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title-2•Title 2 KAR — General Assembly
Section 1. Definition. "Personal expenses" means expenses that are not:
(1) Reimbursable to the legislative agent by the employer; or
(2) Deductible as a business expense under the Internal Revenue Code.
Section 2. Initial Registration Form. Within seven (7) days of engagement of a legislative agent and to renew a registration that has expired as set out in KRS 6.807(2), the legislative agent and employer shall complete and sign the Initial Legislative Agent/Employer Registration Statement.
Section 3. Employer's Forms.
(1) An employer shall complete the Employer's Updated Registration Statement and Employer's Notice of Termination of Engagement forms in accordance with this section.
(2)
(a) Source of funds and financial resources shall be reported by types of categories, such as "membership dues", "contributions", "grants", or "interest".
(b) Records shall be maintained that will allow a more detailed accounting to be made if requested.
(c) Expenditures shall be reported using the accrual accounting method.
(d) Expenditures reported shall not include personal expenses.
Section 4. Legislative Agent's Forms.
(1) A legislative agent shall complete the Legislative Agent's Updated Registration Statement and Legislative Agent's Notice of Termination of Engagement forms in accordance with this section.
(2)
(a) Records shall be maintained that will allow a more detailed accounting to be made if requested.
(b) Expenditures shall be reported using the accrual accounting method.
(c) Expenditures reported shall not include personal expenses.
Section 5. Filing Schedule. Updated Registration Statement forms shall be filed in accordance with the schedule set out in KRS 6.807(3). Notice of Termination of Engagement forms shall be filed within thirty (30) days after termination as required by KRS 6.807(5).
Section 6. The completed Initial Legislative Agent/Employer Registration Statement shall be mailed or delivered to the Kentucky Legislative Ethics Commission, 22 Mill Creek Park, Frankfort, Kentucky 40601. All other registration and termination forms required by KRS 6.807 shall be filed electronically at www.klec.ky.gov unless the employer or legislative agent is unable to use electronic filing. If electronic filing is not possible, the forms shall be mailed or delivered to the commission.
Section 7. Incorporation by Reference.
(1) The following material is incorporated by reference:
(a) "Initial Legislative Agent/Employer Registration Statement", 10/16;
(b) "Legislative Agent's Updated Registration Statement", 10/16;
(c) "Legislative Agent's Notice of Termination of Engagement", 10/16;
(d) "Employer's Updated Registration Statement", 10/16; and
(e) "Employer's Notice of Termination of Engagement", 10/16.
(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Legislative Ethics Commission, 22 Mill Creek Park, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m.
History
Section 1. The Statement of Financial Disclosure required by KRS 6.781 shall be completed and mailed or delivered to the Kentucky Legislative Ethics Commission, 22 Mill Creek Park, Frankfort, Kentucky 40601 in accordance with the schedule set out in KRS 6.793.
Section 2. Incorporation by Reference.
(1) "Statement of Financial Disclosure", 10/16, is incorporated by reference.
(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Legislative Ethics Commission, 22 Mill Creek Park, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m.
History
Section 1.
(1) The Legislative Agent's Updated Registration Statement, Short Form may be filed by a legislative agent if, during a reporting period, the legislative agent did not:
(a) Expend sums for lobbying activities; and
(b) Engage in a financial transaction governed by KRS 6.824.
(2) The Employer's Updated Registration Statement, Short Form may be filed by an employer if, during a reporting period, the employer:
(a) Did not:
Expend sums for lobbying activities; and
Engage in a financial transaction governed by KRS 6.824; and
(b) Paid only compensation to a legislative agent.
(3) The Legislative Agent's Updated Registration Statement, Short Form shall include:
(a) Name;
(b) Address;
(c) Telephone number;
(d) Name of employer; and
(e) The bills, resolutions, or administrative regulations lobbied on during the reporting period.
(4) The Legislative Employer's Updated Registration Statement, Short Form shall include:
(a) Name;
(b) Address;
(c) Telephone number;
(d) Name and position of person completing the form;
(e) Source of funds and financial resources;
(f) Name(s) of individual legislative agent(s) and compensation accrued for each reporting period;
(g) Bills, resolutions, or administrative regulations lobbied on during the reporting period; and
(h) Names of legislative agents terminated since last reporting period.
