13.625(6g)(a)(a) Subsections (1) (b) and
(3) do not apply to the furnishing of anything of pecuniary value by a principal that is a local governmental unit to a legislative official or an agency official who is an elected official of that local governmental unit, or to the solicitation or acceptance thereof by such a legislative official or agency official, in an amount not exceeding the amount furnished to other similarly situated elected officials of the same local governmental unit.
13.625(6g)(b)
(b) Subsections (1) (b) and
(3) do not apply to the furnishing of a per diem or reimbursement for actual and reasonable expenses by a principal that is a local governmental unit to a legislative official or an agency official who is an appointed official of that local governmental unit, or to the solicitation or acceptance thereof by such a legislative official or agency official, in an amount not exceeding the amount furnished to other similarly situated appointed officials of the same local governmental unit.
13.625(6r)
(6r) Subsections (1) (b) and
(c) and
(3) do not apply to the furnishing of anything of pecuniary value by a lobbyist or principal to an employee of that lobbyist or principal who is a legislative official or an agency official solely because of membership on a state commission, board, council, committee or similar body if the thing of pecuniary value is not in excess of that customarily provided by the employer to similarly situated employees and if the legislative official or agency official receives no compensation for his or her services other than a per diem or reimbursement for actual and necessary expenses incurred in the performance of his or her duties, nor to the receipt of anything of pecuniary value by that legislative official or agency official under those circumstances.
13.625(6s)
(6s) Subsections (1) (b) and
(3) do not apply to the furnishing of anything of pecuniary value by a principal to an officer or employee of the University of Wisconsin System, or the solicitation or acceptance thereof by such an officer or employee, for service as a member of the governing body of the principal, in an amount not exceeding the amount furnished to other members of the governing body for the same service.
13.625(6t)
(6t) Subsections (1) (b),
(2) and
(3) do not apply to the furnishing of educational or informational material by a lobbyist or principal to an elected state official, legislative official or agency official, or acceptance thereof by an elected state official, legislative official or agency official.
13.625(7)
(7) This section does not apply to the furnishing or receipt of a reimbursement or payment for actual and reasonable expenses authorized under
s. 19.56 for the activities listed in that section.
13.625(8)
(8) Subsection (3) does not apply to the solicitation of anything of pecuniary value for the benefit of the endangered resources program, as defined in
s. 71.10 (5) (a) 2., by an agency official who administers the program.
13.625(8m)
(8m) Subsection (3) does not apply to the solicitation of anything of pecuniary value to pay the costs of remedying environmental contamination, as defined in
s. 292.51 (1), by an agency official of the department of natural resources.
13.625(9)
(9) This section does not apply to the solicitation, acceptance, or furnishing of anything of pecuniary value by the department of commerce, or to a principal furnishing anything of pecuniary value to the department of commerce, under
s. 19.56 (3) (e) or
(f) for the activities specified in
s. 19.56 (3) (e).
13.625(10)
(10) This section does not apply to the solicitation, acceptance or furnishing of anything of pecuniary value by the department of tourism, or to a principal furnishing anything of pecuniary value to the department of tourism, under
s. 19.56 (3) (em) or
(f) for the activity specified in
s. 19.56 (3) (em).
13.625 Annotation
Chapter 13 does not address the conduct of a lobbyist's spouse at all. There is no prohibition against a lobbyist's spouse making political contributions from any source at any time. Katzman v. State Ethics Board,
228 Wis. 2d 282,
596 N.W.2d 861 (Ct. App. 1999),
98-2884.
13.625 Annotation
This section does not prohibit the Milwaukee Metropolitan Sewerage District from paying normal expenses and salaries to commissioners who are legislators and does not prohibit those legislators from accepting payments.
78 Atty. Gen. 149.
13.625 Annotation
The prohibition against furnishing anything of pecuniary value to state officials and its interaction with s. 19.56 is discussed.
