2 U.S.C. § 1602 — Definitions

Page 363 TITLE 2—THE CONGRESS § 1602 Sec. 1614. Annual audits and reports by Comptroller General. § 1601. Findings The Congress finds that— (1) responsible representative Government requires public awareness of the efforts of paid lobbyists to influence the public decision- making process in both the legislative and ex- ecutive branches of the Federal Government; (2) existing lobbying disclosure statutes have been ineffective because of unclear statu- tory language, weak administrative and en- forcement provisions, and an absence of clear guidance as to who is required to register and what they are required to disclose; and (3) the effective public disclosure of the iden- tity and extent of the efforts of paid lobbyists to influence Federal officials in the conduct of Government actions will increase public con- fidence in the integrity of Government. (Pub. L. 104–65, § 2, Dec. 19, 1995, 109 Stat. 691.) Statutory Notes and Related Subsidiaries EFFECTIVE DATE Pub. L. 104–65, § 24, Dec. 19, 1995, 109 Stat. 705, provided that: ‘‘(a) Except as otherwise provided in this section, this Act [see Short Title note below] and the amendments made by this Act shall take effect on January 1, 1996. ‘‘(b) The repeals and amendments made under sec- tions 9, 10, 11, and 12 [amending section 4804 of Title 15, Commerce and Trade, section 219 of Title 18, Crimes and Criminal Procedure, sections 611, 613, 614, 616, 618, and 4002 of Title 22, Foreign Relations and Intercourse, section 1352 of Title 31, Money and Finance, and section 1490p of Title 42, The Public Health and Welfare, repeal- ing sections 261 to 270 of this title and section 3537b of Title 42, and repealing provisions set out as a note under section 261 of this title] shall take effect as pro- vided under subsection (a), except that such repeals and amendments— ‘‘(1) shall not affect any proceeding or suit com- menced before the effective date under subsection (a), and in all such proceedings or suits, proceedings shall be had, appeals taken, and judgments rendered in the same manner and with the same effect as if this Act had not been enacted; and ‘‘(2) shall not affect the requirements of Federal agencies to compile, publish, and retain information filed or received before the effective date of such re- peals and amendments.’’ SHORT TITLE OF 2019 AMENDMENT Pub. L. 115–418, § 1, Jan. 3, 2019, 132 Stat. 5440, provided that: ‘‘This Act [amending sections 1603 and 1604 of this title] may be cited as the ‘Justice Against Corruption on K Street Act of 2018’ or the ‘JACK Act’.’’ SHORT TITLE OF 2007 AMENDMENT Pub. L. 110–81, § 1(a), Sept. 14, 2007, 121 Stat. 735, pro- vided that: ‘‘This Act [see Tables for classification] may be cited as the ‘Honest Leadership and Open Gov- ernment Act of 2007’.’’ SHORT TITLE OF 1998 AMENDMENT Pub. L. 105–166, § 1(a), Apr. 6, 1998, 112 Stat. 38, pro- vided that: ‘‘This Act [amending sections 1602, 1604, and 1610 of this title and section 613 of Title 22, Foreign Re- lations and Intercourse] may be cited as the ‘Lobbying Disclosure Technical Amendments Act of 1998’.’’ SHORT TITLE Pub. L. 104–65, § 1, Dec. 19, 1995, 109 Stat. 691, provided that: ‘‘This Act [enacting this chapter, amending sec- tions 3304 of Title 5, Government Organization and Em- ployees, section 102 of Pub. L. 95–521, set out in the Ap- pendix to Title 5, section 4804 of Title 15, Commerce and Trade, sections 207 and 219 of Title 18, Crimes and Criminal Procedure, section 2171 of Title 19, Customs Duties, sections 611, 613, 614, 616, 618, 621, and 4002 of Title 22, Foreign Relations and Intercourse, section 1352 of Title 31, Money and Finance, and section 1490p of Title 42, The Public Health and Welfare, repealing sections 261 to 270 of this title and section 3537b of Title 42, enacting provisions set out as notes under this sec- tion, section 3304 of Title 5, section 102 of Pub. L. 95–521, set out in the Appendix to Title 5, and section 207 of Title 18, and repealing provisions set out as a note under section 261 of this title] may be cited as the ‘Lob- bying Disclosure Act of 1995’.’’ CONSTRUCTION OF 2007 AMENDMENT Pub. L. 110–81, title VII, § 703, Sept. 14, 2007, 121 Stat. 776, provided that: ‘‘Nothing in this Act [see Tables for classification] or the amendments made by this Act shall be construed to prohibit any expressive conduct protected from legal prohibition by, or any activities protected by the free speech, free exercise, or free asso- ciation clauses of, the First Amendment to the Con- stitution.’’ § 1602. Definitions As used in this chapter: (1) Agency The term ‘‘agency’’ has the meaning given that term in section 551(1) of title 5. (2) Client The term ‘‘client’’ means any person or enti- ty that employs or retains another person for financial or other compensation to conduct lobbying activities on behalf of that person or entity. A person or entity whose employees act as lobbyists on its own behalf is both a cli- ent and an employer of such employees. In the case of a coalition or association that employs or retains other persons to conduct lobbying activities, the client is the coalition or asso- ciation and not its individual members. (3) Covered executive branch official The term ‘‘covered executive branch offi- cial’’ means— (A) the President; (B) the Vice President; (C) any officer or employee, or any other individual functioning in the capacity of such an officer or employee, in the Execu- tive Office of the President; (D) any officer or employee serving in a position in level I, II, III, IV, or V of the Ex- ecutive Schedule, as designated by statute or Executive order; (E) any member of the uniformed services whose pay grade is at or above O–7 under section 201 of title 37; and (F) any officer or employee serving in a po- sition of a confidential, policy-determining, policy-making, or policy-advocating char- acter described in section 7511(b)(2)(B) of title 5. (4) Covered legislative branch official The term ‘‘covered legislative branch offi- cial’’ means— (A) a Member of Congress; (B) an elected officer of either House of Congress; Page 364 TITLE 2—THE CONGRESS § 1602 (C) any employee of, or any other indi- vidual functioning in the capacity of an em- ployee of— (i) a Member of Congress; (ii) a committee of either House of Con- gress; (iii) the leadership staff of the House of Representatives or the leadership staff of the Senate; (iv) a joint committee of Congress; and (v) a working group or caucus organized to provide legislative services or other as- sistance to Members of Congress; and (D) any other legislative branch employee serving in a position described under section 13101(13) of title 5. (5) Employee The term ‘‘employee’’ means any individual who is an officer, employee, partner, director, or proprietor of a person or entity, but does not include— (A) independent contractors; or (B) volunteers who receive no financial or other compensation from the person or enti- ty for their services. (6) Foreign entity The term ‘‘foreign entity’’ means a foreign principal (as defined in section 1(b) of the For- eign Agents Registration Act of 1938 (22 U.S.C. 611(b)). (7) Lobbying activities The term ‘‘lobbying activities’’ means lob- bying contacts and efforts in support of such contacts, including preparation and planning activities, research and other background work that is intended, at the time it is per- formed, for use in contacts, and coordination with the lobbying activities of others. (8) Lobbying contact (A) Definition The term ‘‘lobbying contact’’ means any oral or written communication (including an electronic communication) to a covered ex- ecutive branch official or a covered legisla- tive branch official that is made on behalf of a client with regard to— (i) the formulation, modification, or adoption of Federal legislation (including legislative proposals); (ii) the formulation, modification, or adoption of a Federal rule, regulation, Ex- ecutive order, or any other program, pol- icy, or position of the United States Gov- ernment; (iii) the administration or execution of a Federal program or policy (including the negotiation, award, or administration of a Federal contract, grant, loan, permit, or license); or (iv) the nomination or confirmation of a person for a position subject to confirma- tion by the Senate. (B) Exceptions The term ‘‘lobbying contact’’ does not in- clude a communication that is— (i) made by a public official acting in the public official’s official capacity; (ii) made by a representative of a media organization if the purpose of the commu- nication is gathering and disseminating news and information to the public; (iii) made in a speech, article, publica- tion or other material that is distributed and made available to the public, or through radio, television, cable television, or other medium of mass communication; (iv) made on behalf of a government of a foreign country or a foreign political party and disclosed under the