Senate Bill sb1856c1

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    Florida Senate - 2006                          CS for SCR 1856

    By the Committee on Rules and Calendar; and Senator Pruitt





    595-1777-06

  1                   Senate Concurrent Resolution

  2         A concurrent resolution adopting Joint Rule One

  3         relating to lobbyist registration and

  4         compensation reporting.

  5  

  6         WHEREAS, existing Joint Rule One has regulated lobbyist

  7  registration and expenditure reporting, and

  8         WHEREAS, the enactment of chapter 2005-359, Laws of

  9  Florida, directed the adoption of rules imposing and

10  regulating lobbyist registration and compensation reporting,

11  and

12         WHEREAS, each house of the Legislature has inherent,

13  independent authority, acting separately or jointly, to

14  regulate legislative lobbying in each house respectively, and

15         WHEREAS, there is uncertainty about the present effect

16  of former Joint Rule One, and

17         WHEREAS, the Senate and House of Representatives desire

18  to resolve uncertainty and jointly implement the statutory

19  directive for lobbyist registration and compensation

20  reporting, NOW, THEREFORE,

21  

22  Be It Resolved by the Senate of the State of Florida, the

23  House of Representatives Concurring:

24  

25         That former Joint Rule One is rescinded and new Joint

26  Rule One is adopted to read:

27  

28                          JOINT RULE ONE

29         LOBBYIST REGISTRATION AND COMPENSATION REPORTING

30  

31  

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 1         1.1  Those Required to Register; Exemptions; Committee

 2  Appearance Records

 3         (1)  All lobbyists before the Florida Legislature must

 4  register with the Lobbyist Registration Office in the Division

 5  of Legislative Information Services of the Office of

 6  Legislative Services. Registration is required for each

 7  principal represented.

 8         (2)  As used in Joint Rule One, unless the context

 9  otherwise requires:

10         (a)  "Compensation" means payment, distribution, loan,

11  advance, reimbursement, deposit, salary, fee, retainer, or

12  anything of value provided or owed to a lobbying firm,

13  directly or indirectly, by a principal for any lobbying

14  activity.

15         (b)  "Division" means the Division of Legislative

16  Information Services within the Office of Legislative

17  Services.

18         (c)  "Legislative action" means introduction,

19  sponsorship, testimony, debate, voting, or any other official

20  action on any measure, resolution, amendment, nomination,

21  appointment, or report of, or any matter that may be the

22  subject of action by, either house of the Legislature or any

23  committee thereof.

24         (d)  "Lobby" or "lobbying" means influencing or

25  attempting to influence legislative action or nonaction

26  through oral or written communication or an attempt to obtain

27  the goodwill of a member or employee of the Legislature.

28         (e)  "Lobbying firm" means any business entity,

29  including an individual contract lobbyist, that receives or

30  becomes entitled to receive any compensation for the purpose

31  of lobbying, where any partner, owner, officer, or employee of

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 1  the business entity is a lobbyist. "Lobbying firm" does not

 2  include an entity that has employees who are lobbyists if the

 3  entity does not derive compensation from principals for

 4  lobbying, or such compensation is received exclusively from a

 5  subsidiary corporation of the employer.

 6         (f)  "Lobbyist" means a person who is employed and

 7  receives payment, or who contracts for economic consideration,

 8  for the purpose of lobbying, or a person who is principally

 9  employed for governmental affairs by another person or

10  governmental entity to lobby on behalf of that other person or

11  governmental entity. An employee of the principal is not a

12  "lobbyist" unless the employee is principally employed for

13  governmental affairs. "Principally employed for governmental

14  affairs" means that one of the principal or most significant

15  responsibilities of the employee to the employer is overseeing

16  the employer's various relationships with government or

17  representing the employer in its contacts with government. Any

18  person employed by the Governor, the Executive Office of the

19  Governor, or any executive or judicial department of the state

20  or any community college of the state who seeks to encourage

21  the passage, defeat, or modification of any legislation by

22  personal appearance or attendance before the House of

23  Representatives or the Senate, or any member or committee

24  thereof, is a lobbyist.

25         (g)  "Payment" or "salary" means wages or any other

26  consideration provided in exchange for services, but does not

27  include reimbursement for expenses.

28         (h)  "Principal" means the person, firm, corporation,

29  or other entity that has employed or retained a lobbyist. When

30  an association has employed or retained a lobbyist, the

31  association is the principal; the individual members of the

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 1  association are not principals merely because of their

 2  membership in the association.

 3         (3)  For purposes of this rule, the terms "lobby" and

 4  "lobbying" do not include any of the following:

 5         (a)  Response to an inquiry for information made by any

 6  member, committee, or staff of the Legislature.

