KRS 11A.001 Short title for chapter
11A.001. Short title for chapter
This chapter may be cited as the "Executive Branch Code of Ethics."
Effective: July 14, 1992
History: Created 1992 Ky. Acts ch. 287, sec. 1, effective July 14, 1992.
EXECUTIVE BRANCH CODE OF ETHICS
KRS tit. III, ch. 11A
in effectKRS 11A.005 Statement of public policy
11A.005. Statement of public policy
(1) It is the public policy of this Commonwealth that a public servant shall work for the benefit of the people of the Commonwealth. The principles of ethical behavior contained in this chapter recognize that public office is a public trust and that the proper operation of democratic government requires that:
(a) A public servant be independent and impartial;
(b) Government policy and decisions be made through the established processes of government;
(c) A public servant not use public office to obtain private benefits; and
(d) The public has confidence in the integrity of its government and public servants.
(2) The principles of ethical behavior for public servants shall recognize that:
(a) Those who hold positions of public trust, and members of their families, also have certain business and financial interests;
(b) Those in government service are often involved in policy decisions that pose a potential conflict with some personal financial interest; and
(c) Standards of ethical conduct for the executive branch of state government are needed to determine those conflicts of interest which are substantial and material or which, by the nature of the conflict of interest, tend to bring public servants into disrepute.
Effective: July 14, 1992
History: Created 1992 Ky. Acts ch. 287, sec. 2, effective July 14, 1992.
KRS 11A.010 Definitions for chapter
11A.010. Definitions for chapter
As used in this chapter, unless the context otherwise requires:
(1) "Business" means any corporation, limited liability company, partnership, limited partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust, or any legal entity through which business is conducted, whether or not for profit;
(2) "Commission" means the Executive Branch Ethics Commission;
(3) "Compensation" means any money, thing of value, or economic benefit conferred on, or received by, any person in return for services rendered, or to be rendered, by himself or herself or another;
(4) "Family" means spouse and children, as well as a person who is related to a public servant as any of the following, whether by blood or adoption: parent, brother, sister, grandparent, grandchild, father-in-law, mother-in-law, brother-in-law, sister- in-law, son-in-law, daughter-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, half sister;
(5) "Gift" means a payment, loan, subscription, advance, deposit of money, services, or anything of value, unless consideration of equal or greater value is received; "gift" does not include gifts from family members, campaign contributions, the waiver of a registration fee for a presenter at a conference or training described in KRS 45A.097(5), or door prizes available to the public;
(6) "Income" means any money or thing of value received or to be received as a claim on future services, whether in the form of a fee, salary, expense allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, or any other form of compensation or any combination thereof;
(7) "Officer" means:
(a) All major management personnel in the executive branch of state government, including the secretary of the cabinet, the Governor's chief executive officers, cabinet secretaries, deputy cabinet secretaries, general counsels, commissioners, deputy commissioners, executive directors, executive assistants, policy advisors, special assistants, administrative coordinators, executive advisors, staff assistants, and division directors;
(b) Members and full-time chief administrative officers of: 1. The Parole Board; 2. Office of Claims and Appeals; 3. Board of Tax Appeals; 4. Board of Claims; 5. Crime Victims Compensation Board; 6. Kentucky Retirement Systems board of trustees; 7. Kentucky Teachers' Retirement System board of trustees; 8. The Kentucky Public Employees Deferred Compensation Authority board of trustees; 9. Public Service Commission; 10. Worker's Compensation Board and its administrative law judges; 11. The Kentucky Occupational Safety and Health Review Commission; 12. The Kentucky Board of Education; 13. The Council on Postsecondary Education; 14. County Employees Retirement System board of trustees; 15. Kentucky Public Pensions Authority; and 16. The Kentucky Horse Racing and Gaming Corporation;
(c) Salaried members of executive branch boards and commissions; and
(d) Any person who, through a personal service contract or any other contractual employment arrangement with an agency, performs on a full-time, nonseasonal basis a function of any major management position listed in this subsection;
(8) "Official duty" means any responsibility imposed on a public servant by virtue of his or her position in the state service;
(9) "Public servant" means:
(a) The Governor;
(b) The Lieutenant Governor;
(c) The Secretary of State;
(d) The Attorney General;
(e) The Treasurer;
(f) The Commissioner of Agriculture;
(g) The Auditor of Public Accounts;
(h) All employees in the executive branch including officers as defined in subsection (7) of this section and merit employees; and
(i) Any person who, through any contractual arrangement with an agency, is employed to perform a function of a position within an executive branch agency on a full-time, nonseasonal basis;
(10) "Agency" means every state office, cabinet, department, board, commission, public corporation, or authority in the executive branch of state government. A public servant is employed by the agency by which his or her appointing authority is employed, unless his or her agency is attached to the appointing authority's agency for administrative purposes only, or unless the agency's characteristics are of a separate independent nature distinct from the appointing authority and it is considered an agency on its own, such as an independent department;
(11) "Lobbyist" means any person employed as a legislative agent as defined in KRS 6.611(23) or any person employed as an executive agency lobbyist as d efined in KRS 11A.201(9);
(12) "Lobbyist's principal" means the entity in whose behalf the lobbyist promotes, opposes, or acts;
(13) "Candidate" means those persons who have officially filed candidacy papers or who have been nominated by their political party pursuant to KRS 118.105, 118.115, 118.325, or 118.760 for any of the offices enumerated in subsections (9)(a) to (g) of this section;
(14) "Does business with" or "doing business with" means contracting, entering into an agreement, leasing, or otherwise exchanging services or goods with a state agency in return for payment by the state, including accepting a grant, but not including accepting a state entitlement fund disbursement;
(15) "Public agency" means any governmental entity;
(16) "Appointing authority" means the agency head or any person whom he or she has authorized by law to act on behalf of the agency with respect to employee appointments;
(17) "Represent" means to attend an agency proceeding, write a letter, or communicate with an employee of an agency on behalf of someone else;
(18) "Directly involved" means to work on personally or to supervise someone who works on personally;
(19) "Sporting event" means any professional or amateur sport, athletic game, contest, event, or race involving machines, persons, or animals, for which admission tickets are offered for sale and that is viewed by the public;
(20) "Person" means an individual, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business or statutory trust, donative trust, estate, company, corporation, limited liability company, association, club, committee, organization, or group of persons acting in concert; and
(21) "Salaried" means receiving a fixed compensation or benefit reserved for full-time employees, which is paid on a regular basis without regard to the actual number of hours worked.
Effective: July 1, 2024
History: Amended 2024 Ky. Acts ch. 171, sec. 29, effective July 1, 2024. -- Amended 2021 Ky. Acts ch. 185, sec. 4, effective June 29, 2021; and ch. 200 sec. 5, effective June 29, 2021. -- Amended 2020 Ky. Acts ch. 79, sec. 11, effective April 1, 2021; and ch. 127, sec. 7, effective July 15, 2020. -- Amended 2019 Ky. Acts ch. 195, sec. 1, effective June 27, 2019. -- Amended 2018 Ky. Acts ch. 107, sec. 83, effective July 14, 2018. -- Amended 2017 Ky. Acts ch. 74, sec. 51, effective June 29, 2017; and ch. 175, sec. 3, effective June 29, 2017. -- Amended 2014 Ky. Acts ch. 75, sec. 11, effective July 15, 2014. -- Amended 2013 Ky. Acts ch. 106, sec. 1, effective June 25, 2013. -- Amended 2012 Ky. Acts ch. 75, sec. 1, effective April 11, 2012; and ch. 81, sec. 77, effective July 12, 2012. -- Amended 2005 Ky. Acts ch. 123, sec. 7, effective June 20, 2005. -- Amended 2003 Ky. Acts ch. 29, sec. 3, effective June 24, 2003. -- Amended 2000 Ky. Acts ch. 417, sec. 3, effective December 1, 2000; ch. 475, sec. 1, effective July 14, 2000; and ch. 542, sec. 5, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 429, sec. 1, effective July 15, 199 8; ch. 431, sec. 2, effective July 15, 1998; and ch. 602, sec. 1, effective July 15, 1998. -- Amended 1997 (1st Extra. Sess.) Ky. Acts ch. 1, sec. 149, effective May 30, 1997. -- Amended 1996 Ky. Acts ch. 362, sec. 6, effective July 15, 1996. -- Amended 1994 Ky. Acts ch. 406, sec. 7, effective July 15, 1994. -- Amended 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 71, effective September 16, 1993. -- Created 1992 Ky. Acts ch. 287, sec. 3, effective July 14, 1992.
Legislative Research Commission Note (6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section. Legislative Research Commission Note (12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission. Legislative Research Commission Note (12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.
KRS 11A.015 Agency exempt from chapter if law or administrative regulation creates its code of ethics
11A.015. Agency exempt from chapter if law or administrative regulation creates its code of ethics
An agency that is directed by statute to adopt a code of ethics shall be exempt from KRS Chapter 11A upon the effective date of an Act of the General Assembly creating the agency's code of ethics or upon the effective date of an administrative regulation that creates the agency's code of ethics.
Effective: July 14, 2000
History: Created 2000 Ky. Acts ch. 475, sec. 5, effective July 14, 2000.
KRS 11A.020 Public servant prohibited from certain conduct -- Exception -- Disclosure of personal or private interest
11A.020. Public servant prohibited from certain conduct -- Exception -- Disclosure of personal or private interest
(1) No public servant, by himself or through others, shall knowingly:
(a) Use or attempt to use his influence in any matter which involves a substantial conflict between his personal or private interest and his duties in the public interest;
(b) Use or attempt to use any means to influence a public agency in derogation of the state at large;
(c) Use his official position or office to obtain financial gain for himself or any members of the public servant's family; or
(d) Use or attempt to use his official position to secure or create privileges, exemptions, advantages, or treatment for himself or others in derogation of the public interest at large.
(2) If a public servant appears before a state agency, he shall avoid all conduct which might in any way lead members of the general public to conclude that he is using his official position to further his professional or private interest.
(3) When a public servant abstains from action on an official decision in which he has or may have a personal or private interest, he shall disclose that fact in writing to his superior, who shall cause the decision on these matters to be made by an impartial third party.
