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Statutes > Kentucky > 006-00 > 611

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Page 1 of 7 6.611 Definitions for code. As used in this code, unless the context requires otherwise: <br>(1) &quot;Adversarial proceeding&quot; means a proceeding in which decisions are made based upon evidence presented as measured against established standards, with parties <br>having the right to appeal the decision on the record to a court. (2) (a) &quot;Anything of value&quot; includes the following: 1. A pecuniary item, including money, or a bank bill or note; 2. A promissory note, bill of exchange, order, draft, warrant, check, or <br>bond given for the payment of money; 3. A contract, agreement, promise, or other obligation for an advance, <br>conveyance, forgiveness of indebtedness, deposit, distribution, loan, <br>payment, gift, pledge, or transfer of money; 4. A stock, bond, note, or other investment interest in an entity; 5. A receipt given for the payment of money or other property; 6. A right in action; 7. A gift, tangible good, chattel, or an interest in a gift, tangible good, or <br>chattel; 8. A loan or forgiveness of indebtedness; 9. A work of art, antique, or collectible; 10. An automobile or other means of personal transportation; <br>11. Real property or an interest in real property, including title to realty; a fee simple or partial interest, present or future, contingent or vested, <br>within realty; a leasehold interest; or other beneficial interest in realty; 12. A rebate or discount in the price of anything of value unless the rebate or discount is made in the ordinary course of business to a member of the <br>public without regard to that person's status as a legislator; 13. A promise or offer of employment; or <br>14. Any other thing of value that is pecuniary or compensatory in value to a person, or the primary significance of which is economic gain. (b) &quot;Anything of value&quot; does not include: 1. A campaign contribution properly received and reported, if reportable, <br>as required under KRS Chapter 121; 2. Compensation, food, beverages, entertainment, transportation, lodging, <br>or other goods or services extended to a legislator by the legislator's <br>private employer or by a person other than a legislative agent or <br>employer; 3. A usual and customary commercial loan made in the ordinary course of <br>business, without regard to the recipient's status as a legislator, and by a <br>person or institution authorized by law to engage in the business of <br>making loans; Page 2 of 7 4. A certificate, plaque, or commemorative token of less than one hundred <br>fifty dollars (&#36;150) value; 5. Informational or promotional items; 6. Educational items; 7. Food and beverages consumed on the premises; 8. The cost of attendance or participation, and of food and beverages <br>consumed, at events: <br>a. To which all members of the Kentucky Senate or the Kentucky <br>House of Representatives, or both, are invited; b. To which all members of a joint committee or task force of the <br>Kentucky Senate and the Kentucky House of Representatives are <br>invited; c. To which a caucus of legislators approved as a caucus by the <br>Legislative Research Commission is invited; d. Sponsored or coordinated by a state or local government entity, <br>including a state institution of higher education, provided that the <br>cost thereof is covered by the state or local government entity or <br>state institution of higher education; or e. To which an individual legislator is invited and for which the <br>legislator receives prior approval from a majority of the Legislative <br>Research Commission. Costs of admittance or attendance, or the <br>value of food or beverages consumed at these events shall not be <br>considered anything of value. Transportation, lodging, and other <br>ancillary expenses related to attendance or participation in these <br>events shall be included in the definition of anything of value; 9. Gifts from a person related by blood or marriage or a member of the <br>legislator's household; 10. A gift that: a. Is not used; and b. No later than thirty (30) days after receipt, is returned to the donor <br>or delivered to a charitable organization and is not claimed as a <br>charitable contribution for federal income tax purposes; 11. The cost, paid, reimbursed, raised, or obtained by the Legislative Research Commission, for attendance or participation, and for food and <br>beverages consumed at, and funds, goods, and services provided for <br>conducting events sponsored or coordinated by multistate or national <br>organizations of, or including, state governments, state legislatures, or <br>state legislators if the attendance and expenditures by the legislator are <br>approved in advance by the Legislative Research Commission; 12. The cost of attendance or participation provided by the sponsoring entity, of lodging, and of food and beverages consumed, at events <br>sponsored by or in conjunction with a civic, charitable, governmental, Page 3 of 7 trade association, or community organization if the event is held within <br>the Commonwealth of Kentucky; 13. A gift or gifts from one member of the General Assembly to another member of the General Assembly; 14. Anything for which the recipient pays or gives full value; or <br>15. Any service spontaneously extended to a legislator in an emergency situation. (3) &quot;Associated,&quot; if used with reference to an organization, includes an organization in which an individual or a member of the individual's family is a director, officer, <br>fiduciary, trustee, agent, or partner, or owns or controls, in the aggregate, an interest <br>of ten thousand dollars (&#36;10,000) or more, or an interest of five percent (5%) or <br>more of the outstanding equity; (4) &quot;Business&quot; means any corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, <br>joint stock company, receivership, trust, professional service corporation, or any <br>legal entity through which business is conducted for profit; (5) &quot;Business associate&quot; includes the following: (a) A private employer; <br>(b) A general or limited partnership, or a general or limited partner within the partnership; (c) A corporation that is family-owned or in which all shares of stock are closely held, and the shareholders, owners, and officers of such a corporation; (d) A corporation