21 CAR pt. 3 | 21 CAR Part 3 — Lobbyist Registration and Reporting

Chapter I

Subchapter A

Subpart 1

21 CAR § 3-101 Definitions {#sec-21-car-3-101 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-101}

21 CAR § 3-101. Definitions.

As used in this part:

(1) “Administrative action” means any decision on, or proposal, consideration, or making of any rule, regulation, ratemaking proceeding, or policy action, other than ministerial action, by a governmental body;

(2) “Association” means a body of individuals acting together for the prosecution of a common enterprise;

(3) “Business” means any:

(A) Corporation;

(B) Partnership;

(D) Firm;

(E) Enterprise;

(F) Franchise;

(G) Association;

(H) Organization;

(I) Self-employed individual;

(J) Receivership;

(K) Trust; or

(L) Legal entity through which business is conducted;

(4) “Business association” means an association formed for the purpose of doing business, including associations formed for the purpose of establishing an employer-employee, principal-agent, and/or an employer-independent contractor relationship;

(5)(A) “Family” means an individual’s spouse, children of that individual or his or her spouse, or brothers, sisters, or parents of the individual or his or her spouse.

(B) The term “household” includes an individual’s significant other.

(6)(A) “Gift” means any payment, entertainment, advance, services, or anything of value, unless consideration of equal or greater value has been given therefor.

(B) The term “gift” does not include:

(i)(a) Informational material such as books, reports, pamphlets, calendars, or periodicals informing a public servant regarding his or her official duties.

(b) Payments for travel or reimbursement for any expenses are not informational material;

(ii) The giving or receiving of food, lodging, or travel which bears a relationship to the public servant’s office and when appearing in an official capacity;

(iii) Gifts which are not used and which, within thirty (30) days after receipt, are returned to the donor;

(iv) Gifts from an individual’s spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any of these persons, unless the person is acting as an agent or intermediary for any person not covered by this subdivision;

(v) Campaign contributions;

(vi) Any devise or inheritance;

(vii)(a) Anything with a value of one hundred dollars ($100) or less.

(b) The value of an item shall be considered to be less than one hundred dollars ($100) if the public servant reimburses the person from whom the item was received any amount over one hundred dollars ($100) and the reimbursement occurs within ten (10) days from the date the item was received;

(viii) Wedding presents and engagement gifts;

(ix) A monetary or other award presented to an employee of a public school district, the Arkansas School for the Deaf and Blind, the Arkansas School for Mathematics, Sciences, and the Arts, a university, a college, a technical college, a technical institute, a comprehensive life-long learning center, or a community college in recognition of the employee’s contribution to education;

(x) Tickets to charitable fundraising events held within this state by a nonprofit organization which is exempt from taxation under Section 501(c)(3) of the Internal Revenue Code;

(xi) A personalized award, plaque, or trophy with a value of one hundred fifty dollars ($150) or less;

(xii) An item which appointed or elected members of a specific governmental body purchase with their own personal funds and present to a fellow member of that governmental body in recognition of public service;

(xiii) Food or beverages provided at a conference scheduled event that is part of the program of the conference;

(xiv) Food or beverages provided in return for participation in a bona fide panel, seminar, or speaking engagement at which the audience is a civic, social, or cultural organization or group;

(xv) A monetary or other award publicly presented to an employee of state government in recognition of his or her contributions to the community and State of Arkansas when the:

(a) Presentation is made by the employee’s supervisor or peers, individually or through a nonprofit organization which is exempt from taxation under Section 501(c) of the Internal Revenue Code; and

(b) Employee’s receipt of the award would not result in or create the appearance of the employee:

(1) Using his or her position for private gain;

(2) Giving preferential treatment to any person; or

(3) Losing independence or impartiality.

(c) This exception shall not apply to an award presented to an employee of state government by a person having economic interests which may be affected by the performance or nonperformance of the employee’s duties or responsibilities;

(xvi) Any work of art, contracted for prior to January 1, 1998, for public service recognition for members of the Arkansas General Assembly; or

(xvii) Racing passes provided to and accepted by members of the General Assembly and other constitutional officers for redistribution to their constituents and persons residing outside the State of Arkansas to promote tourism and advance the economic interests of the state;

(7) “Governmental body” means any office, department, commission, council, board, committee, legislative body, agency, or other establishment of the executive, judicial, or legislative branch of the:

(A) State;

(B) Municipality;

(D) School district;

(E) Improvement district; or

(F) Any political district or subdivision thereof;

(8)(A) “Income” or “compensation” means any money or anything of value received, or to be received as a claim for future services, whether in the form of:

(i) Retainer;

(ii) Fee;

(iii) Salary;

(iv) Expense;

(v) Allowance;

(vi) Forbearance;

(vii) Forgiveness;

(viii) Interest;

(ix) Dividend;

(x) Royalty;

(xi) Rent; or

(xii) Any other form of recompense or any combination thereof.

(B) It includes a payment made under obligation for services or other value received.