(4) The prohibitions imposed by subsection (1)(c) of this section shall not apply to Professional Golfers' Association class A members who teach golf lessons and receive a fee or lesson charge at golf courses owned and operated by the Kentucky Department of Parks. Instruction provided by an employee of the Commonwealth shall only be given while the employee is on his or her own personal time. The commissioner of the Department of Parks shall promulgate administrative regulations to establish guidelines for the process by which Professional Golfers' Association class A members are approved to teach golf lessons at Kentucky Department of Parks-owned golf courses. The exception granted by this subsection is in recognition of the benefits that will accrue to the Kentucky Department of Parks due to increased participation at state-owned golf courses.
Effective: July 15, 1998
History: Amended 1998 Ky. Acts ch. 381, sec. 1, effective July 15, 1998. -- Created 1992 Ky. Acts ch. 287, sec. 4, effective July 14, 1992.
KRS 11A.030 Considerations in determination to abstain from action on official decision -- Advisory opinion
11A.030. Considerations in determination to abstain from action on official decision -- Advisory opinion
In determining whether to abstain from action on an official decision because of a possible conflict of interest, a public servant should consider the following guidelines:
(1) Whether a substantial threat to his independence of judgment has been created by his personal or private interest;
(2) The effect of his participation on public confidence in the integrity of the executive branch;
(3) Whether his participation is likely to have any significant effect on the disposition of the matter;
(4) The need for his particular contribution, such as special knowledge of the subject matter, to the effective functioning of the executive branch; or
(5) Whether the official decision will affect him in a manner differently from the public or will affect him as a member of a business, profession, occupation, or group to no greater extent generally than other members of such business, profession, occupation, or group. A public servant may request an advisory opinion from the Executive Branch Ethics Commission in accordance with the commission's rules of procedure.
Effective: July 14, 1992
History: Created 1992 Ky. Acts ch. 287, sec. 5, effective July 14, 1992.
KRS 11A.040 Acts prohibited for public servant or officer -- Exceptions
11A.040. Acts prohibited for public servant or officer -- Exceptions
(1) A public servant, in order to further his or her own economic interests, or those of any other person, shall not knowingly disclose or use confidential information acquired in the course of his or her official duties.
(2) A public servant shall not knowingly receive, directly or indirectly, any interest or profit arising from the use or loan of public funds in his or her hands or to be raised through any state agency.
(3) A public servant shall not knowingly act as a representative or agent for the Commonwealth or any agency in the transaction of any business or regulatory action with himself or herself, or with any business in which he or she or a member of his or her family has any interest greater than five percent (5%) of the total value thereof.
(4) A public servant shall not knowingly himself or herself or through any business in which he or she owns or controls an interest of more than five percent (5%), or by any other person for his or her use or benefit or on his or her account, undertake, execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, entered into, awarded, or granted by the agency by which he or she is employed or which he or she supervises, subject to the provisions of KRS 45A.340. This provision shall not apply to:
(a) A contract, purchase, or good-faith negotiation made pursuant to KRS Chapter 416 relating to eminent domain; or
(b) Agreements which may directly or indirectly involve public funds disbursed through entitlement programs; or
(c) A public servant's spouse or child doing business with any state agency other than the agency by which the public servant is employed or which he or she supervises; or
(d) Purchases from a state agency that are available on the same terms to the general public or that are made at public auction; or
(e) Sales of craft items to a state park by interim state employees designated as craftspersons under KRS 148.257.
(5) A public servant shall not knowingly accept compensation, other than that provided by law for public servants, for performance of his or her official duties without the prior approval of the commission.
(6) A former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, within one (1) year of termination of his or her employment, knowingly by himself or herself or through any business in which he or she owns or controls an interest of at least five percent (5%), or by any other person for his or her use or benefit or on his or her account, undertake, execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, entered into, awarded, or granted by the agency by which he or she was employed. This provision shall not apply to a contract, purchase, or good -faith negotiation made under KRS Chapter 416 relating to eminent domain or to agreements that may directly or indirectly involve public funds disbursed through entitlement programs. This provision shall not apply to purchases from a state agency that are available on the same terms to the general public or that are made at public auction. This provision shall not apply to former officers of the Department of Public Advocacy whose continued representation of clients is necessary in order to prevent an adverse effect on the client.
(7) A present or former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, within one (1) year following termination of his or her office or employment, accept employment, compensation, or other economic benefit from any person or business that contracts or does business with, or is regulated by, the state in matters in which he or she was directly involved during the last thirty-six
(36) months of his or her tenure. This provision shall not prohibit an individual from returning to the same business, firm, occupation, or profession in which he or she was involved prior to taking office or beginning his or her term of employment, or for which he or she received, prior to his or her state employment, a professional degree or license, provided that, for a period of one (1) year, he or she personally refrains from working on any matter in which he or she was directly involved during the last thirty-six (36) months of his or her tenure in state government. This subsection shall not prohibit the performance of ministerial functions, including but not limited to filing tax returns, filing applications for permits or licenses, or filing incorporation papers, nor shall it prohibit the former officer or public servant from receiving public funds disbursed through entitlement programs.
(8) A former public servant shall not act as a lobbyist or lobbyist's principal in matters in which he or she was directly involved during the last thirty-six (36) months of his or her tenure for a period of one (1) year after the latter of:
(a) The date of leaving office or termination of employment; or
(b) The date the term of office expires to which the public servant was elected.
(9) A former public servant shall not represent a person or business before a state agency in a matter in which the former public servant was directly involved during the last thirty-six (36) months of his or her tenure, for a period of one (1) year after the latter of:
(a) The date of leaving office or termination of employment; or
(b) The date the term of office expires to which the public servant was elected.
(10) (a) Without the approval of his or her appointing authority, a public servant shall not accept outside employment from any person or business that does business with or is regulated by the state agency for which the public servant works or which he or she supervises, unless the outside employer's relationship with the state agency is limited to the receipt of entitlement funds.
(b) The appointing authority shall review administrative regulations established under KRS Chapter 11A when deciding whether to approve outside employment for a public servant.
(c) The appointing authority shall not approve outside employment for a public servant if the public servant is involved in decision-making or recommendations concerning the person or business from which the public servant seeks outside employment or compensation.
(d) The appointing authority, if applicable, shall file quarterly with the Executive Branch Ethics Commission a list of all employees who have been approved for outside employment along with the name of the outside employer of each.
(11) The prohibitions imposed by subsection (5) or (10) of this section shall not apply to Professional Golfers' Association class A members who teach golf lessons and receive a fee or lesson charge at golf courses owned and operated by the Kentucky Department of Parks. Instruction provided by an employee of the Commonwealth shall only be given while the employee is on his or her own personal time. The commissioner of the Department of Parks shall promulgate administrative regulations to establish guidelines for the process by which Professional Golfers' Association class A members are approved to teach golf lessons at Kentucky Department of Parks-owned golf courses. The exception granted by this subsection is in recognition of the benefits that will accrue to the Kentucky Department of Parks due to increased participation at state -owned golf courses.
(12) The prohibitions imposed by subsections (6) to (10) of this section shall not apply to members of the Kentucky Horse Racing and Gaming Corporation.
(13) (a) This section shall not be construed to prohibit employees of the Department of Agriculture who are not employed within the Kentucky Office of Agricultural Policy established in KRS 246.030 from participating in, applying for, or receiving funds, awards, or contracts administered by the Department of Agriculture through the Kentucky Office of Agricultural Policy.
(b) This subsection shall be retroactive to March 12, 2021.
Effective: March 27, 2025
History: Amended 2025 Ky. Acts ch. 102, sec. 2, effective Mar ch 27, 2025. -- Amended 2024 Ky. Acts ch. 171, sec. 30, effective July 1, 2024. -- Amended 2021 Ky. Acts ch. 200, sec. 6, effective June 29, 2021. -- Amended 2019 Ky. Acts ch. 74, sec. 1, effective June 27, 2019. -- Amended 2006 Ky. Acts ch. 68, sec. 1, effective July 12, 2006. -- Amended 2000 Ky. Acts ch. 417, sec. 4, effective December 1, 2000; and ch. 475, sec. 2, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 381, sec. 2, effective July 15, 1998; ch. 429, sec. 2, effective July 15, 1998; ch. 430, sec. 1, effective July 15, 1998; and ch. 602, sec. 2, effective July 15, 1998. -- Amended 1996 Ky. Acts ch. 367, sec. 1, effective July 15, 1996. -- Amended 1994 Ky. Acts ch. 434, sec. 3, effective July 15, 1994. – Created 1992 Ky. Acts ch. 287, sec. 6, effective July 14, 1992. Legislative Research Commission Note (3/27/2025). Under the authority of KRS 7.136(1), the reviser of statutes has corrected a formatting error in subsection (10) of this statute during codification. The words in the text were not c hanged. Legislative Research Commission Note (12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.
Legislative Research Commission Note (7/15/98). A reference to "KRS 11A.010(9)(a) to (i)" in the former subsection (6) of this statute (now subsection (7)) has been changed in codification to "KRS 11A.010(9)(a) to (h)" under KRS 7.136(1)(e) and (h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 11A.010(9) and renumbered the remaining subsections accordingly. Other actions within Acts Chapter 42 9 used the "(a) to (h)" range in new language and modified existing language to use the "(a) to (h)" range. It seems clear from context, and this has been confirmed by the drafter of the bill, that this change was intended here as well but was inadvertently overlooked.
KRS 11A.045 Acceptance of gifts by public servants permitted under certain circumstances
11A.045. Acceptance of gifts by public servants permitted under certain circumstances
(1) No public servant, his spouse, or dependent child knowingly shall accept any gifts or gratuities, including travel expenses, meals, alcoholic beverages, and honoraria, totaling a value greater than twenty-five dollars ($25) in a single calendar year from any person or business that does business with, is regulated by, is seeking grants from, is involved in litigation against, or is lobbying or attempting to influence the actions of the agency in which the public servant is employed or which he supervises, or from any group or association which has as its primary purpose the representation of those persons or businesses. Nothing contained in this subsection shall prohibit the commission from authorizing exceptions to this subsection where such exemption would not create an appearance of impropriety. This subsection shall not apply to:
(a) Activities involving sponsorships, naming rights, or similar honoraria granted under KRS 45A.097; or
(b) Individuals traveling on their own while involved in activities related to KRS 45A.097.
