MEMBER STATES WITH STATUTORY RULES ON LOBBYING (MANDATORY REGULATION)
There are currently six Member States with statutory rules on lobbying (mandatory regulation): Austria, Ireland, Lithuania, Poland, Slovenia, and the United Kingdom + Catalonia and Scotland.
Mandatory Regulation
AUSTRIA
Specific legislation on lobbying: The Austrian Bundesrat passed "Transparenzpaket" (Transparency package) on 28.06.2012, which took effect on 1 January 2013. This package comprises a series of transparency-related laws, among them the so called "LobbyG" regulating lobbying and interest representation and introducing a register.
Code of conduct for lobbyists: Both lobbying companies and companies that employ lobbyists must have a code of conduct. They have to inform about it on their website and provide it to everyone who asks.
A register for lobbyists: Before starting lobbying activities, lobbyists are required to register in the “Lobbying and Special Interest Group Register” which is operated by the Ministry of Justice. This register is public, the organisations have to pay a registration fee from 105- 630EUR; on 7th February 2016, 264 organisations were registered.
Mandatory/ Voluntary: Mandatory
Scope of coverage: Different categories in the register require different levels of disclosure. It covers lobbying firms (3rd party representation) essentially. Law firms, lawyers, political parties, officially recognised churches and social security institutions are exluded, but law firms only excluded inasmuch as they provide legal counsel. As soon as they act on behalf of a third party trying to influence legislation they do need to register.
Access to Parliament buildings and other incentives: Lobbyists have access to those parts of the buildings which are open to the public, for example the Parliamentary Library. They can watch debates under the same conditions as other visitors. They can move freely in the building but cannot attend any sessions or committee meetings and may only enter members' offices upon prior appointment.
Body responsible: Ministry of Justice of Justice (BMJ)
Sanctions & Enforcement: There can be administrative penalties up to 60.000 EUR. Furthermore someone can be removed from the list by the Federal Minister of Justice if there was a serious and sustainable breach of the behaviour and registration rules. In this case, a new registration is only possible after three years .
References: In July 2012 several laws called "Transparency Package" passed the Austrian Parliament. The main reasons for the reform were a critical GRECO-report on political party funding in Austria and a series of political scandals and criminal proceedings regarding party funding. One element of the Transparency Package was the Lobbying and Special Interest Group Transparency Law.
Ongoing discussions: The transparency package was drafted under high political and public pressure and there was little time for expert debates. While the transparency package received general appreciation by the public and by academic experts, the pace of drafting and the lack of clarity of many provisions have been criticised since. The law has not yet been revised since its implementation in 2013.
IRELAND
Specific legislation on lobbying: The Registration of Lobbying Bill 2014 was published on Friday 20 June 2014.The passage of the Bill through the Houses took place in October 2014. Lobbying register implemented and launched on May 1st 2015 - trial period. Mandatory registrations began on September 1st 2015.
Code of conduct for lobbyists: Statutory code, with variations depending on category of lobbyist
A register for lobbyists: The register will be available to the public online. Lobbyists will provide details of all contacts with office holders or public officials, regarding preparation of legislation, development or modification of policies and awards of grants and contracts, 3 times a year (at the end of April, August and December). Communications solely about implementation or technical issues will be excluded. The name of persons contacted the subject matter, name of person responsible and the clients concerned. On February 8th 2016, over 2779 organisations registered.
Mandatory/ Voluntary: Pending mandatory registration requirements, regardless of where lobbying takes place
Scope of coverage: Lobbyists are defined as employer or their staff and 3rd party lobbyists, as well as anyone lobbying about land development. An individual’s communication in relation to his or her private affairs are excluded from registration with the exception of matters relating to planning and re-zoning. Communications by employers with 10 employees or less (i.e. micro enterprises) also excluded. In Ireland, every group that engages in lobbying, third-party or otherwise, must disclose its activities on a quarterly basis, including the aim it was trying to achieve.
