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First Substitute H.B. 287

Senator L. Alma Mansell proposes to substitute the following bill:


             1     
LOBBYIST DISCLOSURE ACT AMENDMENTS

             2     
2000 GENERAL SESSION

             3     
STATE OF UTAH

             4     
Sponsor: John E. Swallow

             5      AN ACT RELATING TO LOBBYIST DISCLOSURE AND REGULATION; MODIFYING
             6      LICENSURE AND REPORTING REQUIREMENTS; CHANGING REGULATIONS
             7      GOVERNING PENALTIES; AND MAKING TECHNICAL CORRECTIONS.
             8      This act affects sections of Utah Code Annotated 1953 as follows:
             9      AMENDS:
             10          36-11-103, as last amended by Chapter 162, Laws of Utah 1992
             11          36-11-106, as enacted by Chapter 280, Laws of Utah 1991
             12          36-11-201, as last amended by Chapter 192, Laws of Utah 1995
             13          36-11-401, as enacted by Chapter 280, Laws of Utah 1991
             14      REPEALS:
             15          36-11-104, as enacted by Chapter 280, Laws of Utah 1991
             16          36-11-105, as enacted by Chapter 280, Laws of Utah 1991
             17          36-11-202, as last amended by Chapter 56, Laws of Utah 1999
             18          36-11-402, as enacted by Chapter 280, Laws of Utah 1991
             19      Be it enacted by the Legislature of the state of Utah:
             20          Section 1. Section 36-11-103 is amended to read:
             21           36-11-103. Licensure.
             22          (1) (a) Before engaging in any lobbying [activities], a lobbyist shall [register with] obtain
             23      a license from the lieutenant governor by [filing a written statement that provides:] completing the
             24      form required by this section.
             25          (b) The lieutenant governor shall issue licenses to qualified lobbyists.


             26          (c) The lieutenant governor shall prepare a Lobbyist License Application Form that
             27      includes:
             28          [(a) his] (i) a place for the lobbyist's name and business address;
             29          [(b)] (ii) a place for the name and business address of each principal for [which he] whom
             30      the lobbyist works or is hired as an independent contractor;
             31          [(c)] (iii) a place for the name and address of the person who paid or will pay [his] the
             32      lobbyist's registration fee, if the fee is not paid by the [registrant himself] lobbyist;
             33          [(d)] (iv) a place for the lobbyist to disclose any elected or appointed position that [he]
             34      the lobbyist holds in state or local government, if any; [and]
             35          [(e)] (v) a place for the lobbyist to disclose the types of expenditures for which the lobbyist
             36      will be reimbursed[.]; and
             37          (vi) a certification to be signed by the lobbyist that certifies that the information provided
             38      in the form is true, accurate, and complete to the best of the lobbyist's knowledge and belief.
             39          (2) Each [person] lobbyist who [has registered in Subsection (1)] obtains a license under
             40      this section shall update [his registration when he] the licensure information when the lobbyist
             41      accepts employment for lobbying by a new client.
             42          [(3) A principal is not required to register under Subsection (1), but if he makes
             43      expenditures to benefit a public official without using a lobbyist as an agent to confer those
             44      benefits, he shall disclose those expenditures in accordance with Sections 36-11-201 and
             45      36-11-202 .]
             46          (3) (a) Except as provided in Subsection (4), the lieutenant governor shall grant a lobbying
             47      license to an applicant who:
             48          (i) files an application with the lieutenant governor that contains the information required
             49      by this section; and
             50          (ii) pays a $25 filing fee.
             51          (b) A license entitles a person to serve as a lobbyist on behalf of one or more principals
             52      and expires on December 31 of each even-numbered year.
             53          (4) (a) The lieutenant governor may disapprove an application for a lobbying license:
             54          (i) if the applicant has been convicted of violating Section 76-8-103 , 76-8-107 , 76-8-108 ,
             55      or 76-8-303 within five years before the date of the lobbying license application;
             56          (ii) if the applicant has been convicted of violating Section 76-8-104 or 76-8-304 within