(2) Nothing in KRS Chapter 11A shall prohibit or restrict the allocation of or acceptance by a public servant of a ticket for admission to a sporting event if the ticket or admission is paid for by the public servant at face value or is paid for at face value by the individual to whom the ticket is allocated.
(3) Nothing in KRS 11A.001 to 11A.110 shall prohibit or restrict the acceptance by a public servant of the Cabinet for Economic Development or by any other public servant working directly with the cabinet on an economic incentive package of anything of economic value as a gift or gratuity, if the gift or gratuity:
(a) Was not solicited by the public servant;
(b) Was accepted by the public servant in the performance of his or her official duties and in compliance with guidelines to be established by the Kentucky Economic Development Partnership which shall include requirements that all gifts or gratuities of a reportable value under KRS 11A.050(3)(k) be registered with the Kentucky Economic Development Partnership and with the Executive Branch Ethics Commission and that all tangible property with a value in excess of twenty-five dollars ($25), other than food and beverages consumed on the premises, shall be turned over to the Cabinet for Economic Development within thirty (30) days of receipt. In filing reports of gifts or gratuities with the Executive Branch Ethics Commission, the Cabinet for Economic Development may delete information identifying the donors if the cabinet believes identification of the donors would damage economic development; and
(c) Was not accepted under circumstances which would create a violation of KRS Chapter 521.
Effective:June 29, 2017
History: Amended 2017 Ky. Acts ch. 175, sec. 4, effective June 29, 2017. -- Amended 2000 Ky. Acts ch. 475, sec. 3, effective July 14, 2000; and ch. 542, sec. 6, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 431, sec. 1, effective July 15, 1998. -- Created 1994 Ky. Acts ch. 450, sec. 36, effective July 15, 1994.
KRS 11A.047 Definitions -- Transition team to promote orderly transfer of executive power and continuity in conduct of state government -- Executive Branch Ethics Commission to establish in administrative regulations standards of ethical conduct for transition team members -- Access to and confidentiality of nonpublic information -- Disclosure of positions held outside state government
11A.047. Definitions -- Transition team to promote orderly transfer of executive power and continuity in conduct of state government -- Executive Branch Ethics Commission to establish in administrative regulations standards of ethical conduct for transition team members -- Access to and confidentiality of nonpublic information -- Disclosure of positions held outside state government
-- Financial conflicts of interest -- Standards of ethical conduct to be available on commission's Web site.
(1) As used in this section:
(a) "Agency" means any department, program cabinet, division, institution, board, commission, office, or agency of state government;
(b) "Nonpublic information" means information relating to state government that a transition team member obtains as part of his or her participation on the transition team that such member knows or reasonably should know has not been made available to the general public, or is otherwise not available for public inspection under KRS 61.870 to 61.884;
(c) "Transition team" means a team created by a person newly elected to any office listed in KRS 11A.010(9)(a) to (g) to promote the orderly transfer of executive power and ensure continuity in the conduct of the affairs of state government in connection with the expiration of the term of office for any person elected to the offices listed under KRS 11A.010(9)(a) to (g) and the election and inauguration of another person to serve in any of the offices listed in KRS 11A.010(9)(a) to (g); and
(d) "Transition team member" means any person designated to serve on a transition team.
(2) A person newly elected to any office listed in KRS 11A.010(9)(a) to (g) may create a transition team for the purpose of promoting an orderly transfer of executive power and ensuring continuity in the conduct of affairs of state government by requesting and utilizing information provided by the administration of the outgoing official that had been elected to any office listed in KRS 11A.010(9)(a) to (g) prior to the expiration of his or her term of office.
(3) The commission shall establish by administrative regulation promulgated under KRS Chapter 13A standards of ethical conduct for transition team members. The standards of ethical conduct for transition team members shall include ethics requirements that:
(a) Apply to all transition team members;
(b) Address the role of transition team members who are: 1. Registered lobbyists under KRS 6.801 to 6.829 and KRS 11A.201 to 11A.246; or 2. Former lobbyists who were registered under KRS 6.801 to 6.829 and KRS 11A.201 to 11A.246 during the twelve (12) month period prior to becoming a transition team member.
(4) Each person elected to an office listed in KRS 11A.010(9)(a) to (g) shall designate a person or persons to lead his or her transition team or transition teams. Persons designated as transition team leaders shall, on a form prescribed by the commission by administrative regulation promulgated under KRS Chapter 13A, submit to the commission:
(a) A list of all transition team members;
(b) A description of how transition team members will comply with the provisions contained within this section; and
(c) Any additions to or departures from the list of transition team members as necessary to provide an accurate and up-to-date list.
(5) A transition team member shall:
(a) Seek authorization from the transition team leader designated by the person elected to the office listed in KRS 11A.010(9)(a) to (g) to oversee the transition team to which the transition team member is assigned before seeking access to any nonpublic information as part of the transition process;
(b) Keep confidential any nonpublic information provided in the course of the duties of the transition team member with the transition team and exclusively use such information for the purposes of the transition; and
(c) Not use any nonpublic information provided in the course of transition duties, in any manner, for personal or private gain of the transition team member or any other party at any time during or after the transition.
(6) A transition team member shall not receive nonpublic information regarding matters that financially impact:
(a) The transition team member or his or her spouse;
(b) The transition team member's employer or his or her spouse's employer;
(c) The transition team member's lobbying clients;
(d) Any business in which the transition team member or his or her spouse is a board member;
(e) Any business in which the transition team member or his or her spouse is an officer;
(f) Any business in which the transition team member or his or her spouse is an owner of five percent (5%) or more of the business; or
(g) Any provider of non-state sources of funds received by the transition team member related to his or her transition team duties.
(7) Every transition team member shall disclose prior to serving on the transition team, and update as necessary during service on the transition team on a form prescribed by the commission by administrative regulation promulgated under KRS Chapter 13A:
(a) His or her current employer and the current employer of his or her spouse;
(b) Any business in which a transition team member or his or her spouse is a board member, an officer, or an owner of five percent (5%) or more of the business during the twelve (12) month period prior to becoming a transition team member;
(c) Any non-state sources of funds received for his or her services related to transition team duties;
(d) All positions the transition team member has held outside of state government for the twelve (12) month period prior to becoming a transition team member, including both paid and unpaid positions;
(e) Any contracts that the transition team member or his or her spouse has sought or received with state government during the twelve (12) month period prior to becoming a transition team member and affirmation that the transition team member and his or her spouse will not seek a contract with a state agency for which he or she received nonpublic information during the tenure of the administration;
(f) Whether the transition team member or his or her spouse has accepted any gift or payment exceeding twenty-five dollars ($25) or has accepted future employment from any party interested in seeking influence in state government during the twelve (12) month period prior to becoming a transition team member, or during service as a transition team member;
(g) A description of the transition team member's role in the transition, including a list of any policy issues on which the transition team member is expected to work, and a list of agencies with which the transition team member is expected to interact while serving on the transition team;
(h) Any issues from which each transition team member shall be recused while serving as a member of the transition team; and
(i) An affirmation that each transition team member does not have a financial conflict of interest that precludes transition team members from working on specified issues to which he or she has been assigned.
(8) The commission shall make the standards of ethical conduct for transition team members available to the public on its Web site.
Effective: June 29, 2021
History: Created 2021 Ky. Acts ch. 129, sec. 1, effective June 29, 2021.
KRS 11A.050 Financial disclosure by officers, candidates, and public servants
11A.050. Financial disclosure by officers, candidates, and public servants
(1) Each officer, each public servant listed in KRS 11A.010(9)(a) to (g), and each candidate shall file a statement of financial disclosure with the commission, as follows:
(a) Each officer shall file the statement within thirty (30) days of employment as an officer, and each officer who occupies his or her position during any portion of a calendar year shall file the statement for that portion of the calendar year he or she occupied the position on or before April 15 of the following year, whether or not he or she remains an officer;
(b) Each public servant listed in KRS 11A.010(9)(a) to (g) who occupies his or her position during any portion of a calendar year shall file the statement for that portion of the calendar year he or she occupied the position on or before April 15 of the following year, whether or not he or she remains a public servant as listed in KRS 11A.010(9)(a) to (g);
(c) Each officer and public servant listed in KRS 11A.010(9)(a) to (g) who does not remain an officer or public servant listed in KRS 11A.010(9)(a) to (g) for the entire calendar year shall file the statement for the portion of the calendar year that the person served as an officer or public servant listed in KRS 11A.010(9)(a) to (g). The statement shall be filed with the commission within thirty (30) days after the date the person no longer serves as an officer or public servant listed in KRS 11A.010(9)(a) to (g);
(d) A candidate shall file the statement reflecting the previous calendar year with the commission no later than February 15; and
(e) Each candidate elected to serve as a public servant in a position listed in KRS 11A.010(9)(a) to (g) shall, within ten (10) days of taking the oath of office for the position to which he or she was elected, file a statement of financial disclosure with the commission for the calendar year in which the election was held.
(2) The statement of financial disclosure shall be filed on a form prescribed by the commission. The commission shall provide copies of the form upon request without charge.
