Current through Register Vol. 50, No. 9, March 1, 2024
RELATES TO: KRS 121.140, 121.180
NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g)
authorizes the Registry of Election Finance to promulgate administrative
regulations necessary to carry out KRS Chapter 121. This administrative
regulation establishes the procedure to be followed by the Registry of Election
Finance in processing complaints of alleged violations of campaign finance
law.
Section 1. Filing Requirements
for Complaints.
(1) A person who believes that
a violation of campaign finance law may have occurred or is about to occur may
file a complaint in writing with the general counsel, Registry of Election
Finance, 140 Walnut Street, Frankfort, Kentucky 40601.
(2) A complaint alleging a violation shall be
filed within one (1) year from the time the violation has occurred. If the
alleged practice is of a continuing nature, the date of the occurrence of the
practice shall be deemed to be any date subsequent to the commencement of the
practice until the date on which the practice has ceased, or the date on which
the complaint is filed. The registry may refer a complaint to the Office of the
Attorney General for potential criminal prosecution at any time.
(3) A complaint filed with the general
counsel shall comply with the following requirements:
(a) The complaint shall provide the full name
and address of the complainant.
(b)
The contents of the complaint shall be sworn to and signed in the presence of a
notary public and shall be duly notarized.
(c) The complaint shall state that statements
contained within it are based upon the complainant's personal knowledge and are
made under penalty of perjury.
(d)
The complaint shall clearly identify as a respondent each person or entity who
is alleged to have committed a violation or is about to commit a
violation.
(e) The complaint shall
contain a clear and concise recitation of the facts which support the
allegation of a violation of campaign finance law.
(f) The complaint shall be accompanied by
documentation supporting the allegations if the documentation is known by and
available to the complainant.
Section 2. Initial Complaint Processing;
Notification.
(1) Upon receipt of a complaint,
the general counsel shall review the complaint for substantial compliance with
the technical requirements of Section 1 of this administrative regulation. If
the complaint complies with those requirements, the general counsel shall,
within five (5) days after receipt of the complaint, notify each respondent
that the complaint has been filed, advise them of registry procedures, and
enclose a copy of the complaint and supporting documentation.
(2) If a complaint fails to comply with the
requirements of Section 1 of this administrative regulation, the general
counsel shall notify the complainant and person or entity identified as
respondents, within the five (5) day period specified in subsection (1) of this
section, that no action shall be taken on the basis of that complaint. A copy
of the complaint shall be enclosed with the notification to each respondent.
The notification shall include an explanation of the reasons the complaint
fails to comply.
Section
3. Responses.
(1) Within fifteen
(15) days of receiving a copy of the complaint, a respondent or respondent's
counsel may file:
(a) A written response to
the complaint, signed by the respondent or the respondent's counsel;
and
(b) An entry of appearance as
described in 32 KAR 2:020, Section 4, if the respondent has retained
counsel.
(2) The
registry shall not take action or make any finding against a respondent other
than action dismissing the complaint unless it has considered the response or
unless a response has not been served upon the registry within the fifteen (15)
day period prescribed in subsection (1) of this section.
Section 4. Reason to Believe Finding.
(1) Following either the expiration of the
fifteen (15) day period prescribed by Section 3 of this administrative
regulation, or receipt of a response from the respondent, whichever occurs
first, the general counsel shall determine if there is reason to believe that a
respondent may have violated or is about to violate campaign finance
law.
(2) If the general counsel
determines that there is reason to believe that a violation may have occurred
or is about to occur, an investigation shall commence as provided in 32 KAR 2:040, Section 1.
(3) If the
general counsel determines that there is no reason to believe that a violation
may have occurred or is about to occur, he or she shall recommend to the
registry that the complaint be dismissed. The registry shall determine whether
to accept or reject the general counsel's recommendation.
Section 5. Referrals.
(1) On the basis of information ascertained
by the registry in the normal course of performing its enforcement duties, or
on the basis or referral from an agency of the United States or of any state,
the general counsel may find reason to believe that a person or entity may have
committed or is about to commit a violation of campaign finance law and an
investigation shall commence as provided in 32 KAR 2:040, Section 1.
(2) If the general counsel finds reason to
believe that a violation may have occurred or is about to occur, the
notification to the respondent required by Section 2 of this administrative
regulation shall include a copy of a staff report setting forth the legal basis
for and the alleged facts which support the general counsel's
finding.
(3) No later than four (4)
days preceding each primary and general election, the registry shall publish
the names of all candidates appearing on the ballot who have failed to timely
file any report required by KRS 121.180(3)(a) for any reporting period since
the date of the last election.
Section 6. Reopening of Proceedings. After a
hearing and the issuance of a final order as provided in KRS 121.140 the
registry may, upon its own motion or upon application of any party or
intervening party, for good cause shown, or if justice so requires, reopen any
closed proceeding upon notice to all parties and intervenors, and may take the
action it deems necessary.
Section
7. Certification. The chairman or the executive director may
certify all documents or records which are a part of the files of the
registry.
STATUTORY AUTHORITY: KRS 121.120(1)(g)