Advocacy - Lobbying and Gift Rules: Guidelines and Overview

CONTACTING MEMBERS

A. General

"Legislative lobbying" efforts by members of the University of California are permissible if aimed at the legislature and not the electorate.

University policy with respect to contacting state and federal elected and agency officials, is set out in the Policy on Relations of University Staff members with State and Federal Officials. (See Attachment 1.)

The Policy addresses representation of the University, procedures concerning formal contacts with state and federal agencies, and procedural guidelines including the use of letterhead when corresponding with officials.

Individual members or groups of members of the staff of the University shall not, unless they are specifically authorized by the President, act or give the appearance of acting on behalf of the University when communicating with state or federal government officials concerning policies or legislation relating to the University.

In the event that any individual member of the staff of the University is invited by a member of a committee of the State Legislature or Congress or by any other state or federal government agency or officer to discuss pending legislation or policy relating to the University or to serve on a governmental commission, board, or committee relating to the University, the invitee must notify the President through appropriate channels. In those cases where subsequent discussions or actions bear upon the University directly or upon University relations with governmental officers or agencies, the President must be informed through appropriate channels of the nature of the discussion or action.

"Appropriate channels" to be followed by faculty and staff members on the campuses for informing the President in compliance with this policy are understood to mean through the Chancellors to the Assistant Vice President of State Governmental Relations in regard to state matters and through the Chancellors to the Assistant Vice President of Federal Governmental Relations in regard to federal matters. In the case of staff members in the Office of the President, "appropriate channels" are understood to mean through the appropriate Vice President to the Assistant Vice President of State Governmental Relations (Sacramento Office) in regard to state matters, and through the Assistant Vice President of Federal Governmental Relations in regard to federal matters.

Reference:

1. University Policy on Relations of University Staff Members with State and Federal Officials [Attachment 1]

B. Contacting State Elected and Agency Officials

California's Political Reform Act (Gov. Code, §§ 81000-91015) ("the Act") generally requires registration and reporting by individuals and entities that make or receive payments for the purpose of influencing decisions of the state Legislature and state administrative agencies (i.e., lobbying legislative bills and state agency regulations). However, employees of the University acting within the scope of their employment are exempt from this requirement. (Gov.Code, §§ 82039 and 86300.) Accordingly, no registration or reporting is required for University lobbyists. Nevertheless, an employee who would have to register as a lobbyist except for this exemption is still subject to the "$10 gift rule" - that is, he or she may not make gifts of more than ten dollars in a calendar month to an elected state officer or legislative official. (See Section III for discussion of gifts.)

The Act defines a "lobbyist" as an individual who is compensated and who communicates directly with legislative or state agency officials to influence legislative or administrative action on behalf of his or her employer or client. With respect to lobbyists working only on behalf of their employers, the Act's regulations further define a "lobbyist" as "an individual who spends one-third or more of the time, in any calendar month, for which he or she receives compensation from his or her employer, engaging in direct communication, other than administrative testimony, with one or more qualifying officials for the purpose of influencing legislative or administrative action." (Cal. Code Regs., tit 2, § 18239.)

The Act does not regulate individuals or entities that lobby the federal government, or city, county and other local government agencies.

References:

1. Government Code section 82039 (definition of "lobbyist") [Attachment 2] (pdf)
2. Government Code section 86300 ("lobbyist" exemption) [Attachment 3] (pdf)
3. California Code of Regulations, title 2, section 18239 (definition of "lobbyist") [Attachment 4] (pdf)

C. Contacting Federal Elected and Agency Officials

Under federal law, an individual retained by the University for services that include more than one "lobbying contact" and whose "lobbying activities" for the University constitute twenty percent or more of his or her work time over a six-month period is a "lobbyist." Generally, "lobbying contact" includes any oral or written communications to a "covered official" made on behalf of the University regarding: (i) the formulation, modification or adoption of federal legislation, rules, regulations, executive orders or any other program, policy or position of the United States government, or (ii) the administration or execution of a federal program or policy. The University must register its lobbyists as required by the federal Lobbying Disclosure Act of 1995, and all registered lobbyists are required to submit a report every six months containing specific information concerning their lobbying activities, including the issues lobbied upon, officials contacted, time spent, and an estimate of expenses. For a description of the specific terms used in the Lobbying Disclosure Act, and the process for submitting lobbying activities reports, please see the references below.

The University's Lobbying Disclosure Policy states that University employees as well as other individuals retained to provide federal relations or lobbying assistance must receive prior written approval from the President or the Chancellor before engaging in activities that would require them to be registered as a lobbyist. Individuals who feel their activities trigger the requirements of the Lobbying Disclosure Act should consult the University's Federal Lobbying Disclosure Policy and contact the University's Federal Governmental Relations Office in Washington, DC.

References:

1. May 29, 1998 Letter to Chancellors from President Atkinson including University of California Lobbying Disclosure Policy, Lobbying Disclosure Policy Background and Guidelines, Instructions for Completing the UC Lobbying Activity Report; Monthly University of California Lobbying Activity Report and Code List, and The Lobbying Disclosure Act of 1995 - Frequently Asked Questions [Attachment 5]