14100775D
SENATE BILL NO. 20
Offered January 8, 2014
Prefiled December 6, 2013
A BILL to amend and reenact §§2.2-426, 2.2-428, and 2.2-431
of the Code of Virginia, relating to the Secretary of the Commonwealth;
lobbyist disclosure.
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Patron-- Smith
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Referred to Committee on General Laws and Technology
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Be it enacted by the General Assembly of Virginia:
1. That §§2.2-426, 2.2-428, and 2.2-431 of the Code of
Virginia are amended and reenacted as follows:
§2.2-426. Lobbyist reporting; penalty.
A. Each lobbyist shall file a separate annual report of expenditures,
including gifts, for each principal for whom he lobbies by July 1 for the
preceding 12-month period complete through April 30.
B. Each principal who expends more than $500 to employ or
compensate multiple lobbyists shall be responsible for filing a consolidated
lobbyist report pursuant to this section in any case in which the lobbyists are
each exempt under the provisions of subdivision 7 or 8 of §2.2-420 from the
reporting requirements of this section.
C. The report shall be on a form provided by the Secretary of
the Commonwealth, which shall be substantially as follows and shall be
accompanied by instructions provided by the Secretary.
LOBBYIST'S DISCLOSURE STATEMENT PART I: (1) PRINCIPAL: ..................................................... In Part I, item 2a, provide the name of the individual authorizing your employment as a lobbyist. The lobbyist filing this statement MAY NOT list his name in item 2a. THE INDIVIDUAL LISTED IN PART I, ITEM 2A, MUST SIGN THE PRINCIPAL'S STATEMENT. (2a) Name: .......................................................... (2b) Permanent Business Address: .................................... (2c) Business Telephone: ............................................ (3) Provide a list of executive and legislative actions (with as much specificity as possible) for which you lobbied and a description of activities conducted. ................................................................ ................................................................ ................................................................ (4) INCORPORATED FILINGS: If you are filing an incorporated disclosure statement, please complete the following: Individual filing financial information: ....................... Individuals to be included in the filing: ...................... ................................................................ (5) Please indicate which schedules will be attached to your disclosure statement: [ ] Schedule A: Entertainment Expenses [ ] Schedule B: Gifts [ ] Schedule C: Other Expenses (6) EXPENDITURE TOTALS: a) ENTERTAINMENT ..................................... $ ...... b) GIFTS ............................................. $ ...... c) OFFICE EXPENSES ................................... $ ...... d) COMMUNICATIONS .................................... $ ...... e) PERSONAL LIVING AND TRAVEL EXPENSES ............... $ ...... f) COMPENSATION OF LOBBYISTS ......................... $ ...... g) HONORARIA ......................................... $ ...... h) REGISTRATION COSTS ................................ $ ...... i) OTHER ............................................. $ ...... TOTAL ................................................ $ ...... PART II: (1a) NAME OF LOBBYIST: .............................................. (1b) Permanent Business Address: .................................... (1c) Business Telephone: ............................................ (2) As a lobbyist, you are (check one) [ ] EMPLOYED (on the payroll of the principal) [ ] RETAINED (not on the payroll of the principal, however compensated) [ ] NOT COMPENSATED (not compensated; expenses may be reimbursed) (3) List all lobbyists other than yourself who registered to represent your principal. ................................................................ ................................................................ ................................................................ (4) If you selected "EMPLOYED" as your answer to Part II, item 2, provide your job title. ................................................................ PLEASE NOTE: Some lobbyists are not individually compensated for lobbying activities. This may occur when several members of a firm represent a single principal. The principal, in turn, makes a single payment to the firm. If this describes your situation, do not answer Part II, items 5a and 5b. Instead, complete Part III, items 1 and 2. (5a) What was the DOLLAR AMOUNT OF YOUR COMPENSATION as a lobbyist? (If you have job responsibilities other than those involving lobbying, you may have to prorate to determine the part of your salary attributable to your lobbying activities.) Transfer your answer to this item to Part I, item 6f. (5b) Explain how you arrived at your answer to Part II, item 5a. ................................................................ ................................................................ ................................................................ PART III: PLEASE NOTE: If you answered Part II, items 5a and 5b, you WILL NOT complete this section. (1) List all members of your firm, organization, association, corporation, or other entity who furnished lobbying services to your principal. ................................................................. ................................................................. ................................................................. (2) Indicate the total amount paid to your firm, organization, association, corporation or other entity for services rendered. Transfer your answer to this item to Part I, item 6f............. SCHEDULE A ENTERTAINMENT EXPENSES PLEASE NOTE: Any single entertainment event included in the expense totals of the principal, with a value greater than $50, should be itemized below. Transfer any totals from this schedule to Part I, item 6a. (Please duplicate as needed.) Date and Location of Event: ..................................................................... ..................................................................... Description of Event: ..................................................................... ..................................................................... Total Number of Persons Attending: ..................................................................... Names of Legislative and Executive Officials Attending: (List names only if the average value for each person attending the event was greater than $50.) ..................................................................... ..................................................................... ..................................................................... ..................................................................... Food ...................................................... $ ...... Beverages ................................................. $ ...... Transportation of Legislative and Executive Officials ..... $ ...... Lodging of Legislative and Executive Officials ............ $ ...... Performers, Speakers, Etc. ................................ $ ...... Displays .................................................. $ ...... Rentals ................................................... $ ...... Service Personnel ......................................... $ ...... Miscellaneous ............................................. $ ...... TOTAL ..................................................... $ ...... SCHEDULE B GIFTS PLEASE NOTE: Any single gift reported in the expense totals of the principal, with a value greater than $50, should be itemized below. (Report meals, entertainment and travel under Schedule A.) Transfer any totals from this schedule to Part I, item 6b. (Please duplicate as needed.) Name of each legislative or executive official Cost of Date Description who is a recipient individual of gift: of gift: of a gift: gift: ........... .................. ...................... $ .......... ........... .................. ...................... $ .......... ........... .................. ...................... $ .......... ........... .................. ...................... $ .......... TOTAL COST TO PRINCIPAL ............................... $ .......... SCHEDULE C OTHER EXPENSES PLEASE NOTE: This section is provided for any lobbying-related expenses not covered in Part I, items 6a - 6h. An example of an expenditure to be listed on schedule C would be the rental of a bill box during the General Assembly session. Transfer the total from this schedule to Part I, item 6i. (Please duplicate as needed.) DATE OF EXPENSE DESCRIPTION OF EXPENSE AMOUNT .................. ................................ $ .......... .................. ................................ $ .......... .................. ................................ $ .......... .................. ................................ $ .......... .................. ................................ $ .......... .................. ................................ $ .......... .................. ................................ $ .......... .................. ................................ $ .......... .................. ................................ $ .......... TOTAL "OTHER" EXPENSES ............................. $ .......... PART IV: STATEMENTS Both the lobbyist and principal officer must sign the disclosure statement, attesting to its completeness and accuracy. The following items are mandatory and if they are not properly completed, the entire filing will be rejected and returned to the lobbyist: (1) All signatures on the statement must be ORIGINAL in the format specified in the instructions provided by the Secretary that accompany this form. No stamps, or other reproductions of the individual's signature will be accepted. (2) An individual MAY NOT sign the disclosure statement as lobbyist and principal officer. STATEMENT OF LOBBYIST I, the undersigned registered lobbyist, do state that the information furnished on this disclosure statement and on all accompanying attachments required to be made thereto is, to the best of my knowledge and belief, complete and accurate. ........................ Signature of lobbyist ........................ Date STATEMENT OF PRINCIPAL I, the undersigned principal (or an authorized official thereof), do state that the information furnished on this disclosure statement and on all accompanying attachments required to be made thereto is, to the best of my knowledge and belief, complete and accurate. ....................... Signature of principal ....................... Date Period Covered: May 1, (YYYY) to April 30, (YYYY) 1. Name of Principal. Principal: ____________________________________________________ 2. Lobbyist Information. Last Name: __________________________________ Suffix: _________ First Name: __________________________ Middle Name: ___________ Business Address: ___________________________ Suite/Apt: ______ City: __________________________ State: _____ Zip: ____________ Work Phone: (____) _____________ Email: _______________________ 3. Lobbyist's Relationship to Principal. [ ] Lobbyist was Employed by Principal Job Title: _____________________________________________ Total compensation for lobbying during period: $ _______ Does this amount represent lobbyist's entire salary during period? Yes _____ No _____ If answer is No, explain how you arrived at amount compensated for lobbying: ________________________________________________________ ________________________________________________________ [ ] Lobbyist was Retained by Principal Name of Firm: __________________________________________ Total compensation paid to firm for lobbying during period: $ ____________ Does this amount represent total amount paid to firm (retainers and fees) during period? Yes _____ No _____ If answer is No, explain how you arrived at amount compensated for lobbying: _____________________________________________________________ _____________________________________________________________ [ ] Lobbyist was a Nonpaid Volunteer for Principal 4. Incorporated Reporting. Is this lobbyist part of an incorporated filing that includes actions taken on behalf of a client and the expenditure summary for more than one lobbyist registered on behalf of the client? Yes _____ No _____ If No, proceed to Section 5. If Yes, provide the name of lobbyist of record for the incorporated filing. Lobbyist of record for incorporated filing: Last Name: __________ First Name: __________ Middle Name: _____ If you are the lobbyist of record, proceed to Section 5. If you are not the lobbyist of record, skip Sections 5 and 6 and proceed to Section 7. 5. Legislative and Executive Actions and Procurement Transactions. Did lobbyist actually engage in lobbying on the principal's behalf during the time period covered? Yes _____ No _____ If No, proceed to Section 6. List the general matters of concern that you (and any other lobbyists included in an incorporated filing) lobbied on behalf of the principal: _______________________________________________________________ _______________________________________________________________ List all legislative actions, including where appropriate the assigned House of Delegates or Senate bill numbers, that you and any other lobbyist included in an incorporated filing sought to influence the outcome of during disclosure period. "Sought to influence" means any direct contact by any means to a member of the (i) legislature or legislative staff, (ii) executive branch or staff, or (iii) public, seeking support of or opposition to a particular issue. _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ (Attach separate sheet if necessary.) List all executive actions that you and any other lobbyist included in an incorporated filing sought to influence during disclosure period. "Sought to influence" means any direct contact by any means to a member of the (i) legislature or legislative staff, (ii) executive branch or staff, or (iii) public, seeking support of or opposition to a particular issue. _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ (Attach separate sheet if necessary.) List all procurement transactions that you and any other lobbyist included in an incorporated filing sought to influence during disclosure period. "Procurement transaction" means all functions that pertain to the obtaining of any goods, services, or construction, including description of requirements, selection of sources, preparation and award of contract, and all phases of contract administration. "Sought to influence" means any direct contact by any means to a member of the (i) legislature or legislative staff, (ii) executive branch or staff, or (iii) public, seeking support of or opposition to a particular issue. _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ (Attach separate sheet if necessary.) 6. Financial Summary. Expenditure Totals: a. Entertainment $ _____ [ ] "Schedule A" Attached b. Gifts $ _____ [ ] "Schedule B" Attached c. Office Expenses $ _____ d. Communications $ _____ e. Personal Living/Travel $ _____ f. Compensation of Lobbyists $ _____ g. Registration Fees $ _____ h. Other $ _____ [ ] "Schedule C" Attached Total Expenditures: $ _______ If the expenditure totals above represent an incorporated filing for more than one lobbyist, list the names of all other lobbyists included in these expenditure totals: Firm (if retained) or Title Name (Last Name, First Name) (if employed) ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ ____________________________ ________________________________ (Attach separate sheet if necessary.) 