Updated Registration Statements
Once registered, executive agency lobbyists, employers, and real parties in interest are each required to file an Updated Registration Statement annually. Updated Registration Statements are due July 31 for the reporting period July 1 through June 30. An executive agency lobbyist is required to file only one Updated Registration Statement for each reporting period. The single Updated Registration Statement contains information for each of the lobbyist's employers. Both the employer and the real party in interest are required to file only one Updated Registration Statement for all of their lobbyists for each reporting period. Additionally, each employer and real party in interest are required to pay a $125 registration fee upon filing their respective updated registration statements. Each lobbyist, employer and real party in interest is responsible for the filing of their respective form.
When a lobbyist has only one employer and that employer has only one lobbyist, with the lobbyist listed as the "employer contact" on the Initial Registration Statement, the lobbyist and employer may alternately file an Updated Registration Statement Lobbyist/Employer "COMBINED" in lieu of filing two separate updated registration statements. The "COMBINED" form may only be used if neither the lobbyist nor the employer has expenses or financial transactions to report. The employer is still required to pay the $125 registration fee even if the employer qualifies to complete the "COMBINED" form.
In addition to reporting changes in name, address, employer name, etc., an Updated Registration Statement has four types of information:
- Confirmation of the continuing existence of each engagement described in the Initial Registration Statement;
- A list of the specific executive agency decisions that the lobbyist sought to influence under the engagement during the period covered by the Updated Registration Statement;
- A statement of expenditures; and
- Details of any financial transactions.
The following pages explain in detail the individual reporting requirements for the executive agency lobbyist, the employer of the executive agency lobbyist, and the real party in interest. Updated Registration Statements are available for electronic completion on the Commission's internet website at http://ethics.ky.gov/.
The Updated Registration Statement asks the executive agency lobbyist whether the lobbyist continues to represent the employer and real party in interest for which the Updated Registration Statement is being completed. If you have answered the question "No, " you must state the date of the termination.
If the date of termination falls within a reporting period - even one day - you are required to file a final Updated Registration Statement for that reporting period. If you terminate an engagement at the beginning or in the middle of a reporting period, you may file your Updated Registration Statement at the time of termination. You are not required to wait until the end of the reporting period. It is preferred that this method be used to insure the filing of the final Updated Registration Statement is not overlooked unless, as a lobbyist, you are engaged by more than one employer or real party in interest, or as an employer, you engage more than one lobbyist.
When all lobbyists engaged by an employer or real party in interest terminate their registrations with the Commission, then the employer/real party in interest has effectively terminated their registration with the Commission as well. However; the employer/real party in interest must file a final Updated Registration Statement with the Commission and pay the $125 registration fee for the final reporting period.
The Updated Registration Statement requires you to list the specific executive agency decisions the lobbyist attempted to influence on behalf of his employer during the reporting period. Related to this is the requirement that you must list each additional executive agency or agencies to which the engagement relates.
Each Updated Registration Statement is required to contain a statement of expenditures. An executive agency lobbyist is required to file a separate statement of expenditures for each employer engaging him; however, this is accomplished on one form. Each employer or real party in interest is required to file only one statement of expenditures regardless of the number of executive agency lobbyists it engages. Those expenditures attributable to an employer or real party in interest are those that are paid directly by the company or paid by an individual on behalf of the company and the individual is not the registered executive agency lobbyist.
Expenditure means any of the following that is made to or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or a member of the staff of such officials. Expenditures do not include the employer's cost to lobby such as lobbyists' compensation or travel.
- A payment, distribution, loan, advance, deposit, reimbursement, or gift of money, real estate, or anything of value, including, but not limited to, food and beverages, entertainment, lodging, transportation, or honoraria;
- A contract, promise, or agreement to make an expenditure; or
- The purchase, sale, or gift of services or any other thing of value.
"Expenditure" does not include:
- A contribution, gift, or grant to a foundation or other charitable organization that is exempt from federal income taxation under subsection 501(c)(3) of the Internal Revenue Code;
- The purchase, sale, or gift of services or any other thing of value that is available to the general public on the same terms as it is available to the persons listed above;
- A payment, contribution, gift, purchase, or any other thing of value that is made to or on behalf of any elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of the officials listed in this paragraph who works for a state agency for which the executive agency lobbyist is not registered to influence.
Also included in the Updated Registration Statement is a Statement of Financial Transactions. Financial transaction means a transaction or activity that is conducted or undertaken for profit and arises from the ownership, or the joint ownership, or part ownership in common of any real or personal property or any commercial or business enterprise of whatever form or nature between the following:
- An executive agency lobbyist, his employer, a real party in interest, or a member of the immediate family of the executive agency lobbyist or his employer or a real party in interest; and
- An elected executive official the secretary of a cabinet listed in KRS 12.250, and executive agency official, or a member of the staff of such official.
- "Financial transaction" does not include any transaction or activity if it is available to the general public on the same terms.