Registration Guide

January 31, 1996

Table of Contents

Introduction

Purpose of This Guide
Purpose of the Lobbyists Registration Act
Public Registry
Public Office Holders
Who Does Not Need to Register?
Who Must Register?

Consultant Lobbyists Registration Requirements

Questions and Answers

In-House Lobbyists (Corporate) Registration Requirements

Questions and Answers

In-House Lobbyists (Organizations) Registration Requirements

Questions and Answers

General Registration Requirements

Questions and Answers

What Activities Do Not Require Registration?
How Are the Registration Requirements Enforced?

Introduction

Purpose Of This Guide

This guide has been developed to provide general information on the Lobbyists Registration Act as revised in 1995. It provides information on when and how to register.

Individuals who are paid to communicate with federal public office holders in an attempt to influence government decisions - i.e. lobby - are subject to the requirements for registration under the Lobbyists Registration Act.

We have endeavored to answer as many questions as possible pertaining to the Lobbyists Registration Act and Regulations, but it should be noted that the guide is not a legal document.

For additional information, refer to Additional Information

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Purpose Of The Lobbyists Registration Act

The Lobbyists Registration Act was enacted in 1988 and amended in 1995. The amended Act strengthens the disclosure requirements to make more information about lobbyists and what they do available to Canadians. Separately, it provides for the development of a code of conduct for lobbyists.

Four basic principles are set out in the preamble to the Act:

• Free and open access to government is an important matter of public interest.
  
  
• Lobbying public office holders is a legitimate activity.
  
  
• It is desirable that public office holders and the public be able to know who is attempting to influence government.
  
  
• The system for the registration of paid lobbyists should not impede free and open access to government.

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Public Registry

All information collected under the Lobbyists Registration Act and the Lobbyists Registration Regulations is a matter of public record. The objective of the public registry is to ensure that the general public and public office holders know who is attempting to influence the government’s decisions. Information submitted in registration forms is accessible to all Canadians by writing, telephoning or visiting the Office of the Registrar of Lobbyists or by on-line direct electronic access to the computerized registry.

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Public Office Holders

Lobbying involves communication by individuals who are paid to attempt to influence government decisions through its public office holders.

A public office holder is defined broadly as "any officer or employee of Her Majesty in right of Canada." This includes:

• members of the Senate or the House of Commons (Senators, Members of Parliament, Ministers) and their staffs;
  
  
• persons appointed to office by a Minister of the Crown or the Governor in Council;
  
  
• an officer director or employee of any federal board, commission or other tribunal;
  
  
• members of the Canadian Armed Forces;
  
  
• members of the Royal Canadian Mounted Police; and
  
  
• employees of federal departments.

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Who Does Not Need To Register?

The Act excludes the following public officials from registration as lobbyists when they are acting in their official capacity:

• members of the legislature of a province or territory or their staffs;
  
  
• employees of provincial and territorial governments;
  
  
• members of local or municipal governments or their staffs;
  
  
• employees of local or municipal governments;
  
  
• members of the council of a band as defined in subsection 2(1) of the Indian Act or of the council of an Indian band established by an Act of Parliament, or their staffs;
  
  
• diplomatic agents, consular officers, or official representatives in Canada of foreign governments; and
  
  
• officials of a specialized agency of the United Nations or officials of any other international organization granted privileges and immunities by Parliament.

If any of the above public officials or their organizations hire third party consultants to lobby, these consultant lobbyists would be subject to the registration requirements.

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Who Must Register?

There are three categories of lobbyist:

• Consultant lobbyists. These are individuals who, for pay, lobby for clients. They must complete and file the Consultant Lobbyists Registration form when they begin lobbying for a client, when information previously submitted changes, and when the lobbying activity terminates or is completed.
  
  
• In-House Lobbyists (corporate). These are employees who, as a significant part of their duties, lobby for an employer that carries out commercial activities for financial gain. These employees must complete and file the In-House Lobbyists (Corporate) Registration form when they begin to lobby for their employer and thereafter annually. They must also report any changes to information previously submitted, or report if they have ceased their lobbying activities or have ceased to be employed by the employer.
  
  
• In-House Lobbyists (organizations). These are not-for-profit organizations in which one or more employees lobby, and the collective time devoted to lobbying amounts to the equivalent of a significant part of one employee’s duties. The senior officer of the organization must complete and file the In-House Lobbyists (Organizations) Registration form when the organization begins to lobby and semi-annually thereafter.

More detailed information on the registration requirements for the three categories of lobbyists is provided in the next three sections.