(3) The statement shall include the following information for the preceding calendar year:
(a) Name and entire residential and business address of filer;
(b) Title of position or office whereby filing is required;
(c) Any other occupations of filer and spouse;
(d) Positions held by the filer or his or her spouse in any business, and the name and address of the business;
(e) Name and address of any employer by whom the filer was employed for the one (1) year period immediately prior to becoming an officer, not including those listed in paragraph (d) of this subsection;
(f) Names and addresses of all businesses in which the filer, his or her spouse, or dependent children has or had an interest of ten thousand dollars ($10,000) at fair market value or five percent (5%) ownership interest or more;
(g) The name and address of any source of gross income exceeding one thousand dollars ($1,000) from any one (1) source to the filer, his or her spouse, or dependent child, as well as information concerning the nature of the business, and the form of the income;
(h) Any representation or intervention for compensation by the filer or his or her spouse for any person or business before a state agency for which the filer works or supervises or before any entity of state government for which the filer would serve in a decision-making capacity, including the name and address of the person or business;
(i) All positions of a fiduciary nature held by the filer or his or her spouse in a business, including the name and address of the business;
(j) Information, including a street address or location, regarding any real property in which there is an interest of ten thousand dollars ($10,000) or more held by the filer, his or her spouse, or dependent children;
(k) Sources, including each source's name and address, of gifts of money or property with a retail value of more than two hundred dollars ($200) from any one (1) source to the filer, his or her spouse, or dependent children, except those from a member of the filer's family;
(l) Identity, including an address, of creditors owed more than ten thousand dollars ($10,000), except debts arising from the purchase of consumer goods; and
(m) Names and addresses of family members of the filer or persons with whom the filer was engaged in a business who are registered as legislative agents under KRS 6.807 or executive agency lobbyists under KRS 11A.211. Paragraphs (a) to (m) of this subsection shall not require disclosure of specific dollar amounts or of privileged information.
Effective: June 29, 2021
History: Amended 2021 Ky. Acts ch. 129, sec. 2, effective June 29, 2021. -- Amended 2019 Ky. Acts ch. 74, sec. 2, effective June 27, 2019. -- Amended 2000 Ky. Acts ch. 417, sec. 5, effective December 1, 2000; and ch. 475, sec. 4, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 429, sec. 3, effective July 15, 1998. -- Amended 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 72, effective September 16, 1993. -- Created 1992 Ky. Acts ch. 287, sec. 7, effective July 14, 1992. Legislative Research Commission Note (12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.
Legislative Research Commission Note (7/15/98). A reference to "KRS 11A.010(9)(a) to (i)" in subsection (1) of this statute has been changed in codification to "KRS 11A.010(9)(a) to (h)" under KRS 7.136(1)(e) and (h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 11A.010(9) and renumbered the remaining subsections accordingly. Other actions within Acts Chapter 429, including in the section that amended this statute, used the "(a) to (h)" range in new language and modified existing language to use the "(a) to (h)" range. It seems clear from context, and this has been confirmed by the drafter of the bill, that this change was intended here as well but was inadvertently overlooked.
KRS 11A.055 Raising of funds for certain activities permitted -- Exemption from requirements of chapter for nonprofit charitable organization
11A.055. Raising of funds for certain activities permitted -- Exemption from requirements of chapter for nonprofit charitable organization
(1) Any provision of KRS Chapter 11A to the contrary notwithstanding, a state agency or a public servant may raise funds, either individually or as a department or agency, for a charitable nonprofit organization granted a tax exemption by the Internal Revenue Service under Section 501c of the Internal Revenue Code without violating the provisions of this chapter. Raising of funds shall include but not be limited to holding events for the benefit of the charitable organization, contacting potential donors, providing prizes, and engaging in other forms of fundraising and providing the funds thus raised to the charitable organization.
(2) Any provision of KRS Chapter 11A to the contrary notwithstanding, a state agency or a public servant may raise funds, either individually or as a department or agency, for crime prevention, drug and alcohol abuse prevention, tourism promotion, and traffic safety programs without violating the provisions of this chapter. Raising of funds shall include but not be limited to holding events for the benefit of a program specified in this section, contacting potential donors, providing prizes, and engaging in other forms of fundraising and providing the funds thus raised to the program.
(3) Any provision of KRS Chapter 11A to the contrary notwithstanding, any nonprofit charitable organization organized under 26 U.S.C. sec. 501(c)(3), affiliated with the Tourism, Arts and Heritage Cabinet, or whose purpose is the promotion of tourism in the Commonwealth:
(a) Shall not be subject to the provisions of this chapter;
(b) May benefit from cabinet employees working on its behalf without the employees violating the provisions of this chapter; and
(c) May make contributions to the cabinet after being solicited by cabinet employees without the employees violating the provisions of this chapter.
Effective:June 29, 2017
History: Amended 2017 Ky. Acts ch. 175, sec. 5, effective June 29, 2017. -- Created 2002 Ky. Acts ch. 290, sec. 2, effective April 9, 2002.
KRS 11A.060 Executive Branch Ethics Commission -- Membership -- Officers -- Compensation -- Removal -- Meetings
11A.060. Executive Branch Ethics Commission -- Membership -- Officers -- Compensation -- Removal -- Meetings
(1) The Executive Branch Ethics Commission is hereby established.
(2) The commission shall be composed of seven (7) members, two (2) of whom shall be appointed by the Governor. Each of the following shall appoint one (1) member of the commission:
(a) Treasurer;
(b) Auditor of Public Accounts;
(c) Commissioner of Agriculture;
(d) Secretary of State; and
(e) Attorney General.
(3) On July 14, 2022, the terms of the existing members of the commission shall terminate and seven (7) new initial members shall be appointed by the officials listed under subsection (2) of this section. Members of the commission shall serve staggered terms of four (4) years. Of the initial members appointed as provided in this section, one (1) member shall serve a term of one (1) year and shall be appointed by the Treasurer, one (1) member shall serve a term of two (2) years and shall be appointed by the Auditor of Public Accounts, two (2) members shall serve a term of three (3) years, one (1) of whom shall be appointed by the Governor and one (1) of whom shall be appointed by the Commissioner of Agriculture, and three (3) members shall be appointed for terms of four (4) years, one (1) of whom shall be appointed by the Governor, one (1) of whom shall be appointed by the Secretary of State, and one (1) of whom shall be appointed by the Attorney General. Thereafter, all appointments shall be for staggered terms of four (4) years.
(4) The commission shall every two (2) years elect from its membership a chair and vice chair. In the absence of the chair or in the event of a vacancy in that position, the vice chair shall serve as chair.
(5) A member of the commission shall receive one hundred dollars ($100) per day for attending meetings and shall be reimbursed for actual and necessary expenses incurred in the performance of duties.
(6) All members shall be registered voters of the state.
(7) Members of the commission shall be removed by the appointing authority who appointed him or her for cause only, including substantial neglect of duty and inability to discharge the powers and duties of office.
(8) A quorum shall consist of four (4) or more members. An affirmative vote of four (4) or more members shall be necessary for commission action.
(9) The commission shall meet at the call of the chair or a majority of its members.
(10) The commission shall be attached to the Finance and Administration Cabinet for administrative purposes only.
(11) The commission shall not be reorganized except by statute.
Effective: July 14, 2022
History: Amended 2022 Ky. Acts ch. 203, sec. 2, effective July 14, 2022. -- Amended 2009 Ky. Acts ch. 12, sec. 17, effective June 25, 2009. -- Amended 1998 Ky. Acts ch. 602, sec. 3, effective July 15, 1998. -- Amended 1994 Ky. Acts ch. 208, sec. 1, effective July 15, 1994. – Created 1992 Ky. Acts ch. 287, sec. 8, effective July 14, 1992.
KRS 11A.070 Executive director and employees of commission -- Use of services and facilities of state agencies
11A.070. Executive director and employees of commission -- Use of services and facilities of state agencies
The commission may employ an executive director and any other employees, agents, and consultants it considers necessary, and may prescribe their duties, fix their compensation, and provide for reimbursement of their expenses within the amount available therefor by appropriation. The commission may also engage outside professional counsel it considers necessary. The commission and its staff may also make use of the services and facilities of the office of the Attorney General or of any other state agency.
Effective: July 14, 1992
History: Created 1992 Ky. Acts ch. 287, sec. 9, effective July 14, 1992.
KRS 11A.080 Investigation of complaints -- Procedures -- Findings -- Resolution
11A.080. Investigation of complaints -- Procedures -- Findings -- Resolution
(1) (a) Upon a complaint signed under penalty of perjury by any person, or upon its own motion, the commission shall conduct a preliminary investigation of any alleged violation of this chapter.
(b) The preliminary investigation shall begin not later than ten (10) days after the next commission meeting following the receipt of the sworn complaint, or, if the investigation is initiated by the commission's own motion, not later than ten (10) days after the date of the adoption of the motion.
(c) Within ten (10) days of the commencement of the preliminary investigation, the commission shall forward a copy of the complaint, if one has been filed, or a statement of possible violations being investigated, and a general statement of the applicable law to the person alleged to have committed a violation.
(d) For each complaint filed by a person other than the commission or a member of the commission, the commission shall make a finding as to whether the complaint is: 1. Well-grounded in fact; 2. Warranted by existing law; and 3. Filed for a good-faith argument or reason and not for any improper purpose, such as for political advantage, to harass or embarrass a person or persons, to cause delays, or to increase the costs of adjudicating a case before the commission.
(2) All commission proceedings and records relating to a preliminary investigation shall be confidential until a final determination is made by the commission, except:
(a) The commission may turn over to the Attorney General, the United States Attorney, or the Commonwealth's attorney of the jurisdiction in which the offense allegedly occurred, evidence which may be used in criminal proceedings or, at its discretion, may at any time turn over to the Personnel Board, the Auditor of Public Accounts, or any other agency with jurisdiction to review, audit, or investigate the alleged offense, evidence which may be used by those agencies for investigative purposes;
(b) If the alleged violator publicly discloses the existence of a preliminary investigation, the commission may publicly confirm the existence of the inquiry and, in its discretion, make public any documents which were issued to either party;
(c) If the matter being investigated was referred to the commission from another state agency, the commission may inform the referring state agency of the status of any preliminary investigation and of any action taken on the matter.
(3) If the commission determines in the preliminary investigation that the facts are not sufficient to constitute a violation of this chapter, the commission shall immediately terminate the investigation and notify in writing the complainant, if any, and the person alleged to have committed a violation. The commission may confidentially inform the alleged violator of potential violations and provide information to ensure future compliance with the law. If the alleged violator publicly discloses the existence of such action by the commission, the commission may confirm the existence of the resolution and, in its discretion, make public any documents which were issued to the alleged violator.