(C) The term “compensation” does not include anything of value presented to an employee of a public school district, the Arkansas School for the Deaf and Blind, the Arkansas School for Mathematics, Sciences, and the Arts, a university, a college, a technical college, a technical institute, a comprehensive life-long learning center, or a community college in recognition of the employee’s contribution to education;

(9) “Legislative action” means introduction, sponsorship, consideration, debate, amendment, passage, defeat, approval, veto, or any other official action or nonaction on any bill, ordinance, law, resolution, amendment, nomination, appointment, report, or other matter pending or proposed before a:

(A) Committee or house of the General Assembly;

(B) Quorum court; or

(10) “Lobbying” means to communicate directly or solicit others to communicate with any public servant to influence legislative or administrative action;

(11) “Lobbyist” means a person who is engaged in lobbying activities as defined in 21 CAR § 3-102 of this part;

(12) “Lobbyist’s client” means the person, such as an employer, on whose behalf the lobbyist influences or attempts to influence legislative or administrative action;

(13) “Ministerial action” means an action in which a person performs in a given state of facts, in a prescribed manner, in obedience to the mandate of legal authority, without regard to or the exercise of his or her own judgment upon the propriety of the act being done;

(14) “Official capacity” means activities which arise solely because of the position held by the public servant, which would be subject to expense reimbursement by the agency with which the public servant is associated, and which involve matters falling within the official responsibilities of the public servant;

(15) “Paid or reimbursed” includes:

(A) Income received prior, during, or subsequent to the period the income is earned; or

(B) Expenses reimbursed prior, during, or subsequent to the period the expenditure is made;

(16) “Partnership” means a syndicate, group, pool, joint venture, or other unincorporated organization, through or by means of which any business, financial operation, or venture is carried on, and which is not a trust, an estate, or a corporation.

(17) “Person” means a:

(A) Business;

(B) Individual;

(D) Union;

(E) Association;

(F) Firm;

(G) Partnership;

(H) Committee;

(I) Club; or

(J) Other organization or group of persons;

(18) “Public official” means a legislator or any other person holding an elective office of any governmental body, whether elected or appointed to the office, and shall include such persons during the time period between the date they were elected and the date they took office;

(19) “Public servant” means all public:

(A) Officials;

(B) Employees; and

(20) “Registered lobbyist” means a lobbyist registered pursuant to 21 CAR § 3-103 of this part; and

(21) “Special event” means a planned activity to which a specific governmental body or identifiable group of public servants is invited.

21 CAR § 3-102 Definition of “lobbyist” {#sec-21-car-3-102 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-102}

21 CAR § 3-102. Definition of “lobbyist”.

(a) For purposes of this part, persons engaged in lobbying activity as defined by 21 CAR § 3-101(10) will be considered lobbyists, subject to registration and reporting, if the person:

(1) Receives income or reimbursement in a combined amount of four hundred dollars ($400) or more in a calendar quarter for lobbying activities;

(2) Expends four hundred dollars ($400) or more in a calendar quarter for lobbying activities, excluding the cost of personal travel, lodging, meals, or dues; or

(3)(A) Expends four hundred dollars ($400) or more in a calendar quarter, including postage, for the express purpose of soliciting others to communicate with any public servant to influence any legislative action or administrative action of one (1) or more governmental bodies unless the communication has been filed with the Secretary of State or has been published in the news media.

(B) If the communication is filed with the Secretary of State, the filing shall include the approximate number of recipients.

(b)(1) All persons who act as lobbyists shall register as lobbyists pursuant to 21 CAR § 3-103 of this part unless specifically exempted from registration pursuant to 21 CAR § 3-105 herein.

(2) Whether a person is a lobbyist is a factual determination made by the Arkansas Ethics Commission.

21 CAR § 3-103 Lobbyist registration and reregistration {#sec-21-car-3-103 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-103}

21 CAR § 3-103. Lobbyist registration and reregistration.

(a) It is the intent of the Arkansas Ethics Commission that the public have full and accurate disclosure of the items required to be reported under this part.

(b) A lobbyist shall register no later than five (5) days after beginning lobbying.

(c)(1) A lobbyist will not be considered registered until the registration form is delivered to the appropriate office under 21 CAR § 3-106 of this part.

(2) The registration form shall contain:

(A) The name, address, and telephone number of the lobbyist;

(B) The calendar year for which the lobbyist is registering;

(D) The name, address, and telephone number of the lobbyist’s client or clients or employer;

(E) The type of business/entity which is the lobbyist’s client or clients or employer; and

(F) Certification by the lobbyist that the information contained on the lobbyist registration form is true and correct.

(d)(1) If a business or other entity which has members or employees who lobby only on behalf of that organization and that business or entity chooses to register as a firm, then both the business or entity and the lobbyist or lobbyists listed on its registration form shall be responsible for compliance with all of this part.

