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Within the limits of the funds appropriated by the legislative body in the annual budget, the city 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.
(Prior Code, § 39.42) (Ord. 571, passed 12-6-1994)
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 facts and determinations with regard to alleged violations of the provisions of this subchapter;
(B) To issue orders in connection with its investigation 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 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;
(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 the city agency, the County Attorney or other appropriate person or body, as necessary;
(E) To render advisory opinions to the city and city agency officers and employees regarding whether a given set of facts and circumstances would constitute a violation of any provisions of this chapter;
(F) To enforce the provisions of this chapter with regard to all officers and employees of the city and city agencies 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 ensure that the statements are available for public inspection in accordance with the requirements of this subchapter and the state’s Open Records Law, being KRS 61.870 through 61.884;
(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; and
(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.
(Prior Code, § 39.43) (Ord. 571, passed 12-6-1994)
(A) All complaints alleging any violations 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 from the date of receipt. The Board shall forward within ten 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) 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 of 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 the 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 County Attorney evidence which may be used in criminal proceedings; and
(2) If the complainant or alleged violator publicly discloses 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) 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.
(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 city and its taxpayers; or lack of significant impact on public confidence in city government, issue, in writing, a 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; 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 city or any city agency shall be guilty of a Class A misdemeanor.
(Prior Code, § 39.44) (Ord. 571, passed 12-6-1994)
(A) 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 30 days of the date the order is issued, unless the alleged violator petitions for and the Board consents to a later date.
(B) 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 24 hours of the time the order setting a hearing is issued.
(Prior Code, § 39.45) (Ord. 571, passed 12-6-1994)
(A) The state’s rules of civil procedure and the state’s rules of evidence shall not apply to hearings conducted by the Board of Ethics; however, 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 in connection with the matter to be heard. The Board shall inform the alleged violator, or his or her representative, of any exculpatory evidence in its possession.
(C) All testimony in a Board 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. All witnesses shall have the right 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 proceedings.
(E) All hearings of the Board of Ethics shall be public, unless the members vote 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, begin deliberations in executive session for the purpose of reviewing the evidence before it and making a determination whether a violation of this chapter has been proven. Within 30 days after completion of the hearing, the Board shall issue a written report of its findings and conclusions.
(G) If the Board concludes in its report that no violation of this chapter 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 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, reprimand the violator for the violation and provide a copy of the reprimand to the executive authority and governing body of the city or city agency with which the violator services;
(3) In writing, recommend to the executive authority and the governing body that the violator be sanctioned as recommended by the Board, which may include a recommendation for discipline or dismissal, or removal from office;
(4) Issue an order requiring the violator to pay a civil penalty of not more than $1,000; and
(5) Refer evidence of criminal violations of this chapter or state law to the County Attorney or Commonwealth’s Attorney of the jurisdiction for prosecution.
(Prior Code, § 39.46) (Ord. 571, passed 12-6-1994)
Any person who is found guilty of a violation of any city provision or this chapter by the Board of Ethics may appeal the findings to the circuit court of the county within 30 days after the date of the final action by the Board of Ethics by filing a petition with the court against the Board. The Board shall transmit to the Clerk of the court all evidence considered by the Board at the hearing.
(Prior Code, § 39.47) (Ord. 571, passed 12-6-1994)
(A) The Board of Ethics may render advisory opinions concerning matters under its jurisdiction, based upon real or hypothetical facts and circumstances, upon its own initiative or when requested by any officer or employee of the city or a city agency who is covered by this subchapter.
(B) An advisory opinion shall be requested in writing and shall state relevant facts and ask specific questions. The request for an advisory opinion shall remain confidential, unless confidentiality is waived, in writing, by the requestor.
(C) (1) The Board may adopt regulations, consistent with the state’s Open Records Law, being KRS 61.870 through 61.884, to establish criteria under which it will issue confidential advisory opinions.
(2) All other advisory opinions shall be public documents, except that before an advisory opinion is made public, it shall be modified so that the identity of any person associated with the opinion shall not be revealed.
(D) The confidentiality of an advisory opinion may be waved either:
(1) In writing by the person who requested the opinion; or
(2) By majority vote of the members of the Board, if a person makes or purports to make public the substance or any portion of an advisory opinion requested by or on behalf of the person. The Board may vote to make public the advisory opinion request and related materials.
(E) A written advisory opinion issued by the Board shall be binding on the Board in any subsequent proceeding concerning the facts and circumstances of the particular case if no intervening facts and circumstances arise which would change the opinion of the Board if they had existed at the time the opinion was rendered. However, if any facts determined by the Board to be material was omitted or misstated in the request for an opinion, the Board shall not be bound by the opinion.
(F) A written advisory opinion issued by the Board shall be admissible in the defense of any criminal prosecution or civil proceedings for the violations of this subchapter for actions taken in reliance on that opinion.
(Prior Code, § 39.49) (Ord. 571, passed 12-6-1994)
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