in which the legislator or other person subject to this code has an investment interest, owns, or has a beneficial interest in shares of stock <br>which constitute more than: <br>1. Five percent (5%) of the value of the corporation; or 2. Ten thousand dollars (&#36;10,000) at fair market value; (e) A corporation, business association, or other business entity in which the legislator or other person subject to this code serves as an agent or a <br>compensated representative; (6) &quot;Candidate&quot; means an individual who seeks nomination or election to the General Assembly. An individual is a candidate when the individual: <br>(a) Files a notification and declaration for nomination for office with the Secretary of State; or (b) Is nominated for office by his party under KRS 118.105, 118.115, 118.325, or 118.760; (7) &quot;Charitable organization&quot; means an organization described in 26 U.S.C. Sec. 170(c) as it currently exists or as it may be amended; (8) &quot;Child&quot; means the unemancipated minor daughter, son, stepdaughter, or stepson; <br>(9) &quot;Commission&quot; means the Kentucky Legislative Ethics Commission; <br>(10) (a) &quot;Compensation&quot; means: Page 4 of 7 1. An advance, salary, conveyance, forgiveness of indebtedness, deposit, <br>distribution, loan, payment, gift, pledge, or transfer of money; or 2. A contract, agreement, promise, or other obligation for an advance, <br>conveyance, forgiveness of indebtedness, deposit, distribution, loan, <br>payment, gift, pledge, or transfer of money for services rendered or to be <br>rendered; (b) &quot;Compensation&quot; does not include reimbursement of expenses if: 1. The reimbursement is equal to, or less than, the amount paid for the <br>expenses; 2. Expense records are itemized; and 3. No portion of the reimbursed expense is used to give anything of value <br>to a legislator, candidate, or the spouse of a legislator or candidate; (11) &quot;Economic interest&quot; means an interest distinct from that of the general public in a state purchase, sale, lease, contract, option, or other transaction or arrangement <br>involving property or services in which a legislator may gain an economic benefit of <br>fifty dollars (&#36;50) or more; (12) &quot;Employer&quot; means any person who engages a legislative agent and in the case of a business other than a sole proprietorship or self-employed individual, it means the <br>business entity, and not an individual officer, director, or employee thereof, except <br>when an officer, director, or employee makes an expenditure for which he is <br>reimbursed by the business entity; (13) &quot;Engage&quot; means to make any arrangement, and &quot;engagement&quot; means any arrangement, by which an individual is employed or retained for compensation to <br>act for or on behalf of an employer to lobby; (14) &quot;Ethical misconduct&quot; means any violation of the Kentucky Code of Legislative Ethics; (15) (a) &quot;Expenditure&quot; means any of the following that is made to, at the request of, for the benefit of, or on behalf of any member of the General Assembly, the <br>Governor, the secretary of a cabinet listed in KRS 12.250, or any member of <br>the staff of any of those officials: <br>1. A payment, distribution, loan, advance, deposit, reimbursement, or gift <br>of money, real estate, or anything of value, including, but not limited to, <br>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) &quot;Expenditure&quot; does not include a contribution, gift, or grant to a foundation or other charitable organization that is exempt from federal income taxation <br>under Section 501(c)(3) of the Internal Revenue Code. &quot;Expenditure&quot; does not <br>include the purchase, sale, or gift of services or any other thing of value that is <br>available to the general public on the same terms as it is available to the <br>persons listed in this subsection; (16) &quot;Family member&quot; means a person: Page 5 of 7 (a) Who is the spouse, parent, sibling, child, mother-in-law, father-in-law, son-in- law, daughter-in-law, grandparent, or grandchild of an individual; or (b) Who is a member of the individual's household, and is dependent upon the member; (17) &quot;Filer&quot; means an individual who is required to file a statement of financial interests pursuant to KRS 6.781; (18) (a) &quot;Financial transaction&quot; means a transaction or activity that is conducted or undertaken for profit and arises from the joint ownership, ownership, or part <br>ownership in common of any real or personal property or any commercial or <br>business enterprise of whatever form or nature between the following: <br>1. A legislative agent, his employer, or a member of the immediate family <br>of the legislative agent or his employer; and 2. Any member of the General Assembly, the Governor, the secretary of a <br>cabinet listed in KRS 12.250, or any member of the staff of any of the <br>officials listed in this subparagraph; (b) &quot;Financial transaction&quot; does not include any transaction or activity: 1. Described in paragraph (a) of this subsection if it is available to the <br>general public on the same or similar terms and conditions; or 2. Made or let after public notice and competitive bidding or contracts that <br>are available on similar terms to other members of the general public; (19) &quot;Former legislator&quot; means a person who previously held a position as a legislator and who no longer holds that position; (20) &quot;Immediate family&quot; means an unemancipated child residing in an individual's household, a spouse of an individual, or a person claimed by the individual's spouse <br>as a dependent for tax purposes; (21) &quot;Legislation&quot; means bills, resolutions, amendments, nominations, and any other matter pending before the General Assembly or any of its interim committees, or the <br>executive approval or veto of any bill acted upon by the General Assembly; (22) (a) &quot;Legislative agent&quot; means any individual who is engaged: 1. During at least a portion of his time to lobby as one (1) of his official <br>responsibilities; or 2. In lobbying activities as a legislative liaison of an association, coalition, <br>or public interest entity formed for the purpose of promoting or <br>otherwise influencing legislation. (b) &quot;Legislative agent&quot; does not include: 1. Any person who limits his lobbying activities to appearing before