 7         (b)  An appearance in response to a legislative

 8  subpoena.

 9         (c)  Advice or services that arise out of a contractual

10  obligation with the Legislature, a member, a committee, any

11  staff, or any legislative entity to render the advice or

12  services where such obligation is fulfilled through the use of

13  public funds.

14         (d)  Representation of a client before the House of

15  Representatives or the Senate, or any member or committee

16  thereof, when the client is subject to disciplinary action by

17  the House of Representatives or the Senate, or any member or

18  committee thereof.

19         (4)  For purposes of registration and reporting, the

20  term "lobbyist" does not include any of the following:

21         (a)  A member of the Legislature.

22         (b)  A person who is employed by the Legislature.

23         (c)  A judge who is acting in that judge's official

24  capacity.

25         (d)  A person who is a state officer holding elective

26  office or an officer of a political subdivision of the state

27  holding elective office and who is acting in that officer's

28  official capacity.

29         (e)  A person who appears as a witness or for the

30  purpose of providing information at the written request of the

31  chair of a committee, subcommittee, or legislative delegation.

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 1         (f)  A person employed by any executive or judicial

 2  department of the state or any community college of the state

 3  who makes a personal appearance or attendance before the House

 4  of Representatives or the Senate, or any member or committee

 5  thereof, while that person is on approved leave or outside

 6  normal working hours, and who does not otherwise meet the

 7  definition of lobbyist.

 8         (5)  When a person, whether or not the person is

 9  registered as a lobbyist, appears before a committee of the

10  Legislature, that person must submit a Committee Appearance

11  Record as required by the respective house.

12         1.2  Method of Registration

13         (1)  Each person who is required to register must

14  register on forms furnished by the Lobbyist Registration

15  Office, on which that person must state, under oath, that

16  person's full legal name, business address and telephone

17  number, the name and business address of each principal that

18  person represents, and the extent of any direct business

19  association or partnership that person has with any member of

20  the Legislature. In addition, if the lobbyist is a partner,

21  owner, officer, or employee of a lobbying firm, the lobbyist

22  must state the name, address, Federal Employer's

23  Identification Number (FEIN), contact name, and telephone

24  number of each lobbying firm to which the lobbyist belongs.

25  The Lobbyist Registration Office or its designee is authorized

26  to acknowledge the oath of any person who registers in person.

27  Any changes to the information provided in the registration

28  form must be reported to the Lobbyist Registration Office in

29  writing within 15 days on forms furnished by the Lobbyist

30  Registration Office.

31  

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 1         (2)  Any person required to register must do so with

 2  respect to each principal prior to commencement of lobbying on

 3  behalf of that principal. At the time of registration, the

 4  registrant shall provide a statement on a form provided by the

 5  Lobbyist Registration Office, signed by the principal or

 6  principal's representative that the registrant is authorized

 7  to represent the principal. On the authorization statement the

 8  principal or principal's representative shall also identify

 9  and designate the principal's main business pursuant to a

10  classification system approved by the Office of Legislative

11  Services that shall be the North American Industry

12  Classification System (NAICS) six-digit numerical code that

13  most accurately describes the principal's main business.

14         (3)  Any person required to register must renew the

15  registration annually for each calendar year.

16         (4)  A lobbyist shall promptly send a notice to the

17  Lobbyist Registration Office on forms furnished by the

18  Lobbyist Registration Office, canceling the registration for a

19  principal upon termination of the lobbyist's representation of

20  that principal. A notice of cancellation takes effect the day

21  it is received by the Lobbyist Registration Office.

22  Notwithstanding this requirement, the Lobbyist Registration

23  Office may remove the name of a lobbyist from the list of

24  registered lobbyists if the principal notifies the Lobbyist

25  Registration Office that the lobbyist is no longer authorized

26  to represent that principal.

27         (5)  The Lobbyist Registration Office shall publish on

28  the first Monday of each regular session and weekly thereafter

29  through the end of that session a compilation of the names of

30  persons who have registered and the information contained in

31  their registrations.

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 1         (6)  The Lobbyist Registration Office shall retain all

 2  original documents submitted under this rule.

 3         (7)  A person who is required to register under this

 4  rule, or who chooses to register, shall be considered a

 5  lobbyist of the Legislature for the purposes of sections

 6  11.045, 112.3148, and 112.3149, Florida Statutes.

 7         1.3  Registration Costs; Exemptions

 8         (1)  To cover the costs incurred in administering this

 9  joint policy, each person who registers under Joint Senate and

10  House Rule 1.1 must pay an annual registration fee to the

11  Lobbyist Registration Office. The annual period runs from

12  January 1 to December 31. These fees must be paid at the time

13  of registration.

