Title 9 KAR — Executive Branch Ethics Commission

title-99 KARRegulation

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Chapter 1 Executive Branch Ethics Commission

9 KAR 1:010 Statement of financial disclosure {#sec-9-kar-1-010 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:010}

Section 1. Definitions.

(1) "Acting" means a public servant who is designated to serve in an officer position temporarily.

(2) "Address or location" means:

(a) A street address or an address assigned to a location by the U.S. postal service, 911 service, or local government; or

(b) If this address is not available, a description of the property so as to easily identify the location, global positioning system coordinates, or the location as described on the deed for the property.

(3) "Business" is defined by KRS 11A.010(1).

(4) "Candidate" is defined by KRS 11A.010(13).

(5) "Commission" is defined by KRS 11A.010(2).

(6) "Compensation" is defined by KRS 11A.010(3).

(7) "Constitutional Officer" is defined by KRS 11A.010(9)(a) through (g).

(8) "Consumer goods" means any item either tangible or intangible that can be purchased, except for purchases of real property or real estate.

(9) "Family" is defined by KRS 11A.010(4).

(10) "Gifts of money or property" means a payment, loan, subscription, advance, deposit of money, services, or anything of value, unless consideration of equal or greater value is received, except for gifts from family members, campaign contributions, the waiver of a registration fee for a presenter at a conference or training described in KRS 45A.097(5), gifts received by a public servant on behalf of his or her agency pursuant to KRS 45A.097, or door prizes that are available to the public.

(11) "Home street address" means the address or location at which the officer resides on a permanent basis.

(12) "Income" is defined by KRS 11A.010(6).

(13) "Officer" is defined by KRS 11A.010(7).

(14) "Public servant" is defined by KRS 11A.010(9).

(15) "Start date" means the first date of employment with a state agency in the executive branch of the Commonwealth.

Section 2.

(1) Newly appointed or acting officers shall file the statement of financial disclosure required by KRS 11A.050(1)(a) on the New Hire form EBEC-SFD-103 effective at the time of his or her start date within thirty (30) days of their start date.

(2) Currently serving officers and sworn constitutional officers shall file the statement of financial disclosure required by KRS 11A.050(1)(a) and (b) on the Annual form EBEC-SBE-101 between January 1 and April 15 of each year in which he or she serves in an officer position or as a constitutional officer. The Annual form shall be completed for the calendar year preceding the due date.

(3) Currently serving officers and sworn constitutional officers who have filed as a candidate for constitutional office shall file the statement of financial disclosure required by KRS 11A.050(d) on the Annual form EBEC-SBE-101 by the February 15 that falls after he or she has filed as a candidate. These individuals will only file one form by February 15 to fulfill the requirements of KRS 11A.050(1)(a), (b), and (d) for the year in which they file as a candidate.

(4) Individuals who are not currently serving officers or sworn constitutional officers who have filed as a candidate for constitutional office shall file the statement of financial disclosure required by KRS 11A.050(1)(d) on the Candidate form EBEC-SBE-104 by the February 15 that falls after he or she has filed as a candidate.

(5) Former officers and constitutional officers who have left office shall file the statement of financial disclosure required by KRS 11A.050(1)(c) on the Leaver form EBEC-SBE-102 effective at the date of departure from state service within thirty (30) days of leaving service in an officer position or constitutional office.

Section 3. Submission.

(1) The signature on the statements required by this administrative regulation shall be:

(a) In blue or black ink; or

(b) Electronic.

(2) The statement of financial disclosure shall be filed with the commission as follows:

(a) By hard copy via hand-delivery, U.S. Mail, or other delivery service to the Commission's address;

(b) Electronically by facsimile to (502) 696-5091;

(c) Electronically by electronic mail to ethicsfiler@ky.gov; or

(d) Through an online system established by the commission.

(3) The statement of financial disclosure incorporated by reference may be reproduced.

Section 4. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Statement of Financial Disclosure" ANNUAL EBEC-SFD-101 (Rev. 05/2020)

(b) "Statement of Financial Disclosure" LEAVER EBEC-SFD-102 (Rev. 05/2020);

(c) "Statement of Financial Disclosure" NEW HIRE EBEC-SFD-103 (Rev. 05/2020); and

(d) "Statement of Financial Disclosure" CANDIDATE EBEC-SFD-104 (Rev. 05/2020).

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Executive Branch Ethics Commission, 1025 Capital Center Drive, Suite 104, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

  • RELATES TO: KRS 11A.010(7), (9), (13), 11A.050(2), (3)
  • STATUTORY AUTHORITY: KRS 11A.050(2), 11A.110(3), (4)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.110(3) and (4) require the Executive Branch Ethics Commission to promulgate administrative regulations to implement KRS Chapter 11A and to prescribe forms for statements required by this chapter. KRS 11A.050(2) requires the commission to prescribe the form for the statement of financial disclosure. This administrative regulation prescribes the form and incorporates it by reference.
  • History: 19 Ky.R. 2348; Am. 2611; eff. 6-7-1993; 21 Ky.R. 3059; 22 Ky.R. 273; 583; eff. 7-26-1995; 25 Ky.R. 883; eff. 1-19-99; 27 Ky.R. 2193; 2679; eff. 4-9-2001, 43 Ky.R. 997, 1367; eff. 3-3-2017; 45 Ky.R. 3439; 46 Ky.R. 405; eff. 9-6-2019; 47 Ky.R. 90; eff. 1-5-2021.
9 KAR 1:015 Preadministrative proceedings {#sec-9-kar-1-015 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:015}

Section 1. Definitions.