public <br>meetings of legislative committees, subcommittees, or task forces, or <br>public hearings or meetings of public agencies; 2. A private citizen who receives no compensation for lobbying and who <br>expresses a personal opinion; or Page 6 of 7 3. A public servant acting in his fiduciary capacity as a representative of <br>his agency, college, university, or city, county, urban-county, or charter <br>county government, except persons engaged by a de jure municipal <br>corporation, such as the Kentucky Lottery Corporation or the Kentucky <br>Housing Corporation, institutions of higher education, or local <br>governments, whose primary responsibility during sessions of the <br>General Assembly is to lobby; (23) &quot;Legislative interest&quot; means a substantial economic interest, distinct from that of the general public, in one (1) or more legislative matters; (24) &quot;Legislative matter&quot; means any bill, resolution, nomination, or other issue or proposal pending before the General Assembly or any interim committee, <br>committee, subcommittee, task force, or commission of the General Assembly; (25) &quot;Legislator&quot; means a member or member-elect of the General Assembly; <br>(26) (a) &quot;Lobby&quot; means to promote, advocate, or oppose the passage, modification, defeat, or executive approval or veto of any legislation by direct <br>communication with any member of the General Assembly, the Governor, the <br>secretary of any cabinet listed in KRS 12.250, or any member of the staff of <br>any of the officials listed in this paragraph. (b) &quot;Lobbying&quot; does not include: 1. Appearances before public meetings of the committees, subcommittees, <br>task forces, and interim committees of the General Assembly; 2. News, editorial, and advertising statements published in newspapers, <br>journals, or magazines, or broadcast over radio or television; 3. The gathering and furnishing of information and news by bona fide <br>reporters, correspondents, or news bureaus to news media described in <br>paragraph (b)2. of this subsection; 4. Publications primarily designed for, and distributed to, members of bona <br>fide associations or charitable or fraternal nonprofit corporations; 5. Professional services in drafting bills or resolutions, preparing <br>arguments on these bills or resolutions, or in advising clients and <br>rendering opinions as to the construction and the effect of proposed or <br>pending legislation, if the services are not otherwise connected with <br>lobbying; or 6. The action of any person not engaged by an employer who has a direct <br>interest in legislation, if the person, acting under Section 1 of the <br>Kentucky Constitution, assembles together with other persons for their <br>common good, petitions any official listed in this subsection for the <br>redress of grievances, or other proper purposes; (27) &quot;Person&quot; means an individual, proprietorship, firm, partnership, joint venture, joint stock company, syndicate, business, trust, estate, company, corporation, association, <br>club, committee, organization, or group of persons acting in concert; Page 7 of 7 (28) &quot;Public servant&quot; means an elected or appointed officer or employee of a federal or state agency; state institution of higher education; or a city, county, urban-county, or <br>charter county government; (29) &quot;State agency&quot; means any department, office, commission, board, or authority within the executive department, and includes state-supported universities and <br>colleges but does not include local boards of education; and (30) &quot;Through others&quot; means a scheme, artifice, or mechanism, the sole purpose of which is to accomplish by indirect means, using third parties, results which would <br>be unlawful under this code if accomplished directly between a legislator or <br>candidate and another person or entity. Effective: March 16, 2005 <br>History: Amended 2005 Ky. Acts ch. 105, sec. 13, effective March 16, 2005. -- Amended 1996 Ky. Acts ch. 211, sec. 1, effective July 15, 1996. -- Amended 1994 <br>Ky. Acts ch. 479, sec. 2, effective July 15, 1994. -- Amended 1993 (1st Extra. Sess.) <br>Ky. Acts ch. 4, sec. 4, effective September 16, 1993. -- Created 1976 Ky. Acts <br>ch. 262, sec. 1. Formerly codified as KRS 6.750.

State Codes and Statutes

Statutes > Kentucky > 006-00 > 611

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Page 1 of 7 6.611 Definitions for code. As used in this code, unless the context requires otherwise: <br>(1) &quot;Adversarial proceeding&quot; means a proceeding in which decisions are made based upon evidence presented as measured against established standards, with parties <br>having the right to appeal the decision on the record to a court. (2) (a) &quot;Anything of value&quot; includes the following: 1. A pecuniary item, including money, or a bank bill or note; 2. A promissory note, bill of exchange, order, draft, warrant, check, or <br>bond given for the payment of money; 3. A contract, agreement, promise, or other obligation for an advance, <br>conveyance, forgiveness of indebtedness, deposit, distribution, loan, <br>payment, gift, pledge, or transfer of money; 4. A stock, bond, note, or other investment interest in an entity; 5. A receipt given for the payment of money or other property; 6. A right in action; 7. A gift, tangible good, chattel, or an interest in a gift, tangible good, or <br>chattel; 8. A loan or forgiveness of indebtedness; 9. A work of art, antique, or collectible; 10. An automobile or other means of personal transportation; <br>11. Real property or an interest in real property, including title to realty; a fee simple or partial interest, present or future, contingent or vested, <br>within realty; a leasehold interest; or other beneficial interest in realty; 12. A rebate or discount in the price of anything of value unless the rebate or discount is made in the ordinary course of business to a member of the <br>public without regard to that person's status as a legislator; 13. A promise or offer of employment; or <br>14. Any other thing of value that is pecuniary or compensatory in value to a person, or the primary significance of which is economic gain. (b) &quot;Anything of value&quot; does not include: 1. A campaign contribution properly received and reported, if reportable, <br>as required under KRS Chapter 121; 2. Compensation, food, beverages, entertainment, transportation, lodging, <br>or