10104404D
HOUSE BILL NO. 524
AMENDMENT IN THE NATURE OF A SUBSTITUTE
(Proposed by the House Committee on General Laws
on January 26, 2010)
(Patron Prior to Substitute--Delegate Nixon)
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.
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.)
Date Description Name of each Cost of
of gift: of gift: legislative or individual
executive official gift:
who is a recipient
of a 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. (Pleaseduplicate 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 com-
pensated 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 com-
pensated for lobbying:
___________________________________________________________
___________________________________________________________
[ ] Lobbyist was a Nonpaid Volunteer for the 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 pro-
ceed to Section 7.
5. Legislative and Executive Actions
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 princi-
pal:
_____________________________________________________________________
_____________________________________________________________________
List all legislative actions, including where appropriate the assigned
House of Delegates or Senate bill or resolution numbers, that you and any other
lobbyist included in an incorporated filing sought to influence the
outcome of during the period of this report:
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
(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" shall mean any direct contact by any means to a
member of the (i) legislature or legislative staff, or (ii) the executive
branch or staff, or (iii) public, seeking support on, an amendment
to, or opposition to, a legislative or executive action.
_____________________________________________________________________
_____________________________________________________________________
(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 includ-
ed in these expenditure totals:
Name (Last Name, First Name) Firm (if retained) or Title
(if employed)
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
____________________________ ___________________________________
(Attach separate sheet if necessary.)
7. Statement of Lobbyist
I, the undersigned registered lobbyist, do state that all the infor-
mation provided on this disclosure statement and all the required
attachments made thereto is, 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 is, 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_______
Did principal pay for entire cost of the event? Yes_____ No______
Summary of Principal's Costs
Food/Beverage: $_________
Transportation: $_________
Lodging: $_________
Tickets/Admissions $_________
Performers/Speakers: $_________
Rentals/Displays: $_________
Service/Tip: $_________
Other: $_________ Describe "Other":_______________
Total: $_________
(Include the principal's total cost 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 principal's 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 for the entire entertainment event was $50
or more, or the entire cost for each executive or legislative
official attending was more $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 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:___________________________________________________
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" in the expenditure totals.
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 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. Penalties; filing of substituted statement.
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 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 31st 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
31st 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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