80 Atty. Gen. 205.
13.625 Annotation
The clause in sub. (1) (b) 3. stating "any other thing of pecuniary value" is unconstitutional insofar as it prohibits uncompensated personal services by lobbyists on behalf of candidates for state office. Barker v. State Ethics Board,
841 F. Supp. 255 (1993).
13.63
13.63
Licenses for lobbyists; suspension or revocation. 13.63(1)(a)(a) An application for a license to act as a lobbyist may be obtained from and filed with the board. Except as authorized under
par. (am), an applicant shall include his or her social security number on the application. The application shall be signed, under the penalty for making false statements under
s. 13.69 (6m), by the lobbyist. Upon approval of the application and payment of the applicable license fee under
s. 13.75 (1) or
(1m) to the board, the board shall issue a license which entitles the licensee to practice lobbying on behalf of each registered principal who or which has filed an authorization under
s. 13.65 for that lobbyist and paid the authorization fee under
s. 13.75 (4). The license shall expire on December 31 of each even-numbered year.
13.63(1)(am)
(am) If an individual who applies for a license under this section does not have a social security number, the individual, as a condition of obtaining that license, shall submit a statement made or subscribed under oath or affirmation to the board that the individual does not have a social security number. The form of the statement shall be prescribed by the department of workforce development. A license issued in reliance upon a false statement submitted under this paragraph is invalid.
13.63(1)(b)
(b) Except as provided under
par. (am), the board shall not issue a license to an applicant who does not provide his or her social security number. The board shall not issue a license to an applicant or shall revoke any license issued to a lobbyist if the department of revenue certifies to the board that the applicant or lobbyist is liable for delinquent taxes under
s. 73.0301. The board shall refuse to issue a license or shall suspend any existing license for failure of an applicant or licensee to pay court-ordered payments of child or family support, maintenance, birth expenses, medical expenses or other expenses related to the support of a child or former spouse or failure of an applicant or licensee to comply, after appropriate notice, with a subpoena or warrant issued by the department of workforce development or a county child support agency under
s. 59.53 (5) and related to paternity or child support proceedings, as provided in a memorandum of understanding entered into under
s. 49.857. No application may be disapproved by the board except an application for a license by a person who is ineligible for licensure under this subsection or
s. 13.69 (4) or an application by a lobbyist whose license has been revoked under this subsection or
s. 13.69 (7) and only for the period of such ineligibility or revocation.
13.63(1)(c)
(c) Denial of a license on the basis of a certification by the department of revenue may be reviewed under
s. 73.0301. Except with respect to a license that is denied or suspended pursuant to a memorandum of understanding entered into under
s. 49.857, denial or suspension of any other license may be reviewed under
ch. 227.
13.63(2)
(2) Revocation of lobbying privileges. No lobbyist whose license has been revoked under
s. 13.69 (7)
may engage in lobbying as a lobbyist for any principal until such person has been reinstated to the practice of lobbying and duly licensed.
13.64
13.64
Lobbying registry. 13.64(1)(1) Every principal who makes expenditures or incurs obligations in an aggregate amount exceeding $500 in a calendar year for the purpose of engaging in lobbying which is not exempt under
s. 13.621 shall, within 10 days after exceeding $500, cause to be filed with the board a registration statement specifying the principal's name, business address, the general areas of legislative and administrative action which the principal is attempting to influence, the names of any agencies in which the principal seeks to influence administrative action, and information sufficient to identify the nature and interest of the principal. The statement shall be signed, under the penalty for making false statements under
s. 13.69 (6m), by an individual identified under
par. (e) who is authorized to represent the principal. The statement shall include:
13.64(1)(a)
(a) If the principal is an individual, the name and address of the individual's employer, if any, or the individual's principal place of business if self-employed, a description of the business activity in which the individual or the individual's employer is engaged and, except as authorized in
sub. (2m), the individual's social security number.
13.64(1)(b)
(b) If the principal is a business entity, a description of the business activity in which the principal is engaged and the name of its chief executive officer, or in the case of a partnership or limited liability company the names of the partners or members.
13.64(1)(c)
(c) If the principal is an industry, trade or professional association, a description of the industry, trade or profession which it represents including a specific description of any segment or portion of the industry, trade or profession which the association exclusively or primarily represents and the name of the chief executive officer and the approximate number of its members.