(2) In addition to the other requirements of this rule, the business or other entity registering as a firm shall include on its registration form the:

(A) Name and signature of each person who is authorized to lobby for the firm; and

(B) Name of a contact person within the firm.

(3) If the business or entity hires a lobbyist who also lobbies independently for other clients, that individual lobbyist shall be solely responsible for compliance with this part.

(e)(1) In order to maintain continued status as a registered lobbyist, each registered lobbyist shall reregister by January 15 of each year.

(2) The lobbyist registration form will not be considered filed until it is delivered to the appropriate office under 21 CAR § 3-106 of this part.

(f) Lobbyist registration and reregistration are only valid for the calendar year in which the registration or reregistration takes place.

(g)(1) For purposes of this part, any forms required to be filed may be delivered either:

(A) In person;

(B) Through the mail; or

(2) If delivery of the form is in person, it will be considered filed on the date of delivery to the appropriate office.

(3) If the delivery is by mail, it will be considered filed on the postmark date.

(4) If the delivery is by facsimile, it will be considered filed on the date the facsimile is received, provided the original is received by the appropriate office within ten (10) days of the transmission.

(5) In any case, a form will not be considered filed unless it has been delivered to the appropriate office.

(h) Each lobbyist who continues to lobby or file lobbyist activity reports but fails to reregister under subsections (c) and (d) of this section may be subject to sanctions under 21 CAR § 3-108.

21 CAR § 3-104 Amendment of information on registration or reregistration form {#sec-21-car-3-104 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-104}

21 CAR § 3-104. Amendment of information on registration or reregistration form.

(a) Except as provided in subsection (b) of this section, if during the year of registration, there are any changes in the information a lobbyist must disclose pursuant to 21 CAR § 3-103 of this part, that lobbyist shall file an amended registration form containing the different or new information within ten (10) days of the change.

(b) A lobbyist registered to lobby members of the General Assembly shall file an amended registration form within three (3) business days of a change of information that occurs during a regular or extraordinary session of the General Assembly.

(c) A lobbyist who files an amended registration form under subsections (a) or (b) of this section shall clearly mark on the front of the form that it is an amended form.

21 CAR § 3-105 Exceptions to the lobbyist registration requirement {#sec-21-car-3-105 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-105}

21 CAR § 3-105. Exceptions to the lobbyist registration requirement.

(a) A lobbyist is not required to register if he or she engages in no lobbying other than the following activities:

(1) The publishing or broadcasting by news media executives or their employees or agents in the ordinary course of business of news items, editorials, or other comments or paid advertisements which urge legislative or administrative action;

(2) Engaging in lobbying exclusively on behalf of an Arkansas church which qualifies as a tax exempt organization under § 501(c)(3) of the Internal Revenue Code when lobbying solely for the purpose of protecting the rights of members or adherents to practice the religious doctrines of the church;

(3) Acting in his or her official capacity as a public servant unless he or she:

(A) Receives income from a nongovernmental person over four hundred dollars ($400) in a quarter for lobbying; or

(B) Expends or is reimbursed over four hundred dollars ($400) in a quarter, regardless of the source, for lobbying, excluding the cost of informational material and personal travel, lodging, meals, and dues;

(4) Drafting legislation;

(5) Appearing in a judicial proceeding, a proceeding or hearing that is a matter of public record, or a hearing or appeal conducted pursuant to the Arkansas Administrative Procedure Act, Arkansas Code § 25-15-201 et seq.;

(6) Assisting an executive agency, at that agency’s written request, in drafting administrative rules or in publicizing or assisting in the implementation of final administrative actions;

(7) Testifying as an individual at a public hearing in support of or in opposition to legislation or administrative action, testifying on behalf of a corporation, partnership, association, or other organization of which the person is regularly associated as an employee, officer, member, or partner, or testifying at the request of a legislative committee; or

(8) Actions by contractors or their employees while engaged in selling to a governmental body by demonstrating or describing goods or services or asking about specifications or terms and conditions of a particular purchase, unless the contractor or its employees expends more than four hundred dollars ($400) in a calendar quarter for food, lodging, travel, or gifts to benefit public servants who purchase goods or services on behalf of a governmental body.

(b) A person whose only act of lobbying is to pay or reimburse a registered lobbyist on his or her own behalf is not required to register as a lobbyist.

(c) Whether a person falls under an exception to the lobbyist registration requirement is a factual determination made by the Arkansas Ethics Commission.

21 CAR § 3-106 Where to register and make other filings {#sec-21-car-3-106 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-106}

21 CAR § 3-106. Where to register and make other filings.

(a)(1) A lobbyist who lobbies public servants of state government shall register and make other filings with the Secretary of State as required by this part and the laws of Arkansas.

(2) A lobbyist who lobbies public servants of municipal government shall register and make other filings as required by this part and the laws of Arkansas with the city clerk or recorder of the municipality, as the case may be.

(3) A lobbyist who lobbies public servants of county government or any government body not otherwise covered by this section shall register and make other filings with the county clerk of the county as required by this part and the laws of Arkansas.