(1) "Commission" means the Executive Branch Ethics Commission created by KRS 11A.060.

(2) "Complaint" means the "complaint signed under penalty of perjury by any person" as stated in KRS 11A.080(1)(a) and does not include a referral of information to the commission that is provided without being under penalty of perjury.

Section 2. Complaint.

(1) A complaint shall state the:

(a) Full name and address of the:

  1. Complainant; and

  2. Complainant's attorney, if an attorney has been retained;

(b) Name of each person alleged to have violated KRS Chapter 11A;

(c) Employment of each alleged violator, if known;

(d) Alleged facts that are the basis of the complaint; and

(e) Statute alleged to have been violated, if known.

(2) The statement that the complaint is signed under penalty of perjury shall appear above the signature of the complainant.

(3) Appearing after the complainant's signature shall appear a line for a Notary Public to sign, the date of Notary Public signature, and the date of expiration of Notary Public commission.

(4) Appearing after the Notary Public's signature, the complainant's attorney, if any retained, shall sign the complaint.

(5) A complaint that does not contain the following shall not be accepted as properly filed with the commission:

(a) The signature of the complainant;

(b) The signature of a valid Notary Public;

(c) The name of a person alleged to have violated KRS Chapter 11A over which the commission maintains jurisdiction; and

(d) Facts that, if true, would indicate a violation of KRS Chapter 11A.

(6) The complaint shall be part of the records of a preliminary investigation pursuant to KRS 11A.080 and shall remain confidential pursuant to KRS 11A.080(2) until final action is taken by the commission pursuant to KRS 11A.100(3).

Section 3. Answer to Complaint.

(1) The documents specified in KRS 11A.080(1)(c) shall be sent, by certified mail, return receipt requested, at the last known address, or by personal service to the person alleged to have violated KRS Chapter 11A.

(2) Within twenty (20) days of receiving a copy of the complaint, a person against whom a complaint is filed may:

(a) File with the commission a written, signed response to the complaint; and

(b) Mail a copy of the response to the complainant.

(3) The answer, if any, shall be part of the records of the preliminary investigation pursuant to KRS 11A.080 and shall remain confidential pursuant to KRS 11A.080(2) until final action is taken by the commission pursuant to KRS 11A.100(3).

Section 4. Meeting During Preliminary Investigation.

(1) At any time during the course of a preliminary investigation pursuant to KRS 11A.080(1)(a), a person being investigated may:

(a) Request a meeting with the commission's attorney and the complainant, if any; and

(b) Have an attorney represent him at this meeting.

(2) The commission's attorney shall use reasonable efforts to schedule a meeting if one has been requested.

(3) This section shall not be construed to prohibit the commission's attorney, or an investigator acting on behalf of the commission, from initiating contact with the person being investigated, or the person's attorney, if he or she has retained counsel.

Section 5. Dismissal of Complaint.

(1) The commission may dismiss a complaint if it determines that the facts stated in the complaint, or facts known to the commission upon a preliminary investigation, fail to establish a violation of KRS Chapter 11A.

(2) The commission may dismiss a complaint if the complainant or his or her attorney at any time before the commission takes final action pursuant to KRS 11A.100(3), publicly reveals that the complaint has been filed with the commission or that the commission opened a preliminary investigation based upon the complaint, which may interfere with the preliminary investigation remaining confidential pursuant to the requirements of KRS 11A.080(2).

History

  • RELATES TO: KRS 11A.080, 11A.100
  • STATUTORY AUTHORITY: KRS 11A.110(3)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.110(3) requires the Executive Branch Ethics Commission to promulgate administrative regulations to implement KRS Chapter 11A. KRS 11A.080(1) requires the commission to investigate violations of KRS Chapter 11A, upon complaint or its own motion, and establishes procedures for the filing of complaints and commission investigations. This administrative regulation establishes procedures, not established in KRS 11A.080, relating to investigations.
  • History: 009 KAR 001:015. 21 Ky.R. 2566; 22 Ky.R. 25; eff. 7-6-1995; 25 Ky.R. 883; 1577; eff. 1-19-1999; 27 Ky.R. 2193; 2679; eff. 4-9-2001; 45 Ky.R. 376; eff. 10-24-2018; Crt eff. 9-18-2025.
9 KAR 1:025 Guidance on prohibited conduct and conflicts of interest {#sec-9-kar-1-025 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:025}

Section 1. Definitions.

(1) "Appointing authority" is defined by KRS 11A.010(16).

(2) "Commission" means the Executive Branch Ethics Commission.

(3) "Family" is defined by KRS 11A.010(4).

(4) "Matter" means any measurable case, litigation, decision, grant, proceeding, application, determination, contract, claim, investigation, charge, or legislative bill.

(5) "Public servant" is defined by KRS 11A.010(9).