Section 2. The completed Legislative Agent's Updated Registration Statement, Short Form and Legislative Employer's Updated Registration Statement, Short Form shall be filed electronically at www.klec.ky.gov unless the employer or legislative agent is unable to use electronic filing. If electronic filing is not possible, the forms shall be mailed or delivered to the Legislative Ethics Commission at 22 Mill Creek Park, Frankfort, Kentucky 40601. All forms shall be filed in accordance with the schedule set out in KRS 6.807(3).
Section 3. Incorporation by Reference.
(1) The following material is incorporated by reference:
(a) "Legislative Agent's Updated Registration Statement, Short Form", 10/16; and
(b) "Employer's Updated Registration Statement, Short Form", 10/16.
(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Legislative Ethics Commission, 22 Mill Creek Park, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m.
History
Section 1. Definitions.
(1) "Commission" is defined by KRS 6.611(9).
(2) "Complainant" means a person who has filed a complaint with the commission.
(3) "Complaint" means a formal, written complaint filed in accordance with KRS 6.686 that accuses one (1) or more persons of violating a provision of KRS 6.601 to 6.849.
(4) "Enforcement counsel" means the attorney employed by the commission to investigate and prosecute a complaint.
(5) "Respondent" means a person accused in a complaint of violating any of the provisions of KRS 6.601 to 6.849.
Section 2. Complaint.
(1) A complaint may be filed by any person in accordance with the requirements of KRS 6.686(1).
(2) A person may file a complaint by completing and signing the commission's complaint form or by filing a written, sworn complaint in another form that complies with the requirements of KRS 6.686(1).
(3) The complainant shall not be considered a party to the action, although he or she may be a witness.
(4) The commission shall dismiss a complaint in accordance with KRS 6.686(1)(d) or 6.686(4).
Section 3. Preliminary Inquiry and Hearing.
(1) A preliminary inquiry shall be commenced as required by KRS 6.686(1)(d).
(2) The enforcement counsel:
(a) May be assisted by investigators employed by the commission;
(b) Shall investigate the complaint for the purpose of presenting the facts to the commission; and
(c) Shall present information and recommendations to the commission about the allegations in the complaint.
(3) After the enforcement counsel's investigation is complete, the commission shall consider the results of the enforcement counsel's investigation and shall vote to:
(a) Dismiss the complaint in accordance with KRS 6.686(1)(d) or 6.686(4); or
(b) Conduct a preliminary inquiry hearing to determine if probable cause exists to believe there has been a violation of KRS 6.601 to 6.849.
(4) If the commission decides to conduct a preliminary inquiry hearing, the chair shall:
(a) Set a date for the preliminary inquiry hearing; and
(b) Notify the respondent of the time and place of the hearing.
Section 4. Hearing Proceedings.
(1) As required by KRS 6.686(2), during the preliminary inquiry hearing, only the commission members, the commission staff, enforcement counsel, the commission's investigator, the respondent, the respondent's counsel, and any witness called to testify may be present.
(2) The Kentucky Rules of Civil Procedure and Kentucky Rules of Evidence shall not apply at the preliminary inquiry hearing. The chair, or other member of the commission appointed by the chair, shall:
(a) Conduct the hearing; and
(b) Allow or exclude evidence within his or her discretion and in accordance with KRS 6.686(3).
(3) The commission may compel the attendance of witnesses at the preliminary inquiry hearing in accordance with KRS 6.666.
(4) All testimony taken at the preliminary inquiry hearing shall be under oath.
(5) The enforcement counsel shall call witnesses and question them concerning the allegations in the complaint, and the complainant shall be given an opportunity to testify. The members of the commission may ask questions of the witnesses and complainant. The commission may allow the respondent to cross-examine the witnesses and the complainant.
(6) Following the presentation of evidence by the enforcement counsel, the respondent shall be given the opportunity to testify under oath and to present evidence on his or her behalf.
(7) Following the presentation of evidence by the enforcement counsel and respondent, the commission may allow the enforcement counsel and respondent to present statements to the commission concerning the disposition of the complaint.
(8) At the conclusion of the evidence and statements, the commission shall meet in executive session to deliberate on the question of whether there is probable cause to believe a violation has occurred.
(9) The witnesses, the complainant, the respondent, and the respondent's attorney shall not be present during the deliberations.
(10) In accordance with KRS 6.686(5), at the conclusion of the preliminary inquiry hearing, the commission may dismiss the complaint, issue a confidential reprimand, or initiate an adjudicatory proceeding.
Section 5. Incorporation by Reference.
(1) "Complaint", 10/16, is incorporated by reference.
