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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