Loading...
The board of ethics shall have the following powers and duties:
(A) To initiate on its own motion, receive and investigate complaints, hold hearings, and make findings of fact and determinations with regard to alleged violations of the provisions of this chapter.
(B) To issue orders in connection with its investigations and hearings requiring persons to submit in writing and under oath reports and answers to questions that are relevant to the proceedings and to order testimony to be taken by deposition before any individual designated by the board of ethics who has the power to administer oaths.
(C) To administer oaths and to issue orders requiring the attendance and testimony of witnesses and the production of documentary evidence relating to an investigation or hearing being conducted by the board of ethics.
(D) To refer any information concerning violations of this chapter to the executive authority of the city, the city legislative body, the governing body of any city agency, the corporation counsel, the county or commonwealth's attorney, or other appropriate person or body, as necessary.
(E) To render advisory opinions to city and city agency officers and employees regarding whether a given set of facts and circumstances would constitute a violation of any provision of this chapter.
(F) To enforce the provisions of this chapter with regard to all persons who are subject to its terms by issuing appropriate orders and imposing penalties authorized by this chapter.
(G) To control and maintain all statements of financial interests that are required to be filed by this chapter and to insure that all statements are available for public inspection in accordance with the requirements of this chapter and the Kentucky Open Records Act.
(H) To develop and submit any reports regarding the conduct of its business that may be required by the executive authority or legislative body of the city.
(I) To adopt rules and regulations and to take other actions, as necessary, to implement the provisions of this chapter, provided that the rules, regulations, and actions are not in conflict with the provisions of this chapter or any state or federal law; and to provide training and education on the city ethics code to officials and employees.
(J) To review on an annual basis the list of officials required to file annual disclosure statements, and to determine whether the lists are complete and accurate. By February 15 of each succeeding year, the board of ethics shall (a) cause to be filed with the city clerk a list of the names and offices, or positions, of all officials and employees and any others required to file annual disclosure statements pursuant to § 27.020; and (b) notify all such persons of their obligation to file an annual disclosure statement.
(K) The board of ethics shall prepare forms for complaints and for financial disclosure statements, and make these forms available at the city clerk’s office and on the city’s website.
(L) By June 15 of each succeeding year, the board of ethics shall review all annual financial disclosure statements filed with it to determine whether any person required to file such statement has failed to file it, has filed a deficient statement, or has filed a statement that reveals a possible or potential violation of this ethics code. If the board determines that a disclosure statement is deficient or reveals a possible or potential violation of this ethics code, the board will notify the person in writing of the deficiency or possible or potential violation, and of the penalties for failure to comply with this ethics code.
(M) In the event of the recusal of the corporation counsel, to retain independent legal counsel to advise and represent the board.
(Ord. No. 19-94, 12-6-94; Am. Ord. No. 02-20, 2-18-20)
(A) All complaints alleging any violation of the provisions of this chapter shall be filed with the city clerk, who shall immediately convey the complaint to the chairperson of the board. All complaints shall be in writing, signed by the complainant, and shall meet any other requirements established by the board of ethics. The board of ethics shall acknowledge receipt of a complaint to the complainant within ten (10) working days from the date of receipt. The board shall forward within ten (10) working days to each officer or employee of the city or city agency who is the subject of the complaint a copy of the complaint and a general statement of the applicable provisions of this chapter.
(B) The board of ethics may, on its own initiative, determine through an inquiry into informal allegations or information provided directly to the board, by referral, in the public news media, or otherwise, that a violation of this ethics code may exist, and prepare a complaint on its own. The board of ethics may also amend a complaint that has been filed with it by adding further allegations, by adding respondents involved in the same conduct, directly or indirectly, by action or inaction, or by deleting allegations that would not constitute a violation of this ethics code, have been made against persons or entities not covered by this ethics code, or do not appear to be supported by the facts. The board of ethics may also consolidate complaints where the allegations are materially related.
(C) Within forty (40) days of the receipt of a proper complaint, the board of ethics shall conduct a preliminary inquiry concerning the allegations contained in the complaint. The board shall afford a person who is the subject of the complaint an opportunity to respond to the allegations in the complaint. The person shall have the right to be represented by counsel, to appear and be heard under oath, and to offer evidence in response to the allegations.
(D) The person who is the subject of the complaint (respondent) may file with the board of ethics a response under oath to the complaint within fifteen (15) days after his or her receipt of the complaint. The board shall cause the response to be sent to the person filing the original complaint within five (5) days after it is filed. Thereafter, the complainant may also file a response under oath to the respondent’s response, which the board shall send to respondent within five (5) days after it is filed.
(E) Extensions of time to any of the limitations specified in this section may be granted by the board of ethics upon request of a party upon either a vote of a majority of the members, or if it is impractical for a meeting to be held, the chairperson may extend the limit. The board of ethics shall give written notice of any extension(s)of time to the parties.
(F) All proceedings and records relating to a preliminary inquiry being conducted by the board of ethics shall be confidential until a final determination is made by the board, except:
(1) The board may turn over to the commonwealth’s attorney or county attorney evidence which may be used in criminal proceedings.
(2) If the complainant or alleged violator publicly discloses the existence of an inquiry, the board may publicly confirm the existence of the inquiry, and, at its discretion, make public any documents which were issued to either party.