             57      one year before the date of the lobbying license application;
             58          (iii) for the term of any suspension imposed under Section 36-11-401 ; or
             59          (iv) if, within one year before the date of the lobbying license application, the applicant
             60      has been found to have willingly and knowingly:
             61          (A) violated Section 36-11-103 , 36-11-201 , 36-11-301 , 36-11-302 , 36-11-303 , 36-11-304 ,
             62      36-11-305 or 36-11-403 ; or
             63          (B) filed a document required by this chapter that the lobbyist knew contained materially
             64      false information or omitted material information.
             65          (b) An applicant may appeal the disapproval in accordance with the procedures established
             66      by the lieutenant governor under this chapter and Title 63, Chapter 46b, Administrative Procedures
             67      Act.
             68          (5) The lieutenant governor shall deposit license fees in the General Fund.
             69          (6) A principal need not obtain a license under this section, but if the principal makes
             70      expenditures to benefit a public official without using a lobbyist as an agent to confer those
             71      benefits, the principal shall disclose those expenditures as required by Sections 36-11-201 and
             72      36-11-202 .
             73          [(4)] (7) Government officers need not [register under Subsection (1)] obtain a license
             74      under this section, but shall disclose any expenditures made to benefit public officials [in
             75      accordance with] as required by Sections 36-11-201 and 36-11-202 .
             76          Section 2. Section 36-11-106 is amended to read:
             77           36-11-106. Reports are public documents.
             78          Any person may:
             79          (1) without charge, inspect a license application or financial report filed with the lieutenant
             80      governor in accordance with this chapter; and
             81          (2) make a copy of a report after paying for the actual costs of the copy.
             82          Section 3. Section 36-11-201 is amended to read:
             83           36-11-201. Lobbyist, principal, and government officer financial reporting
             84      requirements -- Prohibition for related person to make expenditures.
             85          (1) (a) (i) Each lobbyist, principal, and government officer [who makes expenditures
             86      totaling $50 or more to benefit public officials or members of their immediate families in any
             87      calendar quarter of the last calendar year] shall file [a] an annual financial report with the


             88      lieutenant governor [by] on January 10 of each year or on the next succeeding business day if
             89      January 10 falls on a Saturday, Sunday, or legal holiday. The report shall be considered timely
             90      filed if postmarked on its due date. [Any report required shall contain:]
             91          (ii) The report shall disclose expenditures made to benefit public officials or members of
             92      their immediate families as provided in this section.
             93          (iii) If the lobbyist made no expenditures since the last expenditure reported on the last
             94      report filed, the lobbyist shall file a financial report listing the amount of expenditures as "none."
             95          (b) The January 10 report shall contain:
             96          [(a)] (i) the total amount of expenditures made to benefit public officials during the last
             97      calendar year;
             98          [(b) (i)] (ii) (A) the total travel expenditures that the lobbyist, principal, or government
             99      officer made to benefit public officials and their immediate families during the last calendar year;
             100      and
             101          [(ii)] (B) a travel expenditure statement that:
             102          [(A)] (I) describes the destination of each trip and its purpose;
             103          [(B)] (II) identifies the total amount of expenditures made to benefit each public official
             104      and [his] members of the public official's immediate family for each trip;
             105          [(C)] (III) names all individuals that took each trip;
             106          [(D)] (IV) provides the name and address of the organization that sponsored each trip; and
             107          [(E)] (V) identifies specific expenditures for food, lodging, gifts, and sidetrips;
             108          [(c)] (iii) for aggregate daily expenditures made to benefit public officials or members of
             109      their immediate families that are not reportable under Subsection (1)(b):
             110          [(i)] (A) when the amount does not exceed $50 per person:
             111          [(A)] (I) the date of the expenditure;
             112          [(B)] (II) the purpose of the expenditure; and
             113          [(C)] (III) the total monetary worth of the benefit conferred on the public officials or
             114      members of their immediate families;
             115          [(ii)] (B) when the amount exceeds $50 per person:
             116          [(A)] (I) the date, location, and purpose of the event, activity, or expenditure;
             117          [(B)] (II) the name of the public official or member of [his] the public official's immediate
             118      family who attended the event or activity or received the benefit of the expenditure; and


             119          [(C)] (III) the total monetary worth of the benefit conferred on the public official or
             120      member of [his] the public official's immediate family;
             121          [(d)] (iv) a list of each public official [that] who was employed by the lobbyist, principal,
             122      or government officer or who performed work as an independent contractor for the lobbyist,
             123      principal, or government officer during the last year that details the nature of the employment or
             124      contract;
             125          [(e)] (v) each bill or resolution by number and short title on behalf of which the lobbyist,
             126      principal, or government officer made an expenditure to a public official for which a report is
             127      required by this section, if any;
             128          [(f)] (vi) a description of each executive action on behalf of which the lobbyist, principal,
             129      or government officer made an expenditure to a public official for which a report is required by
             130      this section, if any; and
             131          [(g)] (vii) the general purposes, interests, and nature of the organization or organizations
             132      that the lobbyist, principal, or government officer filing the report represents.
             133          (2) A related person may not, while assisting a lobbyist, principal, or government officer
             134      in lobbying, make an expenditure that benefits a public official or member of [his] the public
             135      official's immediate family under circumstances which would otherwise fall within the disclosure
             136      requirements of this chapter if the expenditure was made by the lobbyist, principal, or government
             137      officer.
             138          (3) (a) Each lobbyist, principal, and government officer who makes expenditures totaling
             139      $50 or more to benefit public officials or members of their immediate families since the date of
             140      the last financial report filed shall file a financial report with the lieutenant governor on:
             141          (i) the date ten days after the last day of each annual general session;
             142          (ii) the date seven days before a regular general election; and
             143          (iii) the date seven days after the end of a special session or veto override session.
             144          (b) (i) If any date specified in this Subsection (3) falls on a Saturday, Sunday, or legal
             145      holiday, the report is due on the next business day or on the next succeeding business day, if the
             146      due date falls on a Saturday, Sunday, or legal holiday.
             147          (ii) The report shall be considered timely filed if it is postmarked on its due date.
             148          (c) Each report shall contain a listing of all expenditures made since the last expenditure
             149      reported on the last report filed in the form specified in Subsection (1)(b).


