9 KAR 1:040. Registration and expenditure statements; financial transactions and termination forms; handbook; and enforcement.


      RELATES TO: KRS 11A.211, 11A.216, 11A.221, 11A.231, 11A.233(1), 11A.241(4), (5), (6), 11A.990

      STATUTORY AUTHORITY: KRS 11A.110(3), (4), 11A.241(5)

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.241(4) requires the Executive Branch Ethics Commission to prescribe the initial registration statement, the updated registration statement, and the termination notice required by KRS 11A.211, the statement of expenditures required by KRS 11A.216, and the statement of financial transactions required by KRS 11A.221. KRS 11A.241(6) requires the commission to publish a handbook that explains the provisions of KRS 11A.201 to 11A.246. KRS 11A.990 states that a lobbyist who fails to file a registration statement shall be subject to a civil penalty. This administrative regulation establishes the registration, financial transactions, and expenditure statements, termination notice, handbook, and enforcement procedure.


      Section 1. Initial Registration Statement. (1) The initial registration statement required by KRS 11A.211 shall be filed on the "Initial Registration Statement" form.

      (2)(a) The brief description of the executive agency decision shall include the subject matter for which an executive agency lobbyist:

      1. Has been engaged; or

      2. Is responsible.

      (b) Subject matters shall include:

      1. An award of grant for social services;

      2. A lease for office space or equipment;

      3. A contract to provide food, clothing, or other consumable products; and

      4. Any other subject matter.

      (3)(a) The signature on the "Initial Registration Statement" which is filed with the commission shall be an original signature in ink other than black.

      (b) The forms incorporated by reference in this administrative regulation may be reproduced by an executive agency lobbyist or his employer.


      Section 2. (1) The "Updated Registration Statement" form required by KRS 11A.211(2) shall be filed on the applicable "Updated Registration Statement" forms.

      (2) The notice of termination required by KRS 11A.211(4) shall be filed on the "Termination Notification As Executive Agency Lobbyist" form.


      Section 3. Enforcement Procedure. (1) If an executive agency lobbyist, an employer of an executive agency lobbyist, or a real party in interest has not filed an "Updated Registration Statement" on or before the date the statement is due, the commission shall notify the party, by certified mail, return receipt requested, that if the statement is not filed within fifteen (15) days of the date of the receipt of notice the commission shall levy a fine, as provided by KRS 11A.990(5).

      (2) If, by the 16th day after proof of service of the certified letter is received by the commission, the commission has not received the statement that was due by July 31, the commission shall prepare and issue to the executive agency lobbyist, employer or real party in interest an order demanding payment of the appropriate fine as required by KRS 11A.990(5). The executive agency lobbyist, employer or real party in interest shall pay the fine no later than ten (10) days from the date of the order. The commission may exonerate or reduce the fine if the commission receives evidence during the ten (10) day fine payment period indicating the filer has already filed the updated registration statement, or that the delinquency is in error.

      (3) The commission also may exonerate or reduce a fine for late filing of the updated registration statement if the commission feels that exoneration, based on the circumstances, is warranted.

      (4) If the commission is not in receipt of the fine from the executive agency lobbyist, employer or real party in interest by the tenth day after issuance of the order demanding payment of the fine, the general counsel may recommend that the commission initiate an investigation of the executive agency lobbyist, employer or real party in interest to determine if the failure to file was intentional causing the criminal penalties set forth in KRS 11A.990(6) to apply.


      Section 4. Incorporation by Reference. (1) The following material is incorporated by reference:

      (a) "Initial Registration Statement (Rev. 02/07)";

      (b) "Updated Registration Statement - Executive Agency Lobbyist (Rev. 02/07) ";

      (c) "Updated Registration Statement - Employer of Executive Agency Lobbyist (Rev. 02/07) ";

      (d) "Updated Registration Statement -Executive Agency Lobbyist/Employer Combined (02/07)";

      (e) "Updated Registration Statement - Real Party in Interest (Rev. 02/07)";

      (f) "Termination Notification as Executive Agency Lobbyist (Rev. 02/07) ";

      (g) "Executive Agency Lobbying Handbook (Rev. 02/07)"; and

      (h) "Commonwealth of Kentucky Registration Card Executive Agency Lobbyist (9/93)".

      (2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Executive Branch Ethics Commission, The Vest-Lindsey House, 401 Wapping Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. (20 Ky.R. 868; 1567; eff. 12-6-1993; 21 Ky.R. 3060; 22 Ky.R. 273; 583; eff. 7-26-1995; 25 Ky.R. 1086; 1579; eff. 1-19-1999; 27 Ky.R. 2194; 2679; eff. 4-9-2001; 30 Ky.R. 661; 1193; eff. 12-5-2003; 33 Ky.R. 3031; 3330; eff. 6-1-2007.)