other goods or services extended to a legislator by the legislator's <br>private employer or by a person other than a legislative agent or <br>employer; 3. A usual and customary commercial loan made in the ordinary course of <br>business, without regard to the recipient's status as a legislator, and by a <br>person or institution authorized by law to engage in the business of <br>making loans; Page 2 of 7 4. A certificate, plaque, or commemorative token of less than one hundred <br>fifty dollars (&#36;150) value; 5. Informational or promotional items; 6. Educational items; 7. Food and beverages consumed on the premises; 8. The cost of attendance or participation, and of food and beverages <br>consumed, at events: <br>a. To which all members of the Kentucky Senate or the Kentucky <br>House of Representatives, or both, are invited; b. To which all members of a joint committee or task force of the <br>Kentucky Senate and the Kentucky House of Representatives are <br>invited; c. To which a caucus of legislators approved as a caucus by the <br>Legislative Research Commission is invited; d. Sponsored or coordinated by a state or local government entity, <br>including a state institution of higher education, provided that the <br>cost thereof is covered by the state or local government entity or <br>state institution of higher education; or e. To which an individual legislator is invited and for which the <br>legislator receives prior approval from a majority of the Legislative <br>Research Commission. Costs of admittance or attendance, or the <br>value of food or beverages consumed at these events shall not be <br>considered anything of value. Transportation, lodging, and other <br>ancillary expenses related to attendance or participation in these <br>events shall be included in the definition of anything of value; 9. Gifts from a person related by blood or marriage or a member of the <br>legislator's household; 10. A gift that: a. Is not used; and b. No later than thirty (30) days after receipt, is returned to the donor <br>or delivered to a charitable organization and is not claimed as a <br>charitable contribution for federal income tax purposes; 11. The cost, paid, reimbursed, raised, or obtained by the Legislative Research Commission, for attendance or participation, and for food and <br>beverages consumed at, and funds, goods, and services provided for <br>conducting events sponsored or coordinated by multistate or national <br>organizations of, or including, state governments, state legislatures, or <br>state legislators if the attendance and expenditures by the legislator are <br>approved in advance by the Legislative Research Commission; 12. The cost of attendance or participation provided by the sponsoring entity, of lodging, and of food and beverages consumed, at events <br>sponsored by or in conjunction with a civic, charitable, governmental, Page 3 of 7 trade association, or community organization if the event is held within <br>the Commonwealth of Kentucky; 13. A gift or gifts from one member of the General Assembly to another member of the General Assembly; 14. Anything for which the recipient pays or gives full value; or <br>15. Any service spontaneously extended to a legislator in an emergency situation. (3) &quot;Associated,&quot; if used with reference to an organization, includes an organization in which an individual or a member of the individual's family is a director, officer, <br>fiduciary, trustee, agent, or partner, or owns or controls, in the aggregate, an interest <br>of ten thousand dollars (&#36;10,000) or more, or an interest of five percent (5%) or <br>more of the outstanding equity; (4) &quot;Business&quot; means any corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, <br>joint stock company, receivership, trust, professional service corporation, or any <br>legal entity through which business is conducted for profit; (5) &quot;Business associate&quot; includes the following: (a) A private employer; <br>(b) A general or limited partnership, or a general or limited partner within the partnership; (c) A corporation that is family-owned or in which all shares of stock are closely held, and the shareholders, owners, and officers of such a corporation; (d) A corporation in which the legislator or other person subject to this code has an investment interest, owns, or has a beneficial interest in shares of stock <br>which constitute more than: <br>1. Five percent (5%) of the value of the corporation; or 2. Ten thousand dollars (&#36;10,000) at fair market value; (e) A corporation, business association, or other business entity in which the legislator or other person subject to this code serves as an agent or a <br>compensated representative; (6) &quot;Candidate&quot; means an individual who seeks nomination or election to the General Assembly. An individual is a candidate when the individual: <br>(a) Files a notification and declaration for nomination for office with the Secretary of State; or (b) Is nominated for office by his party under KRS 118.105, 118.115, 118.325, or 118.760; (7) &quot;Charitable organization&quot; means an organization described in 26 U.S.C. Sec. 170(c) as it currently exists or as it may be amended; (8) &quot;Child&quot; means the unemancipated minor daughter, son, stepdaughter, or stepson; <br>(9) &quot;Commission&quot; means the Kentucky Legislative Ethics Commission; <br>(10) (a) &quot;Compensation&quot; means: Page 4 of 7 1. An advance, salary, conveyance, forgiveness of indebtedness, deposit, <br>distribution, loan, payment, gift, pledge, or transfer of money; or 2. A contract, agreement, promise, or other obligation for an advance, <br>conveyance, forgiveness of indebtedness, deposit, distribution, loan, <br>payment, gift, pledge, or transfer of money for services rendered or to be <br>rendered; (b) &quot;Compensation&quot; does not include reimbursement of expenses if: 1. The reimbursement is equal to, or less than, the amount paid for the <br>expenses; 2. Expense records are itemized; and 3. No portion of the reimbursed expense is used to give anything of value <br>to a legislator, candidate, or the spouse of a legislator or candidate; (11) &quot;Economic interest&quot; means an interest distinct from that of the general public in a state purchase, sale, lease, contract, option, or other transaction or arrangement <br>involving property or services in which a legislator