             150          (4) Each financial report filed by a lobbyist shall contain a certification that the
             151      information provided in the report is true, accurate, and complete to the lobbyist's best knowledge
             152      and belief.
             153          (5) The lieutenant governor shall:
             154          (a) develop preprinted suggested forms for all statements required by this section; and
             155          (b) make copies of the forms available to each person who requests them.
             156          Section 4. Section 36-11-401 is amended to read:
             157           36-11-401. Penalties.
             158          (1) Any person who willfully and knowingly violates Section 36-11-103 , 36-11-201 ,
             159      [ 36-11-202 ,] 36-11-301 , 36-11-302 , [or] 36-11-303 , 36-11-304 , 36-11-305 , or 36-11-403 , is
             160      subject to [any or all of] the following penalties:
             161          [(a) suspension of his lobbying license for a period of one year; and]
             162          [(b)] (a) an administrative penalty of [not more than] up to $1,000 for each violation[.];
             163      and
             164          (b) for each subsequent violation of that same section within 24 months, either:
             165          (i) an administrative penalty of up to $5000; or
             166          (ii) suspension of the violator's lobbying license for up to one year, if the person is a
             167      lobbyist.
             168          (2) Any person who willfully and knowingly fails to file a financial report required by this
             169      chapter, omits material information from a license application form or financial report, or files
             170      false information on a license application form or financial report, is subject to the following
             171      penalties:
             172          (a) an administrative penalty of up to $1,000 for each violation; or
             173          (b) suspension of the violator's lobbying license for up to one year, if the person is a
             174      lobbyist.
             175          (3) Any person who willfully and knowingly fails to file a financial report required by this
             176      chapter on the date that it is due shall, in addition to the penalties, if any, imposed under
             177      Subsection (1) or (2), pay a penalty of up to $50 per day for each day that the report is late.
             178          [(2) If] (4) (a) When a lobbyist [has been] is convicted of violating Section 76-8-103 ,
             179      [76-8-104 ,] 76-8-107 , 76-8-108 , or 76-8-303 , [or 76-8-304 or has had a penalty imposed under
             180      Subsection (1) more than once,] the lieutenant governor shall[: (a) permanently revoke a] suspend


             181      the lobbyist's license[; or] for up to five years from the date of the conviction.
             182          (b) When a lobbyist is convicted of violating Section 76-8-104 or 76-8-304 , the lieutenant
             183      governor shall suspend a lobbyist's license for [a period of up to three years; and] up to one year
             184      from the date of conviction.
             185          [(c) impose a penalty of not less than $1,000 nor more than $25,000.]
             186          [(3)] (5) (a) Any person who willfully and knowingly violates Section 36-11-301 ,
             187      36-11-302 , or 36-11-303 is guilty of a class B misdemeanor.
             188          (b) The lieutenant governor shall [revoke] suspend the lobbyist license of any person
             189      convicted under [this section] any of these sections for up to one year.
             190          (c) The suspension shall be in addition to any administrative penalties imposed by the
             191      lieutenant governor under this section.
             192          (d) Any person with evidence of a possible violation of this chapter may submit that
             193      evidence to the lieutenant governor for investigation and resolution.
             194          (6) Nothing in this chapter creates a third-party cause of action or appeal rights.
             195          Section 5. Repealer.
             196          This act repeals:
             197          Section 36-11-104, Certification to the truth of reports and registrations.
             198          Section 36-11-105, Application for a license -- Fee -- Expiration -- Standards for
             199      disapproving an application.
             200          Section 36-11-202, Filing of supplemental reports.
             201          Section 36-11-402, Reinstatement of a license.


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