Kentucky Administrative Regulations
Title 9 - EXECUTIVE BRANCH ETHICS COMMISSION
Chapter 1 - Executive Branch Ethics Commission
Section 9 KAR 1:015 - Pre-administrative proceedings
Universal Citation: 9 KY Admin Regs Service 1:015
Current through Register Vol. 51, No. 3, September 1, 2024
RELATES TO: KRS 11A.080, 11A.100
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.
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).
STATUTORY AUTHORITY: KRS 11A.110(3)
Disclaimer: These regulations may not be the most recent version. Kentucky may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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