Kentucky Legislative Ethics Commission

What penalties apply to statements of expe​nditures for Legislative Agents (Lobbyists) and their employers?

• During the 2000 Legislative Session, the Code of Ethics was amended to allow the Commission to levy administrative penalties without the filing of a formal complaint. This allows staff to monitor the filings of all statements required by the Code to ensure compliance with the filing deadlines. Failure to timely file required forms may result in the assessment of a monetary fine ranging anywhere from a minimum of $50 up to the statutory maximum of $1000 per occurrence.
• Intentionally filing false information or omitting required information is a Class D felony. KRS 6.821(8)
• Failure to file a required statement or to remedy any deficiency in a filing in a timely manner may result in a fine by the Commission not to exceed $100 per day, up to a maximum total fine of $1,000. KRS 6.821(7)
• An employer or legislative agent who files a false statement of expenditures is liable in a civil action to any official or employee who sustains damage as a result of the filing or publication of the statement. KRS 6.827(3)
• KRS 6.797(2)(a), 6.807(7), and 6.821(7) currently allows the Commission to levy administrative penalties for failing to file the required initial and updated registration statements in KRS 6.807 and KRS 6.821, and the statement of financial interests in KRS 6.797 without the necessity of a complaint, but only after notice has been given to the alleged violator to appear before the commission or otherwise offer evidence as he/she may choose in mitigation of the imposition of the fine.

What penalties apply to financial disclosure statements for Legislators and/or Candidates for the General Assembly?

• A person who fails to file the statement in a timely manner, completely, or in the form required by the Commission is notified by the Commission by certified mail specifying the type of failure or delinquency and advising the person of the penalties. (KRS 6.797) However, a filer who submits a statement within 10 days of the statutory deadline or the deadline authorized by the Commission shall be subject to no penalty. (KRS 6.794)
• A person who fails to file the statement or to remedy a deficiency identified by the Commission in the notice in a timely manner may be fined by the Commission an amount not to exceed $100 per day up to a maximum total fine of $1,000. (KRS 6.797)
• A person who intentionally files a statement that he/she knows contains false information or omits required information is guilty of a Class A misdemeanor. (KRS 6.797)