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(A) The Board of Ethics must prepare and submit an annual report to the City Council, summarizing activities, decisions and advisory opinions of the Board. The report may also recommend changes to the text or administration of this ethics code. The report must be submitted no later than October 31 of each year, covering to the year ended August 31, and must be filed with the City Clerk and made available on the city website.
(B) The Board of Ethics will periodically (no less than every five (5) years) review this ethics code, the enforcement of the ethics code, and the Board’s rules, regulations and administrative procedures to determine whether they promote integrity, public confidence, and participation in city government, and whether they set forth clear and enforceable, common-sense standards of conduct.
(Ord. 6-2022, passed 11-7-22)
(A) All complaints alleging any violation of the provisions of this chapter shall be submitted to the Board of Ethics or to 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 individual 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, by coverage in the public news media, or otherwise that a violation of this code may exist and prepare a complaint of 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 and by action or inaction, or by deleting allegations that have been made against persons or entities not covered by this code, or by deleting allegations that do not appear to be supported by the facts. The Board of Ethics may also consolidate complaints where the allegations are materially related. Amended complaints must be sent to the complainant and respondent by the Board of Ethics.
(C) 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. If a complaint is accepted pursuant to subsection (A), the Board of Ethics must conduct an investigation and, from this point on, the complainant may not withdraw their complaint, although they may request that the Board either make a finding of no probable cause or no violation. 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, in writing and signed by respondent, to the complaint within thirty (30) days after their receipt of the complaint. The response, if any, must be sent to the person filing the original complaint (complainant) by the Board of Ethics within five (5) days after its filing. Within fifteen (15) days after receipt, the complainant may also file with the Board of Ethics a response to the respondent’s response, which the Board of Ethics must send to the respondent within five (5) days after its filing.
(E) Extensions of time to any of the time limitations specified in this section may be granted by the Board of Ethics upon a vote of the majority of the members. If no meeting can be held before such time limit runs, the chairperson may extend the time frame until the following meeting. The Board of Ethics must give written notice of any extension(s) of time to the respondent and the complainant.
(F) In conducting an investigation, the Board of Ethics may administer oaths or affirmations, subpoena witnesses, compel their attendance, and require the production of any books or records it deems relevant and material. The Police Department and all city agencies, bodies, officials and employees are required to respond fully and truthfully to all inquiries, and to cooperate with all requests of the Board or its agents relating to an investigation. It is a violation of this code for any official or employee to deny access to information requested by the Board of Ethics in the course of an investigation or a public hearing, except to the extent that the denial is required by federal, state or local law.
(G) Nothing in this section may be construed to permit the Board of Ethics to conduct an investigation of itself or any of its members or staff. If the Board of Ethics receives a complaint alleging that it, or any of its members or staff, has violated any provisions of this code or any other law, the Board of Ethics must promptly transmit copy of this complaint to the City Council.
(H) 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 Attorney or County Attorney evidence that may be used in criminal proceedings.
(2) If the complainant or the respondent 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 that were issued to either party.
(I) 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 its conclusion to writing, and transmit a copy of its decision to the complainant and to all individuals against whom the complaint was filed.
(J) 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 probable cause as to a violation, the Board shall notify the individual who is the subject of the complaint, and may:
(1) Due to mitigating circumstances such as, lack of significant economic advantages or gain by the individual, 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 individual concerning the alleged violation and provide a copy of the confidential reprimand to the Mayor and City Council.
(2) Initiate a hearing to determine whether there has been a violation.
(K) Any person who knowingly files with the Board a false complaint alleging a violation of any provision of this chapter shall be guilty of a Class A misdemeanor.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
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 respondent 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 respondent within twenty-four (24) hours of the time the order setting a hearing is issued.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
(A) The Kentucky Rules of Civil Procedure and the Kentucky 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 respondent, 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 respondent, 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 proceeding.
(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 thirty (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 has occurred, it shall immediately send written notice of this determination to the respondent and complainant.
(H) If it 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 shall within fifteen (15) days:
(1) Issue an order requiring the respondent to cease and desist the violation.
(2) In writing, publicly reprimand the respondent for the violations, and provide a copy of the reprimand to the Mayor and City Council, or to the governing body of the city agency that the respondent serves.
(3) In writing, recommend to the Mayor and the City Council, or to the governing body of the city agency, that the respondent be sanctioned as recommended by the Board, which may include a recommendation for discipline, or for dismissal or removal from office.
(4) Issue an order requiring the respondent to pay a civil penalty of not more than one thousand dollars ($1,000).
(5) Refer evidence of criminal violations of this chapter or state laws to the County Attorney or Commonwealth Attorney of the jurisdiction for prosecution.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
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