Section 2. If a public servant engages in any of the following conduct, the commission may conduct an investigation in accordance with KRS 11A.080 of the conduct as a possible violation of KRS 11A.020 or KRS 11A.030:

(1) A public servant seeks employment or contracting services for himself or herself by the use or attempted use of the public servant's office or position other than merely stating the fact that he or she holds a particular position or office in an application for employment, a resume, or curriculum vitae other than as is provided for by KRS Chapter 11A;

(2) A public servant participates directly or uses his or her position to influence or attempt to influence a decision within the state agency for which the public servant works concerning any matter involving the public servant's family member or a person with which the public servant has a personal relationship;

(3) A public servant uses state time, equipment, personnel, facilities, or other state resources for private business purposes;

(4) A public servant uses state time, equipment, personnel, facilities, or other state resources for political campaign purposes;

(5) A public servant uses state time, equipment, personnel, facilities, or other state resources for personal, prurient interests;

(6) A public servant solicits, sells to, or otherwise engages in a financial transaction with an immediate subordinate or a person the employee directly supervises, or with a person or business that is doing business with or is regulated by the state agency by which the employee is employed, if the economic benefit to the public servant is greater than $100 in a single calendar year; or

(7) A public servant negotiates for future employment with a person or business that does business with or is regulated by the agency for which he or she works if the public servant is directly involved in matters regarding the prospective employer, unless the public servant abstains from direct involvement in matters regarding the prospective employer and the public servant discloses the abstention in writing to his or her appointing authority before entering into any form of negotiations for future employment subject to the provisions of KRS Chapter 11A.

History

  • RELATES TO: KRS 11A.010, 11A.020(1), 11A.030, 11A.080(1)
  • STATUTORY AUTHORITY: KRS 11A.110(3)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.020 provides prohibited conduct for public servants. KRS 11A.030 establishes how to determine whether a conflict of interest exists and provides procedures a public servant must follow to abstain when a conflict of interest does exist. KRS 11A.110(3) requires the Executive Branch Ethics Commission to promulgate administrative regulations to implement KRS Chapter 11A. This administrative regulation provides guidance to public servants concerning prohibited conduct and avoiding conflicts of interest.
  • History: 42 Ky.R. 2292; eff. 4-1-2016; Cert. eff. 2-23-2023.
9 KAR 1:030 Administrative proceedings {#sec-9-kar-1-030 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:030}

Section 1. Definitions.

(1) "Commission" means the Executive Branch Ethics Commission established by KRS 11A.060.

(2) "Commission secretary" means the employee of the commission designated pursuant to KRS 11A.070 to designate hearing officers.

(3) "Executive director" means the executive director appointed by the commission pursuant to KRS 11A.070.

(4) "Initiating order" means the document issued by the commission to initiate an administrative proceeding to determine whether there has been a violation as provided by KRS 11A.080(4)(b).

Section 2. Initiating Order.

(1) To initiate an administrative proceeding, the commission shall issue an initiating order to the alleged violator, who shall be referred to as the respondent during the course of the administrative proceeding.

(2) The initiating order shall:

(a) Be served on the respondent by certified mail, return receipt requested, or registered mail sent to the last known address of the respondent, or by personal service. Service by certified or registered mail shall be complete upon the date on which the commission receives the return receipt or the returned notice;

(b) Include the information required by KRS 13B.050(3), except for the information required in KRS 13B.050(3)(a) and (b);

(c) State that all material submitted to the commission by the respondent or his attorney shall be addressed to the commission;

(d) State the deadline for submitting an answer and the ramifications of failing to file an answer as provided in Section 4 of this administrative regulation; and

(e) State that the procedural schedule for the proceedings will be set by a subsequent order after the designation of a hearing officer.

Section 3. Answer.

(1) The respondent shall file a written answer to the initiating order with the commission within twenty (20) days of service of the initiating order.

(2) The answer shall be filed by the:

(a) Respondent, if he has not retained counsel; or

(b) Respondent's attorney, if he has retained counsel.

(3) The answer shall be signed by the respondent or by counsel for respondent.

(4) The respondent may request additional time in which to file an answer. The executive director may grant the respondent an additional twenty (20) days in which to file an answer.

(5) If the respondent requests additional time to file an answer beyond the additional twenty (20) days, the request shall be reviewed by the commission at its next regularly scheduled meeting. The commission may grant additional time to file an answer with good cause shown.

Section 4. Default. If the respondent fails to file a timely answer, then the commission may:

(1) Accept the failure to answer as an admission of the allegations in the initiating order;

(2) Find by clear and convincing evidence pursuant to KRS 11A.100(3) that the respondent has engaged in the alleged conduct in violation of KRS Chapter 11A;

(3) Enter a final order of default against the respondent; and

(4) Levy the appropriate possible penalty allowed under KRS 11A.100(3).

Section 5. Counsel.

(1) If a respondent has retained counsel, the attorney shall file an entry of appearance with the commission.

(2) If a respondent has retained counsel, notices, correspondence, and orders relating to the administrative proceeding shall thereafter be transmitted to the attorney instead of the respondent.

Section 6. Assignment of a Hearing Officer.

(1) If the respondent files a timely answer, then the commission shall designate a hearing officer.

(2) The commission shall designate a roster of hearing officers as provided by KRS 13B.030(2)(a) and as dictated by KRS Chapter 45A.