13.64(1)(d)
(d) If the principal is not an individual, business entity or industry, trade or professional association, a statement of the principal's nature and purposes, including a description of any industry, trade, profession or other group with a common interest which the principal primarily represents or from which its membership or financial support is primarily derived and the approximate number of its members.
13.64(1)(e)
(e) The name and position or relationship to the principal of any designee who is authorized to sign other documents required under this section or
s. 13.65,
13.67 or
13.68 (1).
13.64(2)
(2) The registration shall expire on December 31 of each even-numbered year. Except as provided in
sub. (2m), the board shall refuse to accept a registration statement filed by an individual who does not provide his or her social security number. The board shall refuse to accept a registration statement filed by an individual or shall suspend any existing registration of an individual for failure of the individual or registrant to pay court-ordered payments of child or family support, maintenance, birth expenses, medical expenses or other expenses related to the support of a child or former spouse or failure of the individual or registrant to comply, after appropriate notice, with a subpoena or warrant issued by the department of workforce development or a county child support agency under
s. 59.53 (5) and related to paternity or child support proceeding, as provided in a memorandum of understanding entered into under
s. 49.857. If all lobbying by or on behalf of the principal which is not exempt under
s. 13.621 ceases, the board shall terminate the principal's registration and any authorizations under
s. 13.65 as of the day after the principal files a statement of cessation and expense statements under
s. 13.68 for the period covering all dates on which the principal was registered. Refusal to accept a registration statement or suspension of an existing registration pursuant to a memorandum of understanding under
s. 49.857 is not subject to review under
ch. 227.
13.64(2m)
(2m) If an individual who applies for registration under this section does not have a social security number, the individual, as a condition of obtaining registration, shall submit a statement made or subscribed under oath or affirmation to the board that the individual does not have a social security number. The form of the statement shall be prescribed by the department of workforce development. A registration accepted in reliance upon a false statement submitted under this subsection is invalid.
13.64(3)
(3) Each principal registered under this section shall, before the principal or a lobbyist for the principal attempts to influence legislative or administrative action in any general area or agency not previously filed with the board, provide written notice to the board of the general area or agency in which the principal or a lobbyist for the principal will attempt to influence legislative or administrative action and in relation to which a lobbyist is employed.
13.65
13.65
Lobbyist authorization. Before engaging in lobbying on behalf of a principal, a lobbyist or the principal who employs a lobbyist shall file with the board a written authorization for the lobbyist to represent the principal, signed by or on behalf of the principal. A lobbyist or principal shall file a separate authorization for each principal represented by a lobbyist.
13.65 History
History: 1977 c. 278;
1989 a. 338.
13.66
13.66
Restrictions on practice of lobbying. Except as authorized under
s. 13.621, no person may engage in lobbying as a lobbyist unless the person has been licensed under
s. 13.63 and has been authorized to act as a lobbyist for the principal whom the lobbyist represents under
s. 13.65. Except as authorized under
s. 13.621, no principal may authorize its lobbyist to engage in lobbying until the lobbyist is licensed and the principal is registered under
s. 13.64.
13.66 History
History: 1977 c. 278;
1989 a. 338.
13.67
13.67
Identification of legislative and administrative proposals and topics. 13.67(1)
(1) Except as authorized under
s. 13.621, no person may engage in lobbying as a lobbyist on behalf of a principal and no principal may authorize a lobbyist to engage in lobbying on its behalf unless the principal reports to the board, in such manner as the board may prescribe, each legislative proposal, budget bill subject and proposed administrative rule number in connection with which the principal has made or intends to make a lobbying communication or, if the lobbying does not relate to a legislative proposal or proposed administrative rule that has been numbered or a budget bill subject, each topic of a lobbying communication made or intended to be made by the principal. A principal shall describe any topic of a lobbying communication with reasonable specificity, sufficient to identify the subject matter of the lobbying communication and whether the communication is an attempt to influence legislative or administrative action, or both. The principal shall file the report no later than the end of the 15th day after the date on which the principal makes a lobbying communication with respect to a legislative proposal, proposed administrative rule, budget bill subject or other topic not previously reported by the principal under this section during the biennial period for which the principal is registered. The report shall be made by a person who is identified by the principal under
s. 13.64 (1) (e).