7. Statement of Lobbyist. I, the undersigned registered lobbyist, do state that all the information provided on this disclosure statement and all the required attachments made thereto are, to the best of my knowledge and belief, complete and accurate. ____________________________ ________________________________ Signature Date 8. Statement of Authorized Representative of Principal. I, the undersigned authorized representative of the principal, do state that all the information provided on this disclosure statement and all the required attachments made thereto are, to the best of my knowledge and belief, complete and accurate. Authorized Representative (cannot be same person as lobbyist listed above) Last Name: __________________________________ Suffix: _________ First Name: __________________________ Middle Name: ___________ Business Street Address: ____________________ Suite/Apt: ______ City: ________________________ State: _____ Zip: ____________ Work Phone: (____) ___________ Email: _______________________ ______________________________ ______________________________ Signature Date Schedule A Entertainment Expenses This schedule shall be completed each time the lobbyist spends money on behalf of the principal for any entertainment expense in which (a) guests included executive or legislative officials and (b) the total cost of the event was $50 or more. If (a) and (b) above are true, the lobbyist shall complete this form even if the principal's share of event was less than $50. Date of Event (MM/DD/YYYY): ____/____/_________ Description of Event: ____________________________________________ Location of Event: _______________________________________________ City Where Event Held: ________________________ State ____________ Total Cost Total Number of Average Cost of Event divided by Persons Attending = Per Person for Event $ ________ divided by ______________ = $ __________________ Did principal pay for entire cost of the event? Yes _____ No _____ If No, list the principal's share of the total cost of the event: $ ______________ Summary of Principal's Share of Costs: Food/Beverage: $ _________ Transportation: $ _________ Lodging: $ _________ Performers/Speakers: $ _________ Rentals/Displays: $ _________ Service/Tip: $ _________ Other: $ _________ Describe "Other": ___________ Total: $ ___________ (Include this amount in "enter- tainment" expenses in expendi- ture totals.) (Include the total amount in "entertainment" expenses in expenditure totals. If the entertainment event was open to the public or unrelated to executive or legislative action and reportable executive or legislative officials represented less than 10 percent of the attendees, then the total cost of the event need not be reported. However, the total cost of entertaining the reportable officials shall be reported.) Number of Executive and Legislative Officials Attending: _________ If average cost per person is $50 or more, provide names of executive and administrative officials who attended: Name (Last Name, First Name) Title _______________________________ ________________________________ _______________________________ ________________________________ _______________________________ ________________________________ _______________________________ ________________________________ _______________________________ ________________________________ _______________________________ ________________________________ (Attach separate sheet if necessary.) Schedule B Gifts This schedule shall be filled out each time the principal contributes all or part of a gift to an executive or legislative official valued at $50 or more. (Complete this form even if the principal's share of a gift was less than $50.) Date of Gift: ____/____/________ Total Cost of Gift: $ _________ Did principal's share account for the total value of the gift? Yes _____ No _____ If No, list the principal's share of the cost of the total gift: $ ______________ Description of Gift: _____________________________________________ Recipient Last Name: __________________________ Suffix: __________ First Name: ____________________________ Middle Name: ____________ Recipient's Title: _______________________________________________ Date of Gift: ___/___/____ Total Cost of Gift: $______________ Did principal's share account for the total value of the gift? Yes _____ No _____ If No, list the principal's share of the cost of the total gift: $ ______________ Description of Gift: _____________________________________________ Recipient Last Name: __________________________ Suffix: __________ First Name: ____________________________ Middle Name: ____________ Recipient's Title: _______________________________________________ Date of Gift: ___/___/____ Total Cost of Gift: $______________ Did principal's share account for the total value of the gift? Yes _____ No _____ If No, list the principal's share of the cost of the total gift: $ ______________ Description of Gift: _____________________________________________ Recipient Last Name: __________________________ Suffix: __________ First Name: ____________________________ Middle Name: ____________ Recipient's Title: _______________________________________________ (Attach separate sheet if necessary.) Schedule C Other Expenses This schedule shall be filled out for each time principal incurred lobbying-related expense of $250 or more that is not covered by line items a through g of Section 6 in the expenditure totals. Any expense related to any legislative or executive action and procurement transaction listed in Section 5 shall be included. Date Description Amount ___/___/____ _______________________________________ $ _________ ___/___/____ _______________________________________ $ _________ ___/___/____ _______________________________________ $ _________ ___/___/____ _______________________________________ $ _________ ___/___/____ _______________________________________ $ _________ Total (Include total amount to expenditure totals) $ _________
D. A person who signs the disclosure statement knowing it to
contain a material misstatement of fact shall be is guilty of a Class 5 felony.
