KRS 6.686: Complaint procedure -- Preliminary inquiries -- Penalty for false complaint

of misconduct.

(1) (a) The commission shall have jurisdiction to investigate and proceed as to any

violation of this code upon the filing of a complaint. The compla int 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 i s 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 t he 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 fili ng

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 me mbers 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 com mitted 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 vio lation 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 a nd 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 attorne y, 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 vi olation. 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 viola tion 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 pre siding

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 exc ept 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 adj udicatory 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.