Any updates filed after July 31, 2019, due to termination or during the regular reporting phase in 2020 and all proceeding reporting periods, will file the 5/2019 update forms. If you have older versions of any initial registration or updated registration statements loaded onto your system, please delete them and replace with the 2019 version.
If you will be filing new Initial Registration Statements for new lobbyists or new employers after July 1, 2019 you must use the 5/2019 version of the Initial Registration Statement. The new revised 5/2019 Initial Registration Statement is located on the right at the bottom of this page.
Any Initial Registration Statements or updated registration statements filed after July 1, 2019 using outdated forms will be returned for correction and will not be in compliance.
Once registered, each executive agency lobbyist, employer, and real party in interest must file an Updated Registration Statement on an annual basis. Updated Registration Statements are due July 31 for the previous reporting period July 1 through June 30 and the information submitted on all updates should be relative to the previous reporting period. Filers have 30 days beginning July 1 thru July 31 to complete and submit the updates by the due date.
Additionally, each employer and real party in interest are required to pay a $500 registration fee on an annual basis when filing their respective updated registration statements. (KRS 11A.211)
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 $500 registration fee with the COMBINED form. The COMBINED form is password protected.
In addition to reporting changes in name, address, employer name, etc., an Updated Registration Statement has five 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.
- Compensation paid to the lobbyist by the employer,
The individual reporting requirements for the executive agency lobbyist, the employer of the executive agency lobbyist, and the real party in interest are outlined in the next section. Updated Registration Statements are available for download on this page in the "Related Forms" section.
Confirmation of Engagement
Executive Agency Lobbyist Confirmation
The Updated Registration Statement asks the executive agency lobbyist whether the lobbyist will remain "active" for the employer and real party in interest. When answering "NO", state the date of termination. If terminating for more than one employer, list each employer and the respective termination date.
If a lobbyist terminates in the middle of a reporting period, the lobbyist is required to file a final Updated Registration Statement for that reporting period through the date of termination within 30 days.
Employer/Real Party Confirmation
If an employer/real party lists at least one active executive agency lobbyist on the respective Updated Registration Statement, then the employer or real party in interest is confirming their registration going forward into the next reporting period. 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. Like the lobbyist, the employer/real party in interest must file a final Updated Registration Statement with the Commission and pay the $500 registration fee for the final reporting period.
List of Specific Executive Agency Decisions
The Updated Registration Statement requires the lobbyist, employer, and real party in interest to report the specific executive agency decisions they attempted to influence during the reporting period. Also list each additional executive agency or agencies to which the engagement relates if not listed on the original Initial Registration Statement.
Statement of Expenditures
Each Updated Registration Statement is required to contain a statement of expenditures if applicable. 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.
What is an Expenditure?
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.
- 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.
What is Not an Expenditure?
"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.
Expenditures do not include the employer's cost to lobby such as each lobbyists' compensation, travel or other business expenses.
Statement of Financial Transactions
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.
Agency Lobbyists are required to report the compensation paid to them by each
employer on the Updated Registration
Statement, Executive Agency Lobbyist.
Employers of Executive Agency Lobbyists are required to report
compensation paid to each Executive Agency Lobbyist engaged to represent them
on the Updated Registration Statement,
Employer of Executive Agency Lobbyist. Compensation means
any money, thing of value, or economic benefit conferred on, or received by,
any person in return for services rendered, or to be rendered, by himself or
another. KRS 11A.201(1). The statute does not establish a specific method for the
reporting of compensation i.e., monthly, annually, pro-rated amount based on
percentage of time actually conducting lobbying activity, etc. For compliance purposes, provide a good faith
answer to the best of your knowledge.
Ethics Code does not prohibit any person from compensating that person’s sales
employees pursuant to any incentive compensation plan, such as commission
sales, if the incentive compensation plan is the same plan used to compensate similarly
situated sales employees who are not executive agency lobbyists. In addition, the Ethics Code does not
prohibit any person from engaging a placement agent to influence investment
decisions of the Kentucky Retirement Systems and the Kentucky Teachers’
Retirement System for compensation that is contingent on the outcome of
investment decisions by the retirement systems’ boards of trustees. These same provisions do not apply to
unregulated placement agents. KRS
11A.236 (1) & (2)