Access to Parliament buildings and other incentives: Communications made to senior civil servants, or elected politicians relating to “the initiation, development or modification of any public policy or of any public programme, the preparation of an enactment, or the award of any grant, loan or other financial support, contract or other agreement, or of any licence or other authorisation involving public funds” will have to be registered. However access to Leinster House is not connected to the register. Currently to gain access to attend committee hearings requires signing in by a member of the Oireachtas. No obligation on public officials or Members to only deal with those registered.
Body responsible: The Standards in Public Office Commission will be the Registrar. They will oversee the implementation of the register, monitor compliance, provide guidance and assistance and where necessary investigate and pursue breaches of legal requirements in due course:
Sanctions & Enforcement: Various sanctions foreseen from naming and shaming to contraventions and fines (administrative penalties), and in serious cases, court proceedings (which could lead to imprisonment). Lobbying registrar has the power of investigation.
References: OECD principles and Canadian model essentially.
Ongoing discussions: Bill initially introduced in Spring 2012. Public consultation made in 2013. A review of the legislation is foreseen one year after its commencement (i.e 2016).
Related rules: Bill also provides for applications to the Registrar to approve lobbying during a 1 year cooling off period for all former public officials seeking to lobby in areas which they previously worked in. Under the Ethics in Public Office Act, 1995 TDs, Senators and civil and other public servants are expected to declare financial and other interests including any remunerated position as lobbyist, consultant and so on. Similar provisions apply under Part 15 of the Local Government Act, 2001 to local government employees and councillors.
LITHUANIA
Specific legislation on lobbying: Regulation came into force 2001 - Law on Lobbying Activity (LLA), amended in 2003*. Covers legislative acts irrespective of branch or level of government.
Code of conduct for lobbyists : Lobbyists’ Code of Ethics
A register for lobbyists: Yes, the law requires all lobbyists to register in a publicly available list on-line. In November 2014, the list contained only 36 registered lobbyists. Once registered, a person may perform lobbying activities permanently. Although particular actions of the lobbyist are not subject to registration, lobbyists are obliged to submit annual reports indicating income and expenditures for lobbying activities, and the title of a legal act targeted.
Mandatory/ Voluntary: Mandatory
Scope of coverage: “lobbying activities" means actions taken in an attempt to exert influence to have legal acts modified or repealed, or new legal acts adopted or rejected. The law does not cover foundations and associations. Actions taken by interested persons in defending their own interests are not considered as lobbying.
Access to Parliament buildings and other incentives: Registered lobbyists have the right to participate in drafting of legislation, amendments and consultations. Certificate of lobbying also gives access to authority buildings and to organise meetings.
Body responsible: Chief Institutional Ethics Commission (COEC) is charged with supervising adherence to institutional ethics standards, regulating public and private interests in civil service, and controlling certain lobbying activities.
Sanctions & Enforcement: Suspension of lobbyist, possible legal action and/or fines, related to "illegal lobbying activities" as defined under Article 6 of the law (by a non registered person, in the name of a non-existant client etc.)
References: US system
Ongoing discussions: In the development of Lithuanian lobbying regulation, an indirect but notable role was played by EU accession negotiations.
Related rules: Cooling off period of one year included for politicians leaving office. The following shall be prohibited from being a client of lobbying activities:
- a state politician;
- a state official, civil servant or judge;
- state and municipal institutions or establishments;
- state or municipal enterprises
POLAND
Specific legislation on lobbying: Act on Legislative and Regulatory Lobbying passed by Sejm in July 2005, which came into force on 7 March 2006 (after very topical corruption cases + parliamentary investigative committees). The Act promotes transparency in the law-making process and was amended in 2011.
Code of conduct for lobbyists: No stricto senso code of conduct concerning ethical behaviour of lobbyists.
A register for lobbyists: All entities performing professional lobbying activities must be entered into a public register, maintained in the form of a database which is publicly accessible. Entry into the register has a fee (25 EUR). Those parties that declare interest in specific legislation can participate in public hearings. Register included nearly 300 entries at the beginning of 2014.
Mandatory/ Voluntary: Mandatory
Scope of coverage: Quite broad definition of activity covered, professional lobbying shall include lobbying activities pursued for a fee on behalf of third parties. NGOs are not covered by the provisions.