(4) A lobbyist who lobbies public servants of a governmental body covering a district that includes all or part of more than one county shall file with the Secretary of State and the county clerk of his or her principal place of business or residence within the state.

(b) A lobbyist who would be required to register and file with more than one (1) public official under this section may instead register and make other filings as required by this part and the laws of Arkansas with the Secretary of State and the county clerk of his or her principal place of business or residence within the state.

21 CAR § 3-107 Termination of lobbyist registration {#sec-21-car-3-107 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-107}

21 CAR § 3-107. Termination of lobbyist registration.

(a) When a registered lobbyist’s employment or designation as a lobbyist is terminated, a written notice of termination shall be given by the lobbyist or his or her designated agent to the public official with whom the lobbyist is registered.

(b) The written notice of termination shall report:

(1) The registered lobbyist’s name;

(2) The date the registered lobbyist’s employment is terminated or his or her designation as a lobbyist is terminated; and

(3) Any activity to be reported during the period in which the registration was in effect that has not already been reported.

(c)(1) If a registered lobbyist either fails to reregister as detailed in 21 CAR § 3-103 of this part or fails to submit a notice of termination under this section, his or her registration as a lobbyist will automatically expire at midnight January 15 of the year following the last year in which the lobbyist is registered.

(2) A lobbyist whose registration expires or is terminated pursuant to this subsection shall not lobby until the lobbyist reregisters pursuant to 21 CAR § 3-103 of this part under threat of penalties as detailed in 21 CAR § 3-108 of this part.

21 CAR § 3-108 Penalties for failure to register or reregister properly {#sec-21-car-3-108 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-108}

21 CAR § 3-108. Penalties for failure to register or reregister properly.

(a)(1) Those persons who act as lobbyists as defined by 21 CAR § 3-102 of this part but fail to register within five (5) days of beginning lobbying activities as required by 21 CAR § 3-103 of this part may be assessed by the Arkansas Ethics Commission a fine of not less than fifty dollars ($50.00) and not more than three thousand five hundred dollars ($3,500) and may be issued a public letter of caution, warning, or reprimand.

(2) Any person who acts as a lobbyist as defined by 21 CAR § 3-102 of this part but purposely fails to register within five (5) days of beginning lobbying activities as required by 21 CAR § 3-103 of this part is subject to a fine of not less than five hundred dollars ($500) and not more than one thousand dollars ($1,000).

(b)(1) Any person who acts as a lobbyist and gives false information on the lobbyist registration form or omits information from that form required by 21 CAR § 3-103 of this part may not be considered a registered lobbyist and may be assessed by the Arkansas Ethics Commission a fine of not less than fifty dollars ($50.00) and not more than three thousand five hundred dollars ($3,500) and may be issued a public letter of caution, warning, or reprimand.

(2) Any person who acts as a lobbyist and purposely provides false information or purposely omits information on the lobbyist registration form shall not be considered a registered lobbyist and shall be subject to a fine of not less than five hundred dollars ($500) or more than one thousand dollars ($1,000).

Subpart 2

21 CAR § 3-201 Filing deadlines and public inspection {#sec-21-car-3-201 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-201}

21 CAR § 3-201. Filing deadlines and public inspection.

(a)(1) Each person registered or required to be registered as a lobbyist shall file an activity report, signed and sworn to, concerning his or her lobbying activities during the previous calendar quarter no later than fifteen (15) days after the end of each calendar quarter.

(2) These are the due dates for the quarterly lobbyist activity reports:

(A) First quarter, covering January 1 – March 31: April 15;

(B) Second quarter, covering April 1 – June 30: July 15;

(D) Fourth quarter, covering October 1 – December 31: January 15.

(b)(1) A registered lobbyist who lobbies members of the General Assembly shall file a monthly lobbyist activity report, signed and sworn to, for any month or part thereof in which the General Assembly is in session.

(2) This monthly report shall be filed no later than ten (10) days after the end of each month.

(3) A quarterly report is not required if the registered lobbyist has filed monthly lobbyist activity reports for each month of the calendar quarter.

(c)(1) Whenever the filing due date listed in subsection (a) or (b) of this section falls on a Saturday, Sunday, legal holiday, or any day the office is closed for official business, the time for such filing shall be extended to the next day which is not a Saturday, Sunday, or legal holiday.

(2) Any filing required by this part shall be timely filed if it is:

(A) Hand-delivered to the appropriate public official or officials as set forth in 21 CAR § 3-106;

(B) Mailed to the appropriate public official or officials as set forth in 21 CAR § 3-106, properly addressed, postage prepaid, bearing a postmark indicating that it was received by the post office or common carrier on or before the date due;

(C) Received via facsimile by the appropriate public official or officials as set forth in 21 CAR § 3-106 on or before the due date, provided the original is received by the public official or officials within ten (10) days of the transmission; or

(D) Received by the appropriate public official as set forth in 21 CAR § 3-106 in a readable electronic format which is approved by the Arkansas Ethics Commission.

