legislative or executive officials as required by ORS 244.100(1) and (2).

(4) A representative of the client/employer must certify that the information contained in the report is correct by signing and dating the expenditure report form.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.750
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1989(Temp), f. & cert. ef. 1-18-89; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1998(Temp), f. & cert. ef. 9-1-98 thru 2-28-99; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2002, f. & cert. ef. 10-18-02; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 1-2008(Temp), f. & cert. ef. 3-7-08 thru 5-6-08; Administrative correction 5-20-08; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0100

Filing Deadlines

Lobbyist Quarterly Expenditure Reports and Client/Employer Quarterly Expenditure Reports must be postmarked or received by the Commission on or before the due date indicated in the instructions provided with the reporting forms.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.745 & 171.750
Hist.: EC 2(Temp), f. & ef. 2-14-75 thru 6-14-75; EC 5, f. 7-7-75, ef. 7-25-75; EC 7(Temp), f. & ef. 10-8-75; EC 9, f. & ef. 1-23-76; EC 1-1990, f. 7-31-90, cert. ef. 7-26-90; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GSPC 1-2004, f. & cert. ef. 8-4-04; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

199-010-0150

Civil Penalty for Late Filing

(1) The Commission may impose a civil penalty for each day a lobbyist expenditure report or client/employer expenditure report required by ORS 171.745 and 171.750 is late beyond the due date established in 171.752(2). The penalties will accrue at $10 per day for the first 14 days and at $50 per day thereafter. Such penalty shall not exceed the amount of $5,000 pursuant to ORS 171.992(2)(c).

(2) Excluding violations of ORS 171.752, the Commission will identify each action that constitutes a violation of ORS Chapter 171 and when multiple violations are committed, will charge them in the following manner:

(a) When a lobbyist or client/employer of a lobbyist has committed two or more violations by subsequent equivalent actions, the Commission will charge the lobbyist or client/employer with a single violation and count the repeated actions using the number of the equivalent acts as aggravating factors when imposing any sanction as discussed in (2)(b) of this rule. The following examples are offered to illustrate this rule and not meant to limit its application:

(A) Each lobbyist must register with the Commission when exceeding the limits of time or expenditures set forth in ORS 171.735(4). Failure to register as a lobbyist for each client/employer could be a distinct violation of ORS 171.740(3). If a lobbyist fails to register for two or more client/employers, the multiple violations will be combined into the charge of one violation with each additional failure to register being counted as an equivalent action.

(B) When a lobbyist fails to list an occasion on the Lobbyist Quarterly Expenditure Report form when an amount exceeding $50 is spent for the benefit of a legislative or executive official, the lobbyist violates ORS 171.745(1)(b). If a lobbyist fails to list two or more officials who participated in the same event, the multiple violations will be combined into the charge of one violation with each additional failure to list an official being counted as an equivalent action.

(C) When a client/employer represented by a lobbyist fails to list an occasion on the Client/Employer Quarterly Expenditure Report form when an amount exceeding $50 is spent for the benefit of a legislative or executive official, the client/employer violates ORS 171.750(1)(b). If a client/employer fails to list two or more officials who participated in the same event, the multiple violations will be combined into the charge of one violation with each additional failure to list an official being counted as an equivalent action.

(b) When two or more single violations are charged as one violation, each additional violation by this rule will be counted as an equivalent action. The number of equivalent acts will be identified as an aggravating factor and included in the calculation of any assessment of a civil penalty that would constitute a sanction as setout in OAR 199-001-0015.

Stat. Auth.: ORS 244.290
Stats. Implemented: ORS 171.745, 171.750, 171.752 & 171.992
Hist.: EC 14, f. & ef. 1-31-77; GSPC 1-1999, f. 7-29-99, cert. ef. 8-1-99; GEC 3-2010, f. 3-12-10, cert. ef. 3-15-10

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