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Consultant Lobbyists Registration Requirements

(Section 5 of the Act)

Consultants or professional lobbyists are individuals who, for payment and on behalf of a client, communicate with public office holders in an attempt to influence government decisions. Consultant lobbyists may include government relations consultants, lawyers, accountants or other professional advisors who provide lobbying services for their clients.

They are required to register when they arrange a meeting between their client and a federal public office holder. They are also required to register for each undertaking for a client when they lobby for:

• the making, developing or amending of legislative proposals, bills or resolutions, regulations, policies or programs;
  
  
• the awarding of grants, contributions or other financial benefits; and
  
  
• the awarding of contracts.

The "client" is the individual, organization or corporation on whose behalf the consultant undertakes the lobbying activities and who would be the true beneficiary of the lobbying.

An "undertaking" is defined by the agreement or contract between the client and the lobbyist and not by the government activities that the lobbyist seeks to influence. The scope of these agreements or contracts may be very broad and require lobbying on several activities or may be very narrowly focussed on only one activity. Undertakings may be concurrent or sequential. New or amended agreements or contracts with substantially different subject matters signify new undertakings. In such a case, separate registration forms are required.

A consultant lobbyist must complete and file the Consultant Lobbyists Registration form with the Registrar within 10 days of starting a lobbying undertaking for a client. Changes to any information previously submitted must be reported within 30 days using the Consultant Lobbyists Registration form. When an undertaking has been completed or terminated, the consultant lobbyist has 30 days to advise the Registrar, again using the same form.

A firm may assign several consultants to work on the same undertaking for the same client. In such a case, much of the information in one registration form may be common to the forms of all consultants. However, each consultant lobbyist is individually responsible for compliance with the Act, and must certify the information in his or her registration form.

The following information must be disclosed for each lobbying undertaking:

• name, position title and business address of the lobbyist;
  
  
• name and business address of the lobbying firm;
  
  
• client name and business address;
  
  
• name of the principal representative of the client;
  
  
• name and business address of any person or organization that controls or directs the client’s activities;
  
  
• if the client is a corporation, the name and business address of the parent corporation and those subsidiaries which directly benefit from the lobbying;
  
  
• if the client is a coalition, the names and business addresses of the corporate and organizational members;
  
  
• subject matters including the specific legislative proposal, bill or resolution, regulation, policy, program, grant, contribution, other financial benefit or contract sought;
  
  
• name of each department or other governmental institution lobbied;
  
  
• source and amount of any government funding provided to the client;
  
  
• whether payment is contingent on the success of the lobbying; and
  
  
• communication techniques used, including grass-roots lobbying.

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Questions and Answers

1. Can my firm register me as a consultant lobbyist?

It is the responsibility of individual consultant lobbyists to file a registration form at the start of each undertaking. The individual lobbyist is also responsible for reporting all changes to information and for reporting the termination of an undertaking.

2. Most of my work involves monitoring federal government activities for my client and giving advice. I work under a general retainer that does not specify the types of activities covered by the Act. Do I have to register?

Monitoring federal government activities and giving advice are some of the activities which are not registerable under the Act, but as soon as you carry out any of the activities specified in the Act you must register within 10 days as a consultant lobbyist.

3. I am a lawyer and I have a professional obligation to maintain client confidentiality. Does the Act exempt me from reporting representations carried out on behalf of any client?

The Act does not exempt any paid lobbyist, including professionals such as lawyers and accountants, from compliance with its provisions. There are a very limited number of exceptions, such as submissions with respect to the enforcement, interpretation or application of law. The deciding issue is whether or not you are carrying out any of the lobbying activities listed in the Act.

4. Must I list every subsidiary of my client?

You must list those subsidiaries of the client corporation that have a direct interest in the outcome of your lobbying activities for the client.

5. Does the parent company of the organization that I am lobbying for have to be listed in the registration form when it will not directly benefit from the lobbying activity?

Yes. Where the client is a corporation, the Act requires that the parent company of the corporation be identified on the registration form.

6. What does "any person or organization, that to the knowledge of the individual, controls or directs the activities of the client" mean?

This refers to the requirement to identify those persons or organizations that directly intervene in the day-to-day concerns of the consultant lobbyist’s client or who exercise a controlling influence over the activities of the client.

7. My client won’t provide me with the information I need to report on my client’s subsidiaries. What should I do?

Under the Act, you have a legal obligation to provide the required information within the specified time frames. Therefore, you need to ask your client to provide you with the required details.

