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 a procedure for investigations into complaints or
internally generated matters and is necessary to ensure a consistent
procedure.
Section 1. Investigations.
(1) An investigation shall be conducted if
the general counsel finds reason to believe that a violation of a campaign
finance law may have occurred or is about to occur, or at the direction of the
registry if the general counsel's recommendation of dismissal is
rejected.
(2) In its investigation,
the registry may utilize the provisions of Sections 2 to 5 of this
administrative regulation. The investigation may include field investigations,
audits, and other methods of information gathering.
Section 2. Written Question Under Oath. The
registry may authorize its chairman or general counsel to issue an order
requiring any person to submit sworn written answers to written questions and
may specify a date by which the answers shall be submitted.
Section 3. Subpoenas; Depositions.
(1) The registry may authorize its chairman
or general counsel to issue subpoenas requiring the attendance and testimony of
any person by deposition or at a hearing. The registry may issue subpoenas
duces tecum for the production of documentary or other tangible evidence in
connection with an investigation, deposition, or a hearing.
(2) If oral testimony is ordered to be taken
by deposition or documents are ordered to be produced, the subpoena shall so
state and shall advise the deponent or person subpoenaed that all testimony
shall be given under oath. A deposition may be taken before any person having
the power to administer oaths.
(3)
The Kentucky Rules of Civil Procedure, Rule 30.05, shall govern the opportunity
to review and sign depositions taken pursuant to this section.
Section 4. Service of Subpoenas,
Orders, and Notifications.
(1) Service of a
subpoena, order, or notification upon a person named therein shall be made by
delivering a copy to that person in the manner prescribed by this
section.
(2) If service is to be
made upon a person who has advised the registry of representation by an
attorney, the service shall be made upon the attorney by any of the methods
specified in subsection (3) of this section and a copy shall be sent to the
individual.
(3)
(a) Delivery of subpoenas, orders, and
notifications to a natural person may be made by:
1. Handing a copy to the person;
2. Leaving a copy at the person's dwelling
place or usual place of abode with a person of suitable age and discretion
residing therein;
3. Mailing a copy
by registered or certified mail to the person's last known address;
or
4. Another method if actual
notice is given.
(b) If
the person to be served is not a natural person, delivery of subpoenas, orders,
and notifications may be made by:
1. Mailing a
copy by registered or certified mail to the person at its place of
business;
2. Handing a copy to a
registered agent for service, or to any officer, director, or agent in charge
of any office of the person;
3.
Mailing a copy by registered or certified mail to the representative at the
representative's last known address; or
4. Another method by which actual notice is
given.
Section
5. Motions to Quash or Modify a Subpoena.
(1) A person to whom a subpoena is directed
may, prior to the time specified therein for compliance, but no later than five
(5) days after the date of receipt of the subpoena, move the registry to quash
or modify the subpoena, accompanying the motion with a brief statement of the
reasons therefore. Motions to quash shall be filed with the general counsel,
Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky
40601.
(2) The registry may deny
the motion, quash the subpoena, or modify the subpoena.
(3) The person subpoenaed and the general
counsel may agree to change the date, time, or place of a deposition or the
conditions for the production of documents without affecting the force and
effect of the subpoena, but any modifications shall be confirmed in
writing.
Section 6.
Briefing Procedures.
(1)
(a) Upon completion of the investigation, the
general counsel shall make a report of the findings of the registry.
(b) If the registry determines that the
information obtained in the course of the investigation is insufficient to
support a finding of probable cause or to provide a basis for dismissal of the
action, it may direct the general counsel to prepare a brief setting forth his
or her position on the alleged factual and legal issues of the case.
(c) The registry may request the respondent
to appear to present additional information, or the respondent may request he
or she be allowed to present additional evidence.
(d) The decision as to whether the respondent
may present additional evidence shall be within the determination of the
registry.
(2) The
general counsel shall provide a copy of the brief to the respondent who may,
within fifteen (15) days of receipt of the general counsel's brief, file a
brief with the registry setting forth the respondent's position on the factual
and legal issues of the case.
Section
7. Probable Cause Finding; Notification.
(1) If the registry determines that there is
probable cause to believe that a respondent may have or is about to violate
campaign finance law, the general counsel shall notify the respondent and
complainant by letter.
(2) If the
registry finds no probable cause or otherwise orders a termination of its
proceedings, the general counsel shall notify respondent and complainant by
letter.
Section 8.
Noncompliance with Reporting Requirements; Probable Cause Determination.
(1) Prima facie evidence that probable cause
to believe that a violation has occurred exists and the general counsel and
executive director may immediately enter into conciliation negotiations with a
respondent if:
(a) Any person subject to the
provisions of KRS 121.180 fails to comply with any reporting requirement
contained in that section; or
(b)
Any candidate or slate of candidates does not revoke a request for exemption in
a timely manner as described in KRS 121.180(1)(b), making the candidate or
slate of candidates subject to the $500 penalty imposed in KRS 121.180(1)(k).
(2) A
candidate or slate of candidates shall be deemed to have not revoked a request
for exemption in a timely manner for purposes of subsection (1)(b) of this
section if:
(a) The candidate or slate of
candidates electronically files an amended Statement of Spending Intent beyond
the deadlines established in KRS 121.180; or
(b) Reports the receipt of contributions or
the expenditures of funds in excess of $3,000 once the time to amend the
Statement of Spending Intent has passed.
(3) The notice required by KRS 121.140(2)
shall be issued when the registry's staff concludes any applicable deadlines
related to the filing of required reports or revocation of a request for
exemption made under KRS 121.180(1)(b) have passed.
(4) A conciliation agreement pertaining to a
violation of KRS 121.180 shall not be binding upon either party until it is
signed by the respondent, the general counsel, and the executive director, and
approved by the registry.
STATUTORY AUTHORITY: KRS 121.120(1)(g)