Current through Register Vol. 51, No. 3, September 1, 2024
RELATES TO:
KRS
6.801 - 6.829, 11A.010, 11A.047, 11A.060,
11A.110, 11A.201 - 11A.246
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.
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.
STATUTORY AUTHORITY:
KRS
11A.047,
11A.110(3),
(4)