14         (2)  The following persons are exempt from paying the

15  fee, provided they are designated in writing by the agency

16  head or person designated in this subsection:

17         (a)  Two employees of each department of the executive

18  branch created under chapter 20, Florida Statutes.

19         (b)  Two employees of the Fish and Wildlife

20  Conservation Commission.

21         (c)  Two employees of the Executive Office of the

22  Governor.

23         (d)  Two employees of the Commission on Ethics.

24         (e)  Two employees of the Florida Public Service

25  Commission.

26         (f)  Two employees of the judicial branch designated in

27  writing by the Chief Justice of the Florida Supreme Court.

28         (3)  The annual fee is up to $50 per each house for a

29  person to register to represent one principal and up to an

30  additional $10 per house for each additional principal that

31  the person registers to represent. The amount of each fee

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 1  shall be established annually by the President of the Senate

 2  and the Speaker of the House of Representatives. The fees set

 3  shall be adequate to ensure operation of the lobbyist

 4  registration and reporting operations of the Lobbyist

 5  Registration Office. The fees collected by the Lobbyist

 6  Registration Office under this joint policy shall be deposited

 7  in the State Treasury and credited to the Legislative Lobbyist

 8  Registration Trust Fund specifically to cover the costs

 9  incurred in administering this joint policy.

10         1.4  Reporting of Lobbying Firm Compensation

11         (1)(a)  Each lobbying firm shall file a compensation

12  report with the division for each calendar quarter during any

13  portion of which one or more of the firm's lobbyists were

14  registered to represent a principal. The report shall include

15  the:

16         1.  Full name, business address, and telephone number

17  of the lobbying firm;

18         2.  Registration name of each of the firm's lobbyists;

19  and

20         3.  Total compensation provided or owed to the lobbying

21  firm from all principals for the reporting period, reported in

22  one of the following categories:  $0; $1 to $49,999; $50,000

23  to $99,999; $100,000 to $249,999; $250,000 to $499,999;

24  $500,000 to $999,999; $1 million or more.

25         (b)  For each principal represented by one or more of

26  the firm's lobbyists, the lobbying firm's compensation report

27  shall also include the:

28         1.  Full name, business address, and telephone number

29  of the principal; and

30         2.  Total compensation provided or owed to the lobbying

31  firm for the reporting period, reported in one of the

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 1  following categories: $0; $1 to $9,999; $10,000 to $19,999;

 2  $20,000 to $29,999; $30,000 to $39,999; $40,000 to $49,999; or

 3  $50,000 or more. If the category "$50,000 or more" is

 4  selected, the specific dollar amount of compensation must be

 5  reported, rounded up or down to the nearest $1,000.

 6         (c)  If the lobbying firm subcontracts work from

 7  another lobbying firm and not from the original principal:

 8         1.  The lobbying firm providing the work to be

 9  subcontracted shall be treated as the reporting lobbying

10  firm's principal for reporting purposes under this paragraph;

11  and

12         2.  The reporting lobbying firm shall, for each

13  lobbying firm identified as the reporting lobbying firm's

14  principal under paragraph (b), identify the name and address

15  of the principal originating the lobbying work.

16         (d)  The senior partner, officer, or owner of the

17  lobbying firm shall certify to the veracity and completeness

18  of the information submitted pursuant to this Rule 1.4, and

19  certify that no compensation has been omitted from this report

20  by deeming such compensation as "consulting services," "media

21  services," "professional services," or anything other than

22  compensation, and certify that no officer or employee of the

23  firm has made an expenditure in violation of section 11.045,

24  Florida Statutes, as amended by chapter 2005-359, Laws of

25  Florida.

26         (2)  For each principal represented by more than one

27  lobbying firm, the division shall aggregate the

28  reporting-period and calendar-year compensation reported as

29  provided or owed by the principal. Compensation reported

30  within a category shall be aggregated as the arithmetic mean

31  of the category.

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 1         (3)  The reporting statements shall be filed no later

 2  than 45 days after the end of each reporting period. The four

 3  reporting periods are from January 1 through March 31, April 1

 4  through June 30, July 1 through September 30, and October 1

 5  through December 31, respectively. The statements shall be

 6  rendered in the identical form provided by the respective

 7  houses and shall be open to public inspection. Reporting

 8  statements may be filed by electronic means, when feasible.

