KRS § 11A.201 — KY Code / Title III / Chapter 11A / Section 11A.201
11A.201 Definitions for KRS 11A.201 to 11A.246 and KRS 11A.990
Status: in_force

11A.201 Definitions for KRS 11A.201 to 11A.246 and KRS 11A.990. (Effective

April 1, 2021)

As used in KRS 11A.201 to 11A.246 and KRS 11A.990:

(1) "Compensation" means any money, thing of value, or economic benefit conferred

on, or received by, any person in return for services rendered, or to be rendered, by

himself or another;

(2) (a) "Expenditure" means any of the following that is made to, or for the benefit of

an elected executive official, the secretary of a cabinet listed in KRS 12.250,

an executive agency official, or a member of the staff of any of the officials

listed in this paragraph:

1. A payment, distribution, loan, advance, deposit, reimbursement, or gift

of money, real estate, or anything of value, including, but not limited to,

food and beverages, entertainment, lodging, transportation, or honoraria;

2. A contract, promise, or agreement to make an expenditure; or

3. The purchase, sale, or gift of services or any other thing of value.

(b) "Expenditure" does not include a contribution, gift, or grant to a foundation or

other charitable organization that is exempt from federal income taxation

under Section 501(c)(3) of the Internal Revenue Code. "Expenditure" does not

include the purchase, sale, or gift of services or any other thing of value that is

available to the general public on the same terms as it is available to the

persons listed in this subsection. "Expenditure" does not include a payment,

contribution, gift, purchase, or any other thing of value that is made to or on

behalf of any elected executive official, the secretary of a cabinet listed in

KRS 12.250, an executive agency official, or any member of the staff of any

of the officials listed in this paragraph who works for a state agency for which

the executive agency lobbyist is not registered to influence;

(3) "Employer" means any person who engages an executive agency lobbyist;

(4) "Engage" means to make any arrangement, and "engagement" means arrangement,

whereby an individual is employed or retained for compensation to act for or on

behalf of an employer to influence executive agency decisions or to conduct any

executive agency lobbying activity;

(5) "Financial impact" means to have an effect on the financial position of the employer

of the executive agency lobbyist or the real party in interest whether or not the

impact is positive or negative;

(6) (a) "Financial transaction" means a transaction or activity that is conducted or

undertaken for profit and arises from the joint ownership, or the ownership, or

part ownership in common of any real or personal property or any commercial

or business enterprise of whatever form or nature between the following:

1. An executive agency lobbyist, his or her employer, a real party in

interest, or a member of the immediate family of the executive agency

lobbyist, his or her employer, or a real party in interest; and

2. Any elected executive official, the secretary of a cabinet listed in KRS

12.250, an executive agency official, or any member of the staff of any

of the officials listed in this subparagraph.

(b) "Financial transaction" does not include any transaction or activity described

in paragraph (a) of this subsection if it is available to the general public on the

same terms;

(7) "Executive agency" means the office of an elected executive official, a cabinet listed

in KRS 12.250, or any other state agency, department, board, or commission

controlled or directed by an elected executive official or otherwise subject to his or

her authority. "Executive agency" does not include any court or the General

Assembly;

(8) "Executive agency decision" means a decision of an executive agency regarding the

expenditure of funds of the state or of an executive agency with respect to the award

of a contract, grant, lease, or other financial arrangement under which those funds

are distributed or allocated. This shall also include decisions made concerning:

(a) The parameters of requests for information, and requests for proposals, and

other forms of solicitation in KRS Chapter 45A or 176;

(b) Drafting, adopting, or implementing a budget provision;

(c) Administrative regulations or rules;

(d) An executive order; or

(e) Legislation or amendments thereto;

(9) (a) "Executive agency lobbyist" means any person engaged to influence executive

agency decisions or to conduct executive agency lobbying activity as one (1)

of his or her main purposes regarding a substantial issue, including

associations, coalitions, or public interest entities formed for the purpose of

promoting or otherwise influencing executive agency decisions. The term

"executive agency lobbyist" shall also include placement agents and

unregulated placement agents.

(b) "Executive agency lobbyist" does not include an elected or appointed officer

or employee of a federal or state agency, state college, state university, or

political subdivision who attempts to influence or affect executive agency

decisions in his or her fiduciary capacity as a representative of his or her

agency, college, university, or political subdivision;

(10) (a) "Executive agency lobbying activity" means contacts made to promote,

advocate, or oppose the passage, modification, defeat, or executive approval

or veto of any legislation or otherwise influence the outcome of an executive

agency decision by direct communication with an elected executive official,

the secretary of any cabinet listed in KRS 12.250, any executive agency

official whether in the classified service or not, or a member of the staff of any

one (1) of the officials listed in this paragraph.

(b) "Executive agency lobbying activity" does not include any of the following:

1. The action of any person having a direct interest in executive agency

decisions, if the person acting under Section 1 of the Kentucky

Constitution, assembles together with other persons for their common

good, petitions any person listed in paragraph (a) of this subsection for

the redress of grievances or other proper purposes;

2. Contacts made for the sole purpose of gathering information contained

in a public record;

3. Appearances before public meetings of executive agencies;

4. News, editorial, and advertising statements published in newspapers,

journals, or magazines, or broadcast over radio or television;

5. The gathering and furnishing of information and news by bona fide

reporters, correspondents, or news bureaus to news media described in

subparagraph 4. of this paragraph;

6. Publications primarily designed for, and distributed to, members of bona

fide associations or charitable or fraternal nonprofit corporations;

7. Professional services in preparing executive agency decisions, preparing

arguments regarding executive agency decisions, or in advising clients

and rendering opinions regarding proposed or pending executive agency

decisions, if the services are not otherwise connected to lobbying; or

8. Public comments submitted to an executive agency during the public

comment period on administrative regulations or rules;

(11) "Executive agency official" means an officer or employee of an executive agency

whose principal duties are to formulate policy or to participate directly or indirectly

in the preparation, review, or award of contracts, grants, leases, or other financial

arrangements with an executive agency;

(12) "Aggrieved party" means a party entitled to resort to a remedy;

(13) "Elected executive official" means the Governor, Lieutenant Governor, Secretary of

State, Auditor of Public Accounts, State Treasurer, Attorney General, and

Commissioner of Agriculture;

(14) "Person" means an individual, proprietorship, firm, partnership, limited partnership,

joint venture, joint stock company, syndicate, business or statutory trust, donative

trust, estate, company, corporation, limited liability company, association, club,

committee, organization, or group of persons acting in concert;

(15) "Staff" means any employee of the office of the Governor, or a cabinet listed in

KRS 12.250, whose official duties are to formulate policy and who exercises

administrative or supervisory authority, or who authorizes the expenditure of state

funds;

(16) "Real party in interest" means the person or entity on whose behalf an executive

agency lobbyist is acting, if that person or entity is not the employer of the executive

agency lobbyist;

(17) "Substantial issue" means contacts which are intended to influence a decision that

involves one or more disbursements of state funds in an amount of at least five

thousand dollars ($5,000) per year, or any budget provision, administrative

regulation or rule, or legislative matter that financially impacts the executive agency

lobbyist or his or her employer;

(18) "Placement agent" means an individual or firm who is compensated or hired by an

employer or other real party in interest for the purpose of influencing an executive

agency decision regarding the investment of the Kentucky Retirement Systems, the

County Employees Retirement System, or the Kentucky Teachers' Retirement

System assets; and

(19) "Unregulated placement agent" means a placement agent who is prohibited by

federal securities laws and regulations promulgated thereunder from receiving

compensation for soliciting a government agency.