M E M O R A N D U M
DATE: January 4, 2007
TO: All Concerned
FROM: Adrienne Dziak
Director, Government Relations
SUBJECT: Lobbying Disclosure Requirements
The University is registered under the Lobbying Disclosure
Act, which requires reporting of federal lobbying activities.
All lobbying activities covered by the law must be reported
to the Case Western Reserve University Government Relations
Office on a semi-annual basis so that mandatory reports to Congress
can be prepared and submitted by the required deadline.
The current reporting period covers July 1-December 30, 2006.
Please report your activity or non-activity for this period
to the Office of Government Relations by Friday, January 19,
2007 A brief e-mail message will suffice (donna.thomas@case.edu).
A copy of the Lobbying Disclosure Act reporting guidance is
attached. Note that preparing letters to members of Congress
or federal officials that are intended to influence policy decisions
are covered under the Act.
In addition, for the University’s tax purposes, I am
collecting information about state of Ohio lobbying activities
conducted by University officials for Case during the same period.
Please provide a brief description of any state-level lobbying
activities conducted by you or your staff during this period.
Thank you for your cooperation. Please phone Adrienne Dziak
at 368-1723 should you have questions.
CASE WESTERN RESERVE UNIVERSITY
FEDERAL LOBBYING DISCLOSURE ACT
Reporting Guidance
Background:
In January 1996 the Lobbying Disclosure Act (LDA) went into
effect. The LDA requires federal lobbyists and institutions
that employ them – including colleges and universities
- to register with the federal government and to report their
lobbying activities. Under the terms of the law, certain institutions
must identify individuals conducting lobbying on their behalf,
and file semi-annual reports containing information about their
lobbying contacts and expenditures. The information becomes
publicly available upon filing.
Institutions are covered by the law if any employee spends
20 percent ore more of his or her time in a six-month period
engaging in lobbying, or if the institution spends $20,000 or
more during a six-month period on lobbying activities. Case
is required to register under the terms of this law. The penalty
for non-compliance with LDA reporting requirements is a fine
up to $50,000.
Case has issued a policy stating that lobbying contacts on
behalf of the University may only be made by the President,
Provost, Deans, Vice Presidents, and their designees. These
individuals are required to report their lobbying activities
to the Office of Government Relations. The following is guidance
for the reporting requirements.
Key Definitions:
• Lobbying Activities
Lobbying activities are defined as lobbying contacts (see below)
and efforts in support of lobbying contacts, including preparation
and planning activities, research, and other background work
that is intended for use in lobbying contacts.
• Lobbying Contacts
Lobbying contact means any oral or written communication to
members of Congress, Congressional staff, or federal agency
officials on behalf of the institution regarding the formulation,
modification, or adoption of federal legislation; the formulation,
modification, or adoption of a federal rule, regulation, executive
order, or other federal program, policy, or position; or the
administration of federal program or policy.
A lobbying contact includes not only direct contacts with federal
officials, but includes background research and planning activities
intended expressly as preparation for a lobbying contact. Examples
include:
- Letters, faxes, e-mail messages, and telephone calls
- Face-to-face meetings with officials or staff
• Covered Officials
Communications with government officials are considered to
be lobbying contacts only when they are with particular individuals
within the federal executive and legislative branches. These
individuals are referred to as “covered officials,”
under LDA. Examples follow.
Executive Branch Legislative Branch
President and Vice President Members of the House of Representatives,
their elected officers, and their staff
Employees of the Executive Office of the President Members of
the Senate, their elected officers, and their staff
Cabinet Secretaries and Senior Executive Staff at the Assistant
Secretary Level or higher Congressional committee staff (including
leaders and joint committee staff)
Top military officers – Brigadier General and above Congressional
caucuses and working groups and their staff
Any officer or employee in a confidential, policy-advocating,
or policy-making positions All officers and employees required
to file financial disclosure forms under the Ethics in Government
Act
Reporting Guidance:
Most day-to-day University-government contacts are not covered
by the LDA. While many of our faculty and staff have frequent
interactions with the federal government, very few are likely
to require reporting. Lobbying contacts need to be reported
only when an official representative of the University makes
a lobbying contact with a covered official of the U.S. government
for the purpose of influencing policy or legislation.
The LDA does not apply to any situation in which the interests
of the University are not being advocated, the contact is not
initiated by the University, or other terms of the LDA are not
met – for example, the individual contacted is not a “covered
official.” Examples of activities that are not covered
by the LDA include:
• Speeches, articles, or communications made through
mass media;
• Testimony given before a committee of Congress or submitted
in writing for the public record of a hearing of such a committee;
• Information provided in writing in response to a written
or oral request by a federal official;
• Communication made in response to a notice in the Federal
Register soliciting comments from the public.
Examples of direct communication with covered
officials that are intended to influence legislation or government
policy under the terms of the LDA – that is, covered activities
– include:
• Meeting with Congressional staff to present the University’s
position on a pending legislative proposal.
• Contributing to the lobbying activities of groups or
associations.
• Sending letters to Congress supporting the confirmation
of a Senate-confirmed nominee.
• Providing unsolicited information to congressional
or executive branch staff on behalf of the University intended
to influence their positions on existing policies.
• Lobbying a covered official in a granting agency or
relevant congressional committee on the award of federal monies.
Required Reporting Information:
The following are the elements of the information you should
provide when you report a lobbying contact.
1. Your name, department, campus contact information.
2. Brief description of the lobbying contact or activity, including:
• Type of contact(s) made – e.g., letters prepared,
phone calls, meetings, or participation in lobbying coalition
activities, including planning and preparation time;
• Issue addressed, including specific reference to name
of legislation, bill number, executive order; and
• Executive branch or Congressional institution contacted,
and number of contacts made. You are not required to report
the names of the individuals contacted.
3. An estimate of expenditures made for each lobbying contact,
including:
• Direct costs, such as travel; and
• Time spent on the covered activity by yourself and staff,
if appropriate.
Please send your report to the Case Government Relations Office:
Adrienne Dziak 368-6519 adrienne.dziak@case.edu
Donna Thomas 368-1723 donna.thomas@case.edu
FAQs:
1. Do I need to report contacts if my own advocacy efforts
might be related to the interests of the University?
No. Reporting is required only if you have made a lobbying
contact to represent an official position of Case Western Reserve.
2. Do I need to keep official records of the information I
report?
Once you have provided your LDA information, the Office of
Government relations will keep it on file. However, it is recommended
that you should maintain a similar file in your department for
reference. Each department engaging in any lobbying activities
should have a contact point for the Office of Government Relations.
3. How are these reporting requirements related to provisions
that prohibit expenditure of federal funds for lobbying purposes?
A separate federal law dictates that NO federal grant monies
may be spent to lobby the government. Separate accounting for
these expenses should be conducted by each Department or College
that engages in lobbying activities.
4. How much time spent on lobbying activities triggers a requirement
report?
Any amount of time spent making or preparing to make lobbying
contact is considered to be a lobbying activity and must be
reported – even a single meeting, letter or telephone
call.
5. Does this mean that I now will be required to report conversations
with program officers, grant administrators, and federal agency
contacts?
No. Only contacts with senior officials that are intended to
influence government policy need to be reported. The vast majority
of day-to-day University-federal contacts are not covered by
LDA.
For more information, please contact:
Adrienne Dziak, Director
Office of Government Relations
Nord Hall Room 628
Location Code: 7024
phone: 216-368-1723
email:donna.thomas@case.edu
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