may gain an economic benefit of <br>fifty dollars (&#36;50) or more; (12) &quot;Employer&quot; means any person who engages a legislative agent and in the case of a business other than a sole proprietorship or self-employed individual, it means the <br>business entity, and not an individual officer, director, or employee thereof, except <br>when an officer, director, or employee makes an expenditure for which he is <br>reimbursed by the business entity; (13) &quot;Engage&quot; means to make any arrangement, and &quot;engagement&quot; means any arrangement, by which an individual is employed or retained for compensation to <br>act for or on behalf of an employer to lobby; (14) &quot;Ethical misconduct&quot; means any violation of the Kentucky Code of Legislative Ethics; (15) (a) &quot;Expenditure&quot; means any of the following that is made to, at the request of, for the benefit of, or on behalf of any member of the General Assembly, the <br>Governor, the secretary of a cabinet listed in KRS 12.250, or any member of <br>the staff of any of those officials: <br>1. A payment, distribution, loan, advance, deposit, reimbursement, or gift <br>of money, real estate, or anything of value, including, but not limited to, <br>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) &quot;Expenditure&quot; does not include a contribution, gift, or grant to a foundation or other charitable organization that is exempt from federal income taxation <br>under Section 501(c)(3) of the Internal Revenue Code. &quot;Expenditure&quot; does not <br>include the purchase, sale, or gift of services or any other thing of value that is <br>available to the general public on the same terms as it is available to the <br>persons listed in this subsection; (16) &quot;Family member&quot; means a person: Page 5 of 7 (a) Who is the spouse, parent, sibling, child, mother-in-law, father-in-law, son-in- law, daughter-in-law, grandparent, or grandchild of an individual; or (b) Who is a member of the individual's household, and is dependent upon the member; (17) &quot;Filer&quot; means an individual who is required to file a statement of financial interests pursuant to KRS 6.781; (18) (a) &quot;Financial transaction&quot; means a transaction or activity that is conducted or undertaken for profit and arises from the joint ownership, ownership, or part <br>ownership in common of any real or personal property or any commercial or <br>business enterprise of whatever form or nature between the following: <br>1. A legislative agent, his employer, or a member of the immediate family <br>of the legislative agent or his employer; and 2. Any member of the General Assembly, the Governor, the secretary of a <br>cabinet listed in KRS 12.250, or any member of the staff of any of the <br>officials listed in this subparagraph; (b) &quot;Financial transaction&quot; does not include any transaction or activity: 1. Described in paragraph (a) of this subsection if it is available to the <br>general public on the same or similar terms and conditions; or 2. Made or let after public notice and competitive bidding or contracts that <br>are available on similar terms to other members of the general public; (19) &quot;Former legislator&quot; means a person who previously held a position as a legislator and who no longer holds that position; (20) &quot;Immediate family&quot; means an unemancipated child residing in an individual's household, a spouse of an individual, or a person claimed by the individual's spouse <br>as a dependent for tax purposes; (21) &quot;Legislation&quot; means bills, resolutions, amendments, nominations, and any other matter pending before the General Assembly or any of its interim committees, or the <br>executive approval or veto of any bill acted upon by the General Assembly; (22) (a) &quot;Legislative agent&quot; means any individual who is engaged: 1. During at least a portion of his time to lobby as one (1) of his official <br>responsibilities; or 2. In lobbying activities as a legislative liaison of an association, coalition, <br>or public interest entity formed for the purpose of promoting or <br>otherwise influencing legislation. (b) &quot;Legislative agent&quot; does not include: 1. Any person who limits his lobbying activities to appearing before public <br>meetings of legislative committees, subcommittees, or task forces, or <br>public hearings or meetings of public agencies; 2. A private citizen who receives no compensation for lobbying and who <br>expresses a personal opinion; or Page 6 of 7 3. A public servant acting in his fiduciary capacity as a representative of <br>his agency, college, university, or city, county, urban-county, or charter <br>county government, except persons engaged by a de jure municipal <br>corporation, such as the Kentucky Lottery Corporation or the Kentucky <br>Housing Corporation, institutions of higher education, or local <br>governments, whose primary responsibility during sessions of the <br>General Assembly is to lobby; (23) &quot;Legislative interest&quot; means a substantial economic interest, distinct from that of the general public, in one (1) or more legislative matters; (24) &quot;Legislative matter&quot; means any bill, resolution, nomination, or other issue or proposal pending before the General Assembly or any interim committee, <br>committee, subcommittee, task force, or commission of the General Assembly; (25) &quot;Legislator&quot; means a member or member-elect of the General Assembly; <br>(26) (a) &quot;Lobby&quot; means to promote, advocate, or oppose the passage, modification, defeat, or executive approval or veto of any legislation by direct <br>communication with any member of the General Assembly, the Governor, the <br>secretary of any cabinet listed in KRS 12.250, or any member of the staff of <br>any of the officials listed in this paragraph. (b) &quot;Lobbying&quot; does not include: 1. Appearances before public meetings of the committees, subcommittees, <br>task forces, and interim committees of the General Assembly; 2. News, editorial, and advertising statements published in newspapers, <br>journals, or magazines, or broadcast over radio or television; 3. The gathering and furnishing of information and news by bona fide <br>reporters, correspondents, or news bureaus to news media described in <br>paragraph (b)2. of this subsection; 4. Publications primarily designed for, and distributed to, members of bona <br>fide