(3) A person qualified to serve as a hearing officer for the commission shall:

(a) Maintain the qualifications required by KRS 13B.040;

(b) Be an attorney in good standing with the Kentucky Bar Association or otherwise have approval by the Kentucky Bar Association to practice law in the Commonwealth of Kentucky;

(c) Demonstrate knowledge of KRS Chapter 11A by having served as an ethics officer, having previously served as a member or staff of the commission, or attending or participating in trainings offered by the commission on the requirements of KRS Chapter 11A;

(d) Not be a current member or staff of the commission; and

(e) Not be under the jurisdiction of the commission.

(4) Once the roster of hearing officers is established, the commission secretary shall randomly assign administrative proceedings initiated by the commission pursuant to KRS 11A.080(4)(b) to a hearing officer from the roster of hearing officers, unless otherwise directed by the commission.

Section 7. Hearing Officer.

(1) After the hearing officer is designated by the commission, the hearing officer shall within ten (10) days of the designation send notice to the parties of the date and time of the first telephonic prehearing conference.

(2) The hearing officer shall follow the requirements of KRS Chapter 13B for the conduct of administrative hearings, except as provided in KRS 11A.100 for the burden of proof where the higher standard of proof is required as dictated by KRS 13B.090(7).

Section 8. Settlement.

(1) At any time during the proceedings, the commission's counsel may enter into mediation or informal proceedings pursuant to KRS 13B.070 with the respondent.

(2) An agreed order or settlement reached through this process shall be reviewed by the commission and, upon approval by the commission, shall be signed by the commission and the respondent.

(3) The commission shall not approve a settlement that provides for the confidentiality of:

(a) The existence of the settlement; or

(b) Any of the terms of the settlement.

Section 9. Ex Parte Communications. Once an administrative proceeding has commenced, the commission, its executive director, commission counsel, the respondent, respondent counsel or other person acting on behalf of the respondent shall not initiate, participate in, or consider ex parte communications concerning the subject matter of a hearing or a related issue of fact or law, except upon notice and opportunity for all parties to participate.

Section 10. Record to be Maintained.

(1) The hearing shall be transcribed by a court stenographer or by means of electronic media, such as videotaping.

(2) A transcript or electronic media copy of the testimony taken during the hearing shall:

(a) Be kept by the commission;

(b) Be available to the respondent upon request and payment of the appropriate fee; and

(c) Be available to all commission members.

(3) Any documents or exhibits introduced into evidence shall be kept with the transcript or copy of the electronic media recording of the hearing or as ordered by the hearing officer.

History

  • RELATES TO: KRS 11A.080, 11A.100, 13B.030 - 13B.050, 13B.070, 13B.090
  • STATUTORY AUTHORITY: KRS 11A.080, 11A.100, 11A.110(3)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.080(4)(b) authorizes the commission to initiate an administrative hearing to determine whether there has been a violation of KRS Chapter 11A. KRS 11A.100(1)(a) exempts the commission from KRS 13B.030(2)(b). KRS 11A.100(1)(b) exempts the commission from KRS 13B.050(1), (2), and (3) when a party fails to file an answer or otherwise participate. KRS 11A.110(3) requires the commission to promulgate administrative regulations to implement KRS Chapter 11A. This administrative regulation establishes procedures to govern administrative proceedings, the designation of hearing officers for the commission, and when a party fails to participate in an administrative proceeding.
  • History: 009 KAR 001:030. 19 Ky.R. 2349; eff. 6-7-93; Am. 21 Ky.R. 2517; 22 Ky.R. 26; eff. 7-6-95; 25 Ky.R. 884; 1577; eff. 1-19-1999; 31 Ky.R. 376; 697; eff. 11-5-2004; 45 Ky.R. 377; eff. 10-24-2018; TAm eff. 4-2-2021; Crt eff. 9-18-2025.
9 KAR 1:040 Executive agency lobbyist, employer of executive agency lobbyist, and real party in interest registration and expenditure statements; financial transactions and termination forms; and enforcement {#sec-9-kar-1-040 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:040}

Section 1. Definitions.

(1) "Agent" means the "executive agency lobbyist" as defined by KRS 11A.201(8).

(2) "Commission" means the Executive Branch Ethics Commission.

(3) "Employer" is defined by KRS 11A.201(3).

(4) "Executive agency decision" is defined by KRS 11A.201(7).

(5) "Executive agency lobbyist" is defined by KRS 11A.201(8).

(6) "Filer" means the executive agency lobbyist, employer of the executive agency lobbyist, or real party in interest.

(7) "Real party in interest" is defined by KRS 11A.201(15).

Section 2. Initial Registration Statement.

(1) The initial registration statement required by KRS 11A.211(1) shall be filed on the Initial Registration Statement EBEC-EAL-201.

(2)

(a) The brief description of the executive agency decision shall include the subject matter for which an executive agency lobbyist:

  1. Has been engaged; or

  2. Is responsible.

(b) Subject matters shall include:

  1. An award of grant for social services;

  2. A lease for office space or equipment;

  3. A contract to provide food, clothing, or other consumable products;

  4. Any decisions made concerning the matters listed in KRS 11A.201(7)(a) through (f); and

  5. Any other subject matter.

Section 3.