(4) If the commission, during the course of the preliminary investigation, finds probable cause to believe that a violation of this chapter has occurred, the commission may, upon majority vote:
(a) Due to mitigating circumstances such as lack of significant economic advantage or gain by the alleged violator, lack of significant economic loss to the state, or lack of significant impact on public confidence in government, in writing, confidentially reprimand the alleged violator for potential violations of the law and provide a copy of the reprimand to the alleged violator's appointing authority, if any. If the alleged violator publicly discloses the existence of such an action, the commission may confirm the existence of the action and, in its discretion, make public any documents which were issued to the alleged violator; or
(b) Initiate an administrative proceeding to determine whether there has been a violation.
(5) If the commission determines that a violation of this chapter has occurred in a case involving a contract with state government, the secretary of the Finance and Administration Cabinet may void any contract related to that case.
(6) If the commission determines that a violation of the provisions of KRS 11A.001 to 11A.130 has occurred, an employer of a former officer or public servant may be subject to a fine of up to one thousand dollars ($1,000) for each offense.
Effective: July 14, 2022
History: Amended 2022 Ky. Acts ch. 203, sec. 3, effective July 14, 2022. -- Amended 2019 Ky. Acts ch. 74, sec. 3, effective June 27, 2019. -- Amended 2017 Ky. Acts ch. 162, sec. 1, effective June 29, 2017. -- Amended 2012 Ky. Acts ch. 34, sec. 1, effective July 12, 2012. -- Amended 2000 Ky. Acts ch. 475, sec. 6, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 603, sec. 1, effective July 15, 1998. -- Amended 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 73, effective September 16, 1993. -- Created 1992 Ky. Acts ch. 287, sec. 10, effective July 14, 1992.
KRS 11A.090 Subpoena power
11A.090. Subpoena power
For the purpose of carrying out a preliminary investigation, the commission may issue subpoenas to compel the attendance and testimony of witnesses or the production of documents, books, papers, or other records. Subpoenas may be issued by the chairman or the majority of the members of the commission and shall be served in the same manner as subpoenas for witnesses in civil cases. All provisions of law relative to subpoenas issued in such cases, including compensation of witnesses, shall apply to subpoenas issued by the commission. Upon petition by the commission, any Circuit Court within the jurisdiction of which any inquiry is being carried on may, in case of refusal to obey a subpoena or order of the commission, issue an order requiring compliance. Any failure to obey the order of the court may be punished by the court as contempt thereof.
Effective: July 15, 1996
History: Amended 1996 Ky. Acts ch. 318, sec. 14, effective July 15, 1996. -- Created 1992 Ky. Acts ch. 287, sec. 11, effective July 14, 1992.
KRS 11A.100 Procedures for administrative hearings -- Action by commission
11A.100. Procedures for administrative hearings -- Action by commission
(1) The provisions of KRS Chapter 13B shall apply to all commission administrative hearings, except for the provisions of:
(a) KRS 13B.030(2)(b);
(b) KRS 13B.050(1), (2), and (3) when a party fails to file an answer or otherwise participate; and
(c) KRS 13B.090(7).
(2) All administrative hearings of the commission carried out pursuant to the provisions of this section shall be public, unless the members vote to go into executive session in accordance with KRS 61.810.
(3) The commission, upon a finding pursuant to an administrative hearing that there has been clear and convincing proof of a violation of this chapter, may:
(a) Issue an order requiring the violator to cease and desist the violation; and
(b) Issue an order requiring the violator to file any report, statement, or other information as required by this chapter; and
(c) In writing, publicly reprimand the violator for potential violations of the law and provide a copy of the reprimand to the alleged violator's appointing authority, if any; and
(d) In writing, recommend to the violator's appointing authority that the violator be removed or suspended from office or employment, and include a recommendation for length of suspension, to be approved by the appointing authority, if any; and
(e) Issue an order requiring the violator to pay a civil penalty of not more than five thousand dollars ($5,000) for each violation of this chapter.
(4) In addition to any other remedies provided by law, any violation of this chapter which has substantially influenced the action taken by any state agency in any particular matter shall be grounds for voiding, rescinding, or canceling the action on such terms as the interests of the state and innocent third persons require.
(5) The commission shall refer to the Attorney General evidence of violations of KRS 11A.040 for prosecution. The Attorney General shall have responsibility for all prosecutions under the law and may request from the commission all evidence collected in its investigation. The commission may represent itself through the general counsel in all subsequent proceedings.
Effective: July 14, 2018
History: Amended 2018 Ky. Acts ch. 188, sec. 1, effective July 14, 2018. -- Amended 2000 Ky. Acts ch. 475, sec. 7, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 603, sec. 2, effective July 15, 1998. -- Amended 1996 Ky. Acts ch. 318, sec. 15, effective July 15, 1996. -- Created 1992 Ky. Acts ch. 287, sec. 12, effective July 15, 1996.
KRS 11A.110 Additional duties of commission
11A.110. Additional duties of commission
The commission shall perform the following additional duties:
(1) On its own initiative or upon a signed request in writing, issue and publish advisory opinions on the requirements of this chapter for those who wish to use the opinion to guide their own conduct. If requested in writing by the person seeking the advisory opinion, the commission shall not release that person's name;
(2) Provide a continuing program of education, assistance, and information to public servants, including, but not limited to, publishing and making available to the persons subject to this chapter and the public explanatory information concerning this chapter, the duties imposed by it, and the means of enforcement;
(3) Promulgate administrative regulations in accordance with KRS Chapter 13A to implement this chapter, including, if required by the commission, electronic filing of disclosure statements by executive agency lobbyists, their employers, or real parties in interest;
(4) Prescribe forms for statements required by this chapter and furnish the forms to persons required to file the statements. The forms shall be adopted as administrative regulations or adopted by reference in an administrative regulation;
(5) Prepare and publish a manual of guidelines setting forth uniform methods of reporting for use by persons required to file under this chapter;
(6) Accept and file any information voluntarily supplied that exceeds the requirements of this chapter;
(7) Preserve the disclosure statements filed with it for four (4) years from the date of receipt;
(8) Make statements and reports filed with the commission available for public inspection and copying pursuant to KRS 61.870 to KRS 61.884 (Kentucky Open Records Law);
(9) Compile and maintain a current index of all statements filed with the commission to facilitate public access to the reports and statements;
(10) Prepare and publish reports as it may deem appropriate;
(11) Audit statements and reports filed with the commission;
(12) Make recommendations for legislation relating to governmental ethics and other matters included in this chapter as the commission deems desirable; and
(13) Prepare a biennial written report, no later than December 1 of each odd-numbered year, to the Legislative Research Commission, the Governor, and the public on the activities of the commission in the preceding two (2) fiscal years. The report shall contain the names and duties of each individual employed by the commission and a summary of commission determinations and advisory opinions. The commission shall prevent disclosure of the identity of a person involved in decisions or advisory opinions. The report may contain other information on matters within the commission's jurisdiction and recommendations for legislation as the commission deems desirable.
Effective: June 27, 2019
History: Amended 2019 Ky. Acts ch. 74, sec. 4, effective June 27, 2019. -- Amended 1998 Ky. Acts ch. 429, sec. 4, effective July 15, 1998. -- Created 1992 Ky. Acts ch. 287, sec. 13, effective July 14, 1992.
KRS 11A.120 Employment of public servant by state institution of higher education
11A.120. Employment of public servant by state institution of higher education
Nothing in KRS 11A.001 to 11A.110 shall prohibit or restrict a public servant from accepting outside employment in a state institution of higher education as long as that outside employment does not interfere or conflict with the public servant's state employment duties. Nothing in this section shall prohibit or restrict a present or former public servant from accepting employment with a state institution of higher education immediately following termination of his office or employment in another state agency.
Effective: July 14, 1992
History: Created 1992 Ky. Acts ch. 287, sec. 14, effective July 14, 1992.
KRS 11A.130 Employment of officer or public servant in privatized agency by agency's operator
11A.130. Employment of officer or public servant in privatized agency by agency's operator
Nothing in this chapter shall be construed to prohibit an officer or public servant employed by an agency that is privatized from accepting employment from the person or business which is operating that agency if the officer or public servant was not involved in making the decision to privatize or in developing the provisions of the privatization contract.
Effective: July 15, 1998
History: Amended 1998 Ky. Acts ch. 492, sec. 6, effective July 15, 1998. -- Created 1994 Ky. Acts ch. 434, sec. 2, effective July 15, 1994.
KRS 11A.201 Definitions for KRS 11A.201 to 11A.246 and KRS 11A.990. (Effective April 1, 2021)
11A.201. Definitions for KRS 11A.201 to 11A.246 and KRS 11A.990. (Effective April 1, 2021)
As used in KRS 11A.201 to 11A.246 and KRS 11A.990:
(1) "Compensation" means any money, thing of value, or economic benefit conferred on, or received by, any person in return for services rendered, or to be rendered, by himself or another;
(2) (a) "Expenditure" means any of the following that is made to, or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or a member of the staff of any of the officials listed in this paragraph: 1. A payment, distribution, loan, advance, deposit, reimbursement, or gift of money, real estate, or anything of value, including, but not limited to, food and beverages, entertainment, lodging, transportation, or honoraria; 2. A contract, promise, or agreement to make an expenditure; or 3. The purchase, sale, or gift of services or any other thing of value.
(b) "Expenditure" does not include a contribution, gift, or grant to a foundation or other charitable organization that is exempt from federal income taxation under Section 501(c)(3) of the Internal Revenue Code. "Expenditure" does not include the purchase, sale, or gift of services or any other thing of value that is available to the general public on the same terms as it is available to the persons listed in this subsection. "Expenditure" does not include a payment, contribution, gift, purchase, or any other thing of value that is made to or on behalf of any elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of the officials listed in this paragraph who works for a state agency for which the executive agency lobbyist is not registered to influence;
(3) "Employer" means any person who engages an executive agency lobbyist;
(4) "Engage" means to make any arrangement, and "engagement" means arrangement, whereby an individual is employed or retained for compensation to act for or on behalf of an employer to influence executive agency decisions or to conduct any executive agency lobbying activity;
(5) "Financial impact" means to have an effect on the financial position of the employer of the executive agency lobbyist or the real party in interest whether or not the impact is positive or negative;
(6) (a) "Financial transaction" means a transaction or activity that is conducted or undertaken for profit and arises from the joint ownership, or the ownership, or part ownership in common of any real or personal property or any commercial or business enterprise of whatever form or nature between the following: 1. An executive agency lobbyist, his or her employer, a real party in interest, or a member of the immediate family of the executive agency lobbyist, his or her employer, or a real party in interest; and 2. Any elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of the officials listed in this subparagraph.
