DEPARTMENT OF STATE Secretary of State RULES CONCERNING LOBBYIST REGULATION 8 CCR 1505-8 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] Statutory authority: Sections 24-6-303 (1.3), 24-6-303 (6.3), and 24-6-305 (1) (b), Colorado Revised Statutes.

Rule 1. Definitions [Eff. 1/1/2008] 1.1 “Bona fide personal emergency,” as used in section 24-6-302 (7), C.R.S., means: 1.1.1 A medical emergency involving the individual responsible for filing or his or her immediate family, including incapacitation, hospitalization, death, or debilitating illness or injury; or 1.1.2 A practical emergency including extraordinary obstacles out of the control of the lobbyist or lobbyist firm that preclude timely disclosure, such as the loss or unavailability of records or a computer due to fire, flood, or theft, or other compelling reasons beyond the lobbyist’s or lobbyist firm’s control.

1.2 “Rule-making official,” as used in section 24-6-301 (1.7)(b), C.R.S., means an official of a state agency who has jurisdiction or authority to adopt any rule, standard, or rate. 1.3 “State Liaison” means the one person designated by each principal department who is responsible for any lobbying by a state official or employee on behalf of the principal department, pursuant to section 24-6-303.5 (1)(a), C.R.S.

1.4 “Substantial Violation” means any one of the following violations of Part 3 of Title 24 of the Colorado Revised Statutes:

a. Failure to register as a lobbyist pursuant to sections 24-6-303 or 24-6-303.5, C.R.S.; b. Failure to file a monthly disclosure statement within fifteen (15) days after the due date while the general assembly is in session, pursuant to sections 24-6-303 (3)(a) and 24-6-303.5 (2)(b), C.R.S.;

c. Failure to file a monthly disclosure statement within thirty (30) days after the due date while the general assembly is not in session, pursuant to sections 24-6-303 (3)(a) and 24-6-303.5 (2)(b), C.R.S.;

d. Knowingly underreporting any item of income or expenditures by any amount on the disclosure statement;

e. Underreporting income or expenditures by twenty percent or more on the entire disclosure statement;

f. Any violation of the provisions of sections 24-6-306, 24-6-307, or 24-6-308, C.R.S.; g. Any other violation that the Secretary of State deems “substantial,” taking into consideration the following factors derived from Fabec v. Beck, 922 P.2d 330 (Colo. 1996): i. the extent of noncompliance;

ii. the purpose of the applicable provision and whether that purpose is substantially achieved despite the alleged noncompliance; and iii. whether there was a good-faith effort to comply or whether noncompliance is based on a conscious decision to lobby covered officials without registering or filing disclosure statements.

Rule 2. Fees [Eff. 1/1/2008] 2.1 The fee for filing a professional lobbyist registration statement is forty dollars ($40.00). 2.2 Upon written request, the Secretary of State may waive the registration fee for a professional lobbyist for a not-for-profit organization if:

a. The lobbyist derives his or her lobbyist compensation solely from the organization; and b. i. The lobbyist’s organization is operating under financial hardship conditions; or ii. The lobbyist will have particular interest in only one issue or bill and does not intend to lobby throughout the State fiscal year.

Rule 3. Electronic Filing [Eff. 1/1/2008] 3.1 Except as provided in Rule 3.2, all registration and disclosure statements filed with the Secretary of State pursuant to Title 24, Article 6, Part 3 shall be filed electronically. Statements required to be filed electronically with the Secretary of State under this rule that are presented for manual filing shall not be accepted. This rule shall not apply to annual cumulative disclosure statements filed pursuant to section 24-6-302 (3)(b), C.R.S.

3.2 In accordance with section 24-21-111, C.R.S., registration and disclosure statements are not required to be filed electronically if the Secretary of State has granted an exception to the electronic filing requirement after written application based on hardship or other good cause shown. All applications for an exception shall include a brief statement of the hardship or good cause for which the exception is sought. Applications must be received by the Secretary of State at least fifteen (15) calendar days prior to the first applicable filing deadline, unless the exception is based on emergency circumstances arising after such deadline, in which case the nature of the emergency shall be described in the application. The filing of an application for exception based on emergency circumstances does not delay any reporting deadlines, however, if a penalty is imposed for failure to file a disclosure statement on the due date, the penalty may be set aside or reduced in accordance with section 24-6-302 (7), C.R.S. 3.3 For the purposes of this rule 3, “electronic filing” means the filing of registration and disclosure statements required by Title 24, Article 6, Part 3 of the Colorado Revised Statutes utilizing the internet system created by the Secretary of State pursuant to section 24-6-303 (6.3)(a), C.R.S. 3.4 When the lobbyist or authorized agent utilizes the electronic filing system to submit to the Secretary of State a registration or disclosure statement, such submission shall constitute the lobbyist’s or agent’s electronic signature as provided by section 24 71 101, C.R.S., under penalty of perjury as provided by law.