Access to Parliament buildings and other incentives: Registered lobbyists are issued with special red badge to access the Sejm premises. Passes must be visible at all times. Lobbyists have to declare what legislation they are lobbying on. They are forbidden to enter the subcommittees meetings without an invitation. However almost everyone interested in works of any subcommittee can obtain an invitation of the chairman and freely participate in all sessions.
Body responsible: Ministry of Internal Affairs & Administration (MSWiA) is tasked with maintaining the register & producing an annual report.
Sanctions & Enforcement: An entity which performs professional lobbying activities without entering activity in the register shall be subject to a fine ranging from penalty from 3,000 up to 50,000 PLN (around 700 – 12,000 EURO). Monitoring is handled by officials of the same institutions where lobbying activities take place.
References: The Association of Professional Lobbyist in Poland (Stowarzyszenie Profesjonalnych Lobbystów w Polsce, SPLP).
Ongoing discussions: Extensive discussions on the need to amend the regulation, notably to reduce the ways in which it may be circumvented. In 2010, the Prime Minister’s Chancellery published a detailed analysis recommending improvements in the process of drafting legislation.
Related rules: Public authorities (but not individual parliamentarians) have to publish in the Public Information Bulletin, all current information on professional lobbying activities aimed at them (LEGISLATIVE FOOTPRINT)
SLOVENIA
Specific legislation on lobbying: Lobbying activities are regulated in the Integrity and Prevention of Corruption Act
Code of conduct for lobbyists: Pursuant to the Act, lobbyists may form lobbyist associations which adopt a code of professional ethics.
A register for lobbyists: A register of lobbyists is accessible to the public. In Jan 2016, 63 individuals were registered. They must provide contact details and fields of interest. Only individuals (natural persons) can register, but they must provide information about the company or organisation they lobby for.
Mandatory/ Voluntary: The precondition to start lobbying activities is the entry in the register of lobbyists and is mandatory by law. An administrative tax has to be payed when applying to join the register. Lobbyists must report to the CPC by latest 31 January for the previous year
Scope of coverage: Covers non-public contacts by lobbyists who seek to influence the policy-making process. Lobbying directly related to issues of rule of law, democracy and protection of human rights and fundamental freedoms is not defined as lobbying activity.
Access to Parliament buildings and other incentives: The registered lobbyist has the right to be invited to all public presentations and all forms of public consultations; information thereon must be provided by state bodies and local communities.The lobbyist may forward to the lobbied persons written and oral information and materials relating to cases in which he/she is lobbying. The lobbyist may meet with the lobbied persons who are obliged to draw a record of any contact with the lobbyist and send it within three days to their Head and to the Commission.
Body responsible: The Commission for the Prevention of Corruption of the Republic of Slovenia is an independent state body with a mandate in the field of preventing and investigating corruption, breaches of ethics and integrity of public office.
Sanctions & Enforcement: The Commission may impose (depending on the gravity of the violation, on the consequences that ensue, and on whether the violation is a first time or repeat violation) the following sanctions which are entered in the register of lobbyists:
- written reprimand,
- prohibition of lobbying in specific cases,
- prohibition of lobbying for a specific period of time, no shorter than 3 - 24 months,
- removal from register. - fines of EUR 400-100,000.
Ongoing discussions: Legislative changes in 2010 and 2011 focused on integrity and prevention of corrupt practices, conflicts of interest, transparency of lobbying, whistleblower protection, public procurement, criminal law provisions and criminal procedure. Implementation of rules on lobbying is still insufficient and more needs to be done to raise awareness. The CPC has noted that its resources are too limited to be able to carry out a thorough and systematic check of all lobbying activities.
Related rules: The Commission has prepared as for the civil servants and officials a procedural guide - instructions on how to proceed when they meet a lobbyist. Contacts with lobbyists are listed on the website, on an annual basis according to state body
UNITED KINGDOM
Specific legislation on lobbying: The Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration Act, 30 January 2014
Code of conduct for lobbyists: No CoC foreseen
A register for lobbyists: On 25 March 2015, the UK Government launched the Register for Consultant Lobbyists: a statutory register of consultant lobbyists has been created in order that all "direct communications" to Ministers or permanent secretaries relating to legislation or government functions are registered. An annual subscription fee has been introduced for registrants. Client information to be updated, quarterly.
