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(A) The Board of Ethics shall be the “official custodian” of the statements of financial interests and shall have control over the maintenance of the statements of financial interests. The statements of financial interest shall be maintained by the Board of Ethics, or the administrative official designated by the Board of Ethics as the “custodian,” as public documents, available for public inspection immediately upon filing.
(B) A statement of financial interests shall be retained by the Board, or the designated administrative official, for a period of five years after filing, provided that:
(1) Upon the expiration of three years after a person ceases to be an officer or employee of the county or a county agency, the Board shall cause to be destroyed any statements of financial interests or copies of those statements filed by the person; and
(2) Upon the expiration of three years after any election at which a candidate for elected county office was not elected or nominated, the Board shall cause to be destroyed any statements of financial interests or copies of those statements filed by the person.
(2001 Code, § 32.38) (Ord. passed 11-10-1994)
(A) The statement of financial interests shall include the following information for the preceding calendar year:
(1) The name, current business address, business telephone number and home address of the filer;
(2) The title of the filer’s office, office sought or position of employment;
(3) The occupation of the filer and the filer’s spouse;
(4) Information that identifies each source of income of the filer exceeding $5,000 during the preceding calendar year, and the nature of the income (e.g., salary, commission, dividends, retirement fund distribution and the like); and
(5) Each source by name and address of gifts or honoraria having an aggregate fair market value of $100 or more from any single source, excluding gifts received from family members, received by the filer or any member of the filer’s immediate family during the preceding calendar year.
(B) Nothing in this section shall be construed to require any officer or employee to disclose any specific dollar amounts nor the names of individuals clients or customers of businesses listed as sources of income.
(2001 Code, § 32.39) (Ord. passed 11-10-1994)
The Board of Ethics, or the designated administrative official, shall notify by the certified mail each person required to file a statement of financial interests who fails to file the statement by the due date, files an incomplete statement, or files a statement in a form other than that prescribed by the Board. The notice shall specify the type of failure or delinquency, shall establish a date by which the failure or delinquency shall be remedied and shall advise the person of the penalties for a violation.
(2001 Code, § 32.40) (Ord. passed 11-10-1994)
ADMINISTRATION; BOARD OF ETHICS
(A) There is hereby created a Board of Ethics which shall have the authorities, duties and responsibilities as set forth in this chapter to enforce the provisions of this chapter.
(B) The Board of Ethics shall consist of five members, who shall be appointed by the County Judge/Executive, subject to the approval of the Fiscal Court. The Board of Ethics shall have at least one person from each Magisterial District serving on the Board. The initial members of the Board of Ethics shall be appointed within 60 days of the effective date of this chapter. No member of the Board of Ethics shall hold any elected or appointed office, whether paid or unpaid, or any position of employment with the county or any county agency. The members shall serve for a term of three years; except that with respect to the members initially appointed, one member shall be appointed for a term of one year, two members shall be appointed for a term of two years and two members shall be appointed for a term of three years. No more than three of the members shall be of the same political party. Each member of the Board of Ethics shall have been a resident of the county for at least one year prior to the date of the appointment and shall reside in the county throughout the term in office. The members of the Board of Ethics shall be chosen by virtue of their known and consistent reputation for integrity and their knowledge of local government affairs. The members may be re-appointed for any number of consecutive terms.
(C) A member of the Board of Ethics may be removed by the County Judge/Executive, subject to the approval of the Fiscal Court for misconduct, inability or willful neglect of duties. Before any member of the Board of Ethics is removed from office under this section, the member shall be afforded the opportunity for a hearing before the County Judge/Executive and the Fiscal Court.
(D) Vacancies on the Board of Ethics shall be filled within 60 days by the County Judge/Executive, subject to the approval of the Fiscal Court. If a vacancy is not filled by the County Judge/Executive within 60 days, the remaining members of the Board of Ethics shall fill the vacancy. All vacancies shall be filled for the remainder of the unexpired term.
(E) Members of the Board of Ethics shall serve without compensation, unless otherwise approved by the Fiscal Court, but shall be reimbursed for all necessary and reasonable expenses incurred in the performance of their duties.
(F) The Board of Ethics shall, upon the initial appointment of its members, and annually thereafter, elect a Chairperson from among the membership. The Chairperson shall be the presiding officer and a full voting member of the Board.
(G) Meetings of the Board of Ethics shall be held, as necessary, upon the call of the Chairperson or at the written request of a majority of the members.
(H) The presence of three or more members shall constitute a quorum and the affirmative vote of three or more members shall be necessary for any official action to be taken. Any member of the Board of Ethics who has a conflict of interest with respect to any matter to be considered by the Board shall disclose the nature of the conflict, shall disqualify himself or herself from voting on the matter and shall not be counted for purposes of establishing a quorum.
(I) Minutes shall be kept for all proceedings of the Board of Ethics and the vote of each member on any issue decided by the Board shall be recorded in the minutes.
(2001 Code, § 32.50) (Ord. passed 11-10-1994)
The County Judge/Executive, with the approval of the Fiscal Court, may appoint four alternate members of the Board of Ethics who may be called upon to serve when any regular member of the Board is unable to discharge his or her duties. An alternate member shall be appointed for a term of one year. Alternate members shall meet all qualifications and be subject to all of the requirements of this chapter that apply to regular members.
(2001 Code, § 32.51) (Ord. passed 11-10-1994)
Within the limits of the funds appropriated by the legislative body in the annual budget, the county shall provide the Board of Ethics, either directly or by contract or agreement, with the facilities, materials, supplies and staff needed for the conduct of its business.
(2001 Code, § 32.52) (Ord. passed 11-10-1994)
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;
(C) To administer oaths and to issue subpoenas requiring the attendance and testimony of witnesses and the production of documentary evidence relating to an investigation or hearing being conducted by the Board;
(D) To refer any information concerning violations of this chapter to the Fiscal Court, the governing body of any county agency, the County Attorney or other appropriate person or body, as necessary;
(E) To enforce the provisions of this chapter with regard to all officers and employees of the county agencies who are subject to its terms by issuing appropriate orders and imposing penalties authorized by this chapter;
(F) To control and maintain all statements of financial interests that are required to be filed by this chapter and to ensure that the statements are available for public inspection in accordance with the requirements of this chapter an the State Open Records Act (KRS 61.870 et seq.); and
(G) To develop and submit any reports regarding the conduct of its business that may be required by the County Judge/Executive or the Fiscal Court.
(2001 Code, § 32.53) (Ord. passed 11-10-1994)
(A) All complaints alleging any violation of the provisions of this chapter shall be submitted to the Board of Ethics, or the administrative official designated by the Board of Ethics. 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 working days to each officer or employee of the county or county 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) Within 30 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.
(C) 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 the County Attorney any evidence which may be used in criminal proceedings; or
(2) If the complainant or alleged violator publicly disclose the existence of a preliminary 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.
(D) (1) 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.
(2) 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.
(E) 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 county and its taxpayers, or lack of significant impact on public confidence in county government issues, in writing, a confidential reprimand to the officer or employee concerning the alleged violation and provide a copy of the confidential reprimand to the Fiscal Court or county agency; or
(2) Initiate a hearing to determine whether there has been a violation.
(F) 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 county or any county agency shall be guilty of a Class A misdemeanor.
(2001 Code, § 32.54) (Ord. passed 11-10-1994) Penalty, see § 32.99
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