3.5 Automated extraction of bulk data from the Secretary of State’s web site, such as by means of computerized “robots” or “data mining” , is prohibited. Upon request, the Secretary of State will provide bulk data for a fee established pursuant to section 24-21-104, C.R.S. Rule 4. Disclosure [Eff. 1/1/2008] 4.1 In accordance with section 24-6-301 (1.9) (a) (IV), C.R.S., a lobbyist shall disclose in monthly disclosure statements specific gifts to covered officials with a value of fifty dollars ($50.00) or more, whether or not the lobbyist made any expenditure for such gifts. 4.2 Contents of the monthly disclosure statement:

4.2.1 The monthly disclosure statement for professional lobbyists shall fulfill all requirements of sections 24-6-302 (2.5) and 24-6-301 (1.9), C.R.S.

4.2.2 The monthly disclosure statement for a lobbying firm shall fulfill all requirements of sections 24-6-302 (2) and 24-6-301 (1.9), C.R.S.

4.2.3 The monthly disclosure statement for state liaisons and state officials or employees lobbying on behalf of an institution or governing board of higher education shall fulfill all requirements of section 24-6-303.5 (2)(a), C.R.S.

4.2.3.1 Professional lobbyists who are registered under sections 24-6-302 or 24-6-303, C.R.S., but who contract to lobby on behalf of a principal department or an institution or governing board of higher education and who are not state officials or employees shall continue to file disclosure statements pursuant to sections 24- 6-302 and 24-6-303, C.R.S.

4.2.4 Pursuant to section 24-6-303.5(3), C.R.S., lobbyists who are hired on a contract basis to lobby on behalf of a principal department and who are not registered as professional lobbyists under sections 24-6-302 or 24-6-303, C.R.S., at the time of hiring shall report their lobbying activities to the state liaison for the principal department. 4.3 The registration and disclosure statements of each state liaison shall include the information required by section 24-6-303.5, C.R.S., for every “state official or employee” , as such term is defined in section 24-6-303.5 (3), C.R.S., within the state liaison’s principal department, including state officials and employees lobbying on behalf of any commission, board, council, agency, or other subdivision of the principal department, and including any lobbyist hired by the principal department on a contract basis who is not registered as a professional lobbyist as described in Rule 4.2.4, but excluding persons lobbying on behalf of an institution or governing board of higher education.

4.4 Nothing in these rules or section 24-6-303.5, C.R.S., shall be construed to authorize a state liaison to manage, control, supervise, or direct the lobbying activities of any state official or employee of the principal department except as may be necessary to enable the state liaison to comply with the registration and reporting requirements of the statutes and these rules. Rule 5. Record Retention [Eff. 1/1/2008] 5.1 Professional lobbyists and lobbyist firms shall retain the following in accordance with section 24-6- 304 (1), C.R.S.:

a. Receipts for expenditures or contributions made;

b. Documentation of income; and c. Contracts.

Rule 6. Enforcement [Eff. 1/1/2008] 6.1 Waiver Process 6.1.1 Pursuant to section 24-6-302 (7), C.R.S., any professional lobbyist or lobbyist firm registered with the Secretary of State may request an imposed fine to be excused or reduced by submitting a written request by letter, email, fax or hand-delivery within thirty (30) days of the imposition of fine. The request should include: a. The name of the registered lobbyist;

b. The date of the request;

c. The due date of the delinquently filed disclosure statement(s); d. The actual filing date of the delinquently filed disclosure statement(s); e. A brief summary of the reasons, circumstances, or other justification of the “bona fide personal emergency” , as defined in Rule 1.1;

f. Any measures the lobbyist or firm has instituted or plans to institute to avoid future delinquencies, if applicable; and g. Other relevant information.

6.2 Complaints 6.2.1 In accordance with section 24-6-305 (2)(c), C.R.S., any person who believes a lobbyist, including a state liaison and a state official or employee lobbying on behalf of an institution or governing board of higher education, or lobbyist firm has not complied with the requirements of section 24-6-302 et seq., C.R.S., or this Rule 6 may file a written complaint with the Secretary of State.

6.2.1.1 A written complaint filed with the Secretary of State shall contain the following information:

a. The complainant’s name;

b. The complainant’s full residence address and mailing address (if different from residence);

c. A description of the alleged violation, which may include a reference to the particular statute or rule;

d. The name of the lobbyist or lobbyist firm;

e. The date and location of the alleged violation, if known; and f. Other applicable or relevant information.

6.2.1.2 The Secretary of State shall review all complaints submitted in writing and conduct such investigations as may be necessary and appropriate. If the Secretary of State determines that a violation may have occurred, the Secretary of State shall take appropriate action as set forth in section 24-6-305, C.R.S. 6.2.1.3 Upon receipt of a properly submitted complaint, the Secretary of State shall: a. Notify via certified mail the person against whom the complaint is filed; and b. In the case of a state liaison, notify in writing the head of the principal department;

c. In the case of a state official or employee lobbying on behalf of a principal department, notify in writing the state liaison; or d. In the case of a state official or employee lobbying on behalf of an institution or governing board of higher education, notify in writing such institution or governing board.

6.2.1.4 Notification of a complaint in accordance with Rule 6.2.1.3 shall include: a. The date and factual basis of each act with which the lobbyist or firm is being charged;

b. The particular provision of the statute alleged to have been violated; c. The action(s) the Secretary of State plans to take; and d. Other relevant information.

_____________________________________________________ Editor’s Notes History Entire Rule eff. 1/1/2008.