Mandatory/ Voluntary: Prohibition on consultant lobbying unless registered. Due to the narrow scope of the legislation, those required to register constitute a very small proportion of the UK's lobbying industry.
Scope of coverage: Consultant lobbyists are the only actors concerned by the register, and will have to disclose clients and whether or not they subscribe to a relevant code.
Access to Parliament buildings and other incentives: Various physical lobbies exist where MPs can meet their constituents.
Body responsible: Independent statutory office of Registrar, who will have a duty to monitor compliance with the requirement to register and a power to undertake enforcement action in instances of non- compliance and gives guidance to registrants. The Registrar was appointed.
Sanctions & Enforcement: The Registrar serves information notices to persons needing to update, or persons not registered, with deadline. A person on whom an information notice has been served may appeal to the Tribunal against the notice. The Registrar may impose a civil penalty on a person if satisfied that the person’s conduct amounts to an offence under any of subsections. Penalty notices may not exceed £7,500.
References: OECD
Ongoing discussions: A consultation was held (Sep-Oct 2014) on technical aspects of the register (i.e. costs and adminstration related to registration) . - In July 2015, following the closure of the UK Public Affairs Council (UKPAC), the CIPR launched the UK Lobbying Register (UKLR), a new universal voluntary lobbying register available to all professionals engaged in lobbying within the UK.
Related rules: The register aims to complement the Government’s transparency initiatives – which include the quarterly publication of details of ministers and permanent secretaries’ meetings with organisations – and the industry’s existing self-regulatory regime.The bill in part 2 covers party financing for elections, and part 3 trade unions.
CATALONIA
Specific legislation on lobbying: This is a pioneering initiative in Spain, which is part of the "Catalan Transparency Act" passed in December 2014 in the Parliament, which seeks besides being a more citizen participation mechanism to provide the public administration with a tool to provide more transparency.
Code of conduct for lobbyists: Lobbyists must sign a code of conduct "subject to administrative sanctions, and every six months update their meetings and contacts (including telephone) to senior positions." Being part of that record will soon be a sine qua non for negotiations.
A register for lobbyists: Registro de Lobbies de la Generalitat de Cataluña
Mandatory/ Voluntary: Mandatory register
Scope of coverage: Any organization, foundation, professional office, company or private person wishing to contact a public official in the Catalan administration in order to "engage, review or influence" any initiatives or public decision.
Body responsible: The Department of Justice of Catalonia
References: EU Transparency Register
SCOTLAND
Specific legislation on lobbying: Lobbying Transparency Bill announced (2015)
Code of conduct for lobbyists: Code of Conduct for lobbyists as a part of the Bill
A register for lobbyists: A register of lobbyists (i.e. those whose work involves lobbying) who directly engage with Members of the Scottish Parliament (MSPs) and Scottish Ministers.
Mandatory/ Voluntary: Mandatory for: face-to-face communication, communications with SpAds and Civil Servants, and campaign expenditure
Scope of coverage: A question is still present will the register be focused on organisations or individuals. The committee, which in principle endorsed the government's plans, contained in the Lobbying Bill, also recommended the Scottish government consider broadening the definition of regulated lobbying to include communications with public officials other than ministers and MSPs. Scottish Alliance for Lobbying Transpareancy (SALT) however, wants to see a register of lobbying of all public officials, not just MSPs and ministers; the definition of lobbying to be expanded to all communication; and full financial disclosure of lobbying budgets.
Body responsible: Minister for Parliamentary Business
Sanctions & Enforcement: If the Code of Conduct is not respected, an educative compliance regime which will be adopted should guarantee the effectiveness of the law. Sanctions will be used as a last resort.
References: Standards, Procedures and Public Appointments Committee (SPAAC) - 1st report (February 2015); A Consultation on proposals for a Lobbying Transparency Bill (May 2015); REID-HOWIE ASSOCIATES LTD. - Consultation on proposals for a lobbying bill - analysis of written responses (Oct 2015).
Ongoing discussions: A review of the law will be made two years after implementation.
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