(3) Except that, beginning January 1, 2010, all lobbyists who are required to make their filings with the Secretary of State shall make such filings in electronic form through the internet.

(4) In addition, the Secretary of State shall provide a form to be filed simultaneously with the lobbyist report which indicates that it is signed by a registered lobbyist under penalty of perjury under Arkansas Code § 5-53-102, and that the lobbyist activity report is accurate.

(d) Lobbyist activity reports shall be filed as due whether there has been lobbying activity, see 21 CAR §§ 3-203 and 3-204, or no lobbying activity, see 21 CAR § 3-202.

(e) Lobbyist activity reports shall be open to public inspection.

21 CAR § 3-202 Reports of no activity {#sec-21-car-3-202 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-202}

21 CAR § 3-202. Reports of no activity.

(a) Each person required to be registered as a lobbyist shall file quarterly and/or monthly activity reports as required by 21 CAR §§ 3-201 and 3-203 of this part even if there has been no activity during the previous calendar quarter or month.

(b) An activity report filed pursuant to subsection (a) of this section shall consist of the front page of the lobbyist activity report indicating that no activity has occurred.

21 CAR § 3-203 Basic requirements {#sec-21-car-3-203 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-203}

21 CAR § 3-203. Basic requirements.

(a) It is the intent of the Arkansas Ethics Commission that the public have full and accurate disclosure of the contact between lobbyists and public servants and to that end, the commission encourages lobbyists not to avoid reporting through the use of technicalities or ambiguities.

(b)(1) Lobbyist activity reports shall be signed and sworn to by the registered lobbyist affirming that the information contained on the activity report is true and correct.

(2) The reports must be filed as described by 21 CAR § 3-201 of this part.

(1)(A) The total of all expenditures made or incurred by the registered lobbyist or on behalf of the registered lobbyist by his or her employer or any officer, employee, or agent during the preceding period.

(B) As used herein, the term “agent” means one who acts for or in place of another by authority from him or her.

(D) The report shall itemize these totals according to financial category and employers and clients, including:

(i) Food and refreshments;

(ii) Entertainment;

(iii) Living accommodations;

(iv) Advertising;

(v) Printing;

(vi) Postage;

(vii) Travel;

(viii) Telephone; and

(ix) Other expenses or services; and

(2) The name and address of the registered lobbyist and his or her client or clients.

(3)(A) When reporting expenditures by employer or client, a lobbyist may combine reimbursements for the lobbyist’s own expenses with other expenditures made for or on behalf of a particular employer or client.

(B)(i) If desired, however, a lobbyist may report reimbursements for the lobbyist’s own expenses separately from other expenditures made for or on behalf of the employer or client.

(ii) In such event, there would be two entries for that employer or client.

21 CAR § 3-204 Reporting of expenditures made on behalf of public servants — Subject areas {#sec-21-car-3-204 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-204}

21 CAR § 3-204. Reporting of expenditures made on behalf of public servants — Subject areas.

(a) Lobbyist activity reports shall contain an itemized listing of each of the following items:

(1) Each gift worth more than one hundred dollars ($100) given to a public servant or on behalf of the public servant, including:

(A) The date the gift was given;

(B) The greater of the cost or fair market value of the gift;

(D) A description of the gift;

(E) The amount paid by the lobbyist towards the total expenditure; and

(F) The name of the lobbyist’s employer or client making the expenditure and, if applicable, the names of all other lobbyists sharing in the cost of the payment;

(2)(A) Each payment for food, including beverages, lodging, or travel costing in excess of forty dollars ($40.00) per day provided to a public servant, including the:

(i) Date of the expenditure;

(ii)(a) Exact amount paid by the lobbyist towards the total expenditure.

(b) In calculating the amount paid for a meal, sales tax related to the meal should be included but it is not necessary to include the tip related to the meal;

(iii) Name of the public servant benefited;

(iv) Description of the item;

(v) Name of the conference, seminar, or event;

(vi) Purpose of the lodging or travel;

(vii) Name of the entity receiving the payment and in the case of lodging, the name of the hotel, motel, or other place of accommodation;

(viii) Greater of the actual cost paid by the lobbyist or the fair market value of the lodging or travel; and

(ix) Name of the lobbyist’s employer or client making the expenditure and, if applicable, the names of all other lobbyists sharing in the cost of the payment.

Example 1: If a lobbyist takes a public servant and his or her spouse to dinner and spends more than forty dollars ($40.00) on the public servant or more than eighty dollars ($80.00) on the public servant and his or her spouse, the lobbyist shall itemize the expenditure.

Example 2: If three (3) lobbyists provide a meal to a public servant costing seventy-five dollars ($75.00) and split the bill for the meal evenly, the forty dollar ($40.00) itemization would be met and each lobbyist would report an expenditure of twenty-five dollars ($25.00) as well as the names of the other lobbyists sharing the cost of the meal.