13.67(2)
(2) Any person who is not a principal may, upon payment of the fee prescribed under
s. 13.75 (5), register with the board an interest in any legislative proposal, proposed administrative rule, budget bill subject or other topic.
13.67 History
History: 1997 a. 186;
1999 a. 9.
13.67 Cross-reference
Cross Reference: See also ss. Eth 1.03 and 1.04, Wis. adm. code.
13.68
13.68
Principal's expense statement. 13.68(1)
(1)
Statement. Every principal which is registered under
s. 13.64 shall, on or before July 31 and January 31, file with the board an expense statement covering the preceding reporting period. The statement shall be signed, under the penalty for making false statements provided in
s. 13.69 (6m), by an individual identified under
s. 13.64 (1) (e) who is authorized to represent the principal. The statement shall contain the following information:
13.68(1)(a)
(a) The aggregate total amount of lobbying expenditures made and obligations incurred for lobbying by the principal and all lobbyists for the principal, excluding lobbying expenditures and obligations for the principal's clerical employees, lobbying expenditures and obligations for any employee of the principal who is not a lobbyist and who devotes not more than 10 hours to lobbying during a reporting period, and lobbying expenditures and obligations specified in
pars. (b),
(d) and
(e). With respect to expenditures and obligations included in the amount reported under this paragraph:
13.68(1)(a)1.
1. Lobbying expenditures made and obligations incurred for lobbying shall include compensation to lobbyists for lobbying, whether in cash or in-kind, and reimbursements to lobbyists and to the principal or officers or employees of the principal for lobbying or expenses.
13.68(1)(a)2.
2. Except as provided in
subd. 3., lobbying expenditures made and obligations incurred in preparing for lobbying shall be included in the aggregate total.
13.68(1)(a)3.
3. A reasonable estimate of lobbying expenditures made and obligations incurred for conducting, compiling or preparing research, information, statistics, studies or analyses used in lobbying shall be included in the aggregate total. Lobbying expenditures and obligations shall not be reported under this subdivision if the use in lobbying occurs more than 3 years after the completion of the research or the compilation or preparation of the information, statistics, studies or analyses. If the research, information, statistics, studies or analyses are used by the principal both for lobbying and for purposes other than lobbying, the principal shall allocate the lobbying expenditures and obligations among the purposes for which the research, information, statistics, studies or analyses are used and include the portion allocated to lobbying in the aggregate total.
13.68(1)(a)4.
4. Lobbying expenditures made and obligations incurred for providing or using research, information, statistics, studies or analyses in lobbying shall be included in the aggregate total.
13.68(1)(a)5.
5. Lobbying expenditures made and obligations incurred for paid advertising and any other activities conducted for the purpose of urging members of the general public to attempt to influence legislative or administrative action shall be included in the aggregate total, if the total amount of all such lobbying expenditures made and obligations incurred exceeds $500 during the reporting period.
13.68(1)(a)6.
6. If the total amount of lobbying expenditures and obligations, included in the aggregate total under this paragraph, made or incurred to any lobbyist for the principal exceeds $200 during the reporting period, the name and address of the lobbyist and the total amount of the lobbying expenditures made or obligations incurred to the lobbyist during the reporting period shall be listed.
13.68(1)(b)
(b) If a lobbyist is an employee, officer or director of a principal and the lobbyist is paid a salary or given consideration other than reimbursement of expenses, the aggregate total amount of lobbying expenditures made or obligations incurred by the principal for office space, utilities, supplies and compensation of employees who are utilized in preparing for lobbying communications. Any lobbying expenditures made or obligations incurred for office overhead costs which are included in the amount reported under
par. (a) 1. shall not be included in the amounts reported under this paragraph.
13.68(1)(bn)
(bn) For each legislative proposal, proposed administrative rule, budget bill subject or other topic that accounts for 10% or more of the principal's time spent in lobbying during the reporting period, the principal's reasonable estimate of the proportion of its time spent in lobbying associated with that legislative proposal, proposed administrative rule, budget bill subject or other topic.
