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AN ACT relating to executive branch ethics. 1
Be it enacted by the General Assembly of the Commonwealth of Kentucky: 2
Section 1. KRS 11A.010 is amended to read as follows: 3
As used in this chapter, unless the context otherwise requires: 4
(1) "Business" means any corporation, limited liability company, partnership, limited 5
partnership, sole proprietorship, firm, enterprise, franchise, association, 6
organization, self-employed individual, holding company, joint stock company, 7
receivership, trust, or any legal entity through which business is conducted, whether 8
or not for profit; 9
(2) "Commission" means the Executive Branch Ethics Commission; 10
(3) "Compensation" means any money, thing of value, or economic benefit conferred 11
on, or received by, any person in return for services rendered, or to be rendered, by 12
himself or herself or another; 13
(4) "Family" means spouse and children, as well as a person who is related to a public 14
servant as any of the following, whether by blood or adoption: parent, brother, 15
sister, grandparent, grandchild, father-in-law, mother-in-law, brother-in-law, sister-16
in-law, son-in-law, daughter-in-law, stepfather, stepmother, stepson, stepdaughter, 17
stepbrother, stepsister, half brother, half sister; 18
(5) "Gift" means a payment, loan, subscription, advance, deposit of money, services, or 19
anything of value, unless consideration of equal or greater value is received; "gift" 20
does not include gifts from family members, campaign contributions, the waiver of 21
a registration fee for a presenter at a conference or training described in KRS 22
45A.097(5), or door prizes available to the public; 23
(6) "Income" means any money or thing of value received or to be received as a claim 24
on future services, whether in the form of a fee, salary, expense allowance, 25
forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, or any other 26
form of compensation or any combination thereof; 27 UNOFFICIAL COPY 22 RS BR 872
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(7) "Officer" means: 1
(a) All major management personnel in the executive branch of state government, 2
including the secretary of the cabinet, the Governor's chief executive officers, 3
cabinet secretaries, deputy cabinet secretaries, general counsels, 4
commissioners, deputy commissioners, executive directors, executive 5
assistants, policy advisors, special assistants, administrative coordinators, 6
executive advisors, staff assistants, and division directors; 7
(b) Members and full-time chief administrative officers of: 8
1. The Parole Board; 9
2. Office of Claims and Appeals; 10
3. Board of Tax Appeals; 11
4. Board of Claims; 12
5. Crime Victims Compensation Board; 13
6. Kentucky Retirement Systems board of trustees; 14
7. Kentucky Teachers' Retirement System board of trustees; 15
8. The Kentucky Public Employees Deferred Compensation Authority 16
board of trustees; 17
9. Public Service Commission; 18
10. Worker's Compensation Board and its administrative law judges; 19
11. The Kentucky Occupational Safety and Health Review Commission; 20
12. The Kentucky Board of Education; 21
13. The Council on Postsecondary Education; 22
14. County Employees Retirement System board of trustees; 23
15. Kentucky Public Pensions Authority;[ and] 24
16. The Kentucky Horse Racing Commission; and 25
17. The Kentucky Fish and Wildlife Resources Commission; 26
(c) Salaried members of executive branch boards and commissions; and 27 UNOFFICIAL COPY 22 RS BR 872
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(d) Any person who, through a personal service contract or any other contractual 1
employment arrangement with an agency, performs on a full-time, 2
nonseasonal basis a function of any major management position listed in this 3
subsection; 4
(8) "Official duty" means any responsibility imposed on a public servant by virtue of 5
his or her position in the state service; 6
(9) "Public servant" means: 7
(a) The Governor; 8
(b) The Lieutenant Governor; 9
(c) The Secretary of State; 10
(d) The Attorney General; 11
(e) The Treasurer; 12
(f) The Commissioner of Agriculture; 13
(g) The Auditor of Public Accounts; 14
(h) All employees in the executive branch including officers as defined in 15
subsection (7) of this section and merit employees; and 16
(i) Any person who, through any contractual arrangement with an agency, is 17
employed to perform a function of a position within an executive branch 18
agency on a full-time, nonseasonal basis; 19
(10) "Agency" means every state office, cabinet, department, board, commission, public 20
corporation, or authority in the executive branch of state government. A public 21
servant is employed by the agency by which his or her appointing authority is 22
employed, unless his or her agency is attached to the appointing authority's agency 23
for administrative purposes only, or unless the agency's characteristics are of a 24