(b) "Financial transaction" does not include any transaction or activity described in paragraph (a) of this subsection if it is available to the general public on the same terms;
(7) "Executive agency" means the office of an elected executive official, a cabinet listed in KRS 12.250, or any other state agency, department, board, or commission controlled or directed by an elected executive official or otherwise subject to his or her authority. "Executive agency" does not include any court or the General Assembly;
(8) "Executive agency decision" means a decision of an executive agency regarding the expenditure of funds of the state or of an executive agency with respect to the award of a contract, grant, lease, or other financial arrangement under which those funds are distributed or allocated. This shall also include decisions made concerning:
(a) The parameters of requests for information, and requests for proposals, and other forms of solicitation in KRS Chapter 45A or 176;
(b) Drafting, adopting, or implementing a budget provision;
(c) Administrative regulations or rules;
(d) An executive order; or
(e) Legislation or amendments thereto;
(9) (a) "Executive agency lobbyist" means any person engaged to influence executive agency decisions or to conduct executive agency lobbying activity as one (1) of his or her main purposes regarding a substantial issue, including associations, coalitions, or public interest entities formed for the purpose of promoting or otherwise influencing executive agency decisions. The term "executive agency lobbyist" shall also include placement agents and unregulated placement agents.
(b) "Executive agency lobbyist" does not include an elected or appointed officer or employee of a federal or state agency, state college, state university, or political subdivision who attempts to influence or affect executive agency decisions in his or her fiduciary capacity as a representative of his or her agency, college, university, or political subdivision;
(10) (a) "Executive agency lobbying activity" means contacts made to promote, advocate, or oppose the passage, modification, defeat, or executive approval or veto of any legislation or otherwise influence the outcome of an executive agency decision by direct communication with an elected executive official, the secretary of any cabinet listed in KRS 12.250, any executive agency official whether in the classified service or not, or a member of the staff of any one (1) of the officials listed in this paragraph.
(b) "Executive agency lobbying activity" does not include any of the following: 1. The action of any person having a direct interest in executive agency decisions, if the person acting under Section 1 of the Kentucky Constitution, assembles together with other persons for their common good, petitions any person listed in paragraph (a) of this subsection for the redress of grievances or other proper purposes; 2. Contacts made for the sole purpose of gathering information contained in a public record; 3. Appearances before public meetings of executive agencies; 4. News, editorial, and advertising statements published in newspapers, journals, or magazines, or broadcast over radio or television; 5. The gathering and furnishing of information and news by bona fide reporters, correspondents, or news bureaus to news media described in subparagraph 4. of this paragraph; 6. Publications primarily designed for, and distributed to, members of bona fide associations or charitable or fraternal nonprofit corporations; 7. Professional services in preparing executive agency decisions, preparing arguments regarding executive agency decisions, or in advising clients and rendering opinions regarding proposed or pending executive agency decisions, if the services are not otherwise connected to lobbying; or 8. Public comments submitted to an executive agency during the public comment period on administrative regulations or rules;
(11) "Executive agency official" means an officer or employee of an executive agency whose principal duties are to formulate policy or to participate directly or indirectly in the preparation, review, or award of contracts, grants, leases, or other financial arrangements with an executive agency;
(12) "Aggrieved party" means a party entitled to resort to a remedy;
(13) "Elected executive official" means the Governor, Lieutenant Governor, Secretary of State, Auditor of Public Accounts, State Treasurer, Attorney General, and Commissioner of Agriculture;
(14) "Person" means an individual, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business or statutory trust, donative trust, estate, company, corporation, limited liability company, association, club, committee, organization, or group of persons acting in concert;
(15) "Staff" means any employee of the office of the Governor, or a cabinet listed in KRS 12.250, whose official duties are to formulate policy and who exercises administrative or supervisory authority, or who authorizes the expenditure of state funds;
(16) "Real party in interest" means the person or entity on whose behalf an executive agency lobbyist is acting, if that person or entity is not the employer of the executive agency lobbyist;
(17) "Substantial issue" means contacts which are intended to influence a decision that involves one or more disbursements of state funds in an amount of at least five thousand dollars ($5,000) per year, or any budget provision, administrative regulation or rule, or legislative matter that financially impacts the executive agency lobbyist or his or her employer;
(18) "Placement agent" means an individual or firm who is compensated or hired by an employer or other real party in interest for the purpose of influencing an executive agency decision regarding the investment of the Kentucky Retirement Systems, the County Employees Retirement System, or the Kentucky Teachers' Retirement System assets; and
(19) "Unregulated placement agent" means a placement agent who is prohibited by federal securities laws and regulations promulgated thereunder from receiving compensation for soliciting a government agency.
Effective: April 1, 2021
History: Amended 2020 Ky. Acts ch. 79, sec. 12, effective April 1, 2021; and ch. 127, sec. 8, effective July 15, 2020. -- Amended 2019 Ky. Acts ch. 74, sec. 5, effective June 27, 2019. -- Amended 2013 Ky. Acts ch. 106, sec. 2, effective June 25, 2013. -- Amended 2012 Ky. Acts ch. 75, sec. 2, effective April 11, 2012. -- Amended 2000 Ky. Acts ch. 417, sec. 6, effective December 1, 2000. -- Amended 1996 Ky. Acts ch. 172, sec. 1, effective July 15, 1996. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 45, effective September 16, 1993.
Legislative Research Commission Note (4/1/2021). This statute was amended by 2020 Ky. Acts chs. 79 and 127, which do not appear to be in conflict and have been codified together. Legislative Research Commission Note (12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.
KRS 11A.206 Requirements for executive agency lobbyists, their employers, and real parties in interest
11A.206. Requirements for executive agency lobbyists, their employers, and real parties in interest
(1) An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to register as required under KRS 11A.211.
(2) An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to keep a receipt or maintain a record that KRS 11A.216 requires the person to keep or maintain.
(3) An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to file a statement that KRS 11A.216 requires the person to file.
Effective: July 15, 1996
History: Amended 1996 Ky. Acts ch. 172, sec. 2, effective July 15, 1996. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 46, effective September 16, 1993.
KRS 11A.211 Registration statements for executive agency lobbyists, their employers, and real parties in interest -- Fee -- Trust and agency account for commission operations -- Relationship of registration to state contracts
11A.211. Registration statements for executive agency lobbyists, their employers, and real parties in interest -- Fee -- Trust and agency account for commission operations -- Relationship of registration to state contracts
(1) Each executive agency lobbyist, employer, and real party in interest shall file with the commission within ten (10) days following the engagement of an executive agency lobbyist, an initial registration statement showing all of the following:
(a) The name, business address, and occupation of the executive agency lobbyist;
(b) The name and business address of the employer and of any real party in interest on whose behalf the executive agency lobbyist is acting, if it is different from the employer. However, if a trade associat ion or other charitable or fraternal organization that is exempt from federal income taxation under Section 501(c) of the Internal Revenue Code is the employer, the statement need not list the names and addresses of every member of the association or organization, so long as the association or organization itself is listed;
(c) A brief description of the executive agency decision to which the engagement relates;
(d) The name of the executive agency or agencies to which the engagement relates;
(e) Certification by the employer and executive agency lobbyist that the information contained in the registration statement is complete and accurate;
(f) Compensation paid to, or received by, each executive agency lobbyist, employer, and real party in interest as part of the engagement; and
(g) Certification that the employer and agent have complied with KRS 11A.236.
(2) In addition to the initial registration statement required by subsection (1) of this section, each executive agency lobbyist, employer, and real party in interest shall file with the commission, not later than the last day of July of each year, an updated registration statement that confirms the continuing existence of each engagement described in an initial registration statement, that lists the specifi c executive agency decisions the executive agency lobbyist sought to influence under the engagement during the period covered by the updated statement, and the compensation paid to, or received by, each executive agency lobbyist, employer, and real party i n interest as part of the engagement, and with it any statement of expenditures required to be filed by KRS 11A.216 and any details of financial transaction required to be filed by KRS 11A.221.
(3) Compensation paid under subsection (1)(f) of this section shall be reported after it is received by, or paid to, each executive agency lobbyist, employer, and real party in interest as determined by the terms of the engagement, and shall be listed by the amount paid or received, the intervals on which the payment is paid or received, and shall include any other compensation received or paid as part of the engagement.
(4) If an executive agency lobbyist is engaged by more than one (1) employer, the executive agency lobbyist shall file a separate initial and updated registration statement for each engagement and list compensation paid to, or received by each executive agency lobbyist, employer, and real party in interest as part of the engagement. If an employer engages more than one (1) executive agency lobbyist, the employer shall file only one (1) updated registration statement under subsection (2) of this section, which shall contain the information required by subsection (2) of this section regarding all executive agency lobbyists engaged by the employer.
(5) (a) A change in any information required by subsection (1)(a), (b), (c), (d), or (2) of this section shall be reflected in the next updated registration statement filed under subsection (2) of this section.
(b) Within thirty (30) days following the termination of an engagement, the executive agency lobbyist who was employed under the engagement shall file written notice of the termination with the commission.
(6) Each employer of one (1) or more executive agency lobbyists, and each real party in interest, shall pay a registration fee of seven hundred fifty dollars ($750) upon the filing of an updated registration statement. All fees collected by the commission under the provisions of this subsection shall be deposited in the State Treasury in a trust and agency fund account to the credit of the commission. These agency funds shall be used to supplement general fund appropriations for the operations of the commission and shall not lapse. No part of the trust and agency fund account shall revert to the general funds of this state.
(7) Upon registration pursuant to this section, an executive agency lobbyist shall be issued a card annually by the commission showing the executive agency lobbyist is registered. The registration card shall be valid from the date of its issuance through the thirty-first day of July of the following year.