13.68(1)(c)
(c) A record disclosing the amount of time spent to influence legislative or administrative action. The record shall be supplied on a form provided by the board and shall include a daily itemization of the time, except the time of a clerical employee, the time of an employee who is not a lobbyist and who devotes not more than 10 hours to lobbying during a reporting period and the time of an unpaid volunteer, spent by the principal on:
13.68(1)(c)1.
1. Meeting with elective state officials, agency officials, legislative employees of the state and other state employees having decision-making authority.
13.68(1)(c)2.
2. Research, preparation and any other activity which includes lobbying.
13.68(1)(cm)
(cm) The name of any employee of the principal, other than a clerical employee, who is not a lobbyist and who devoted time to lobbying communications during the reporting period.
13.68(1)(d)
(d) The name of any agency official, legislative employee, elective state official or candidate for elective state office to whom the principal or any lobbyist for the principal provided reimbursement authorized under
s. 13.625 (7) and the date and amount reimbursed.
13.68(1)(e)
(e) The total lobbying expenditures made and obligations incurred for personal travel and living expenses, except for expenditures made or obligations incurred for the travel and living expenses of unpaid volunteers if the primary purpose of the travel is for reasons unrelated to lobbying.
13.68(2)(a)(a) If the principal compensates or reimburses a lobbyist or employee both for lobbying activities or expenses which are not exempt under
s. 13.621 and for other activities or expenses, for the purposes of
sub. (1) (a) 1. or
6., the lobbyist or principal shall estimate and report the portion of the compensation and reimbursements paid for nonexempt lobbying activities or expenses or, if 85% or more of the total compensation and reimbursements paid to the lobbyist or employee relate to lobbying or expenses which are not exempt under
s. 13.621, the lobbyist or principal may report the entire amount of the compensation and reimbursements paid to the lobbyist or employee.
13.68(2)(b)
(b) Any reasonable estimate or allocation made in good faith under
sub. (1) (a) 3. or
(bn) or this subsection fulfills the requirements of this section.
13.68(2)(c)
(c) A principal may employ any reasonable method, acting in good faith, to record daily the information required under
sub. (1) (c).
13.68(3)
(3) Exempt activities. Lobbying expenditures made and obligations incurred for activities identified under
s. 13.621 (1) (a) to
(f) and
(3) are not required to be reported under
sub. (1), regardless of whether the principal or a lobbyist for the principal also engages in lobbying activities which are not identified in
s. 13.621 (1) (a) to
(f) and
(3).
13.68(4)
(4) Reports by lobbyist. A lobbyist whose activities and expenditures are required to be reported by a principal under
sub. (1) shall provide to the principal information which the principal determines is needed to prepare the statement. The principal shall file a copy of the information, signed by the lobbyist under the penalty for making false statements provided in
s. 13.69 (6m), with the board at the time of filing the statement under
sub. (1).
13.68(5)
(5) Records. Each principal and each lobbyist engaged by a principal shall obtain, organize and preserve all accounts, bills, receipts, books, papers and other documents necessary to substantiate the expense statement, including an account identifying the amount of time that a principal and each of its authorized lobbyists spend on lobbying each day, for 3 years after the date of filing the expense statement. A principal may permit its authorized lobbyist to maintain any of the records identified in this subsection on its behalf.
13.68(6)
(6) Suspension for failure to file a complete expense statement. If a principal fails to timely file a complete expense statement under this section, the board may suspend the privilege of any lobbyist to lobby on behalf of the principal. Upon failure of a principal to file the required expense statement, the board shall mail written notices to the principal and to any lobbyist for whom a written authorization has been filed under
s. 13.65 to act as a lobbyist for the principal informing them that unless the principal files the delinquent statement within 10 business days after the date of mailing of the notices, no lobbyist may lobby on behalf of the principal. The privilege of any lobbyist to lobby on behalf of the principal shall be restored immediately upon filing the delinquent statement. The notices shall be sent by certified mail to the last-known addresses of the principal and lobbyist. Any principal or lobbyist who is aggrieved by a suspension of lobbying privileges under this subsection may request a hearing under
s. 227.42 regarding the suspension.