Example 3: If four (4) lobbyists provide two (2) public servants with lodging or travel costing one hundred fifty-two dollars ($152) and split the bill evenly, the itemization threshold would be met and each lobbyist would report an expenditure of thirty-eight dollars ($38.00) as well as the names of the other lobbyists sharing the expense; and

(3)(A) Any other item paid or given to a public servant or on behalf of a public servant, except campaign contributions, having a value in excess of forty dollars ($40.00) each unless consideration of equal or greater value has been given therefor.

(B) The information reported shall include:

(i) The date the item was given;

(ii) The name of the public servant benefited;

(iii) The greater of the cost or fair market value of the item;

(iv) The exact amount paid by the lobbyist towards the total expenditure;

(v) The name of the lobbyist’s employer or client making the expenditure and, if applicable, the names of all other lobbyists sharing in the cost of the payment;

(vi) A description of the item; and

(vii) If the person receiving or being benefited by the item is a public employee, the governmental body which employs the person shall be identified.

Example: If five (5) lobbyists share equally in the cost of giving of an item worth one hundred dollars ($100) to a public servant, the forty dollar ($40.00) itemization threshold would be met and each lobbyist would report the giving of a twenty dollar ($20.00) item to the public servant and also report the names of the other lobbyists sharing in the cost of the giving of the item.

(b) Lobbyist activity reports shall include a:

(1) Detailed statement of any money loaned or promised or line of credit established for a public servant or on behalf of the public servant over twenty-five dollars ($25.00) per individual, except as noted in 21 CAR § 3-207(3); and

(2) Statement detailing the direct business association or partnership with any public servant whom the lobbyist may lobby.

(c)(1) Whenever the name of a public servant will appear in an activity report of a lobbyist, the lobbyist shall notify the public servant and provide him or her the information being reported.

(2) The lobbyist shall mail or deliver the notification to the public servant not later than seven (7) working days prior to the date for filing the activity report.

21 CAR § 3-205 Reporting of expenditures for amusement, charity, and sporting events {#sec-21-car-3-205 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-205}

21 CAR § 3-205. Reporting of expenditures for amusement, charity, and sporting events.

(a) On the activity report, the lobbyist shall itemize each expenditure made for the benefit of a public servant for a ticket or tickets to an event or events, if this expenditure exceeds forty dollars ($40.00) in the aggregate.

Example: If the lobbyist buys four (4) tickets to a football game costing twenty-two dollars ($22.00) each and gives them all to a legislator, the lobbyist must itemize this expenditure on his or her lobbyist activity report. This lobbyist would report that he or she made an expenditure of eighty-eight dollars ($88.00) on four (4) tickets to a football game, the date of the expenditure, and the name of the legislator to whom he or she gave the tickets. Even if the lobbyist did not originally intend to give the tickets to the legislator, the fact that he or she eventually did so makes this an expenditure on behalf of a public servant under 21 CAR § 3-204 of this part.

(b)(1) “Event or events”, as used in this section, includes, but is not limited to:

(A) Sporting events such as football or basketball games and hunting or fishing trips;

(B) Entertainment or arts events such as concerts or plays; and

(2) “Event or events” does not include “special events” as defined in 21 CAR § 3-206.

(c)(1) The lobbyist shall itemize each expenditure made for the benefit of a public servant for hunting or fishing trips by reporting its fair market value.

(2) The fair market value of a hunting or fishing trip is equivalent to the cost of such a trip as available from a commercial provider.

(3) In pricing hunting and fishing trips, the lobbyist shall presume that the public servant hunted or fished whether or not he or she actually did so.

(4) The value of the expenditure should also include the fair market value of food, lodging, or travel if such was provided during the trip.

(d) When reporting the cost of tickets to a charity event, the value of the ticket to the event shall not include the tax deductible portion of the ticket.

21 CAR § 3-206 Reporting special events {#sec-21-car-3-206 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-206}

21 CAR § 3-206. Reporting special events.

(a)(1) Generally, expenses related to lobbying activity are itemized as detailed in 21 CAR §§ 3-203 – 205 of this part.

(2) In the case of special events, as defined in subsection (b) of this section, where the expenses related to the event are incurred by the lobbyist, the lobbyist need not allocate the expenses by individual but may categorize them on a group basis as listed herein in subsection (c) of this section.

(b)(1) A special event is a planned activity where a specific governmental body or identifiable groups of public servants are invited.

(2) Special events may include:

(A) Parties;

(B) Dinners;

(D) Entertainment; and

(E) Charity events.

(3) For a discussion of the meaning of the terms “specific governmental body” and “identifiable groups of public servants”, see Advisory Opinion No. 99 EC-008.

(c)(1) In the case of a special event, expenses need not be allocated by individuals.

(2) The information reported for a special event shall include the:

(A) Date of the event;

(B) Name of the event;

(D) Name of the governmental body or group or groups of public servants invited;

(E) Exact amount paid by the lobbyist towards the total expenditure; and

(F) Name of the lobbyist’s employer or client making the expenditure and, if applicable, the names of all other lobbyists sharing in the cost of the payment.