 9         (4)  Reports shall be filed no later than 5 p.m. of the

10  report due date. However, any report that is postmarked by the

11  United States Postal Service no later than midnight of the due

12  date shall be deemed to have been filed in a timely manner,

13  and a certificate of mailing obtained from and dated by the

14  United States Postal Service at the time of the mailing, or a

15  receipt from an established courier company that bears a date

16  on or before the due date, shall be proof of mailing in a

17  timely manner.

18         1.5  Failure to File Timely Compensation Report; Notice

19  and Assessment of Fines; Appeals

20         (1)  Upon determining that the report is late, the

21  person designated to review the timeliness of reports shall

22  immediately notify the lobbying firm as to the failure to

23  timely file the report and that a fine is being assessed for

24  each late day. The fine shall be $50 per day per report for

25  each late day, not to exceed $5,000 per report.

26         (2)  Upon receipt of the report, the person designated

27  to review the timeliness of reports shall determine the amount

28  of the fine due based upon the earliest of the following:

29         (a)  When a report is actually received by the

30  division.

31         (b)  When the report is postmarked.

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 1         (c)  When the certificate of mailing is dated.

 2         (d)  When the receipt from an established courier

 3  company is dated.

 4         (3)  Such fine shall be paid within 30 days after the

 5  notice of payment due is transmitted by the person designated

 6  to review the timeliness of reports, unless appeal is made to

 7  the division. The moneys shall be deposited into the

 8  Legislative Lobbyist Registration Trust Fund.

 9         (4)  A fine shall not be assessed against a lobbying

10  firm the first time the report for which the lobbying firm is

11  responsible is not timely filed. However, to receive the

12  one-time fine waiver, the report for which the lobbying firm

13  is responsible must be filed within 30 days after notice that

14  the report has not been timely filed is transmitted by the

15  person designated to review the timeliness of reports. A fine

16  shall be assessed for any subsequent late-filed reports.

17         (5)  Any lobbying firm may appeal or dispute a fine,

18  based upon unusual circumstances surrounding the failure to

19  file on the designated due date, and may request and shall be

20  entitled to a hearing before the General Counsel of the Office

21  of Legislative Services, who shall recommend to the President

22  of the Senate and the Speaker of the House of Representatives,

23  or their respective designees, that the fine be waived in

24  whole or in part for good cause shown. The President of the

25  Senate and the Speaker of the House of Representatives, or

26  their respective designees, may by joint agreement concur in

27  the recommendation and waive the fine in whole or in part. Any

28  such request shall be made within 30 days after the notice of

29  payment due is transmitted by the person designated to review

30  the timeliness of reports. In such case, the lobbying firm

31  shall, within the 30-day period, notify the person designated

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 1  to review the timeliness of reports in writing of his or her

 2  intention to request a hearing.

 3         (6)  A lobbying firm may request that the filing of a

 4  report be waived upon good cause shown, based on unusual

 5  circumstances. The request must be filed with the General

 6  Counsel of the Office of Legislative Services, who shall make

 7  a recommendation concerning the waiver request to the

 8  President of the Senate and the Speaker of the House of

 9  Representatives. The President of the Senate and the Speaker

10  of the House of Representatives may, by joint agreement, grant

11  or deny the request.

12         (7)(a)  All lobbyist registrations for lobbyists who

13  are partners, owners, officers, or employees of a lobbying

14  firm that fails to timely pay a fine are automatically

15  suspended until the fine is paid or waived, and the division

16  shall promptly notify all affected principals and the

17  President of the Senate and the Speaker of the House of

18  Representatives of any suspension or reinstatement. All

19  lobbyists who are partners, owners, officers, or employees of

20  a lobbying firm are jointly and severally liable for any

21  outstanding fine owed by a lobbying firm.

22         (b)  No such lobbyist may be reinstated in any capacity

23  representing any principal until the fine is paid or until the

24  fine is waived as to that lobbyist. A suspended lobbyist may

25  request a waiver upon good cause shown, based on unusual

26  circumstances. The request must be filed with the General

27  Counsel of the Office of Legislative Services who shall, as

28  soon as practicable, make a recommendation concerning the

29  waiver request to the President of the Senate and the Speaker

30  of the House of Representatives. The President of the Senate

31  

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 1  and the Speaker of the House of Representatives may, by joint

 2  agreement, grant or deny the request.

 3         (8)  The person designated to review the timeliness of

 4  reports shall notify the director of the division of the

 5  failure of a lobbying firm to file a report after notice or of

 6  the failure of a lobbying firm to pay the fine imposed.

 7         1.6  Open Records

 8         All of the lobbyist registration and compensation

 9  reports received by the Lobbyist Registration Office shall be

10  available for public inspection and for duplication at

11  reasonable cost.