8. What are the rules respecting contingency fees?

Under the Lobbyists Registration Act, lobbyists must indicate whether they charge contingency fees (fees based on the degree of success of a lobbying undertaking). It should be noted that rules on contingency fees relating to federal contracts, grants and contributions are available from departmental contracting authorities or the Treasury Board Secretariat.

9. I am a consultant lobbyist but I am also an active volunteer for an organization that occasionally lobbies the federal government. I am not an employee of this organization and I do not receive payment for my work, but sometimes I get involved in its lobbying activities. Do I have to register?

If you are simply participating as a volunteer in the lobbying activities of an organization, you need not register. However, if you are being paid to lobby on behalf of the organization through the services of your consulting firm, you must register as a consultant lobbyist.

10. I have been retained to provide lobbying services on behalf of another level of government. Am I exempted from registration?

No. If your client is another level of government, you must register as a consultant lobbyist. However, if you are an employee of that government and are acting in an official capacity, you are not required to register under the Act.

11. Under the Act I have 10 days to report a new lobbying undertaking. I have an undertaking that will take less than 10 days to complete. Do I have to register even though the activity will have been completed before it has to be registered?

Yes. You must register an undertaking even if it was completed before the 10-day registration period elapsed. You must also file a registration form reporting the termination of the undertaking within the 30-day period following its completion.

12. Do I have to file a registration form if, while I am participating in a government initiated consultation, I raise some other issues that are normally reportable as lobbying activities but have not previously been declared?

Yes. New lobbying activity must be reported within 10 days of being initiated or, if it is a change to an undertaking already registered, it must be reported within 30 days of the change.

13. My client hired me to provide lobbying services in a variety of subject areas. Now I am no longer dealing with some of the areas. Do I have to report this?

Yes. This is a change in the information you filed previously with the Registrar. The registration form must now be updated within 30 days to reflect the fact that you are no longer carrying out lobbying activities for your client in a particular area of concern.

14. What happens when I complete all lobbying activity for my client?

The Act requires that you file a registration form advising the Registrar within 30 days of termination of a particular lobbying undertaking.

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In-House Lobbyists (Corporate)
Registration Requirements

(Section 6 of the Act)

In-House Lobbyists (corporate) are employees of individuals or corporations that carry on commercial activities for financial gain and who, as a significant part of their duties, communicate with public office holders on behalf of their employer in an attempt to influence - i.e., lobby for:

• the making, developing or amending of legislative proposals, bills or resolutions, regulations, policies, programs; or
  
  
• the awarding of grants, contributions or other financial benefits.

These employees are usually full-time officers of a corporation. Their primary function is usually public affairs or government relations work, even though such distinctions may not be reflected in the individual’s position title. Their duties would include communications with federal public office holders, whether formal or informal, in attempts to influence the government’s decisions. Employees whose jobs include a substantial or large amount of time fulfilling the duties described are subject to the registration requirements; 20 percent may be used as a guideline for what constitutes a significant part of their duties.

An In-House Lobbyists (Corporate) Registration form must be completed and filed within two months of commencing the lobbying duties. The lobbyist must subsequently file annually, using the same form, within two months after the end of the employer’s financial year or, where the employer does not have a financial year, within two months after the end of the calendar year. In addition, the lobbyist must report, again using the same form and within 30 days, any changes to information previously submitted, or if the lobbyist ceases to perform the lobbying duties for the employer or ceases to be employed by that employer.

A corporation may have a wide range of lobbying objectives on which several in-house employee lobbyists will work. While much of the information required in a registration form may be common to the forms of all employees, each In-House Lobbyist (Corporate) is individually responsible for compliance with the Act, and must certify the information in his or her form.

The following information must be disclosed:

• employee’s name and position title;
  
  
• employer’s name and business address;
  
  
• name and business address of the parent corporation and those subsidiaries that directly benefit from the lobbying;
  
  
• general description of the employer’s business or activities;
  
  
• subject matters including the specific legislative proposals, bills or resolutions, regulations, policies, programs, grants, contributions or other financial benefits sought;
  
  
• name of each department or other governmental institution lobbied;
  
  
• source and amount of any government funding received by the employer; and
  
  
• communication techniques used, including grass-roots lobbying.

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Questions and Answers

1. My association is incorporated. Does this require registering as an In-House Lobbyist (Corporate) or as an In-House Lobbyist (Organizations)?

Registration as an In-House Lobbyist (Corporate) is required if you work for a corporation that carries on commercial activities for financial gain. If your employer’s activities are not carried on for financial gain, registration would be required as an In-House Lobbyist (Organizations).