13.685
13.685
Duties of the ethics board. 13.685(1)
(1) The board shall prescribe forms and instructions for preparing and filing license applications under
s. 13.63 (1), registration applications under
s. 13.64 and the statements required under
ss. 13.68 and
13.695.
13.685(2)
(2) The board shall prepare and publish a manual setting forth recommended uniform methods of accounting and reporting for use by persons who are required to provide information under
s. 13.68 (4) or to file statements under
s. 13.68 or
13.695.
13.685(3)
(3) The board shall examine each statement filed under
s. 13.68.
13.685(7)
(7) Beginning with the 3rd Tuesday following the beginning of any regular or special session of the legislature and on every Tuesday thereafter for the duration of such session, the board shall, from its records, submit to the chief clerk of each house of the legislature, for distribution to the legislature under
s. 13.172 (2), a report of the names of lobbyists licensed under
s. 13.63 and the names of officers and employees of agencies filed under
s. 13.695 who were not previously reported, the names of the principals or agencies whom they represent and the general areas of legislative and administrative action which are the object of their lobbying activity. Such reports shall be incorporated into the journal of the senate and a copy filed in the office of the chief clerk of the assembly. The board shall also notify the chief clerk of each house that a copy of each statement which is required to be filed under
ss. 13.68 and
13.695 is available upon request. Such copy shall be open to public inspection but shall not be incorporated in the journal unless the chief clerk so orders. The board shall include in its biennial report under
s. 15.04 (1) (d), a summary of the statements it has received under
ss. 13.68 and
13.695.
13.69
13.69
Enforcement and penalties. 13.69(1)
(1) Except as provided in
sub. (2m), any principal violating
ss. 13.61 to
13.68 or a rule of the board promulgated under those sections may be required to forfeit not more than $5,000. In the case of a partnership, each of the partners is jointly and severally liable for any forfeiture imposed under this subsection.
13.69(2)
(2) Any lobbyist violating
ss. 13.61 to
13.68 or a rule of the board promulgated under such sections may be required to forfeit not more than $1,000.
13.69(2m)
(2m) Any principal who fails to comply with
s. 13.67 (1) and who has not been found to have committed the same offense within the 3-year period preceding the date of the violation may be required to forfeit not more than $25. Any principal who fails to comply with
s. 13.67 (1) a 2nd time within a period of 3 years from the date of the first violation may be required to forfeit not more than $100 for the 2nd offense.
13.69(3)
(3) Any lobbyist who falsifies information provided under
s. 13.68 (4) or any principal who files or any person who files or causes to be filed on behalf of any principal a falsified statement under
s. 13.68 may be fined not more than $1,000 or imprisoned in the county jail for not more than one year.
13.69(4)
(4) Any lobbyist who procures his or her license by fraud or perjury or any person who acts as a lobbyist without being licensed may be required to forfeit not more than $1,000 and shall not be eligible to be licensed as a lobbyist for the period of 3 years from the date of such conviction.
13.69(5)
(5) Any officer or employee of an agency identified in a statement filed under
s. 13.695 who violates
s. 13.695 (4) may be required to forfeit not more than $1,000.
13.69(6)
(6) Any candidate for an elective state office, elective state official, agency official or legislative employee of the state who, or any personal campaign committee which, violates
s. 13.625 (3) may be required to forfeit not more than $1,000.
13.69(6m)
(6m) Any principal, lobbyist or other individual acting on behalf of a principal who files a statement under
s. 13.63 (1),
13.64,
13.65,
13.67 or
13.68 which he or she does not believe to be true is guilty of a Class H felony.
13.69(7)
(7) In addition to the penalties imposed for violation of
ss. 13.61 to
13.68, the license of any lobbyist who is convicted of a violation may be revoked for a period not to exceed 3 years and a lobbyist who is convicted of a criminal violation is ineligible for licensure for a period of 5 years from the date of conviction.
13.69(8)
(8) The attorney general, at the request of the board, may commence a civil action to require forfeitures and license revocations for any violation of this subchapter for which a civil penalty is applicable. The attorney general may, upon information, commence a criminal action for any violation of this subchapter for which a criminal penalty is applicable.
13.695
13.695
Legislative activities of state agencies.
