HomeMy WebLinkAbout99-1009 Daugherty1999.
I. ISSUE:
OPINION OF THE COMMISSION
Before: Daneen E. Reese, Chair
Austin M. Lee, Vice Chair
Julius Uehlein
Louis W. Fryman
John J. Bolger
Frank M. Brown
Susan Mosites Bicket
DATE DECIDED: 8/31/99
DATE MAILED: 9/14/99
Kathleen Daugherty, Director
Lutheran Advocacy Ministry in Pennsylvania
15 South Fourth Street
Harrisburg, PA 17101 -2202
99 -1009
Re: Lobbying, Principal, Lobbyist, Evangelical Lutheran Church, Exemption, Legislative
Action, Administrative Action, Direct Communication, Indirect Communication.
Dear Ms. Daugherty:
This Opinion is issued in response to your advisory request received on August 4,
Whether a national church, its state ministry, or its staff employees who advocate
on behalf of vulnerable people engage in lobbying so as to be subject to the provisions of
the Lobbying Disclosure Act.
II. FACTUAL BASIS FOR DETERMINATION:
You are director of Lutheran Advocacy Ministry (Ministry) in Pennsylvania, a
statewide public policy office of the Evangelical Lutheran Church (Church) in America
which is located in Chicago. Your staff are "deployed staff" of the Church. Even though
the Ministry functions in Pennsylvania, it does not have an independent 501(c)(3) status.
Because you engage in advocacy on behalf of vulnerable populations and do not
lobby on behalf of the Church, you were advised in the past not to register as a lobbyist in
Pennsylvania. Because the definition of "lobbying" under the Lobbying Disclosure Act
(Act) includes "direct or indirect communication" regarding attempts to influence legislative
action or administrative action, you believe that your activities require lobbyist registration.
Daugherty, 99 -1009
Page 2
You have sent a copy of the Act to your Church for a legal interpretation of whether
the Church is a "principal" under the Act. Although you are paid, you do not believe that
you lobby on behalf of the Church. You influence public policy on behalf of people whom
the Church serves or cares. You believe your situation to be unique and not addressed by
the Act.
Although you do not take issue with registering as a lobbyist, you question whether
registration is required for your principal. The Ministry, as a "satellite" state public policy
office in Pennsylvania, receives all of its funding from the Church. Because the Ministry
does not have independent legal status, you question whether the Ministry must register
as a principal. You inquire if there is a precedent for an out of state national church to
register as a principal for attempting to influence state legislative or administrative action,
particularly when that legislative or administrative action has no applicability to the Church.
By letter dated August 9, 1999, you were notified of the date, time, and location of
the public meeting at which your request for an Opinion was to be considered.
At the public meeting on August 31, 1999, you appeared and offered commentary,
which may be fairly summarized as follows.
The Church advocates in areas such as welfare reform, gambling expansion and
other issues that relate to people and communities. The Church does not advocate for
itself. The Church seeks to get people involved in public policy out of their faith but not out
of self interest.
The Ministry has an advisory policy board to approve a budget and decide the
issues with which it will deal. The Ministry receives funding from different sources with
funding for indirect communications coming from other entities of the Church in
Pennsylvania. The Ministry is one of eighteen state policy offices of the Church which has
direct communications with legislators and administrative agencies on behalf of people.
The Church believes the Act violates the Constitution by impacting upon the right of
assembly and direct communication.
III. DISCUSSION: It is initially noted that pursuant to Section 1308(c) of the Act in
conjunction with Sections 7(10) and 7(11) of the Ethics Act, 65 P.S. § §1107(10), (11),
advisories are issued to the requestor based upon the facts which the requestor has
submitted. This Commission does not engage in an independent investigation of the facts,
nor does it speculate as to facts which have not been submitted, in issuing advisories. It is
the burden of the requestor to truthfully disclose all of the material facts relevant to the
inquiry. An advisory only affords a defense to the extent the requestor has truthfully
disclosed all of the material facts.
In order to decide the issues which you have raised, this Commission must review
the pertinent definitions and substantive provisions of the Act and related Regulations.
Section 1303 of the Act defines "lobbying" as follows:
"Lobbying." An effort to influence legislative action or administrative action. The
term includes:
(1) providing any gift, entertainment, meal, transportation or lodging
to a State official or employee for the purpose of advancing the
interest of the lobbyist or principal; and
(2) direct or indirect communication.