Example: If two (2) lobbyists invite the members of the Senate Insurance & Commerce Committee to a dinner, the dinner may be reported as a special event. If the lobbyists split the cost of the dinner evenly, each lobbyist would report their share of the dinner as well as the name of the other lobbyist sharing in the cost of the dinner.

(d)(1) Hospitality rooms may be reported as a special event provided the lobbyists invite specific governmental bodies or identifiable groups of public servants as provided for in this part.

(2) When reporting hospitality room expenses, the lobbyist shall itemize the:

(A) Dates the hospitality room was open;

(B) Name of the event hosted, if applicable;

(D) Name of the lobbyist’s employer or client making the expenditure and, if applicable, the names of all other lobbyists sharing in the cost of the room.

(e) Whether an event is a “special event” under the meaning of this section is a factual determination made by the Arkansas Ethics Commission.

21 CAR § 3-207 What lobbyist activity reports do not have to disclose {#sec-21-car-3-207 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-207}

21 CAR § 3-207. What lobbyist activity reports do not have to disclose.

Lobbyist activity reports do not have to disclose the following:

(1) Office expenses other than those specifically required to be reported under 21 CAR § 3-203 of this part;

(2) Unreimbursed personal living and travel expenses not incurred directly for lobbying;

(3) Money loaned or a line of credit established that is issued in the ordinary course of business by a financial institution or a person who regularly and customarily extends credit; and

(4) Compensation paid to the lobbyist by his or her client or clients or principal or principals.

21 CAR § 3-208 Maintenance of records {#sec-21-car-3-208 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-208}

21 CAR § 3-208. Maintenance of records.

All registered lobbyists operating within the State of Arkansas shall maintain and preserve all accounts, bills, receipts, and any other documents necessary to substantiate the financial reports required by 21 CAR §§ 3-201 – 3-206 of this part for at least four (4) years from the date of the filing of the statement or report.

21 CAR § 3-209 Provision of forms — Public availability of filed statements and reports {#sec-21-car-3-209 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-209}

21 CAR § 3-209. Provision of forms — Public availability of filed statements and reports.

The Secretary of State, each county clerk, and each city clerk or recorder shall:

(1) Provide forms approved by the Arkansas Ethics Commission for registration and for statements required by 21 CAR §§ 3-103, 3-104, 3-106, 3-107, and 3-201 – 3-206 to all persons required to file; and

(2) Make all statements, forms, and reports filed available for public inspection and copying, at a reasonable cost, during regular office hours.

Subpart 3

21 CAR § 3-301 Prohibited acts {#sec-21-car-3-301 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-301}

21 CAR § 3-301. Prohibited acts.

(a) No person may purposely employ any lobbyist who is required to register as a lobbyist but is not registered pursuant to 21 CAR §§ 3-103 – 3-106.

(b)(1) A former member of the General Assembly shall not take the following actions until two (2) years after the expiration of the term of office for which he or she was elected:

(A) Register as a lobbyist under Arkansas Code § 21-8-601 et seq.; or

(B) Enter into employment as the director of an:

(i) Educational cooperative under The Public School Educational Cooperative Act of 1981, Arkansas Code § 6-13-901 et seq.; or

(ii) Area agency on aging.

(2)(A) Except as provided in subdivision (b)(2)(B) of this section, subdivision (b)(1) of this section applies to a person elected or reelected to the General Assembly on or after November 6, 2018.

(B) Subdivision (b)(1)(A) of this section shall apply to a person elected or reelected to the General Assembly on or after November 4, 2014.

(c) The Governor, Lieutenant Governor, Secretary of State, Attorney General, Treasurer of State, Auditor of State, and Commissioner of State Lands shall not be eligible to be registered as a lobbyist until one (1) year after the expiration of the term of office for which he or she was elected.

(d) An individual employed in the office of the Governor, Lieutenant Governor, Secretary of State, Attorney General, Treasurer of State, Auditor of State, or Commissioner of State Lands shall not be eligible to be registered as a lobbyist until one (1) year after the expiration of the individual’s employment in that office.

(e) A member of the Arkansas Public Service Commission shall not be eligible to be registered as a lobbyist until one (1) year after the expiration of his or her service on the commission.

(f) An individual employed as an executive head of a state agency or as a chief deputy of an executive head of a state agency shall not be eligible to be registered as a lobbyist until one (1) year after the expiration of his or her employment in that capacity.

(g) No person engaging in lobbying may:

(1) Influence or attempt to influence, by coercion, bribery, or threat of economic sanction, any public servant in the discharge of the duties of his or her office;

(2) Purposely provide false information to any public servant as to any material fact pertaining to any legislative or administrative action;

(3) Purposely omit, conceal, or falsify in any manner information required by the registration and lobbyist activity reports;

(4) Contract to receive or accept compensation that is dependent in any manner upon the success or failure of a legislative or administrative action, or the outcome of any executive, legislative, or administrative action relating to the solicitation or securing of a procurement contract; or

(5) Provide payment for food or beverages at any location or event at which the lobbyist is not present physically, with the exception of a special event as that term is defined in 21 CAR § 3-101 of this part.