(8) The commission shall review each registration statement filed with the commission under this section to determine if the statement contains all of the required information. If the commission determines the registration statement does not contain all of the required information or that an executive agency lobbyist, employer, or real party in interest has failed to file a registration statement, the commission shall send written notification of the deficiency by certified mail to the person who filed the registration statement or to the person who failed to file the registration statement regarding the failure. Any person so notified by the commission shall, not later than fifteen (15) days after receiving the notice, file a registration statement or an amended registration statement that includes all of the required information. If any person who receives a notice under this subsection fails to file a registration statement or an amended registration statement within the fifteen (15) day period, the commission may initiate an investigation of the person's failure to file. If the commission initiates an investigation pursuant to this section, the commission shall also notify each elected executive official and the secretary of each cabinet listed in KRS 12.250 of the pending investigation.
(9) In the biennial report published under KRS 11A.110(13), the commission shall, in the manner and form the commission determines, include a report containing statistical information on the registration statements filed under this section during the preceding biennium.
(10) If an employer who engages an executive agency lobbyist, or a real party in interest on whose behalf the executive agency lobbyist was engaged is the recipient of a contract, grant, lease, or other financial arrangement pursuant to which funds of the state or of an executive agency are distributed or allocated, the executive agency or any aggrieved party may consider the failure of the real party in interest, the employer, or the executive agency lobbyist to comply with this section as a breach of a material condition of the contract, grant, lease, or other financial arrangement.
(11) Executive agency officials may require certification from any person seeking the award of a contract, grant, lease, or financial arrangement that the person, his or her employer, and any real party in interest are in compliance with this section.
Effective: July 15, 2026
History: Amended 2026 Ky. Acts ch. 161, sec. 92, effective July 15, 2026. -- Amended 2020 Ky. Acts ch. 127, sec. 9, effective July 15, 2020. -- Amended 2019 Ky. Acts ch. 74, sec. 6, effective June 27, 2019. -- Amended 2017 Ky. Acts ch. 162, sec. 2, effective June 29, 2017. -- Amended 2006 Ky. Acts ch. 18, sec. 1, effective July 12, 2006. -- Amended 2000 Ky. Acts ch. 542, sec. 1, effective July 14, 2000. -- Amended 1996 Ky. Acts ch. 172, sec. 3, effective July 15, 1996. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 47, effective September 16, 1993.
KRS 11A.216 Statements of expenditures
11A.216. Statements of expenditures
(1) Each executive agency lobbyist, employer, and real party in interest shall file with the commission, with the updated registration statement required by KRS 11A.211(2), a statement of expenditures as specified in subsections (2) and (3) of this section. An executive agency lobbyist shall file a separate statement of expenditures under this section for each employer engaging him.
(2) (a) In addition to the information required by paragraph (b) of this subsection, a statement filed by an executive agency lobbyist shall show the total amount of expenditures made by the lobbyist during the reporting period covered by the statement by the executive agency lobbyist.
(b) 1. If, during a fiscal year, the real party in interest, the employer or any executive agency lobbyist he engaged made expenditures to or on behalf of a particular elected executive official, the secretary of a cabinet listed in KRS 12.250, a particular executive agency official, or a particular member of the staff of any of those officials, the real party in interest, employer, or executive agency lobbyist also shall state the name of the official or employee on whose behalf the expenditures were made, the total amount of the expenditures made, a brief description of the expenditures made, and the approximate date the expenditures were made. 2. Expenditures shall be reported on the expenditure statement for the reporting period that includes the date on which the expenditure was made.
(3) (a) In addition to the information required by subsection (2)(b) of this section, a statement filed by a real party in interest or an employer shall show the total amount of expenditures during the period covered by the statement. As used in this subsection, "expenditures" does not include the expenses of maintaining office facilities or support services for executive agency lobbyists.
(b) An employer or real party in interest shall not be required to show any expenditure on a statement filed under this subsection if the expenditure is reported on a statement filed under subsection (2)(a) or (b) of this section by an executive agency lobbyist engaged by the employer.
(4) Any statement required to be filed under this section shall be filed at the times specified in KRS 11A.211. Each statement shall cover expenditures made during the prior fiscal year.
(5) If it is impractical or impossible for an executive agency lobbyist, employer, or real party in interest to determine exact dollar amounts or values of expenditures, reporting of good faith estimates, based on reasonable accounting procedures, constitutes compliance with this section.
(6) Executive agency lobbyists, employers, and real parties in interest shall retain receipts or maintain records for all expenditures that are required to be reported pursuant to this section. These receipts or records shall be maintained for a period ending on the thirtieth day of June of the second fiscal year after the year in which the expenditure was made.
(7) At least ten (10) days before the date on which the statement is filed, each employer, executive agency lobbyist, or real party in interest who is required to file an expenditure statement under subsection (2)(b) of this section shall deliver a copy of the statement, or the portion showing the expenditure, to the official or employee who is listed in the statement as having received the expenditure or on whose behalf it was made.
Effective: July 14, 2000
History: Amended 2000 Ky. Acts ch. 542, sec. 2, effective July 14, 2000. -- Amended 1996 Ky. Acts ch. 172, sec. 4, effective July 15, 1996. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 48, effective September 16, 1993.
KRS 11A.221 Statements of financial transactions
11A.221. Statements of financial transactions
(1) Any executive agency lobbyist who has had any financial transaction with, or for the benefit of, an elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211(2). Each statement shall describe each financial transaction that occurred during the prior fiscal year.
(2) Except as provided in subsection (5) of this section, any employer who has had any financial transaction with or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211(2). The statement shall be filed at the times specified in KRS 11A.211. Each statement shall describe each financial transaction that occurred during the prior fiscal year.
(3) Except as provided in subsection (6) of this section, any real party in interest who has had any financial transaction with or for the benefit of any elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211(2). The statement shall be filed at the times specified in KRS 11A.211. Each statement shall describe each financial transaction that occurred during the prior fiscal year.
(4) At least ten (10) days before the date on which the statement is filed, each employer, executive agency lobbyist, or real party in interest who is required to file a statement describing a financial transaction under this section shall deliver a copy of the statement to the official or employee with whom or for whose benefit the transaction was made.
(5) An employer shall not be required to file any statement under this section or to deliver a copy of the statement to an official or employee with whom or for whose benefit the transaction was made if the financial transaction to which the statement pertains is reported by an executive agency lobbyist engaged by the employer.
(6) A real party in interest shall not be required to file any statement under this section or to deliver a copy of the statement to an official or employee with whom or for whose benefit the transaction was made if the financial transaction to which the statement pertains is reported by an executive agency lobbyist who is acting on behalf of the real party in interest.
Effective: July 14, 2000
History: Amended 2000 Ky. Acts ch. 542, sec. 3, effective July 14, 2000. -- Amended 1996 Ky. Acts ch. 172, sec. 5, effective July 15, 1996. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 49, effective September 16, 1993.
KRS 11A.226 Dispute resolution with respect to statements of expenditures and statements of financial transactions
11A.226. Dispute resolution with respect to statements of expenditures and statements of financial transactions
(1) If a dispute arises between an elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of those officials and a real party in interest, an employer, or an executive agency lobbyist with respect to an expenditure or financial transaction alleged in a statement to be filed under KRS 11A.216 or 11A.221, the official, employee, real party in interest, employer, or executive agency lobbyist may file a complaint with the commission. The commission shall investigate the complaint.
(2) The complaint shall be filed at least three (3) days prior to the time the statement is required to be filed with the commission. The time for filing a disputed expenditure or financial transaction in any statement of expenditures or the details of a financial transaction shall be extended pending the final decision of the commission. This extension does not extend the time for filing the nondisputed portions of either type of statement. The commission shall notify the parties of its final decision by certified mail. If the commission decides the disputed expenditure or financial transaction should be reported, the employer, a real party in interest, or the executive agency lobbyist shall include the matter in an amended statement and file the amended statement not later than ten (10) days after receiving notice of the decision of the commission by certified mail.
(3) An employer, executive agency lobbyist, or real party in interest who files a false statement of expenditures or details of a financial transaction is liable in a civil action to any official or employee who sustains damage as a result of the filing or publication of the statement.
Effective: July 15, 1996
History: Amended 1996 Ky. Acts ch. 172, sec. 6, effective July 15, 1996. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 50, effective September 16, 1993.
KRS 11A.231 Activities excepted from KRS 11A.211 and 11A.216
11A.231. Activities excepted from KRS 11A.211 and 11A.216
(1) KRS 11A.211 and 11A.216 do not apply to efforts to influence executive agency decisions or conduct executive agency lobbying activity by any of the following:
(a) Appearances at public hearings of the committees or interim committees of the General Assembly, at court proceedings, at rule-making or adjudication proceedings, or at other public meetings;
(b) News, editorial, and advertising statements published in newspapers, journals, or magazines, or broadcast over radio or television;
(c) The gathering and furnishing of information and news by bona fide reporters, correspondents, or news bureaus to news media described in subsection (1)(b) of this section; or
(d) Publications primarily designed for and distributed to members of associations or charitable or fraternal nonprofit corporations.
(2) Nothing in KRS 11A.201 to 11A.246 requires the reporting of, or prohibits an elected executive official from soliciting or accepting, a contribution from or an expenditure by any person if the contribution or expenditure is reported in accordance with KRS Chapter 121.
Effective: March 16, 2005
History: Amended 2005 Ky. Acts ch. 105, sec. 15, effective March 16, 2005. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 51, effective September 16, 1993.
KRS 11A.233 Influencing decision on award of economic incentive package -- Disclosure statement by beneficiary
11A.233. Influencing decision on award of economic incentive package -- Disclosure statement by beneficiary
(1) For purposes of KRS 11A.201 to 11A.246, the term "executive agency lobbyist" does not include a person acting to promote, oppose, or otherwise influence the outcome of a decision of the Cabinet for Economic Development or any board or authority within or attached to that cabinet relating to the issuance or award of a bond, grant, lease, loan, assessment, incentive, inducement, or tax credit pursuant to KRS 42.4588, 103.210, Chapter 154, or Chapter 224A, or otherwise relating to any other component of an economic incentive package.
