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ENFORCEMENT
(A) There is hereby created the City of Pikeville Board of Ethics consisting of five (5) members who shall be citizens of the city and shall be nominated by the Mayor and approved by majority vote of the Commission. The Board shall elect from its members a Chairman in January of each year.
(B) A member of the Board of Ethics may be removed by the Commission 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 Commission.
(C) Vacancies on the Board of Ethics shall be filled within sixty (60) days by the Mayor, subject to the approval of the Commission. If a vacancy is not filled by the Mayor and Commission within sixty (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.
(D) Members of the Board of Ethics shall serve without compensation unless otherwise approved by the Commission, but shall be reimbursed for all necessary and reasonable expenses incurred in the performance of their duties.
(E) Meetings of the Board of Ethics shall be held, as necessary, upon the call of the Chairman or at the written request of a majority of the members.
(F) The presence of three (3) or more members shall constitute a quorum and the affirmative vote of three (3) 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 and shall disqualify himself from voting on the matter. The Mayor shall have the authority to appoint substitute board members in cases or matters where disqualifications result in an inability to obtain a quorum.
(G) 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.
(H) The first Board shall be appointed to serve staggered terms in office. Two (2) Board members shall be appointed for one (1) year, two (2) Board members for two (2) years, and one (1) Board member for three (3) years. Thereafter, each appointee shall serve a four (4) year term.
(I) The Finance Director/City Clerk/Tax Administrator shall serve as Secretary to the Board of Ethics and shall maintain the records, documents and disclosure statements of the Board.
(J) The city shall bear the cost of any hearing or inquiry conducted by the Board.
(Ord. 0-94-023, passed 11-28-94; Am. Ord. 07-0-002, passed 2-26-07; Am. Ord. 07-0-003, passed 2-26-07)
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 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 City Commission, the city legislative body, the governing body of any 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 provision of 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 and the Kentucky Open Records Act.
(G) To develop and submit any reports regarding the conduct of its business that may be required by the City Commission.
(H) 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.
(Ord. 0-94-023, passed 11-28-94; Am. Ord. 07-0-002, passed 2-26-07)
(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 (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) Within thirty (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 County Attorney evidence which may be used in criminal proceedings.
(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 by 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 confidential reprimand to the officer or employee concerning the alleged violation and provide a copy of the confidential reprimand to the City Commission and governing body of the city agency.
(2) Report such fact to the City Commission and to the County Attorney who is vested with the responsibility to prosecute violations of city ordinances pursuant to KRS 83A.065. In the case of employees of the city or its agencies, boards or commissions, the Board shall also report such fact to the City Manager or governing body of any board, agency or commission.
(Ord. 0-94-023, passed 11-28-94; Am. Ord. 07-0-002, passed 2-26-07)
(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 and shall render an advisory opinion when requested by any officer or employee of the city or a city agency who is covered by this chapter.
(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) The Board may adopt regulations, consistent with the Kentucky Open Records Law, to establish criteria under which it will issue confidential advisory opinions. 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 waived either:
(1) In writing by the person who requested the opinion.
(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 or circumstances arise which would change the opinion of the Board if they had existed at the time the opinion was rendered. However, if any fact 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 proceeding for violations of this chapter for actions taken in reliance on that opinion.
(Ord. 0-94-023, passed 11-28-94; Am. Ord. 07-0-002, passed 2-26-07)
(A) Any violation of this chapter, except § 40.08(C), shall be deemed a misdemeanor subject to a criminal fine not to exceed five hundred dollars ($500.00), the amount set forth in KRS 534.040(2)(a), or a term of imprisonment not to exceed twelve (12) months, the period set forth in KRS 532.090(1), or both a fine and term of imprisonment.
(B) In addition to the criminal penalties described above, the city is authorized pursuant to KRS 83A.065 to seek an injunction and restraining order to enforce provisions of this chapter.
(C) In addition to the penalties set forth above, any employee of the city, its agencies, boards or commissions shall be subject to the personnel action for violation of the provisions of this chapter in accordance with the procedure set forth in the city’s personnel policy or such other personnel policies provided for by and of the city’s agencies, boards or commissions.
(D) In addition to the penalties provided for herein, city officials shall be subject to removal from office for misconduct as a result of any violation of this chapter as provided for in KRS 83A.040(9).
(E) Due process shall be accorded to individuals charged with a violation of this chapter. In the case of criminal penalties, due process will be afforded to the alleged violator through the District Court system. In the case of personnel action, the personnel and policy manual shall prescribe the appropriate hearing process.
(F) Any violation of § 40.08(C) shall be deemed a civil violation subject to a civil fine not to exceed two hundred fifty dollars ($250.00).
(Ord. 0-94-023, passed 11-28-94; Am. Ord. 0-2005-020, passed 9-26-05)