(1) If a filer submitted the initial registration statement form to the commission, then during the proceeding July 1 through July 30 following the initial registration and each year thereafter, the updated registration form required by KRS 11A.211(2) shall be filed on the applicable Updated Registration Statement as follows:

(a) For the executive agency lobbyist on:

  1. The combined form EBEC-EAL-202; or

  2. EBEC-EAL-203;

(b) For the employer of the executive agency lobbyist on form EBEC-EAL-204; and

(c) For the real party in interest on form EBEC-EAL-205.

(2) The notice of termination required by KRS 11A.211(4) shall be filed on the Termination Notification as Executive Agency Lobbyist EBEC-EAL-206.

Section 4. Enforcement Procedure.

(1) If an executive agency lobbyist, an employer of an executive agency lobbyist, or a real party in interest has not filed an Updated Registration Statement on or before the date the statement is due, the commission shall notify the party, by certified mail, return receipt requested, that if the statement is not filed within fifteen (15) days of the date of the receipt of notice, the commission shall levy a fine, as provided by KRS 11A.990(5).

(2) If, by the 16th day after proof of service of the certified letter is received by the commission, the commission has not received the statement that was due by July 31, the commission shall prepare and issue to the executive agency lobbyist, employer, or real party in interest an order demanding payment of the appropriate fine as required by KRS 11A.990(5). The executive agency lobbyist, employer, or real party in interest shall pay the fine within ten (10) days from the date of the order. The commission shall exonerate or reduce the fine if the commission receives evidence during the ten (10) day fine payment period indicating the filer has already filed the updated registration statement, or that the delinquency is in error.

(3) The commission also may exonerate or reduce a fine for late filing of the updated registration statement if the commission feels that exoneration is warranted, based on the circumstances, such as illness or injury, bereavement, emergency, unforeseen circumstances beyond the control of the person, bona fide effort to file on time, or similar circumstance.

(4) If the commission is not in receipt of the fine from the executive agency lobbyist, employer, or real party in interest by the tenth day after issuance of the order demanding payment of the fine, the general counsel may recommend that the commission initiate an investigation of the executive agency lobbyist, employer, or real party in interest to determine if the failure to file was intentional causing the criminal penalties set forth in KRS 11A.990(6) to apply.

Section 5. Submission.

(1) The signature on the statements and forms required by this administrative regulation shall be:

(a) In blue or black ink; or

(b) Electronic.

(2) The forms required by this administrative regulation, which are filed with the commission, shall be submitted as follows:

(a) By hard copy via hand-delivery or U.S. Mail to the Commission's address;

(b) Electronically by facsimile to (502) 696-5091;

(c) Electronically by electronic mail to ethicsfiler@ky.gov; or

(d) Through an online system once established by the commission.

(3) The forms incorporated by reference in this administrative regulation may be reproduced by the executive agency lobbyist, the employer, or real party in interest.

Section 6. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Initial Registration Statement" - EBEC-EAL-201 (Rev. 05/2020);

(b) "Updated Registration Statement - Executive Agency Lobbyist" - EBEC-EAL-202 (Rev.05/2020);

(c) "Updated Registration Statement - Employer of Executive Agency Lobbyist" - EBEC-EAL-203 (Rev.05/2020);

(d) "Updated Registration Statement -Executive Agency Lobbyist/Employer Combined" - EBEC-EAL-204 (Rev.05/2020);

(e) "Updated Registration Statement - Real Party in Interest" - EBEC-EAL-205 (Rev.05/2020);

(f) "Termination Notification as Executive Agency Lobbyist" - EBEC-EAL-206 (Rev.05/2020); and

(g) "Commonwealth of Kentucky Registration Card Executive Agency Lobbyist", 9/93.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Executive Branch Ethics Commission, 1025 Capital Center Drive, Suite 104, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

  • RELATES TO: KRS 11A.201, 11A.211, 11A.216, 11A.221, 11A.231, 11A.233(1), 11A.236, 11A.241(4), (5), (6), 11A.990
  • STATUTORY AUTHORITY: KRS 11A.110(3), (4), 11A.241(4), (5)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.110(3) requires the Executive Branch Ethics Commission to promulgate administrative regulations to implement and prescribe forms for statements required by KRS Chapter 11A. KRS 11A.241(4) and (5) require the Executive Branch Ethics Commission to prescribe the initial registration statement, the updated registration statement, and the termination notice required by KRS 11A.211, the statement of expenditures required by KRS 11A.216, and the statement of financial transactions required by KRS 11A.221. This administrative regulation establishes the initial registration, financial transactions statements, expenditure statements, termination notice, and enforcement procedure.
  • History: 20 Ky.R. 868; 1567; eff. 12-6-1993; 21 Ky.R. 3060; 22 Ky.R. 273; 583; eff. 7-26-1995; 25 Ky.R. 1086; 1579; eff. 1-19-1999; 27 Ky.R. 2194; 2679; eff. 4-9-2001; 30 Ky.R. 661; 1193; eff. 12-5-2003; 33 Ky.R. 3031; 3330; eff. 6-1-2007; 43 Ky.R. 392; eff. 10-7-2016; 45 Ky.R. 3440; 46 Ky.R. 405; eff. 9-6-2019; 47 Ky.R. 91; eff. 1-5-2021.
9 KAR 1:050 Approval of outside employment of a public servant {#sec-9-kar-1-050 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:050}

Section 1.