(h)(1) Any person criminally convicted for violation of any provision of Arkansas Code § 21-8-607(a) or (b) shall not act as a lobbyist for three (3) years from the date of conviction and shall be subject to a fine of not less than one hundred dollars ($100) and not more than one thousand dollars ($1,000).

(2) Any person violating this three (3) year ban will be deemed guilty of an additional violation of Arkansas Code § 21-8-601 et seq.

(i) Any person who acts as a lobbyist as defined by 21 CAR § 3-102 of this part, but purposely fails to register within five (5) days of beginning lobbying activities as required by 21 CAR § 3-103 of this part is subject to a fine of not less than five hundred dollars ($500) and not more than one thousand dollars ($1,000).

(j)(1) On a lobbyist registration form, a person acting as a lobbyist shall not purposely provide false information or purposely omit information.

(2) A person who violates this subsection (j) shall not be considered a registered lobbyist and shall be subject to a fine of not less than five hundred dollars ($500) and not more than one thousand dollars ($1,000).

(k) A person criminally convicted of three (3) or more violations of a provision of Arkansas Code § 21-8-601 et seq. shall be permanently prohibited from acting as a registered lobbyist in the State of Arkansas.

(l) An expunged record shall not serve as the basis for disqualification under Arkansas Code § 21-8-607.

(m) No member of the General Assembly shall receive any income or compensation as defined in Arkansas Code § 21-8-401 et seq., other than income and benefits from the governmental body to which he or she is duly entitled, for lobbying other members of the General Assembly by communicating directly or soliciting others to communicate with any other member with the purpose of influencing legislative action by the General Assembly.

(n)(1) A person serving as an elected state official in any jurisdiction is prohibited from registering as a lobbyist in Arkansas under Arkansas Code § 21-8-601 et seq. or similarly in any other jurisdiction while the person is serving as an elected state official.

(2) As used in this subsection (n), “elected state official” means a person holding an elective office of state government as a constitutional officer or as a member of the General Assembly and includes persons during the time period between the date that he or she is elected and the date he or she takes office.

History

Codification Notes: This part as promulgated prior to codification into the Code of Arkansas Rules provided:"[Footnote 1 to 21 CAR § 3-301] The penalties referenced in § 517(h) and (k) [codified at 21 CAR § 3-301(h) and (k)] are applicable in criminal prosecutions and not in Arkansas Ethics Commission proceedings.""[Footnote 2 to 21 CAR § 3-301(e)] This prohibition, established by Act 486 of 2013 and codified as Ark. Code Ann. § 23-2-113, falls outside of the Arkansas Ethics Commission’s jurisdiction.""Footnote 3 to 21 CAR § 3-301(e)] This prohibition, established by Act 486 of 2013 and codified as Ark. Code Ann. § 25-16-103, falls outside of the Arkansas Ethics Commission’s jurisdiction." Authorities: Arkansas Code § 7-6-217; Arkansas Code § 7-6-218

21 CAR § 3-302 Penalties for failure to file or late filing of lobbyist activity reports {#sec-21-car-3-302 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-302}

21 CAR § 3-302. Penalties for failure to file or late filing of lobbyist activity reports.

(a) In addition to other sanctions which may be imposed under Arkansas Code § 7-6-218(b)(4), lobbyists who fail to file activity reports when due shall be subject to fines for the late filing of reports.

(b) Although fines are based on the facts of each case, the following schedule serves as a guideline in determining the amount of the fines:

Date Report Filed First Time Delinquency Repeated Delinquency by Same Lobbyist

1 to 10 days late $25.00 per report $50.00 per report

11 to 20 days late $50.00 per report $100.00 per report

21 to 30 days late $100.00 per report $200.00 per report

(c) A registered lobbyist who gives false or materially misleading information on a lobbyist activity report or omits information from that report required by 21 CAR §§ 3-201 – 206 of this part may be assessed by the Arkansas Ethics Commission a fine of not less than fifty dollars ($50.00) or more than three thousand five hundred dollars ($3,500) for each violation and may be issued a public letter of caution, warning, or reprimand.

21 CAR § 3-303 Criminal penalties {#sec-21-car-3-303 omnilex-key=us-ar-regs-official--title-21-part-3--21 CAR § 3-303}

21 CAR § 3-303. Criminal penalties.

(a) Pursuant to Arkansas Code § 7-6-218(b)(4)(D), the Arkansas Ethics Commission may report any person found to have violated any of this part to the proper law enforcement authorities.

(b) Upon conviction, any person who violates any provision of Arkansas Code §§ 21-8-401 – 21-8-804 is guilty of a Class A misdemeanor.

21 CAR Part 3 — Lobbyist Registration and Reporting