(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Kentucky Legislative Ethics Commission, 22 Mill Creek Park, Frankfort, Kentucky 40601, Monday through Friday, 8:00 a.m. to 4:30 p.m.
History
Section 1. Definitions.
(1) "Commission" is defined by KRS 6.611(9).
(2) "Complaint" means a formal, written complaint filed in accordance with KRS 6.686 that accuses one (1) or more persons of violating a provision of KRS 6.601 to 6.849.
(3) "Enforcement counsel" means the attorney employed by the commission to investigate and prosecute a complaint.
(4) "Respondent" means a person accused in a complaint of violating any of the provisions of KRS 6.601 to 6.849.
Section 2. Joinder of Complaints.
(1) Separate complaints against a single respondent may be consolidated by the commission and heard as a single case.
(2)
(a) Separate complaints against two (2) or more respondents may be consolidated and heard as a single proceeding if the commission determines that the complaints are based upon the same or related set of facts.
(b) If allegations against two (2) or more respondents are heard as a single proceeding, the commission shall make separate findings regarding each respondent.
Section 3. Rulings on Motions.
(1) A substantive or dispositive motion such as a motion to dismiss or a motion to exclude evidence shall be ruled on by the commission.
(2) A procedural motion such as a motion for a continuance shall by ruled on by the commission chair or another member authorized by the commission.
(3) All pleadings, motions, and exhibits shall be filed with the principal assistant of the commission staff and copies served on each respondent or respondent's counsel and on the commission's enforcement counsel in accordance with the Kentucky Rules of Civil Procedure.
Section 4. Authority for Settlement Negotiations.
(1) The commission may authorize:
(a) Its enforcement counsel to attempt to negotiate a settlement with the respondent; and
(b) Its chair to accept or reject a proposed negotiated settlement.
(2) If a proposed negotiated settlement is reached and accepted, the procedures established in this subsection shall be followed.
(a) The commission shall conduct an adjudicatory hearing as required by KRS 6.691(5) before imposing any penalty on the respondent.
(b) The respondent shall waive the introduction of evidence at the hearing.
(3) If a proposed negotiated settlement is rejected, the respondent's offer of settlement shall not be used against the respondent.
Section 5. Witness Lists.
(1) At least ten (10) days before the date set for the adjudicatory hearing, the attorneys for the parties and for the commission shall provide to the commission the names and addresses of all proposed witnesses.
(2) A copy of each witness list shall be served upon each opposing party or counsel as provided by the Kentucky Rules of Civil Procedure.
(3) Additional witnesses may only be called for rebuttal, or with the permission of the commission for good cause shown.
(4) Commission staff shall provide all witnesses with a copy of this administrative regulation in accordance with KRS 6.691(1).
Section 6. Prehearing Conference.
(1) The commission chair may order that a prehearing conference be held for the purposes set out in Kentucky CR 95 with reasonable notice to each respondent or respondent's attorney and to enforcement counsel.
(2) The commission chair, or another member authorized by the commission, shall preside over the prehearing conference.
Section 7. Amendments to the Complaint or Answer.
(1) The complaint may be amended before or after the commencement of the hearing to conform to the proof or to set forth additional facts.
(2) If the complaint is amended, the respondent shall be given twenty (20) days to answer the amended complaint and a reasonable time to prepare his or her defense against the matters charged in the amended complaint.
Section 8. Hearing Additional Evidence.
(1) The commission may order a hearing for the taking of additional evidence at any time while the complaint is pending before it.
(2) The order shall set the time and place of the hearing and shall indicate the matters on which the evidence is to be taken.
(3) A copy of the order shall be sent by mail to the respondent or the respondent's attorney at least ten (10) days prior to the date of the hearing.
Section 9. Deliberations. The commission shall deliberate and publish its findings and conclusions in accordance with KRS 6.691(4) and (5).
Section 10. Transcript of Evidence. Adjudicatory hearings before the commission shall be reported by a reporter or recorded by an electronic device.
History
Section 1. Definition. "Commission" is defined by KRS 6.611(9).
Section 2. Opinions.
(1) Commission opinions may be requested as set out in KRS 6.681(1) and (2).
(2) Commission opinions shall be public as set out in KRS 6.681(4) except that the commission may issue a confidential, unpublished opinion if:
(a) The person requesting the opinion asks that the opinion not be published and that it be kept confidential; and
(b) The unique nature of the request and the surrounding facts and circumstances would necessarily reveal the identity of a person associated with the opinion if the opinion were published.
History
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