(1) A public servant who requests approval of his appointing authority for outside employment shall submit a statement under oath to the appointing authority of his agency as follows: "I request approval of off-duty employment with (name of outside employer). As a (public servant's job title), I am not involved in the (name of state agency's) decisions concerning (name of outside employer). If the request is approved, I agree that if, in the future, I realize that I will be involved in such decisions, I will immediately notify (appointing authority) and take steps to avoid any conflict of interest."

(2) The public servant shall attach to this statement:

(a) The public servant's current P-1 personnel form or comparable form, if applicable, and job description, and the name, title and location of the public servant's immediate supervisor.

(b) The name and address of the outside employer; description of its type of business, ownership, and all its business and regulatory relationships with the appointing authority's agency; and a description of the public servant's off-duty job.

(c) An explanation of the specific factors which separate the public servant's state job from the agency's decisions concerning the outside employer.

Section 2. The appointing authority shall review the request and consider, including but not limited to, the following factors:

(1) The degree of separation between the public servant's state duties and decisions concerning the outside employer. Example: whether the public servant is involved with the awarding of contracts to or regulation of the outside employer.

(2) The public servant's level of supervisory or administrative authority, if any. Example: whether the public servant has ultimate responsibility for a decision concerning the outside employer, although he is not involved in the decision-making process.

(3) Whether the outside employment will interfere or conflict with the public servant's state employment duties.

(a) A conflict shall exist if a public servant cannot carry out an appropriate course of action for his agency because of responsibilities his outside employment would require.

(b) A conflict shall exist if the outside employment will materially interfere with the public servant's independent judgment in considering alternatives or courses of action that reasonably should be pursued in his state employment.

(4) The duration of the outside employment;

(5) Whether the outside employment would create an appearance of conflict of interest with state duties; and

(6) Whether the public servant is an auditor, inspector or other regulatory personnel of a division which is currently auditing, inspecting or reviewing or has scheduled an audit, inspection or review of the outside entity for which the public servant requests approval to work.

Section 3. The appointing authority shall consider the factors set forth in Section 2 of this administrative regulation and, if the appointing authority approves the outside employment request, certify in writing the following: "As appointing authority for the (agency), I certify that as a (public servant's job title), (public servant's name) is not involved in this agency's decisions concerning (outside employer); that his off-duty employment by (outside employer), in my opinion, will not create a real or perceived conflict of interest which would damage public confidence in government; and that I approve such off-duty employment."

Section 4. On January 15, April 15, July 15, and October 15 of each year, the appointing authority shall file with the Executive Branch Ethics Commission a list of all employees who have been approved for outside employment during the preceding quarter, along with the name of the outside employer of each.

History

  • RELATES TO: KRS 11A.040(9)
  • STATUTORY AUTHORITY: KRS 11A.040(10)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.040(9) requires the appointing authority to review administrative regulations established under KRS Chapter 11A when deciding whether to approve outside employment for a public servant.
  • History: 21 Ky.R. 1397; 1719; eff. 12-14-1994; 25 Ky.R. 887; 1580; eff. 1-19-1999; TAm eff. 9-12-2018; Crt eff. 1-28-2020.
9 KAR 1:060 Requirements relating to fundraising activities and charitable nonprofit organizations {#sec-9-kar-1-060 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:060}

Section 1. Definitions.

(1) "Affiliated" means a charitable nonprofit organization that:

(a)

  1. Engages in activities for the benefit of an agency; or

  2. Furthers the statutory or regulatory mandates of the agency through the use of contributions solicited from the public; and

(b) Is not established, created, or controlled by the agency.

(2) "Agency" is defined by KRS 11A.010(10).

(3) "Charitable nonprofit organization" means an entity or corporation:

(a) Described in 26 U.S.C. 501(c)(3);

(b) Granted tax exempt status under 26 U.S.C. 501(a); and

(c) That accepts charitable contributions.

(4) "Commission" is defined by KRS 11A.010(2).

(5) "Controlled" means that an agency or a public servant maintains control of a charitable nonprofit organization if at least one (1) of the following apply:

(a) Public servants of the agency serve as a majority of the officers for or represent a majority of the voting members of the governing board of the charitable nonprofit organization;

(b) The agency or the public servant selects, elects, appoints, or removes a majority of the officers or voting members of the governing board of the charitable nonprofit organization or a portion thereof;

(c) The agency provides on an ongoing basis staff, resources, or office space with no recompense from the charitable nonprofit organization to the agency unless otherwise authorized by statute or the staff, resources, or office space are provided pursuant to an agreement made in accordance with the provisions of KRS Chapter 45A; or

(d) The public servant directs the use of the funds of the charitable nonprofit organization or has signatory authority of the charitable nonprofit organization's accounts.

(6) "Created" means an agency or a public servant has filed articles of incorporation with the office of the Secretary of State to form the charitable nonprofit organization.

(7) "Established" means an agency or a public servant:

(a) Files documentation with the Internal Revenue Service to create the charitable nonprofit organization pursuant 26 U.S.C. 501(c); or

(b) Drafts bylaws or other governing documents under which a charitable nonprofit organization operates.

(8) "Public servant" is defined by KRS 11A.010(9).

(9) "Recompense" means payment by a charitable nonprofit organization to an agency either through monetary compensation or non-monetary consideration given in exchange for the value of rental or use of state-owned facilities, agency personnel, goods, resources, or services.