2. My job involves trying to get government contracts for my company. I am in marketing. Do I have to register as an in-house lobbyist (corporate)?

No. The legislation does not cover communications between federal public office holders and employees of commercial organizations whose job is to sell their company’s products and services.

3. I lobby for my corporation but occasionally lobby for the parent company or for a subsidiary company. Do I have to file separate registration forms for each company?

No. You are required to file one registration form covering the lobbying that you perform for your corporation. In the form, you must report the parent corporation and those subsidiaries which directly benefit from the lobbying.

4. My company hired me to conduct lobbying activities on several different subject matters. When I am assigned an additional or new subject matter or issue, do I have to report this?

Yes. Whenever there is a change in the information you reported previously, you must file an updated registration form within 30 days of the change occurring.

5. What should I do if my employment situation changes or if I change duties and no longer lobby for my employer?

Once you cease lobbying for your employer, you have 30 days to file a registration form reporting this information to the Registrar.

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In-House Lobbyists (Organizations) Registration Requirements

(Section 7 of the Act)

Registration forms for In-House Lobbyists (Organizations) must be completed and filed by the senior officer of the organization when one or more employees communicate with public office holders in an attempt to influence - i.e., lobby and where the accumulated activity of all such employees would constitute a significant part of the duties of one employee.

Registration is required for lobbying for:

• the making, developing or amending of legislative proposals, bills or resolutions, regulations, policies, programs; or
  
  
• the awarding of grants, contributions or other financial benefits.

Many organizations have paid employees who work on government relations, public affairs or specific policy areas or issues. These employees may communicate, even though infrequently, with elected or appointed federal public office holders in attempts to influence the government’s decisions. When the accumulated lobbying duties by all paid employees would constitute 20 percent or more of the duties of one employee, the senior officer must complete the registration form wherein those employees would be listed.

It is the responsibility of the senior officer of the organization to complete and file the In-House Lobbyists (Organizations) Registration form within two months after one or more employees commence lobbying on behalf of the organization. A new form must be filed with the Registrar every six months thereafter. A form must also be filed within 30 days when employees cease their lobbying activities or cease employment with the organization.

The following information must be disclosed:

• name and position title of the senior officer;
  
  
• name and business address of the organization;
  
  
• names of employees who lobby including, as applicable, the senior officer;
  
  
• general description of the organization’s business or activities;
  
  
• general description of the organization’s membership;
  
  
• subject matters including the specific legislative proposals, bills or resolutions, regulations, policies, programs, grants or contributions or other financial benefits sought;
  
  
• name of each department or other governmental institution lobbied;
  
  
• source and amount of any government funding received by the organization; and
  
  
• communication techniques used, including grass-roots lobbying.

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Questions and Answers

1. Do all employees of the organization who have contacts with the federal government have to be named in the registration form?

The senior officer must list in the registration form the names of those employees who perform lobbying activities.

2. The activities on which my organization lobbies remain the same from year to year. Do I have to file a new registration form every six months?

Yes. The Act requires the senior officer to file a registration form reporting on lobbying activities for the previous six months and the planned activities for the next six months.

3. My organization does not lobby the federal government on a continuing basis but it does occasionally lobby the federal government on short-term projects. Does the senior officer of my organization have to register for this?

If the lobbying activity involves work that would be considered a significant part of the duties of one employee, the senior officer of the organization must file the In-House Lobbyists (Organizations) Registration form within two months of the beginning of the lobbying project. Once the project is completed and the organization’s employees stop lobbying, the senior officer would not need to file a new registration form every six months.

4. On my own time, I am an active member of an organization that occasionally lobbies the federal government. I am not an employee of the organization but sometimes I get involved in the lobbying activities. Do I have to register?

No. As long as you lobby on a volunteer basis you do not have to register. If the organization begins to pay you for your services, other than a standard reimbursement of expenses, the organization’s senior officer would be responsible for including your name in the organization’s registration form.

5. As an employee, I lobby for my organization but the senior officer in my organization does not participate in any of the lobbying activities. Who completes the registration form?

Any employee, including the senior officer, may complete the registration form, but the senior officer is responsible for certifying the information submitted and filing the completed form with the Registrar. If the senior officer begins to participate in lobbying activities, this must be reflected in the subsequent semi-annual registration form.

6. My organization, an association, must register as In-House Lobbyists (Organizations). Do I have to list the names of all my association’s members?

