Section
General Provisions
35.01 Purpose; authority
35.02 Definitions
35.03 Conflicts of interest
Financial Disclosure
35.15 Who must file
35.16 Contents of the financial interest statement
35.17 Noncompliance with filing requirement
35.18 Where to file statements
Nepotism
35.30 Nepotism prohibited
County Ethics Commission
35.45 Membership; compensation
35.46 Term; appointment
35.47 Vacancies
35.48 Powers; duties
35.49 Complaint procedure; preliminary investigations
35.50 Action by Commission
35.51 Appeals
35.99 Penalty
Cross-reference:
County Policies, see Ch. 36
Government Organization, see Ch. 30
Personnel Administration, see Ch. 34
GENERAL PROVISIONS
(A) Pursuant to the authority granted by KRS Chapter 65, the county hereby establishes a code of ethics to guide the conduct of elected and appointed county officers and employees, including members of the Fiscal Court, Sheriff, County Attorney, County Clerk, Jailer, Coroner, Surveyor, and Constable.
(B) It is the purpose of this chapter to provide a method of assuring that standards of ethical conduct for local government officers and employees shall be clear, consistent, and uniform in their application, and to provide local officers and employees with advice and information concerning possible conflicts of interest which might arise in the conduct of their public duties.
(Prior Code, § 25.001) (Ord. 94-9, passed 11-9-1994)
For the purpose of this chapter, the following definitions shall apply unless the context clearly indicates or requires a different meaning.
BUSINESS ASSOCIATE. Includes the following:
(1) A private employer;
(2) A general or limited partnership, or a general or limited partner within the partnership;
(3) A corporation that is family-owned or in which all shares of stock are closely-held, and the shareholders, owners, and officers of such a corporation; and
(4) A corporation, business association, or other business entity in which the county government officer or employee serves as a compensated agent or representative.
BUSINESS ORGANIZATION. Any corporation, partnership, sole proprietorship, form, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust, professional services corporation, or any legal entity through which business is conducted for profit.
CANDIDATE. An individual who seeks nomination or election to a county government office. An individual is a CANDIDATE when the individual:
(1) Files a notification and declaration for nomination for office with a County Clerk or the Secretary; or
(2) Is nominated for office by a political party under KRS 118.105, 118.115, 118.325, or 118.760.
COUNTY GOVERNMENT AGENCY. Any board, commission, authority, non-stock corporation, or other entity formed by the county government or a combination of local governments.
COUNTY GOVERNMENT EMPLOYEE. Any person, whether compensated or not, whether full-time or part-time, employed by or serving the county government, or county government agency who is not a county government officer, but shall not mean any employee of a school district or school board.
COUNTY GOVERNMENT OFFICER. Any person, whether compensated or not, whether full-time or part-time, who is elected to any county government office; or any person who serves as a member of the governing body of any county government agency or special taxing or non-taxing district.
FAMILY MEMBER. Any relative who is first cousin or closer in relationship, by blood or marriage.
MEMBER OF IMMEDIATE FAMILY. A spouse, an unemancipated child residing in an individual’s household, or a person claimed by the individual or individual’s spouse as a dependent for tax purposes.
(Prior Code, § 25.002) (Ord. 94-9, passed 11-9-1994)
(A) No county government officer or employee or member of his or her immediate family shall have an interest in a business organization or engage in any business, transaction, or professional activity which is in substantial conflict with the proper discharge of his or her duties in the public interest.
(B) No county government officer or employee shall use or attempt to use his or her official position to secure unwarranted privileges or advantages for himself or herself.
(C) No county government officer shall act in his or her official capacity in any matter where he or she, a member of his or her immediate family, or a business organization in which he or she has an interest, has a direct or indirect financial or personal involvement that might reasonably be expected to impair his or her objectivity or independence of judgment.
(D) No county government officer or employee shall undertake any employment or service, compensated or not, which might reasonably be expected to prejudice his or her independence of judgment in the exercise of his or her official duties.
(E) No county government officer or employee shall be prohibited from giving or receiving any award publicly presented in recognition of public service, reasonable commercial loans made in the ordinary course of the lender’s business, or reasonable hosting, including travel and expenses, entertainment, meals, or refreshments furnished in connection with public events, appearances, ceremonies, or fact finding trips related to official county government business.
(F) No county government officer shall be prohibited from accepting gratuity for solemnizing a marriage.