Foreign Agents Registration Act of 1938 (22 U.S.C. 611 et seq.); (v) a request for a meeting, a request for the status of an action, or any other simi- lar administrative request, if the request does not include an attempt to influence a covered executive branch official or a cov- ered legislative branch official; (vi) made in the course of participation in an advisory committee subject to chap- ter 10 of title 5; (vii) testimony given before a com- mittee, subcommittee, or task force of the Congress, or submitted for inclusion in the public record of a hearing conducted by such committee, subcommittee, or task force; (viii) information provided in writing in response to an oral or written request by a covered executive branch official or a cov- ered legislative branch official for specific information; (ix) required by subpoena, civil inves- tigative demand, or otherwise compelled by statute, regulation, or other action of the Congress or an agency, including any communication compelled by a Federal contract, grant, loan, permit, or license; (x) made in response to a notice in the Federal Register, Commerce Business Daily, or other similar publication solic- iting communications from the public and directed to the agency official specifically designated in the notice to receive such communications; (xi) not possible to report without dis- closing information, the unauthorized dis- closure of which is prohibited by law; (xii) made to an official in an agency with regard to— (I) a judicial proceeding or a criminal or civil law enforcement inquiry, inves- tigation, or proceeding; or (II) a filing or proceeding that the Gov- ernment is specifically required by stat- ute or regulation to maintain or conduct on a confidential basis, if that agency is charged with responsi- bility for such proceeding, inquiry, inves- tigation, or filing; (xiii) made in compliance with written agency procedures regarding an adjudica- tion conducted by the agency under sec- tion 554 of title 5 or substantially similar provisions; (xiv) a written comment filed in the course of a public proceeding or any other communication that is made on the record in a public proceeding; Page 365 TITLE 2—THE CONGRESS § 1602 1 So in original. A closing parenthesis probably should precede the semicolon. (xv) a petition for agency action made in writing and required to be a matter of pub- lic record pursuant to established agency procedures; (xvi) made on behalf of an individual with regard to that individual’s benefits, employment, or other personal matters in- volving only that individual, except that this clause does not apply to any commu- nication with— (I) a covered executive branch official, or (II) a covered legislative branch offi- cial (other than the individual’s elected Members of Congress or employees who work under such Members’ direct super- vision), with respect to the formulation, modifica- tion, or adoption of private legislation for the relief of that individual; (xvii) a disclosure by an individual that is protected under the amendments made by the Whistleblower Protection Act of 1989, under chapter 4 of title 5, or under an- other provision of law; (xviii) made by— (I) a church, its integrated auxiliary, or a convention or association of church- es that is exempt from filing a Federal income tax return under paragraph 2(A)(i) of section 6033(a) of title 26, or (II) a religious order that is exempt from filing a Federal income tax return under paragraph (2)(A)(iii) of such sec- tion 6033(a); and (xix) between— (I) officials of a self-regulatory organi- zation (as defined in section 3(a)(26) of the Securities Exchange Act [15 U.S.C. 78c(a)(26)]) that is registered with or es- tablished by the Securities and Ex- change Commission as required by that Act [15 U.S.C. 78a et seq.] or a similar or- ganization that is designated by or reg- istered with the Commodities Future Trading Commission as provided under the Commodity Exchange Act [7 U.S.C. 1 et seq.]; and (II) the Securities and Exchange Com- mission or the Commodities Future Trading Commission, respectively; relating to the regulatory responsibilities of such organization under that Act. (9) Lobbying firm The term ‘‘lobbying firm’’ means a person or entity that has 1 or more employees who are lobbyists on behalf of a client other than that person or entity. The term also includes a self- employed individual who is a lobbyist. (10) Lobbyist The term ‘‘lobbyist’’ means any individual who is employed