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Honest Leadership and Open Government Act: Resources

NEW: ACE Webinar on Lobbying Disclosure and Federal Ethics Issues for Higher Education

The Honest Leadership and Open Government Act of 2007 (PDF) made important changes in the requirements imposed on higher education institutions, both public and private, that interact with members of Congress and the executive branch.

All ACE members should review these new requirements to determine if your institution should register under the Lobbying Disclosure Act and make quarterly and semi-annual filings as required. Your institution should also ensure that administrators and faculty understand and comply with the new guidelines for providing gifts and travel to members of Congress and staff.

Obama Administration Efforts: President Obama issued an executive order on Jan. 21, 2009, tightening the ethics rules for "appointees" of the executive branch, including further restrictions on gifts and interactions with registered lobbyists. The Office of Government Ethics issued a guidance memorandum (PDF) on Feb. 11 providing further clarification regarding the new Executive Order as it applies to gifts.

On March 20, President Obama issued a memorandum (PDF) setting forth significant new restrictions on the communications of registered lobbyists in regard to the American Recovery and Reinvestment Act of 2009. Federal agency officials are prohibited from receiving private (by telephone or in person) communications from registered lobbyists on specific Recovery Act issues. Such communications must be submitted in writing by a registered lobbyist. On April 7, Office of Management and Budget (OMB) Director Peter Orszag issued a memorandum (PDF) providing interim guidance on the application of the March 20th presidential directive.

ACE members and registered lobbyists of member institutions should consult with this OMB guidance when pursuing Recovery Act funding.

ACE Resources

ACE's Oct. 15, 2009 Webinar on Lobbying Disclosure and Federal Ethics Issues for Higher Education (slides ) & audio (MP3)

Guidance for Inviting Members of Congress and the Administration to Campus for Award of Honorary Degrees and Other Events

 What Do the New Rules on Lobbying Congress Signify for Colleges and Universities?

The New Lobbying and Ethics Rules: Are You in Compliance? (PPT; 1455 KB)

The following documents and web sites also will assist in your understanding of this new law and its requirements:*

Lobbying Registration and Disclosure
House and Senate Gift/Travel Rules
Campaign Contributions
IRS Links for Section 501(c)(3) Organizations
Treasury Regulations
Post-Government Employment and Lobbying Restrictions

Lobbying Registration and Disclosure

Lobbying Disclosure Act (LDA) filing information for the House and Senate

Congressional LDA Guidance (updated 06/9/09)

Updated text of LDA with HLOGA changes

Finding historical copies of LD1s and LD2s

LDA Method B for reporting lobbying expenses (also available as a PDF): Available for certain 501(c)(3) organizations and private universities using Internal Revenue Code definitions of lobby and lobbying expenses.

Q&A on the LD-203 & HLOGA Update (prepared by ASAE & McKenna Long)

House and Senate Gift/Travel Rules

House Ethics Committee

Senate Ethics Committee

Travel Forms

House Private Sponsor Travel Certification form (instructions)

Senate Private Sponsor Travel Certification form (checklist and glossary of terms)

Campaign Contributions

Proposed Federal Election Commission rules for bundled contributions

IRS Links for Section 501(c)(3) Organizations

Internal Code Section 501(c)(3) ("Exemption from tax on corporations, certain trusts, etc.—List of exempt organizations") and 501(h)("Expenditures by public charities to influence legislation.")

Internal Code Section 4911 ("Tax on excess expenditures to influence legislation.")

Treasury Regulations

§1.501(c)(3)-1: Organizations organized and operated for religious, charitable, scientific, testing for public safety, literary, or educational purposes, or for the prevention of cruelty to children or animals.

§1.501(h)-1: Application to expenditures to influence legislation; introduction.

§1.501(h)-2: Electing the expenditure test.

§1.501(h)-3: Lobbying or grass roots expenditures normally in excess of ceiling amount.

Treasury Regulations Part 56: Public Charity Excise Taxes.

Section Contents

§ 56.4911-0: Outline of regulations under section 4911
§ 56.4911-1: Tax on excess lobbying expenditures
§ 56.4911-2: Lobbying expenditures, direct lobbying communications, and grass roots lobbying communications
§ 56.4911-3: Expenditures for direct and/or grass roots lobbying communications
§ 56.4911-4: Exempt purpose expenditures
§ 56.4911-5: Communications with members
§ 56.4911-6: Records of lobbying and grass roots expenditures
§ 56.4911-7: Affiliated group of organizations
§ 56.4911-8: Excess lobbying expenditures of affiliated group
§ 56.4911-9: Application of section 501(h) to affiliated groups of organizations
§ 56.4911-10: Members of a limited affiliated group of organizations

Post-Government Employment and Lobbying Restrictions

House
Senate

Senate memo on Employment Negotiations and Arrangements for senators and senior staff.

*Compiled by C. Randall Nuckolls of McKenna Long & Aldridge LLP

Updated Oct. 23, 2009