E. Each lobbyist shall send to each legislative and executive
official who is required to be identified by name on Schedule A or B of the
Lobbyist's Disclosure Form a copy of Schedule A or B or a summary of the
information pertaining to that official. Copies or summaries shall be provided
to the official by December 15 for the preceding 12-month period complete through
November 30.
§2.2-428. Standards for automated preparation and transmittal
of lobbyists' disclosure statements; database.
A. The In lieu of a hard copy, the Secretary
shall accept any lobbyist's disclosure statement required by §2.2-426 filed by
computer or electronic means in accordance with the standards approved by the
Secretary and using software meeting standards approved by the Secretary. The
Secretary may provide software to filers without charge or at a reasonable
cost. The Secretary may prescribe the method of execution and certification of
electronically filed statements and the procedures for receiving statements in
the office of the Secretary.
B. The Secretary shall establish a lobbyist disclosure
database, available to the public, from required disclosure statements filed
electronically and may enter into that database information from required
disclosure statements filed by other methods.
§2.2-431. Returned statements; penalties.
A. The lobbyist shall
sign the disclosure statement prescribed by §2.2-426 attesting to its
completeness and accuracy. The Secretary shall review each statement for
completeness and accuracy, and if a statement is not properly completed, the
entire filing shall be rejected and returned to the lobbyist. The lobbyist
shall submit a revised statement within 30 days from receipt of the returned
statement.
B.
Every lobbyist failing to file the statement prescribed by §2.2-426 within the
time prescribed therein shall be assessed a civil penalty of fifty dollars $50,
and every individual failing to file the statement within ten 30 days after the time
prescribed herein shall be assessed an additional civil penalty of fifty dollars $50 per day from the eleventh thirty-first
day of such default until the statement is filed. The
penalties shall be assessed and collected by the Secretary. The Attorney
General shall assist the Secretary in collecting the penalties, upon request.
B. C. Every lobbyist's principal
whose lobbyist fails to file the statement prescribed by §2.2-426 shall be
assessed a civil penalty of fifty dollars $50,
and shall be assessed an additional civil penalty of fifty
dollars $50
per day from the eleventh thirty-first day of such
default until the statement is filed. The penalty shall be assessed and collected
by the Secretary. The Attorney General shall assist the Secretary in collecting
the penalties, upon request.
C. D. No individual who has failed
to file the statement required by §2.2-426 or who has failed to pay all
penalties assessed pursuant to this section shall register or act as a lobbyist
as long as he remains in default.
D. E. Whenever any lobbyist is or
will be in default under §2.2-426, and the reasons for such default are or
will be beyond his control, or the control of his principal, or both, the
Secretary may suspend the assessment of any penalty otherwise assessable and
accept a substituted statement, upon the submission of sworn proofs that shall
satisfy him that the default has been beyond the control of the lobbyist or his
principal, and that the substituted statement contains the most accurate and
complete information available after the exercise of due diligence.
E. F. Penalties collected pursuant
to this section shall be payable to the State Treasurer for deposit to the
general fund.
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