Current through Register Vol. 50, No. 9, March 1, 2024
RELATES TO: KRS 6.611, 6.666, 6.686
NECESSITY, FUNCTION, AND CONFORMITY: KRS 6.666(5) requires the
commission to promulgate administrative regulations necessary to implement KRS 6.601 through 6.849. KRS 6.686 requires the commission to conduct a preliminary
inquiry into any alleged violation of KRS 6.601 through 6.849. This
administrative regulation establishes the requirements governing the
preliminary inquiry proceedings of the commission.
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.
STATUTORY AUTHORITY: KRS 6.666(5)