or retained by a client for fi- nancial or other compensation for services that include more than one lobbying contact, other than an individual whose lobbying ac- tivities constitute less than 20 percent of the time engaged in the services provided by such individual to that client over a 3-month pe- riod. (11) Media organization The term ‘‘media organization’’ means a per- son or entity engaged in disseminating infor- mation to the general public through a news- paper, magazine, other publication, radio, tel- evision, cable television, or other medium of mass communication. (12) Member of Congress The term ‘‘Member of Congress’’ means a Senator or a Representative in, or Delegate or Resident Commissioner to, the Congress. (13) Organization The term ‘‘organization’’ means a person or entity other than an individual. (14) Person or entity The term ‘‘person or entity’’ means any indi- vidual, corporation, company, foundation, as- sociation, labor organization, firm, partner- ship, society, joint stock company, group of organizations, or State or local government. (15) Public official The term ‘‘public official’’ means any elect- ed official, appointed official, or employee of— (A) a Federal, State, or local unit of gov- ernment in the United States other than— (i) a college or university; (ii) a government-sponsored enterprise (as defined in section 622(8) of this title); (iii) a public utility that provides gas, electricity, water, or communications; (iv) a guaranty agency (as defined in sec- tion 1085(j) of title 20), including any affil- iate of such an agency; or (v) an agency of any State functioning as a student loan secondary market pursuant to section 1085(d)(1)(F) of title 20; (B) a Government corporation (as defined in section 9101 of title 31); (C) an organization of State or local elect- ed or appointed officials other than officials of an entity described in clause (i), (ii), (iii), (iv), or (v) of subparagraph (A); (D) an Indian tribe (as defined in section 5304(e) of title 25; 1 (E) a national or State political party or any organizational unit thereof; or (F) a national, regional, or local unit of any foreign government, or a group of gov- ernments acting together as an inter- national organization. (16) State The term ‘‘State’’ means each of the several States, the District of Columbia, and any com- monwealth, territory, or possession of the United States. (Pub. L. 104–65, § 3, Dec. 19, 1995, 109 Stat. 691; Pub. L. 105–166, §§ 2, 3, Apr. 6, 1998, 112 Stat. 38; Pub. L. 110–81, title II, § 201(b)(1), Sept. 14, 2007, 121 Stat. 742; Pub. L. 117–286, § 4(a)(2), (b)(2), (c)(3), Dec. 27, 2022, 136 Stat. 4305, 4342, 4353.) Editorial Notes REFERENCES IN TEXT This chapter, referred to in text, was in the original ‘‘this Act’’ meaning Pub. L. 104–65, Dec. 19, 1995, 109 Page 366 TITLE 2—THE CONGRESS § 1603 Stat. 691, known as the Lobbying Disclosure Act of 1995. For complete classification of this Act to the Code, see Short Title note set out under section 1601 of this title and Tables. Levels I, II, III, IV, and V of the Executive Schedule, referred to in par. (3)(D), are set out in sections 5312, 5313, 5314, 5315, and 5316, respectively, of Title 5, Gov- ernment Organization and Employees. The Foreign Agents Registration Act of 1938, referred to in par. (8)(B)(iv), is act June 8, 1938, ch. 327, 52 Stat. 631, which is classified generally to subchapter II (§ 611 et seq.) of chapter 11 of Title 22, Foreign Relations and Intercourse. For complete classification of this Act to the Code, see Short Title note set out under section 611 of Title 22 and Tables. The Whistleblower Protection Act of 1989, referred to in par. (8)(B)(xvii), is Pub. L. 101–12, Apr. 10, 1989, 103 Stat. 16, which enacted subchapters II [5 U.S.C. 1211 et seq.] and III [5 U.S.C. 1221 et seq.] of chapter 12 and sec- tion 3352 of Title 5, Government Organization and Em- ployees, amended sections 1201 to 1206, 1209, 1211, 2302, 2303, 3393, 7502, 7512, 7521, 7542, 7701, and 7703 of Title 5 and section 4139 of Title 22, Foreign Relations and Intercourse, repealed sections 1207 and 1208 of Title 5, and enacted provisions set out as notes under sections 1201, 1211, and 5509 of Title 5. For complete classifica- tion of this Act to the Code, see Short Title of 1989 Amendment note set out under section 1201 of Title 5 and Tables. The Securities Exchange Act, referred to in par. (8)(B)(xix), probably means the Securities Exchange Act of 1934, act June 6, 1934, ch. 404, 48 Stat. 881, which is classified principally to chapter 2B (§ 78a et seq.) of Title 15, Commerce and Trade. For complete classifica- tion of this Act to the Code, see section 78a of Title 15 and Tables. The Commodity Exchange Act, referred to in par. (8)(B)(xix), is act Sept. 21, 1922, ch. 369, 42 Stat. 998, which is classified generally to chapter 1 (§ 1 et seq.) of Title 7, Agriculture. For complete classification of this Act to the Code, see section 1 of Title 7 and Tables. AMENDMENTS 2022—Par. (4)(D). Pub. L. 117–286, § 4(c)(3), substituted ‘‘section 13101(13) of title 5.’’ for ‘‘section 109(13) of the Ethics in Government Act of 1978 (5 U.S.C. App.).’’ Par. (8)(B)(vi). Pub. L. 117–286, § 4(a)(2), substituted ‘‘chapter 10 of title 5;’’ for ‘‘the Federal Advisory Com- mittee Act;’’. Par. (8)(B)(xvii). Pub. L. 117–286, § 4(b)(2), substituted ‘‘chapter 4 of title 5,’’ for ‘‘the Inspector General Act of 1978,’’. 2007—Par. (10). Pub. L. 110–81 substituted ‘‘3-month period’’ for ‘‘six month period’’. 1998—Par. (3)(F). Pub. L. 105–166, § 2, substituted ‘‘7511(b)(2)(B)’’ for ‘‘7511(b)(2)’’. Par. (8)(B)(ix). Pub. L. 105–166, § 3(a), inserted before semicolon at end ‘‘, including any communication com- pelled by a Federal contract, grant, loan, permit, or li- cense’’. Par. (15)(F). Pub. L. 105–166, § 3(b), inserted before pe- riod at end ‘‘, or a group of governments acting to- gether as an international organization’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2007 AMENDMENT Except as otherwise provided, amendment by Pub. L. 110–81 applicable with respect to registrations under the Lobbying Disclosure Act of 1995 (this chapter) hav- ing an effective date of Jan. 1, 2008, or later and with respect to quarterly reports under that Act covering calendar quarters beginning on or after Jan. 1, 2008, see section 215 of Pub. L. 110–81, set out as a note under sec- tion 30104 of Title 52, Voting and Elections. EFFECTIVE DATE Section effective Jan. 1, 1996, see section 24 of Pub. L. 104–65, set out as a note under section 1601 of this title. § 1603. Registration of lobbyists (a) Registration (1) General rule No later than 45 days after a lobbyist first makes a lobbying contact or is employed or retained to make a lobbying contact, which- ever is earlier, or on the first business day after such 45th day if the 45th day is not a business day, such lobbyist (or, as provided under paragraph (2), the organization employ- ing such lobbyist), shall register with the Sec- retary of the Senate and the Clerk of the House of Representatives. (2) Employer filing Any organization that has 1 or more employ- ees who are lobbyists shall file a single reg- istration under this section on behalf of such employees for each client on whose behalf the employees act as lobbyists. (3) Exemption (A) General rule Notwithstanding paragraphs (1) and (2), a person or entity whose— (i) total income for matters related to lobbying activities on behalf of a par- ticular client (in the case of a lobbying firm) does not exceed and is not expected to exceed $2,500; or (ii) total expenses in connection with lobbying activities (in the case of an orga- nization whose employees engage in lob- bying activities on its own behalf) do not exceed or are not expected to exceed $10,000, (as estimated under section 1604 of this title) in the quarterly period described in section 1604(a) of this title during which the reg- istration would be made is not required to register under this subsection with respect to such client. (B) Adjustment The dollar amounts in subparagraph (A) shall be adjusted— (i) on January 1, 1997, to reflect changes in the Consumer Price Index (as deter- mined by the Secretary of Labor) since De- cember 19, 1995; and (ii) on January 1 of each fourth year oc- curring after January 1, 1997, to reflect changes in the Consumer Price Index (as determined by the Secretary of Labor) during the preceding 4-year period, rounded to the nearest $500. (b) Contents of registration Each registration under this section shall con- tain— (1) the name, address, business telephone number, and principal place of business of the registrant, and a general description of its business or activities; (2) the name, address, and principal place of business of the registrant’s client, and a gen- eral description of its business or activities (if different from paragraph (1)); (3) the name, address, and principal place of business of any organization, other than the client, that—