12         1.7  Records Retention and Inspection and Complaint

13  Procedure

14         (1)  Each lobbying firm and each principal shall

15  preserve for a period of 4 years all accounts, bills,

16  receipts, computer records, books, papers, and other documents

17  and records necessary to substantiate compensation reports.

18         (2)  Upon receipt of a complaint based upon the

19  personal knowledge of the complainant made pursuant to the

20  Senate Rules or Rules of the House of Representatives, any

21  such documents and records may be inspected when authorized by

22  the President of the Senate or the Speaker of the House of

23  Representatives, as applicable. The person authorized to

24  perform the inspection shall be designated in writing and

25  shall be a member of The Florida Bar or a certified public

26  accountant licensed in Florida. Any information obtained by

27  such an inspection may only be used for purposes authorized by

28  law, this Joint Rule One, Senate Rules, or Rules of the House

29  of Representatives, which purposes may include the imposition

30  of sanctions against a person subject to this rule or Senate

31  Rules or the Rules of the House of Representatives. Any

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 1  employee who uses that information for an unauthorized purpose

 2  is subject to discipline. Any member who uses that information

 3  for an unauthorized purpose is subject to discipline under the

 4  applicable rules of each house.

 5         (3)  The right of inspection may be enforced by

 6  appropriate writ issued by any court of competent

 7  jurisdiction.

 8         1.8  Questions Regarding Interpretation of this Joint

 9  Rule One

10         (1)  A person may request in writing an informal

11  opinion from the General Counsel of the Office of Legislative

12  Services as to the application of this Joint Rule One to a

13  specific situation. The General Counsel shall issue the

14  opinion within 10 days after receiving the request. The

15  informal opinion may be relied upon by the person who

16  requested the informal opinion. A copy of each informal

17  opinion that is issued shall be provided to the presiding

18  officer of each house. A committee of either house designated

19  pursuant to section 11.045(5), Florida Statutes, may revise

20  any informal opinion rendered by the General Counsel through

21  an advisory opinion to the person who requested the informal

22  opinion. The advisory opinion shall supersede the informal

23  opinion as of the date the advisory opinion is issued.

24         (2)  Persons in doubt about the applicability or

25  interpretation of this Joint Rule One may submit in writing

26  the facts for an advisory opinion to the committee of either

27  house designated pursuant to section 11.045(5), Florida

28  Statutes, and may appear in person before the committee in

29  accordance with section 11.045(5), Florida Statutes.

30         1.9  Effect of Former Joint Rule One

31  

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 1         Every fine and penalty finally due and owing on or

 2  before December 31, 2005, under the Rules of the Senate or the

 3  House of Representatives or under former Joint Rules 1.1-1.9,

 4  with no appeal pending under such rules, is hereby ratified

 5  and preserved and shall be collected as previously finally

 6  determined. Every other obligation under former Joint Rule

 7  One, rescinded upon adoption of this Joint Rule One, is hereby

 8  waived and abolished. The obligations under Joint Rules 1.1,

 9  1.2, and 1.3 are to be enforced retroactively to January 1,

10  2006, provided that substantial compliance with the provisions

11  of former Joint Rules 1.1, 1.2, and 1.3 on or before the

12  effective date of this Joint Rule One shall be deemed to be in

13  compliance with any retroactive requirements of this Joint

14  Rule One.

15  

16          STATEMENT OF SUBSTANTIAL CHANGES CONTAINED IN
                       COMMITTEE SUBSTITUTE FOR
17                Senate Concurrent Resolution 1856

18                                 

19  Differs substantially from the original resolution in that it:
    rescinds Joint Rule 1 of the Florida Legislature entitled
20  "Lobbyist Registration and Reporting"; creates a new Joint
    Rule 1 governing lobbyist registration and lobbying firm
21  compensation reporting, consistent with the requirements of
    Senate Bill 6-B (2005); abolishes the existing system of
22  expenditure reporting; continues the administrative
    enforcement and appeals mechanisms currently in place for
23  registration and expenditure reporting (automatic fines for
    late filed reports, one-time fine waiver for first offenders,
24  appeal based on "unusual circumstances," etc.), modified to
    conform to the new registration and compensation reporting
25  requirements of SB 6-B (2005); provides for day-to-day
    administration of the new Joint Rule by the Office of
26  Legislative Services; waives most of the obligations under the
    previous registration and expenditure reporting rules (former
27  Joint Rule 1), while making the new registration requirements
    applicable retroactively to January 1, 2006; incorporates many
28  of the statutory requirements from SB 6-B (2005); and, makes
    numerous technical and clarifying changes to provisions
29  carried over from the former Joint Rule 1 to accord with the
    requirements in SB 6-B (2005).
30  

31  

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