(G) No county government officer or employee shall use, or allow to be used, in his or her public office or employment, or any information not generally available to the members of the public, which he or she receives or acquires in the course of and by reason of his or her office or employment, for the purpose of securing financial gain for himself or herself, or any member of his or her immediate family.
(H) No county government officer or employee or business organization in which he or she has an interest shall represent any person or party other than the local government in connection with any cause, proceeding, application, or other matter pending before any agency in the local government in which he or she serves.
(I) No county government officer shall be deemed in conflict with these provisions if, by reason of his or her participation in the enactment of any ordinance, resolution, or other matter required to be voted upon or which is subject to executive approval or veto, no material or monetary gain accrues to him or her as a member of any business, profession, occupation, or group, to any greater extent than any gain could reasonably be expected to accrue to any other member of such business, profession, occupation, or group.
(J) No elected county government officer shall be prohibited from making an inquiry for information or providing assistance on behalf of a constituent, if no fee, reward, or other thing of value is promised to, given to, or accepted by the officer or a member of his or her immediate family, whether directly or indirectly, in return therefor.
(K) Nothing shall prohibit any county government officer or employee, or members of his or her immediate family, from representing himself or herself, or themselves, in negotiations for proceedings concerning his, her, or their own interests.
(Prior Code, § 25.100) (Ord. 94-9, passed 11-9-1994) Penalty, see § 35.99
FINANCIAL DISCLOSURE
The following individuals shall be required to file a financial disclosure statement:
(A) Elected officers;
(B) Candidates for elected office;
(C) Management personnel such as chief deputies, department heads; and
(D) Officer and employees with procurement authority exceeding $500 per purchase.
(Prior Code, § 25.200) (Ord. 94-9, passed 11-9-1994)
(A) The financial disclosure statement shall include the following information:
(1) Name of filer;
(2) Current business address, telephone number, and home address of filer;
(3) Title of filer’s public office or office sought;
(4) Occupation of filer;
(5) Positions held by the filer in any business organization or nonprofit entity from which the filer received compensation in excess of $5,000 during the preceding calendar year, and the name, address, and telephone number of the business organization or nonprofit entity;
(6) Name and address of each source of income of the filer from within the state which exceeds $5,000 during the preceding calendar year;
(7) Name and address of each business organization located within the state in which the filer had an interest of $10,000 at the fair market value;
(8) The location and type (commercial, residential, agricultural) of all real property within the county in which the filer had an interest of $10,000 at the fair market value;
(9) Any officer or employee of the county government who shall have any private financial interest, directly or indirectly, in any contract or matter pending before or within any department or agency of the county government shall disclose such private interest to the Fiscal Court;
(10) Any County Judge/Executive, Magistrate, or Commissioner, sheriff, jailer, coroner, constable, surveyor, County Attorney, County Clerk, or a member of his or her immediate family, who has a private interest in any matter pending before the court shall disclose such private interest on the records of the court and shall disqualify himself or herself from participating in any decision or vote relating thereto; and
(11) Any officer or employee of an independent agency or special district to which this Code of Ethics applies who shall have any private financial interest, directly or indirectly, in any contract or matter pending before or within such independent agency or special district shall disclose such private interest to the governing body of such agency or district.
(B) Each statement shall be signed and dated by the individual filing the statement of financial interest. Knowingly signing a fraudulent statement shall be a Class A misdemeanor.
(Prior Code, § 25.201) (Ord. 94-9, passed 11-9-1994; Ord. 95-1, passed 2-8-1995)
The financial disclosure statements shall be filed with the County Clerk.
(Prior Code, § 25.203) (Ord. 94-9, passed 11-9-1994) Penalty, see § 35.99
NEPOTISM
(A) No officer or employee of the county or government agency shall advocate, recommend, or cause the employment, appointment, promotion, transfer, or advancement of a family member to an office or position of employment with the county or government agency.
(B) No officer or employee of the county or government agency shall supervise or manage the work of a family member.
(C) No officer or employee shall participate in any action relating to the employment or discipline of a family member, except that this prohibition shall not prevent an elected or appointed official from voting on or participating in the development of a budget which includes compensation for a family member, provided that the family member is included only as a member of a class of persons or a group, and the family member benefits to no greater extent than any other similarly situated member of the class or group.
(D) The provisions of this section shall not apply to a public officer’s family member who was employed on or before January 1, 1995, in the same governmental agency in which the public officer serves. This exception is applicable only as long as the current officer is in office or the employee remains employed by the governmental agency.