(2) Notwithstanding subsection (1), before any board or authority within or attached to the Cabinet for Economic Development takes final action on any contract or agreement by which any bond, grant, lease, loan, assessment, incentive, inducement, or tax credit is awarded, the beneficiary of an economic incentive package shall file with the approving board or authority a disclosure statement which shall contain:
(a) The identity of the beneficiary of an economic incentive package and any person employed to act on its behalf in its dealings with the Cabinet for Economic Development or any board or authority within or attached to that cabinet regarding the matters to which the contract or agreement refers; and
(b) The details of any financial transaction as defined in KRS 11A.201(6)(a) between the beneficiary or any other person listed as an employee or agent of the beneficiary as required by paragraph (a) of this subsection and any agent or public servant of the Cabinet for Economic Development, any member of any board or authority within or attached to that cabinet, or any other public servant involved in the negotiation of the economic incentive package.
(3) After final action by the board or authority, the Cabinet for Economic Development shall file the disclosure statement described in subsection (2) of this section with the Executive Branch Ethics Commission, but the cabinet may delete information identifying the beneficiary of the economic-incentive package if the cabinet believes that identification would damage economic development.
(4) No beneficiary of an economic incentive package as referred to in this section shall engage any person to influence decisions of the Cabinet for Economic Development or the approving board or authority for compensation that is contingent in any way on the outcome of the decisions of the cabinet or the approving board or authority regarding contracts or agreements specified in subsection (2) of this section, and no person shall accept any engagement to influence these decisions or conduct lobbying activities related to these decisions for compensation that is contingent in any way on the outcome of the decisions of the cabinet or the approving board or authority regarding these contracts or agreements.
(5) Subsection (4) of this section does not prohibit, and shall not be construed to prohibit, any person from compensating that person's sales employees pursuant to any incentive compensation plan, such as commission sales, if the incentive compensation plan is the same plan used to compensate similarly-situated sales employees who are not engaged by the beneficiary of an economic incentive package in activities and functions referred to in this section.
Effective: July 15, 2020
History: Amended 2020 Ky. Acts ch. 127, sec. 10, effective July 15, 2020. -- Created 1994 Ky. Acts ch. 450, sec. 37, effective July 15, 1994.
KRS 11A.236 Prohibition against lobbying on a contingency basis -- Exception for incentive compensation plans and placement agents. (Effective April 1, 2021)
11A.236. Prohibition against lobbying on a contingency basis -- Exception for incentive compensation plans and placement agents. (Effective April 1, 2021)
(1) Except as provided in subsection (2) of this section, no person shall engage any persons to influence executive agency decisions or conduct executive agency lobbying activity for compensation that is contingent in any way on the outcome of an executive agency decision, including payment based on the awarding of a contract or payment of a percentage of a government contract awarded, and no person shall accept any engagement to influence executive agency decisions or conduct executive agency lobbying activity for compensation that is contingent in any way on the outcome of an executive agency decision, including payment based on the awarding of a contract or payment of a percentage of a government contract awarded. An employer who pays an executive agency lobbyist based on the awarding of a contract or payment of a percentage of a government contract awarded shall be barred from doing business with the Commonwealth for a period of five (5) years from the date on which such a payment is revealed to the Executive Branch Ethics Commission.
(2) Subsection (1) of this section does not prohibit, and shall not be construed to prohibit:
(a) Any person from compensating his or her sales employees pursuant to an incentive compensation plan, such as commission sales, if the incentive compensation plan is the same plan used to compensate similarly situated sales employees who are not executive agency lobbyists; or
(b) Any person from engaging a placement agent to influence investment decisions of the Kentucky Retirement Systems, County Employees Retirement System, and the Kentucky Teachers' Retirement System for compensation that is contingent on the outcome of investment decisions by the retirement systems' boards of trustees. The provisions of this paragraph shall not apply to unregulated placement agents.
Effective: April 1, 2021
History: Amended 2020 Ky. Acts ch. 79, sec. 13, effective April 1, 2021. -- Amended 2019 Ky. Acts ch. 74, sec. 7, effective June 27, 2019. -- Amended 2012 Ky. Acts ch. 75, sec. 3, effective April 11, 2012. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 52, effective September 16, 1993.
Legislative Research Commission Note (4/11/2012). The phrase "board of trustees" in subsection (2)(b) of this statute has been changed in codification to "boards of trustees." This manifest clerical or typographical error has been corrected by the Reviser of Statutes under the authority of KRS 7.136(1).
KRS 11A.241 Commission's duties with respect to executive agency lobbying
11A.241. Commission's duties with respect to executive agency lobbying
(1) The commission shall keep on file the statements required by KRS 11A.211, 11A.216, and 11A.221. These statements are public records and open to public inspection, and the commission shall computerize them so the information contained in them is readily accessible to the general public. The commission shall provide copies of the statements to the public on request and may charge a reasonable fee not to exceed the cost of copying and delivering the statement.
(2) Not later than the last day of August of each year, the commission shall compile from the registration statements filed with it a complete and updated list of registered executive agency lobbyists and their employers, and real parties in interest and distribute the list to each elected executive branch official and the secretary of each cabinet listed in KRS 12.250, who shall distribute the list to the appropriate personnel under their jurisdiction. The commission shall provide copies of the list to the public upon request and may charge a reasonable fee not to exceed the cost of copying and delivering the list.
(3) The commission shall maintain a list of all executive agency lobbyists. The commission shall provide copies of the list to the public on request and may charge a reasonable fee not to exceed the cost of copying and delivering the document.
(4) The commission shall prescribe and make available an appropriate form for the filings required by KRS 11A.211, 11A.216, and 11A.221. The form shall contain the following notice in boldface type: "ANY PERSON WHO KNOWINGLY FILES A FALSE STATEMENT IS IN VIOLATION OF STATE LAW AND SUBJECT TO FINES AND OTHER PENALTIES."
(5) Any rules adopted by the commission to implement KRS 11A.201 to 11A.246 shall be adopted by administrative regulations promulgated in accordance with KRS Chapter 13A.
(6) The commission shall publish a handbook that explains in clear and concise language the provisions of KRS 11A.201 to 11A.246 and make it available free of charge to executive agency lobbyists, employers, real parties in interest, and any other interested persons.
Effective: July 14, 2000
History: Amended 2000 Ky. Acts ch. 542, sec. 4, effective July 14, 2000. -- Amended 1996 Ky. Acts ch. 172, sec. 7, effective July 15, 1996. -- Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 53, effective September 16, 1993.
KRS 11A.246 Authorization for compliance investigations by Attorney General and his designees
11A.246. Authorization for compliance investigations by Attorney General and his designees
The Attorney General and any assistant or special counsel designated by him may investigate compliance with KRS 11A.201 to 11A.246.
Effective: September 16, 1993
History: Created 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 54, effective September 16, 1993.
KRS 11A.990 Penalties -- Time limitation on prosecution for violation of KRS 11A.040
11A.990. Penalties -- Time limitation on prosecution for violation of KRS 11A.040
(1) Any person who violates KRS 11A.040 shall be guilty of a Class D felony. In addition:
(a) The judgment of conviction for a violation of KRS 11A.040(2) shall recite that the offender is disqualified to hold office thereafter; and
(b) Any person who violates KRS 11A.040(1) to (5) shall be judged to have forfeited any employment, or constitutional or statutory office he holds, provisions of KRS Chapter 18A to the contrary notwithstanding.
(2) Any officer, public servant, or candidate required to file a statement of financial disclosure under KRS 11A.050 who does not file the statement by a date specified in that section shall have his salary withheld from the first day of noncompliance until he shall have completed the action required by law. The amount withheld shall be deducted from his overall pay and allowances and shall be recoverable upon the filing of the statement of financial disclosure. The commission may grant a reasonable extension of time for filing a statement of financial disclosure for good cause shown.
(3) Any person who maliciously files with the commission a false charge of misconduct on the part of any public servant or other person shall be fined not to exceed five thousand dollars ($5,000), or imprisoned in a county jail for a term not to exceed one (1) year, or both.
(4) Prosecution for violation of any provision of KRS 11A.040 shall not be commenced after four (4) years have elapsed from the date of the violation. Any executive agency lobbyist, employer, or real party in interest who violates any provision in KRS 11A.206 shall for the first violation be subject to a civil penalty not to exceed five thousand dollars ($5,000). For the second and each subsequent violation, he shall be guilty of a Class D felony.
(5) Any executive agency lobbyist, employer, or real party in interest who fails to file the initial registration statement or updated registration statement required by KRS 11A.211 or 11A.216, or who fails to remedy a deficiency in any filing in a timely manner, may be fined by the commission an amount not to exceed one hundred dollars ($100) per day, up to a maximum total fine of one thousand dollars ($1,000).
(6) Any executive agency lobbyist, employer, or real party in interest who intentionally fails to register, or who intentionally files an initial registration statement or updated registration statement required by KRS 11A.211 or 11A.216 which he knows to contain false information or to omit required information shall be guilty of a Class D felony.
(7) An executive agency lobbyist, employer, or real party in interest who files a false statement of expenditures or details of a financial transaction under KRS 11A.221 or 11A.226 is liable in a civil action to any official or employee who sustains damage as a result of the filing or publication of the statement.
(8) Violation of KRS 11A.236 is a Class D felony.
Effective: July 14, 2000
History: Amended 2000 Ky. Acts ch. 475, sec. 8, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 602, sec. 4, effective July 15, 1998; and ch. 603, sec. 3, effective July 15, 1998. -- Amended 1996 Ky. Acts ch. 172, sec. 8, effective July 15, 1996. -- Amended 1993 (1st Extra. Sess.) Ky. Acts ch. 4, sec. 55, effective September 16, 1993. -- Created 1992 Ky. Acts ch. 287, sec. 15, effective July 14, 1992.
Source: Kentucky Legislative Research Commission (legislature.ky.gov)URL: https://apps.legislature.ky.gov/law/statutes/chapter.aspx?id=37075Fetched: 10/20/2026