associations or charitable or fraternal nonprofit corporations; 5. Professional services in drafting bills or resolutions, preparing <br>arguments on these bills or resolutions, or in advising clients and <br>rendering opinions as to the construction and the effect of proposed or <br>pending legislation, if the services are not otherwise connected with <br>lobbying; or 6. The action of any person not engaged by an employer who has a direct <br>interest in legislation, if the person, acting under Section 1 of the <br>Kentucky Constitution, assembles together with other persons for their <br>common good, petitions any official listed in this subsection for the <br>redress of grievances, or other proper purposes; (27) &quot;Person&quot; means an individual, proprietorship, firm, partnership, joint venture, joint stock company, syndicate, business, trust, estate, company, corporation, association, <br>club, committee, organization, or group of persons acting in concert; Page 7 of 7 (28) &quot;Public servant&quot; means an elected or appointed officer or employee of a federal or state agency; state institution of higher education; or a city, county, urban-county, or <br>charter county government; (29) &quot;State agency&quot; means any department, office, commission, board, or authority within the executive department, and includes state-supported universities and <br>colleges but does not include local boards of education; and (30) &quot;Through others&quot; means a scheme, artifice, or mechanism, the sole purpose of which is to accomplish by indirect means, using third parties, results which would <br>be unlawful under this code if accomplished directly between a legislator or <br>candidate and another person or entity. Effective: March 16, 2005 <br>History: Amended 2005 Ky. Acts ch. 105, sec. 13, effective March 16, 2005. -- Amended 1996 Ky. Acts ch. 211, sec. 1, effective July 15, 1996. -- Amended 1994 <br>Ky. Acts ch. 479, sec. 2, effective July 15, 1994. -- Amended 1993 (1st Extra. Sess.) <br>Ky. Acts ch. 4, sec. 4, effective September 16, 1993. -- Created 1976 Ky. Acts <br>ch. 262, sec. 1. Formerly codified as KRS 6.750.

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State Codes and Statutes

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Page 1 of 7 6.611 Definitions for code. As used in this code, unless the context requires otherwise: <br>(1) &quot;Adversarial proceeding&quot; means a proceeding in which decisions are made based upon evidence presented as measured against established standards, with parties <br>having the right to appeal the decision on the record to a court. (2) (a) &quot;Anything of value&quot; includes the following: 1. A pecuniary item, including money, or a bank bill or note; 2. A promissory note, bill of exchange, order, draft, warrant, check, or <br>bond given for the payment of money; 3. A contract, agreement, promise, or other obligation for an advance, <br>conveyance, forgiveness of indebtedness, deposit, distribution, loan, <br>payment, gift, pledge, or transfer of money; 4. A stock, bond, note, or other investment interest in an entity; 5. A receipt given for the payment of money or other property; 6. A right in action; 7. A gift, tangible good, chattel, or an interest in a gift, tangible good, or <br>chattel; 8. A loan or forgiveness of indebtedness; 9. A work of art, antique, or collectible; 10. An automobile or other means of personal transportation; <br>11. Real property or an interest in real property, including title to realty; a fee simple or partial interest, present or future, contingent or vested, <br>within realty; a leasehold interest; or other beneficial interest in realty; 12. A rebate or discount in the price of anything of value unless the rebate or discount is made in the ordinary course of business to a member of the <br>public without regard to that person's status as a legislator; 13. A promise or offer of employment; or <br>14. Any other thing of value that is pecuniary or compensatory in value to a person, or the primary significance of which is economic gain. (b) &quot;Anything of value&quot; does not include: 1. A campaign contribution properly received and reported, if reportable, <br>as required under KRS Chapter 121; 2. Compensation, food, beverages, entertainment, transportation, lodging, <br>or other goods or services extended to a legislator by the legislator's <br>private employer or by a person other than a legislative agent or <br>employer; 3. A usual and customary commercial loan made in the ordinary course of <br>business, without regard to the recipient's status as a legislator, and by a <br>person or institution authorized by law to engage in the business of <br>making loans; Page 2 of 7 4. A certificate, plaque, or commemorative token of less than one hundred <br>fifty dollars (&#36;150) value; 5. Informational or promotional items; 6. Educational items; 7. Food and beverages consumed on the premises; 8. The cost of attendance or participation, and of food and beverages <br>consumed, at events: <br>a. To which all members of the Kentucky Senate or the Kentucky <br>House of Representatives, or both, are invited; b. To which all members of a joint committee or task force of the <br>Kentucky Senate and the Kentucky House of Representatives are <br>invited; c. To which a caucus of legislators approved as a caucus by the <br>Legislative Research Commission is invited; d. Sponsored or coordinated by a state or local government entity, <br>including a state institution of higher education, provided that the <br>cost thereof is covered by the state or local government entity or <br>state institution of higher education; or e. To which an individual legislator is invited and for which the <br>legislator receives prior approval from a majority of the Legislative <br>Research Commission. Costs of admittance or attendance, or the <br>value of food or beverages consumed at these events shall not be <br>considered anything of value. Transportation, lodging, and other <br>ancillary expenses related to attendance or participation in these <br>events shall be included in the definition of anything of value; 9. Gifts from a person related by blood or marriage or a member of the <br>legislator's household; 10. A gift that: a. Is not used; and b. No later than thirty (30) days after receipt, is returned to the donor <br>or delivered to a charitable organization and is not claimed as a <br>charitable contribution for federal income tax purposes; 11. The cost, paid, reimbursed, raised, or obtained by the Legislative Research Commission, for attendance or participation, and for food and <br>beverages consumed at, and funds, goods, and services provided for <br>conducting events sponsored or coordinated by multistate or national <br>organizations of, or including, state governments, state legislatures, or <br>state legislators if the attendance and expenditures by the legislator are <br>approved in advance by the Legislative Research Commission; 12. The cost of attendance or participation provided by the sponsoring entity, of lodging, and of food and beverages consumed, at events <br>sponsored by or in conjunction with a civic, charitable, governmental, Page 3 of 7 trade association, or community organization if the event is held within <br>the Commonwealth of Kentucky; 13. A gift or gifts from one member of the General Assembly to another member of the General Assembly; 14. Anything for which the recipient pays or gives full value; or <br>15. Any service spontaneously extended to a legislator in an emergency situation. (3) &quot;Associated,&quot; if used with reference to an organization, includes an organization in which an individual or a member of the individual's family is a director, officer, <br>fiduciary, trustee, agent, or partner, or owns or controls, in the aggregate, an interest <br>of ten thousand dollars (&#36;10,000) or more, or an interest of five percent (5%) or <br>more of the outstanding equity; (4) &quot;Business&quot; means any corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, <br>joint stock company, receivership, trust, professional service corporation, or any <br>legal entity through which business is conducted for profit; (5) &quot;Business associate&quot; includes the following: (a) A private employer; <br>(b) A general or limited partnership, or a general or limited partner within the partnership; (c) A corporation that is family-owned or in which all shares of stock are closely held, and the shareholders, owners, and officers of such a corporation; (d) A corporation in which the legislator or other person subject to this code has an investment interest, owns, or has a beneficial interest in shares of stock <br>which constitute more than: <br>1. Five percent (5%) of the value of the corporation; or 2. Ten thousand dollars (&#36;10,000) at fair market value; (e) A corporation, business association, or other business entity in which the legislator or other person subject to this code serves as an agent or a <br>compensated representative; (6) &quot;Candidate&quot; means an individual who seeks nomination or election to the General Assembly. An individual is a candidate when the individual: <br>(a) Files a notification and declaration for nomination for office with the Secretary of State; or (b) Is nominated for office by his party under KRS 118.105, 118.115, 118.325, or 118.760; (7) &quot;Charitable organization&quot; means an organization described in 26 U.S.C. Sec. 170(c) as it currently exists or as it may be amended; (8) &quot;Child&quot; means the unemancipated minor daughter, son, stepdaughter, or stepson; <br>(9) &quot;Commission&quot; means the Kentucky Legislative Ethics Commission; <br>(10) (a) &quot;Compensation&quot; means: Page 4 of 7 1. An advance, salary, conveyance, forgiveness of indebtedness, deposit, <br>distribution, loan, payment, gift, pledge, or transfer of money; or 2. A contract, agreement, promise, or other obligation for an advance, <br>conveyance, forgiveness of indebtedness, deposit, distribution, loan, <br>payment, gift, pledge, or transfer of money for services rendered or to be <br>rendered; (b) &quot;Compensation&quot; does not include reimbursement of expenses if: 1. The reimbursement is equal to, or less than, the amount paid for the <br>expenses; 2. Expense records are itemized; and 3. No portion of the reimbursed expense is used to give anything of value <br>to a legislator, candidate, or the spouse of a legislator or candidate; (11) &quot;Economic interest&quot; means an interest distinct from that of the general public in a state purchase, sale, lease, contract, option, or other transaction or arrangement <br>involving property or services in which a legislator may gain an economic benefit of <br>fifty dollars (&#36;50) or more; (12) &quot;Employer&quot; means any person who engages a legislative agent and in the case of a business other than a sole proprietorship or self-employed individual, it means the <br>business entity, and not an individual officer, director, or employee thereof, except <br>when an officer, director, or employee makes an expenditure for which he is <br>reimbursed by the business entity; (13) &quot;Engage&quot; means to make any arrangement, and &quot;engagement&quot; means any arrangement, by which an individual is employed or retained for compensation to <br>act for or on behalf of an employer to lobby; (14) &quot;Ethical misconduct&quot; means any violation of the Kentucky Code of Legislative Ethics; (15) (a) &quot;Expenditure&quot; means any of the following that is made to, at the request of, for the benefit of, or on behalf of any member of the General Assembly, the <br>Governor, the secretary of a cabinet listed in KRS 12.250, or any member of <br>the staff of any of those officials: <br>1. A payment, distribution, loan, advance, deposit, reimbursement, or gift <br>of money, real estate, or anything of value, including, but not limited to, <br>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) &quot;Expenditure&quot; does not include a contribution, gift, or grant to a foundation or other charitable organization that is exempt from federal income taxation <br>under Section 501(c)(3) of the Internal Revenue Code. &quot;Expenditure&quot; does not <br>include the purchase, sale, or gift of services or any other thing of value that is <br>available to the general public on the same terms as it is available to the <br>persons listed in this subsection; (16) &quot;Family member&quot; means a person: Page 5 of 7 (a) Who is the spouse, parent, sibling, child, mother-in-law, father-in-law, son-in- law, daughter-in-law, grandparent, or grandchild of an individual; or (b) Who is a member of the individual's household, and is dependent upon the member; (17) &quot;Filer&quot; means an individual who is required to file a statement of financial interests