(G) The board shall make a determination based on its preliminary inquiry whether the complaint is within its jurisdiction and, if so, whether it alleges a minimal factual basis to constitute a violation of this chapter. If the board concludes that the complaint is outside of its jurisdiction, frivolous, or without factual basis, the board shall immediately terminate the inquiry, reduce the conclusion to writing, and transmit a copy of its decision to the complainant and to all officers or employees against whom the complaint was filed.
(H) If the board of ethics concludes, based upon its preliminary inquiry, that the complaint is within its jurisdiction and contains allegations sufficient to establish a minimal factual basis to constitute a violation, the board shall notify the officer or employee who is the subject of the complaint and may:
(1) Due to mitigating circumstances, such as lack of significant economic advantage or gain by the officer or employee, lack of economic loss to the city and its taxpayers, or lack of significant impact on public confidence in city government, issue, in writing, a confidential reprimand to the officer or employee concerning the alleged violation and provide a copy of the confidential reprimand to the executive authority and governing body of the city or city agency.
(2) Initiate a hearing to determine whether there has been a violation.
(I) (1) In its investigation, the board of ethics is authorized to administer oaths or affirmations, subpoena witnesses, compel their attendance, and require the production of documents, books, and records which it deems are relevant to the investigation. The police department and all city agencies, bodies, officials, and employees are required to respond fully and truthfully to all enquiries and cooperate with all requests of the board or its attorneys and agents relating to an investigation. It is a violation of this ethics code for any official or employee to deny access to information requested by the board of ethics in the course of an investigation or hearing, except to the extent that such denial is required by law.
(2) Nothing is this section shall be construed to permit the board of ethics to conduct an investigation of itself or any of its members or staff. In the event that there is a complaint filed with the board which alleges that the board or any of its members or staff have violated any provision of this ethics code, the board shall promptly transmit a copy of the complaint to the city council.
(J) Any person who knowingly files with the board a false complaint alleging a violation of any provision of this chapter by an officer or employee of the city or any city agency shall be guilty of a Class A misdemeanor.
(Ord. No. 19-94, 12-6-94; Am. Ord. No. 02-20, 2-18-20)
If the board of ethics determines that a hearing regarding allegations contained in the complaint is necessary, the board shall issue an order setting the matter for a hearing within thirty (30) days of the date the order is issued, unless the alleged violator petitions for and the board consents to a later date. The order setting the matter for hearing, along with a copy of any pertinent regulations of the board relating to the hearing shall be sent to the alleged violator within twenty-four (24) hours of the time the order setting a hearing is issued.
(Ord. No. 19-94, 12-6-94; Am. Ord. No. 02-20, 2-18-20)
(A) The Kentucky Rules of Civil Procedure and the Kentucky Rules of Evidence shall not specifically apply to hearings conducted by the board; however, such rules may be used as general guidelines, and the hearings shall be conducted in accordance with this section and in accordance with any additional rules and regulations adopted by the board so as to afford all parties the full range of due process rights required by the nature of the proceedings.
(B) Prior to the commencement of the hearing, the alleged violator, or his or her representative, shall have a reasonable opportunity to examine all documents and records obtained or prepared by the board of ethics in connection with the matter to be heard. The board of ethics shall inform the alleged violator, or his or her representative, of any exculpatory evidence in its possession.
(C) All testimony in a board of ethics hearing shall be taken under oath, administered by the presiding officer. All parties shall have the right to call and examine witnesses, to introduce exhibits, to cross-examine witnesses, to submit evidence, and to be represented by counsel.
(D) Any person whose name is mentioned during the hearing and who may be adversely affected thereby may appear personally before the board, with or without counsel, to give a statement regarding the adverse mention, or may file a written statement regarding the adverse mention for incorporation into the record of the proceeding.
(E) All hearings of the board of ethics shall be public, unless the board determines to go into executive session in accordance with KRS 61.810.
(F) After the conclusion of the hearing, the board of ethics shall, as soon as practicable, make a determination whether a violation of this chapter has been proven. Within thirty (30) days after the completion of the hearing, the board shall issue a written report of its findings and conclusions.
(G) If the board of ethics concludes in its report that no violation of this chapter has occurred, it shall immediately send written notice of this determination to the officer or employee who was the subject of the complaint and to the party who filed the complaint.
(H) If the board of ethics concludes in its report that in consideration of the evidence produced at the hearing, there is clear and convincing proof of a violation of this chapter, the board may:
(1) Issue an order requiring the violator to cease and desist the violation.
(2) In writing, publicly reprimand the violator for the violations and provide a copy of the reprimand to the executive authority and governing body of the city or city agency with which the violator serves.
(3) In writing, recommend to the executive authority and the governing body (if different than the executive authority) that the violator be sanctioned as recommended by the board, which may include a recommendation for discipline or dismissal, or removal from office.
(4) Refer evidence of criminal violations of this chapter or state laws to the county attorney or commonwealth’s attorney for prosecution.
(Ord. No. 19-94, 12-6-94; Am. Ord. No. 02-20, 2-18-20)
Any person who is found guilty of a violation of any provision of this chapter by the board of ethics may appeal the finding to the Madison Circuit Court within thirty (30) days after the date of the final action by the board of ethics by filing a petition with the court specifying a petition against the action of the board of ethics. The board of ethics shall transmit to the clerk of the court all evidence considered by it at the public hearing.
(Ord. No. 19-94, 12-6-94; Am. Ord. No. 02-20, 2-18-20)
Loading...