separate independent nature distinct from the appointing authority and it is 25
considered an agency on its own, such as an independent department; 26
(11) "Lobbyist" means any person employed as a legislative agent as defined in KRS 27 UNOFFICIAL COPY 22 RS BR 872
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6.611(23) or any person employed as an executive agency lobbyist as defined in 1
KRS 11A.201(9); 2
(12) "Lobbyist's principal" means the entity in whose behalf the lobbyist promotes, 3
opposes, or acts; 4
(13) "Candidate" means those persons who have officially filed candidacy papers or who 5
have been nominated by their political party pursuant to KRS 118.105, 118.115, 6
118.325, or 118.760 for any of the offices enumerated in subsections (9)(a) to (g) of 7
this section; 8
(14) "Does business with" or "doing business with" means contracting, entering into an 9
agreement, leasing, or otherwise exchanging services or goods with a state agency 10
in return for payment by the state, including accepting a grant, but not including 11
accepting a state entitlement fund disbursement; 12
(15) "Public agency" means any governmental entity; 13
(16) "Appointing authority" means the agency head or any person whom he or she has 14
authorized by law to act on behalf of the agency with respect to employee 15
appointments; 16
(17) "Represent" means to attend an agency proceeding, write a letter, or communicate 17
with an employee of an agency on behalf of someone else; 18
(18) "Directly involved" means to work on personally or to supervise someone who 19
works on personally; 20
(19) "Sporting event" means any professional or amateur sport, athletic game, contest, 21
event, or race involving machines, persons, or animals, for which admission tickets 22
are offered for sale and that is viewed by the public; 23
(20) "Person" means an individual, proprietorship, firm, partnership, limited partnership, 24
joint venture, joint stock company, syndicate, business or statutory trust, donative 25
trust, estate, company, corporation, limited liability company, association, club, 26
committee, organization, or group of persons acting in concert; and 27 UNOFFICIAL COPY 22 RS BR 872
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(21) "Salaried" means receiving a fixed compensation or benefit reserved for full-time 1
employees, which is paid on a regular basis without regard to the actual number of 2
hours worked. 3
Section 2. KRS 11A.040 is amended to read as follows: 4
(1) A public servant, in order to further his or her own economic interests, or those of 5
any other person, shall not knowingly disclose or use confidential information 6
acquired in the course of his or her official duties. 7
(2) A public servant shall not knowingly receive, directly or indirectly, any interest or 8
profit arising from the use or loan of public funds in his or her hands or to be raised 9
through any state agency. 10
(3) A public servant shall not knowingly act as a representative or agent for the 11
Commonwealth or any agency in the transaction of any business or regulatory 12
action with himself or herself, or with any business in which he or she or a member 13
of his or her family has any interest greater than five percent (5%) of the total value 14
thereof. 15
(4) A public servant shall not knowingly himself or herself or through any business in 16
which he or she owns or controls an interest of more than five percent (5%), or by 17
any other person for his or her use or benefit or on his or her account, undertake, 18
execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, 19
agreement, lease, sale, or purchase made, entered into, awarded, or granted by the 20
agency by which he or she is employed or which he or she supervises, subject to the 21
provisions of KRS 45A.340. This provision shall not apply to: 22
(a) A contract, purchase, or good faith negotiation made pursuant to KRS Chapter 23
416 relating to eminent domain; or 24
(b) Agreements which may directly or indirectly involve public funds disbursed 25
through entitlement programs; or 26
(c) A public servant's spouse or child doing business with any state agency other 27 UNOFFICIAL COPY 22 RS BR 872
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than the agency by which the public servant is employed or which he 1
supervises; or 2
(d) Purchases from a state agency that are available on the same terms to the 3
general public or that are made at public auction; or 4
(e) Sales of craft items to a state park by interim state employees designated as 5
craftspersons under KRS 148.257. 6
(5) A public servant shall not knowingly accept compensation, other than that provided 7
by law for public servants, for performance of his or her official duties without the 8
prior approval of the commission. 9
(6) A former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, 10
within one (1) year of termination of his or her employment, knowingly by himself 11
or herself or through any business in which he or she owns or controls an interest of 12