Section 2. For the purposes of this administrative regulation, A public servant shall be limited to an individual who is acting on behalf of a state agency in the course and scope of his or her state employment, unless otherwise authorized by statute.

Section 3. Category I.

(1) A charitable nonprofit organization controlled by an agency shall constitute a part of that agency.

(2) A charitable nonprofit organization under subsection (1) of this section shall be subject to the Executive Branch Code of Ethics, pursuant to KRS Chapter 11A.

(3) To ensure compliance with KRS 11A.045, a charitable nonprofit organization under subsection (1) of this section shall not accept confidential contributions.

(4) Public servants of an agency shall not solicit contributions to the charitable nonprofit organization under subsection (1) of this section if the agency is prohibited from accepting these contributions under KRS 11A.045.

Section 4. Category II.

(1) A Category II charitable nonprofit organization shall be an entity that is created or established, but not controlled, by an agency.

(2) A Category II charitable nonprofit organization may support similar goals of the agency and shall not be subject to the provisions of Section 3 of this administrative regulation if it does not provide funding directly or indirectly to the agency unless otherwise authorized by statute.

Section 5. Category III.

(1) A Category III charitable nonprofit organization shall be an entity that is not created, established, or controlled by an agency, but may be affiliated with an agency.

(2) A Category III charitable nonprofit organization shall not be subject to the provisions of Section 3 of this administrative regulation.

Section 6.

(1) Pursuant to KRS 11A.055, all funds raised by an agency or a public servant on behalf of a Category II or III charitable nonprofit organization shall be delivered to the charitable nonprofit organization or other statutorily authorized program. An agency involved in the fundraising effort shall not retain any funds.

(2) An agency or public servant shall not enter into a contract with an entity to raise funds for a Category II or III charitable nonprofit organization or program pursuant to KRS 11A.055 if the contract provides that the agency shall:

(a) Be paid out of the funds raised;

(b) Receive a commission based on funds raised; or

(c) Receive any portion of the funds to be delivered to the charitable organization or program.

(3) Except as provided in Section 7 of this administrative regulation, an agency may assign or permit a public servant to work on behalf of a Category II or III charitable nonprofit organization if:

(a) The public servant does not devote more than 100 hours per calendar year working on behalf of a Category II or III charitable nonprofit organization unless otherwise authorized by statute; and

(b) The agency determines in writing that these working hours are necessary to fulfill the statutory, regulatory, or programmatic mandates of the agency.

Section 7. An agency may devote state time and resources to any category charitable nonprofit organization without recompense from the charitable nonprofit organization if:

(1) These activities are conducted for a cooperatively sponsored event; and

(2) The event is conducted to further the statutory, regulatory, or programmatic mandates of the agency.

History

  • RELATES TO: KRS 11A.010, 11A.045, 11A.055
  • STATUTORY AUTHORITY: KRS 11A.055, 11A.110(3)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.110(3) authorizes the Executive Branch Ethics Commission to promulgate administrative regulations to implement KRS Chapter 11A. KRS 11A.055 authorizes state agencies or public servants to solicit and accept donations for charitable nonprofit organizations or for programs for crime prevention, drug and alcohol abuse prevention, or traffic safety. This administrative regulation establishes requirements relating to those fundraising activities and provides guidance related to the creation of charitable nonprofit organizations ensuring compliance with KRS 11A.045.
  • History: 31 Ky.R. 508; 697; eff. 11-5-2004; 43 Ky.R. 754, 1390, 1504; eff. 3-31-2017; Cert eff. 3-18-2024.
9 KAR 1:070 Standards of ethical conduct for transition team members and disclosure form {#sec-9-kar-1-070 omnilex-key=us-ky-regs-official--title-9--9 KAR 1:070}

Section 1. Definitions.

(1) "Agency" is defined by KRS 11A.047(1)(a).

(2) "Commission" means the Executive Branch Ethics Commission as established by KRS 11A.060.

(3) "Engage" is defined by KRS 6.611(13) and 11A.201(4).

(4) "Executive agency decision" is defined by KRS 11A.201(8).

(5) "Executive agency lobbying activity" is defined by KRS 11A.201(10).

(6) "Financial Impact" means to have an effect on the financial position of a person or business whether or not the impact is positive or negative.

(7) "Gift" is defined by KRS 11A.010(5).

(8) "Legislative matter" is defined by KRS 6.611(25).

(9) "Lobby" is defined by KRS 6.611(27).

(10) "Newly elected official" means a person elected to an office listed in KRS 11A.010(9)(a) to (g) who has not yet been sworn into office.

(11) "Nonpublic information" is defined by KRS 11A.047(1)(b).

(12) "Regular election" is defined by KRS 446.010(37).

(13) "Transition team" is defined by KRS 11A.047(1)(c).

(14) "Transition team lead" means a person designated by the newly elected official to manage the transition team on behalf of the newly elected official.

(15) "Transition team member" is defined by KRS 11A.047(1)(d).

(16) "Transition team end date" is the date of inauguration for the newly elected gubernatorial official or the swearing-in date for all other newly elected officials.

Section 2. Transition Team Member List.

(1) The commission shall notify the newly elected official of all disclosure requirements within five (5) business days of the date of the regular election.

(2) If the newly elected official decides to create a transition team as established in KRS 11A.047(2), then the newly elected official shall designate a transition team lead, as required by KRS 11A.047(4).