No. Associations have a formal purpose and structure and their membership lists are usually already available to the public. Therefore, it is not necessary to list the individual or group members of an association in a registration form. However, it is necessary to provide a general description of the organization’s membership or classes of membership.

7. My organization is a coalition of special interest groups. Do I have to name the coalition members?

Yes. Coalitions are usually temporary alliances formed for lobbying on particular issues, and the interests or beneficiaries of such groups may not be known. Therefore, you should list the groups that make up the coalition’s membership under the section in the registration form where you are required to describe the organization’s membership.

8. My organization contracts with individuals to perform lobbying activities on our behalf. We do not have an employer-employee relationship with these individuals who do this work for us. Do we list their names on the registration form as employees who lobby?

No. If these individuals are not employees of your organization but perform lobbying work for your organization on a contract basis, they would be considered consultant lobbyists. Each of these consultant lobbyists would need to file the Consultant Lobbyists Registration form and identify your organization as the client.

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General Registration Requirements

Questions And Answers

1. Do I have to report every public office holder that I talk to?

No. The Act requires that you report in the registration form the names of the departments or other government institutions.

2. Do I have to report informal contacts that I make with public office holders during social events?

If business is discussed during social events, you need to check off the box labelled "Informal communication" in the registration form, under the section on communication techniques.

3. Do I have to register every time I communicate with a public office holder?

No. A registration form may cover a series of separate communications with public office holders on the same issue or subject matter.

4. What is "grass-roots" lobbying?

Grass-roots lobbying is a communications technique that encourages individual members of the public or organizations to communicate directly with public office holders in an attempt to influence the decisions of government. Such efforts primarily rely on use of the media or advertising, and result in mass letter writing and facsimile campaigns, telephone calls to public office holders, and public demonstrations.

5. I am involved in organizing and directing a grass-roots lobbying campaign. Do I have to register?

If you are a registered lobbyist, you must report grass-roots lobbying as a communications technique. If you are not engaged in any registerable lobbying activity, it is not necessary to register for the grass-roots lobbying campaign.

6. When I complete the registration form, can I list just the initials or acronym of the corporation or organization?

The full name of the firm, corporation or organization must be reported on the registration form. You may add the popular acronym after the full name in the first instance and use the acronym thereafter.

7. In the forms, there is a general listing of subject matters. The issues I lobby aren’t identified in this listing. What do I do?

At the end of this general listing of subject matters, there is a category for "Other" where you should identify those subject matters that do not appear in the pre-defined listing.

8. There is a requirement in the Act to provide particulars of the subject matters lobbied. What level of detail do I provide?

You are to provide the name or description of the legislative proposals, bills or resolutions, regulations, policies or programs, grants or contributions or other financial benefits you are lobbying towards. Also, consultant lobbyists must provide the name or description of contracts. Some examples would be Canada ABC Act, or Bill 999 (1996) An Act to Amend XYZ Act.

9. What do I have to include when I report government funding?

You must report the source and amount of funding from any Canadian or foreign government, including any municipal, provincial, regional, or state government. Funding means money made available for a particular purpose for which goods or services are not received in return or for which repayment is not intended. Funding would include federal grants and non-repayable contributions, but repayable contributions, loans, loan guarantees, tax credits, remission orders and procurement contracts would not need to be reported. The requirement to report funding is not to be confused with the obligation to register for lobbying to obtain the award of an "other financial benefit."

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What Activities: Do Not Require Registration?

Registration is not required for:

• oral or written submissions to parliamentary committees where there is a public record;
  
  
• oral or written submissions made to any person or body which has jurisdiction or powers under a federal statute, in proceedings that are a matter of public record;
  
  
• oral or written submissions made to a public official with respect to the enforcement, interpretation or application of any federal statute or regulation by that official (for example, routine dealings with government inspectors and other regulatory authorities; other law enforcement officers; licensing authorities; taxation, legal, and customs officials); or
  
  
• oral or written submissions made to a public office holder in direct response to a written request from that public office holder; for advice or comment in respect of any matter referred to in the Act.

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How Are the Registration Requirements Enforced?

It is the responsibility of lobbyists to comply with the Act. The Registrar has the authority to verify and demand clarification of any information submitted by lobbyists.

Ongoing education and communications programs will facilitate compliance with the Act. The Registrar may also issue advisory opinions and interpretation bulletins.

The Act provides for substantial penalties for lobbyists if they fail to register, or make false or misleading statements in their registration forms. The legislation sets a two-year limitation period for enforcement proceedings.