at least five percent (5%), or by any other person for his or her use or benefit or on 13
his or her account, undertake, execute, hold, bid on, negotiate, or enjoy, in whole or 14
in part, any contract, agreement, lease, sale, or purchase made, entered into, 15
awarded, or granted by the agency by which he or she was employed. This provision 16
shall not apply to a contract, purchase, or good-faith negotiation made under KRS 17
Chapter 416 relating to eminent domain or to agreements that may directly or 18
indirectly involve public funds disbursed through entitlement programs. This 19
provision shall not apply to purchases from a state agency that are available on the 20
same terms to the general public or that are made at public auction. This provision 21
shall not apply to former officers of the Department of Public Advocacy whose 22
continued representation of clients is necessary in order to prevent an adverse effect 23
on the client. 24
(7) A present or former officer or public servant listed in KRS 11A.010(9)(a) to (g) 25
shall not, within one (1) year following termination of his or her office or 26
employment, accept employment, compensation, or other economic benefit from 27 UNOFFICIAL COPY 22 RS BR 872
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any person or business that contracts or does business with, or is regulated by, the 1
state in matters in which he or she was directly involved during the last thirty-six 2
(36) months of his or her tenure. This provision shall not prohibit an individual 3
from returning to the same business, firm, occupation, or profession in which he or 4
she was involved prior to taking office or beginning his or her term of employment, 5
or for which he or she received, prior to his or her state employment, a professional 6
degree or license, provided that, for a period of one (1) year, he or she personally 7
refrains from working on any matter in which he or she was directly involved 8
during the last thirty-six (36) months of his or her tenure in state government. This 9
subsection shall not prohibit the performance of ministerial functions, including but 10
not limited to filing tax returns, filing applications for permits or licenses, or filing 11
incorporation papers, nor shall it prohibit the former officer or public servant from 12
receiving public funds disbursed through entitlement programs. 13
(8) A former public servant shall not act as a lobbyist or lobbyist's principal in matters 14
in which he or she was directly involved during the last thirty-six (36) months of his 15
or her tenure for a period of one (1) year after the latter of: 16
(a) The date of leaving office or termination of employment; or 17
(b) The date the term of office expires to which the public servant was elected. 18
(9) A former public servant shall not represent a person or business before a state 19
agency in a matter in which the former public servant was directly involved during 20
the last thirty-six (36) months of his or her tenure, for a period of one (1) year after 21
the latter of: 22
(a) The date of leaving office or termination of employment; or 23
(b) The date the term of office expires to which the public servant was elected. 24
(10) Without the approval of his appointing authority, a public servant shall not accept 25
outside employment from any person or business that does business with or is 26
regulated by the state agency for which the public servant works or which he or she 27 UNOFFICIAL COPY 22 RS BR 872
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supervises, unless the outside employer's relationship with the state agency is 1
limited to the receipt of entitlement funds. 2
(a) The appointing authority shall review administrative regulations established 3
under KRS Chapter 11A when deciding whether to approve outside 4
employment for a public servant. 5
(b) The appointing authority shall not approve outside employment for a public 6
servant if the public servant is involved in decision-making or 7
recommendations concerning the person or business from which the public 8
servant seeks outside employment or compensation. 9
(c) The appointing authority, if applicable, shall file quarterly with the Executive 10
Branch Ethics Commission a list of all employees who have been approved 11
for outside employment along with the name of the outside employer of each. 12
(11) The prohibitions imposed by subsection (5) or (10) of this section shall not apply to 13
Professional Golfers' Association class A members who teach golf lessons and 14
receive a fee or lesson charge at golf courses owned and operated by the Kentucky 15
Department of Parks. Instruction provided by an employee of the Commonwealth 16
shall only be given while the employee is on his or her own personal time. The 17
commissioner of the Department of Parks shall promulgate administrative 18
regulations to establish guidelines for the process by which Professional Golfers' 19