(Prior Code, § 25.300) (Ord. 94-9, passed 11-9-1994)
COUNTY ETHICS COMMISSION
(A) Membership. The County Ethics Commission shall consist of seven members; not more than one member may be a public official. The Commission member selected as Chairperson shall be a citizen member.
(B) Compensation. Members shall receive no compensation but may be reimbursed all necessary expenses.
(Prior Code, § 25.400) (Ord. 94-9, passed 11-9-1994)
(A) Term. Terms of the members shall be staggered, but no member shall serve longer than four years on this Commission.
(B) Appointment.
(1) Members shall be appointed by the County Judge/Executive with the approval of the Fiscal Court.
(2) All appointments shall be made no later than 60 days after the adoption of this subchapter.
(Prior Code, § 25.401) (Ord. 94-9, passed 11-9-1994)
(A) Vacancies on the County Ethics Commission shall be filled within 60 days by the County Judge/Executive subject to the approval of the Fiscal Court.
(B) If a vacancy is not filled by the County Judge/Executive within 60 days, the remaining members of the County Ethics Commission shall fill the vacancy.
(C) All vacancies shall be filled for the remainder of the unexpired term.
(Prior Code, § 25.402) (Ord. 94-9, passed 11-9-1994)
(A) The Commission shall have jurisdiction over the administration of this code.
(B) The Commission may receive complaints; initiate investigations on its own motion; and conduct investigations, inquiries, and hearings concerning any matter covered by this code.
(C) The Commission may render advisory opinions whether or not a given set of facts and circumstances constitute a violation of any provision of this code.
(D) The Commission shall prescribe and provide forms for reports, statements, notices, and other documents required by this code.
(E) The Commission shall determine whether the required statements and reports have been filed and, if filed, whether they conform with the requirements of this code. The Commission shall promptly give notice to the filer to correct or explain any omission or deficiency.
(F) The Commission may retain private counsel at the expense of the county if the County Attorney has an actual or potential conflict. Any counsel must be preapproved by the Fiscal Court.
(Prior Code, § 25.403) (Ord. 94-9, passed 11-9-1994)
(A) (1) Upon a complaint signed under penalty of perjury by any person, or upon its own motion, the Commission shall investigate any alleged violation of this code.
(2) No later than ten days after the Commission receives the complaint, the Commission shall initiate a preliminary inquiry into any alleged violation of this code.
(3) Within 30 days of the commencement of the inquiry, the Commission shall forward a copy of the complaint and a general statement of the applicable law to the person alleged to have committed a violation.
(B) All Commission proceedings and records relating to a preliminary investigation shall be confidential until a final determination is made by the Commission, except the Commission may turnover to the Commonwealth’s Attorney or County Attorney of the jurisdiction in which the offense allegedly occurred, evidence which may be used in criminal proceedings.
(C) The complainant or alleged violator shall not publicly disclose the existence of a preliminary investigation. The Commission shall not publicly confirm the existence of the inquiry nor make public any documents which were issued to either party.
(D) The Commission shall afford a person who is the subject of a preliminary investigation 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, and to offer evidence in response to the allegations in the complaint.
(E) Any person who knowingly files with the Commission a false complaint of misconduct on the part of any elected or appointed official or other person shall be guilty of a Class A misdemeanor.
(Prior Code, § 25.404) (Ord. 94-9, passed 11-9-1994)
If the Commission 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 code, the Commission may:
(A) Issue an order requiring the violator to cease and desist the violation;
(B) In writing, publicly reprimand the violator for the violations and provide a copy of the reprimand to the executive authority and governing body (if different than the executive authority) of the county or county agency with which the violator serves;
(C) 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 Commission which may include a recommendation for discipline or dismissal;
(D) Issue an order requiring the violator to pay a civil penalty of not more than $1,000; or
(E) Refer evidence of criminal violations of this code or state laws to the County Attorney or Commonwealth’s Attorney of the jurisdiction for prosecution.
(Prior Code, § 25.405) (Ord. 94-9, passed 11-9-1994)
Any person found by the Commission to have committed a violation of this code may appeal the action to the County Circuit Court. The appeal shall be initiated within 30 days after the date of the final action of the Commission by filing a petition with the Court against the Commission. The Commission shall transmit to the Clerk of the Court all evidence by the Commission at the public hearing. The Court shall hear the appeal upon the record as certified by the Commission.
(Prior Code, § 25.406) (Ord. 94-9, passed 11-9-1994)
Candidates and nominees who fail to comply with the filing requirements pursuant to § 35.18 shall be fined $50 for each day they are in non-compliance.
(Prior Code, § 25.999)