6.686 Complaint procedure -- Preliminary inquiries -- Penalty for false complaint
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/ky/6-686A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
of misconduct.
(a)The commission shall have jurisdiction to investigate and proceed as to any
violation of this code upon the filing of a complaint. The complaint shall be a
written statement alleging a violation against one
(1)or more named persons
and stating the essential facts constituting the violation charged. The
complaint shall be made under oath and signed by the complaining party
before a person who is legally empowered to administer oaths. The
commission shall have no jurisdiction in the absence of a complaint. A
member of the commission may file a complaint.
(b)Within ten
(10)days of the filing of a complaint, the commission shall cause a
copy of the complaint to be served by certified mail upon the person alleged
to have committed the violation.
(c)Within twenty
(20)days of service of the complaint the person alleged to have
committed the violation may file an answer with the commission. The filing
of an answer is wholly permissive, and no inferences shall be drawn from the
failure to file an answer.
(d)1. After the commission receives the answer, or the time expires for the
filing of an answer, the commission may dismiss the matter for failure to
state a claim of an ethics violation, or otherwise shall determine upon
the affirmative vote of at least five
(5)members, at either the next
regularly scheduled meeting or a teleconference meeting called upon the
chair's oral or written notice to all members of the commission, whether
there is reason to believe the person named in the complaint has
committed or is about to commit an ethics violation.
2. If the commission determines that there is reason to believe the person
named in the complaint has committed or is about to commit a violation
of this code, upon an affirmative vote of at least five
(5)members, the
commission shall initiate a preliminary inquiry into the alleged
violations pursuant to subsections
(3)to
(5)of this section. A
determination by the commission under this subparagraph:
a. Means that the commission believes that the alleged violation
merits further inquiry, and the commission shall proceed with its
inquiry and investigation; and
b. Is not a finding that a person named in a complaint has violated
this code.
3. If the commission fails to determine by an affirmative vote of at least
five
(5)members that there is reason to believe the respondent has
committed or is about to commit a violation of this code, the complaint
shall be dismissed.
(e)Within thirty
(30)days of the commencement of the inquiry, the commission
shall give notice of the status of the complaint and a general statement of the
applicable law to the person alleged to have committed a violation.
(f)A complaint may be filed against a former legislator, a former legislative
agent, or a former employer of a legislative agent within one
(1)year of the
date he or she left office or terminated lobbying registration. The one
(1)year
limitation shall not apply if a complaint alleges a violation of KRS 6.757.
(g)The applicable criminal statutes of limitation shall not apply to ethical
misconduct under KRS 6.601 to 6.849.
(2)All commission proceedings, including the complaint and answer and other records
relating to a preliminary inquiry, shall be confidential until a final determination is
made by the commission, except:
(a)The commission may turn over to the Attorney General, the United States
Attorney, Commonwealth's attorney, or county attorney of the jurisdiction in
which the offense allegedly occurred, evidence which may be used in criminal
proceedings; and
(b)If the complainant or alleged violator publicly discloses the existence of a
preliminary inquiry, the commission may publicly confirm the existence of
the inquiry and, in its discretion, make public any documents which were
issued to either party.
(3)The commission shall afford a person who is the subject of a preliminary inquiry an
opportunity to appear in response 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 in the complaint.
(4)If the commission determines by the answer or in the preliminary inquiry that the
complaint does not allege facts sufficient to constitute a violation of this code, the
commission shall immediately terminate the matter and notify in writing the
complainant and the person alleged to have committed a violation. The commission
may confidentially inform the alleged violator of potential violations and provide
information to ensure future compliance with the law. If the alleged violator
publicly discloses the existence of such action by the commission, the commission
may confirm the existence of the action and, in its discretion, make public any
documents that were issued to the alleged violator.
(5)If the commission, during the course of the preliminary inquiry, finds probable
cause to believe that a violation of this code has occurred, the commission shall
notify the alleged violator of the finding, and the commission may, upon majority
vote:
(a)Due to mitigating circumstances such as lack of significant economic
advantage or gain by the alleged violator, lack of significant economic loss to
the state, or lack of significant impact on public confidence in government,
confidentially reprimand, in writing, the alleged violator for potential
violations of the law and provide a copy of the reprimand to the presiding
officer of the house in which the alleged violator serves, or the alleged
violator's employer, if the alleged violator is a legislative agent. The
proceedings leading to a confidential reprimand and the reprimand itself shall
remain confidential except that, if the alleged violator publicly discloses the
existence of such an action, the commission may confirm the existence of the
action and, in its discretion, make public any documents which were issued to
the alleged violator; or
(b)Initiate an adjudicatory proceeding to determine whether there has been a
violation.
(6)Any person who knowingly files with the commission a false complaint of
misconduct on the part of any legislator or other person shall be guilty of a Class A
misdemeanor.