Daugherty, 99 -1009
Page 3
65 Pa.C.S. §1303.
The key terms " legislative action," "administrative action," "direct communication,"
and "indirect communication" that are within the definition of "lobbying" are themselves
defined as follows:
65 Pa.C.S. 1303.
"Legislative action." An action taken by a State official or
employee involving the preparation, research, drafting, introduction,
consideration, modification, amendment, approval, passage,
enactment, tabling, postponement, defeat or rejection of legislation;
legislative motions; overriding or sustaining a veto by the Governor;
or confirmation of appointments by the Governor or of appointments
to public boards or commissions by a member of the General
Assembly.
"Administrative action." Any of the following:
(1) An agency's:
(1) proposal, consideration, promulgation or rescission
of a regulation;
(ii) development or modification of a guideline or a
statement of policy; or
(iii) approval or rejection of a regulation.
(2) The review, revision, approval or disapproval of a
regulation under the act of June 25, 1982 (P.L.633, No.181),
known as the Regulatory Review Act.
(3) The Governor's approval or veto of legislation.
(4) The nomination or appointment of an individual as an
officer or employee of the Commonwealth.
(5) The proposal, consideration, promulgation or rescission of
an executive order.
"Direct communication." An effort, whether written, oral or by any
other medium, made by a lobbyist or principal, directed to a State
official or employee, the purpose or foreseeable effect of which is to
influence legislative action or administrative action.
"Indirect communication." An effort, whether written, oral or by
any other medium, to encourage others, including the general public,
to take action, the purpose or foreseeable effect of which is to directly
influence legislative action or administrative action. The term includes
letter- writing campaigns, mailings, telephone banks, print and
electronic media advertising, billboards, publications and educational
campaigns on public issues. The term does not include regularly
published periodic newsletters primarily designed for and distributed
to members of a bona fide association or charitable or fraternal
nonprofit corporation.
Daugherty, 99 -1009
Page 4
Id.
The term "principal" is defined in the statute as follows:
"Principal." Any individual, firm, association, corporation,
partnership, business trust or business entity:
(1) on whose behalf a lobbyist influences or attempts to
influence an administrative action or a legislative action;
or
(2) that engages in lobbying on the principal's own
behalf.
We must decide under the submitted facts whether the Church or the Ministry is a
principal required to register under the Act. Since the Ministry has funding to engage in
influencing legislative /administrative action, it is clear that the Ministry may be a principal
required to register under the Act.
You assert that you do not lobby on behalf of the Church but rather on behalf of
people whom the Church serves by influencing public policy on behalf of such people.
Although we understand your argument and the worthy goals of the Church, we note that
the definition of "principal" is very broad. The above definition of "principal" encompasses
an individual or specified entity on whose behalf a lobbyist attempts to influence
administrative or legislative action or which lobbies on its own behalf. Either of the
foregoing criteria will make the individual or entity a principal.
There is no requirement that the lobbying must necessarily "benefit" the principal;
rather, it is sufficient that the lobbyist acts on behalf of the principal to influence or attempt
to influence administrative or legislative action. Under the facts which you have submitted,
you act on behalf of the Ministry, rather than the Church, to influence or attempt to
influence administrative or legislative action. Such activities bring the Ministry within the
above quoted statutory definition of "principal."
Having established that the Ministry is the principal, the remaining question is
whether the Ministry must register. Section 1306(3)(iv) provides an exemption for a
principal whose total expenses for lobbying do not exceed $2500 in any reporting period.
If the Ministry has total expenses for lobbying in any quarter which exceed $2500, the
Ministry must register as a principal. 65 Pa.C.S. 1306(3)(iv).
As for the individual staff members of the Ministry, those individuals whose
compensation for lobbying would exceed $2500 in the aggregate in any reporting period
would have to register as lobbyists under the Act.
The propriety of the proposed conduct has only been addressed under the Act and
derivatively the Ethics Act to the extent applicable; the applicability of any other statute,
code, ordinance, regulation or other code of conduct has not been considered in that they
do not involve an interpretation of the Act.
IV. CONCLUSION:
A ministry is a principal and its staff employees who attempt to influence legislative
or administrative action on behalf of the ministry are lobbyists so as to be subject to the
Lobbying Disclosure Act.
Pursuant to Section 1308 of the Act, a requestor who truthfully discloses all material
facts in a request for an advisory and who acts in good faith based upon a written opinion
Daugherty, 99 -1009
Page 5
of the Commission issued to the requestor shall not be held liable for a violation of the Act.
This opinion is a public record and will be made available as such.
Finally, a party may request this Commission to reconsider its Opinion. The
reconsideration request must be received at this Commission within thirty days of the
mailing date of this Opinion. The party requesting reconsideration must include a detailed
explanation of the reasons as to why reconsideration should be granted in conformity with
51 Pa. Code §39.1.
By the Commission,
Daneen E. Reese
Chair