Association class A members are approved to teach golf lessons at Kentucky 20
Department of Parks-owned golf courses. The exception granted by this subsection 21
is in recognition of the benefits that will accrue to the Kentucky Department of 22
Parks due to increased participation at state-owned golf courses. 23
(12) The prohibitions imposed by subsections (6) to (10) of this section shall not apply to 24
members of the Kentucky Horse Racing Commission or the Kentucky Fish and 25
Wildlife Resources Commission. 26
Section 3. KRS 150.022 is amended to read as follows: 27 UNOFFICIAL COPY 22 RS BR 872
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(1) The Department of Fish and Wildlife Resources Commission shall consist of nine 1
(9) members, one (1) from each wildlife district, as set out by the commissioner 2
with the approval of the commission, and not more than five (5) of the same 3
political party. 4
(2) The Governor shall appoint the members of the commission subject to confirmation 5
by the Senate. Each of the members shall be appointed for a term of four (4) years 6
and may be reappointed only once. No person who has been convicted of a felony 7
offense, in Kentucky or under the law of any other state, or any other law of the 8
United States shall be eligible to serve on the commission. 9
(3) Vacancies through the expiration of terms of the members of the commission shall 10
be filled by appointment by the Governor from a list of five (5) names from each 11
wildlife district, recommended and submitted by the sportsmen of each respective 12
district. When the term of a member expires, the commissioner shall call a meeting 13
of the sportsmen in that district not later than thirty (30) days prior to the expiration 14
of the member's term. Notice of the meeting shall be given by publication pursuant 15
to KRS Chapter 424. At the meeting, the sportsmen in attendance shall select and 16
submit to the Governor a list of five (5) residents and citizens of the district who are 17
well informed on the subject of wildlife conservation and restoration. Each 18
sportsman may vote for one (1) candidate only, and the list submitted to the 19
Governor shall be made up of the names of the five (5) candidates receiving the five 20
(5) highest vote totals. The Governor shall appoint a successor to the member 21
whose term is about to expire within sixty (60) days following the submission to 22
him of the list referred to in this subsection, and in no event later than August 13. 23
(4) Upon appointment to the commission of the Department of Fish and Wildlife 24
Resources, each commissioner shall execute a bond of one thousand dollars 25
($1,000) in favor of the Department of Fish and Wildlife Resources, the premium 26
on this bond to be paid out of department funds. 27 UNOFFICIAL COPY 22 RS BR 872
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(5) In the event of vacancies other than by expiration, the Governor shall fill the 1
vacancy for the unexpired part of the term from the names remaining on the list 2
previously submitted for the district from which the vacancy arose. 3
(6) Each member of the commission shall take the constitutional oath of office. 4
(7) The Governor shall remove any member of the commission for cause under 5
subsection (2) of this section and may remove any member of the commission for 6
inefficiency, neglect of duty, or misconduct in office; but shall first deliver to the 7
member a copy of all charges in writing and afford to him an opportunity of being 8
publicly heard in person or by counsel in defense of the charges, upon not less than 9
ten (10) days' notice. If a member shall be removed, the Governor shall file in the 10
office of the Secretary of State a complete statement of all charges made against the 11
member and his findings thereon, together with a complete record of the 12
proceedings. 13
(8) Each member of the commission shall be entitled to reimbursement for actual and 14
necessary traveling and other expenses incurred by him in the discharge of his 15
official duties and to be paid from the game and fish fund. 16
(9) A majority of the commission shall constitute a quorum for the transaction of any 17
business, for the performance of any duty or for the exercise of any power vested in 18
the commission. 19
(10) The department shall have its principal office in Franklin County, and is authorized 20
to purchase all supplies, equipment, and printed forms and to issue any notices and 21
publications as the commissioner may deem necessary to carry out the provisions of 22
this chapter. 23
(11) The word "sportsman" as used in this section shall mean a resident hunter or 24
fisherman who has been licensed in Kentucky for each of the past two (2) 25
consecutive years. 26
(12) Members of the Kentucky Fish and Wildlife Resources Commission shall be 27 UNOFFICIAL COPY 22 RS BR 872
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subject to the provisions of KRS 11A.010 and 11A.040. 1