Senate Bill sb1856c1
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Florida Senate - 2006 CS for SCR 1856
By the Committee on Rules and Calendar; and Senator Pruitt
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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25 That former Joint Rule One is rescinded and new Joint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
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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.
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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
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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
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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.
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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).
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