pursuant to KRS 6.781; (18) (a) &quot;Financial transaction&quot; means a transaction or activity that is conducted or undertaken for profit and arises from the joint ownership, ownership, or part <br>ownership in common of any real or personal property or any commercial or <br>business enterprise of whatever form or nature between the following: <br>1. A legislative agent, his employer, or a member of the immediate family <br>of the legislative agent or his employer; and 2. Any member of the General Assembly, the Governor, the secretary of a <br>cabinet listed in KRS 12.250, or any member of the staff of any of the <br>officials listed in this subparagraph; (b) &quot;Financial transaction&quot; does not include any transaction or activity: 1. Described in paragraph (a) of this subsection if it is available to the <br>general public on the same or similar terms and conditions; or 2. Made or let after public notice and competitive bidding or contracts that <br>are available on similar terms to other members of the general public; (19) &quot;Former legislator&quot; means a person who previously held a position as a legislator and who no longer holds that position; (20) &quot;Immediate family&quot; means an unemancipated child residing in an individual's household, a spouse of an individual, or a person claimed by the individual's spouse <br>as a dependent for tax purposes; (21) &quot;Legislation&quot; means bills, resolutions, amendments, nominations, and any other matter pending before the General Assembly or any of its interim committees, or the <br>executive approval or veto of any bill acted upon by the General Assembly; (22) (a) &quot;Legislative agent&quot; means any individual who is engaged: 1. During at least a portion of his time to lobby as one (1) of his official <br>responsibilities; or 2. In lobbying activities as a legislative liaison of an association, coalition, <br>or public interest entity formed for the purpose of promoting or <br>otherwise influencing legislation. (b) &quot;Legislative agent&quot; does not include: 1. Any person who limits his lobbying activities to appearing before public <br>meetings of legislative committees, subcommittees, or task forces, or <br>public hearings or meetings of public agencies; 2. A private citizen who receives no compensation for lobbying and who <br>expresses a personal opinion; or Page 6 of 7 3. A public servant acting in his fiduciary capacity as a representative of <br>his agency, college, university, or city, county, urban-county, or charter <br>county government, except persons engaged by a de jure municipal <br>corporation, such as the Kentucky Lottery Corporation or the Kentucky <br>Housing Corporation, institutions of higher education, or local <br>governments, whose primary responsibility during sessions of the <br>General Assembly is to lobby; (23) &quot;Legislative interest&quot; means a substantial economic interest, distinct from that of the general public, in one (1) or more legislative matters; (24) &quot;Legislative matter&quot; means any bill, resolution, nomination, or other issue or proposal pending before the General Assembly or any interim committee, <br>committee, subcommittee, task force, or commission of the General Assembly; (25) &quot;Legislator&quot; means a member or member-elect of the General Assembly; <br>(26) (a) &quot;Lobby&quot; means to promote, advocate, or oppose the passage, modification, defeat, or executive approval or veto of any legislation by direct <br>communication with any member of the General Assembly, the Governor, the <br>secretary of any cabinet listed in KRS 12.250, or any member of the staff of <br>any of the officials listed in this paragraph. (b) &quot;Lobbying&quot; does not include: 1. Appearances before public meetings of the committees, subcommittees, <br>task forces, and interim committees of the General Assembly; 2. News, editorial, and advertising statements published in newspapers, <br>journals, or magazines, or broadcast over radio or television; 3. The gathering and furnishing of information and news by bona fide <br>reporters, correspondents, or news bureaus to news media described in <br>paragraph (b)2. of this subsection; 4. Publications primarily designed for, and distributed to, members of bona <br>fide associations or charitable or fraternal nonprofit corporations; 5. Professional services in drafting bills or resolutions, preparing <br>arguments on these bills or resolutions, or in advising clients and <br>rendering opinions as to the construction and the effect of proposed or <br>pending legislation, if the services are not otherwise connected with <br>lobbying; or 6. The action of any person not engaged by an employer who has a direct <br>interest in legislation, if the person, acting under Section 1 of the <br>Kentucky Constitution, assembles together with other persons for their <br>common good, petitions any official listed in this subsection for the <br>redress of grievances, or other proper purposes; (27) &quot;Person&quot; means an individual, proprietorship, firm, partnership, joint venture, joint stock company, syndicate, business, trust, estate, company, corporation, association, <br>club, committee, organization, or group of persons acting in concert; Page 7 of 7 (28) &quot;Public servant&quot; means an elected or appointed officer or employee of a federal or state agency; state institution of higher education; or a city, county, urban-county, or <br>charter county government; (29) &quot;State agency&quot; means any department, office, commission, board, or authority within the executive department, and includes state-supported universities and <br>colleges but does not include local boards of education; and (30) &quot;Through others&quot; means a scheme, artifice, or mechanism, the sole purpose of which is to accomplish by indirect means, using third parties, results which would <br>be unlawful under this code if accomplished directly between a legislator or <br>candidate and another person or entity. Effective: March 16, 2005 <br>History: Amended 2005 Ky. Acts ch. 105, sec. 13, effective March 16, 2005. -- Amended 1996 Ky. Acts ch. 211, sec. 1, effective July 15, 1996. -- Amended 1994 <br>Ky. Acts ch. 479, sec. 2, effective July 15, 1994. -- Amended 1993 (1st Extra. Sess.) <br>Ky. Acts ch. 4, sec. 4, effective September 16, 1993. -- Created 1976 Ky. Acts <br>ch. 262, sec. 1. Formerly codified as KRS 6.750.