Kentucky Legislative Ethics Commission

KRS Section(s) - KRS 6.797, 6.807, 6.809, 6.821, 6.824, 6.829

Legislative agents and employers - initial registration and fees

When are legislative agents and employers required to file an initial registration? Is there a fee?

Each legislative agent and employer is required to register with the Commission within seven (7) days following engagement of a legislative agent. (KRS 6.807)

Each employer of one or more legislative agents is required to pay a registration fee of $250 to the Commission. (KRS 6.809)

Intentional failure to register is a Class D felony. [KRS 6.807(8)]

Length of Registration Period

How long is the registration valid?

Through the thirty-first day of December of an odd-numbered year, unless previously terminated. (KRS 6.807)

Is any proof of registration issued?

Upon registering, the legislative agent is issued a letter, sent by email, by the Commission, showing that he/she is registered. (KRS 6.807)

Information required in the initial registration statement

What information is required on the initial registration statement?

1. The name, business address and telephone number, and occupation of the legislative agent;
2. The name, brief description of the nature of the business, nature and identity of the organized association, coalition, or public interest entity, business address and telephone number of the employer.
3. The name, bill number, or a brief description of the legislative action for which the legislative agent is or will be engaged in lobbying on behalf of their employer or as a representative of the organized association, coalition, or public interest entity;
4. The date on which the legislative agent was engaged; and
5. Certification by the employer and legislative agent that the information contained in the registration statement is complete and accurate. [KRS 6.807(1)]

Does a legislative agent who represents more than one employer have to register separately for each employer?

Yes. If a legislative agent is engaged by more than one employer, the agent is required to file a separate initial registration for each engagement. (KRS 6.807)

Updated registration

What additional information is required to be filed?

Each legislative agent and employer is also required to file an updated registration statement containing a statement of expenditures as required by KRS 6.821 also if applicable, a statement of financial transactions as required by KRS 6.824. [KRS 6.807(3) and KRS 6.821(1)]

The employer who engages more than one legislative agent is required to file only one updated registration statement containing the information required regarding all legislative agents engaged by the employer. [KRS 6.807(4)]

Does a legislative agent who represents more than one employer have to file separate updated registration statements for each employer?

Yes. The legislative agent is required to file a separate statement of expenditures for each employer engaging him. (KRS 6.821)

When must the updated registration statements be filed? What is the reporting period?

The reporting periods and due dates are as follows:

For the purpose of assessing administrative penalties, the Commission considers updated registration statements timely if postmarked or faxed by the due date listed on the form. 

The Commission is permitted to grant a reasonable extension of time, for good cause shown, for filing the updated registration statement. (KRS 6.807)  If you would like to fax your report, our fax number is (502) 573-2929.  Please do not mail if you fax the form.

Information required in the updated registration statement

What information is required in the updated registration statement?

1. Confirmation of the continuing existence of each engagement described in an initial registration statement;
2. List of specific bills or resolutions on which the agent lobbied under that engagement;
3. Any statement of expenditures or financial transactions required to be filed under KRS 6.821 and KRS 6.824 (excluding "short form");
4. A change in any information previously provided in the initial registration statement. See KRS 6.807(3)(b), (5), OLEC 94-5, and OLEC 94-14.

Notice of termination of a legislative agent to be provided to the Commission

Does notice of termination of a legislative agent have to be provided to the Commission?

Yes. Within thirty (30) days after the termination of an engagement, the legislative agent who was employed under the engagement is required to file written notice of the termination with the Commission. [KRS 6.807(5)(b)]

Copies of registration statements

What does the Commission do with copies of registration statements?

The Commission reviews registrations for compliance; notifies persons regarding failure to file or deficiencies in filing; retains and computerizes the registrations for easy public accessibility; makes copies available to the public; and publishes an annual report containing statistical information on registration statements filed during the preceding year. (KRS 6.829)

Penalties - initial registration statements and updated registration statements

What penalties apply to initial registration statements and updated registration statements?

Intentional failure to register by any legislative agent or employer is a Class D felony. [KRS 6.807(8)]

Late filing of an initial registration statement, updated registration statement, or failure to timely remedy a filing deficiency may result in a fine by the Commission not to exceed $100 per day, the total fine limited to $1,000.  (For the purpose of assessing administrative penalties, the Commission considers updated registration statements timely if postmarked by the due date listed on the form.)

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.

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. ​​​