(3) The transition team lead shall file with the commission a Transition Team Members List form EBEC-302, as required by KRS 11A.047(4), within twenty (20) business days of the date of the regular election.

(4) The transition team lead shall:

(a) Ensure that the Transition Team Members List form EBEC-302 that is filed with the commission is current; and

(b) Notify the commission by filing an amended Transition Team Members List form EBEC-302 within five (5) days of any additions to or departures from the transition team until the transition team end date.

Section 3. Transition Team Member Disclosure.

(1) Prior to beginning service on a transition team, every transition team member shall file with the commission, as required by KRS 11A.047(7), a Transition Team Member Disclosure Statement form EBEC-303.

(2) The transition team member shall update the Transition Team Member Disclosure Statement form EBEC-303 filed with the commission within five (5) business days of any employment, business interest, or transition team assignment changes that would have a material effect on their originally filed Disclosure Statement form EBEC-303 until the transition team end date.

(3) The transition team member shall update the Transition Team Member Disclosure Statement form EBEC-303 filed with the commission within five (5) business days of the acceptance of any gift over twenty-five (25) dollars or acceptance of future employment as required by KRS 11A.047(7)(f) until the transition team end date.

(4) The transition team member shall update the Transition Team Member Disclosure Statement form EBEC-303 filed with the commission within five (5) business days of any new recusals required pursuant to KRS 11A.047(7)(h) until the transition team end date.

(5) The commission shall notify any transition team member who fails to file the Transition Team Member Disclosure Statement form EBEC-303 within ten (10) business days after beginning their initial service.

(6) If within ten (10) business days of receiving notice from the commission, the transition team member has failed to file the required Transition Team Member Disclosure Statement form EBEC-303, the commission shall send notice to the newly elected official and transition team leads that the transition team member should be removed from the transition team and discontinue all activities on behalf of the transition team until the form is filed.

Section 4. Standards of Ethical Conduct for Transition Teams.

(1) All transition team members shall:

(a) Comply with KRS 11A.047(5) and (6);

(b) Document in writing all state agencies where they may be granted access to nonpublic information obtained for purposes of the transition process;

(c) Recuse from any assignment with which they have a financial interest as established by KRS 11A.047(6)(a) through (g); and

(d) Ensure that their disclosures on file with the commission are accurate and current until the transition team end date.

(2) A recusal shall be documented on the Transition Team Member Disclosure Statement form EBEC-303 filed with the commission prior to beginning service on the transition team.

(3) A recusal after a member begins service on the transition team shall be documented by filing an updated Transition Team Member Disclosure Statement form EBEC-303 with the commission until the transition team end date.

Section 5. Current and Former Registered Lobbyists. All transition team members who are registered lobbyists under KRS 6.801 through 6.829 and KRS 11A.201 through 11A.246 or are former lobbyists who were registered under KRS 6.801 through 6.829 and KRS 11A.201 through 11A.246 during the twelve (12) month period prior to becoming a transition team member shall:

(1) Disclose his or her current or previous registration as a lobbyist during the twelve (12) months prior to becoming a transition team member on the Transition Team Member Disclosure Statement form EBEC-303 filed with the commission;

(2) Recuse from involvement in a decision-making capacity on the transition team from any executive agency decision or legislative matter that would have a financial impact on his or her executive agency lobbying activities or legislative lobbying engaged in during the previous twelve (12) months;

(3) Not use or reveal any nonpublic information he or she receives in his or her tenure as a transition team member in any current or future executive agency lobbying activity or legislative lobbying; and

(4) Not receive nonpublic information regarding matters that financially impact his or her clients for whom he or she was engaged to lobby.

Section 6. Submission. The forms required by this administrative regulation, which are filed with the commission, shall be submitted as follows:

(1) By hard copy via hand-delivery or U.S. Mail to the commission's address: Executive Branch Ethics Commission, 1025 Capital Center Drive, Suite 104, Frankfort, Kentucky 40601;

(2) Electronically by facsimile to (502) 696-5091; or

(3) Electronically by electronic mail to ethicsfiler@ky.gov.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Transition Team Members List" EBEC-302 (Rev. 01/2022); and

(b) "Transition Team Member Disclosure Statement" EBEC-303 (Rev. 01/2022).

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Executive Branch Ethics Commission, 1025 Capital Center Drive, Suite 104, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. The material incorporated by reference is also available on the commission's website at https://ethics.ky.gov/Pages/default.aspx.

History

  • RELATES TO: KRS 6.801 – 6.829, 11A.010, 11A.047, 11A.060, 11A.110, 11A.201 – 11A.246
  • STATUTORY AUTHORITY: KRS 11A.047, 11A.110(3), (4)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 11A.110(3) and (4) require the Executive Branch Ethics Commission to promulgate administrative regulations to implement KRS Chapter 11A and to establish forms for statements required by this chapter. KRS 11A.047(3), (4), and (7) require the commission to establish standards of ethical conduct for transition team members, prescribe a form for the transition team leaders to list the members of the transition team, and prescribe a disclosure form for the transition team members to submit to the commission. This administrative regulation establishes the standards of ethical conduct for transition team members and related forms.
  • History: 48 Ky.R. 2529, 2955; eff. 7-19-2022

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