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6.686 Complaint procedure -- Preliminary investigations -- 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 complaint shall be a <br>written statement alleging a violation against one (1) or more named persons <br>and stating the essential facts constituting the violation charged. The <br>complaint shall be made under oath and signed by the complaining party <br>before a person who is legally empowered to administer oaths. The <br>commission shall have no jurisdiction in absence of a complaint. A member of <br>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 <br>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 <br>of an answer is wholly permissive, and no inferences shall be drawn from the <br>failure to file an answer.
(d) Not later than ten (10) days after the commission receives the answer, or the
time expires for the filing of an answer, the commission shall initiate a <br>preliminary inquiry into any alleged violation of this code. If the commission <br>determines that the complaint fails to state a claim of an ethics violation, the <br>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 <br>applicable law to the person alleged to have committed a violation.
(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 <br>made by the commission, except: <br>(a) The commission may turn over to the Attorney General, the United States
Attorney, Commonwealth's attorney, or county attorney of the jurisdiction in <br>which the offense allegedly occurred, evidence which may be used in criminal <br>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 <br>inquiry and, in its discretion, make public any documents which were issued <br>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 <br>shall have the right to be represented by counsel, to appear and be heard under oath, <br>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 <br>commission shall immediately terminate the matter and notify in writing the
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complainant and the person alleged to have committed a violation. The commission <br>may confidentially inform the alleged violator of potential violations and provide <br>information to ensure future compliance with the law. If the alleged violator <br>publicly discloses the existence of such action by the commission, the commission <br>may confirm the existence of the action and, in its discretion, make public any <br>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 <br>notify the alleged violator of the finding, and the commission may, upon majority <br>vote: <br>(a) Due to mitigating circumstances such as lack of significant economic
advantage or gain by the alleged violator, lack of significant economic loss to <br>the state, or lack of significant impact on public confidence in government, <br>confidentially reprimand, in writing, the alleged violator for potential <br>violations of the law and provide a copy of the reprimand to the presiding <br>officer of the house in which the alleged violator serves, or the alleged <br>violator's employer, if the alleged violator is a legislative agent. The <br>proceedings leading to a confidential reprimand and the reprimand itself shall <br>remain confidential except that, if the alleged violator publicly discloses the <br>existence of such an action, the commission may confirm the existence of the <br>action and, in its discretion, make public any documents which were issued to <br>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 <br>misdemeanor.
Effective: July 14, 2000 <br>History: Amended 2000 Ky. Acts ch. 493, sec. 2, effective July 14, 2000. -- Amended
1996 Ky. Acts ch. 211, sec. 4, effective July 15, 1996. -- Amended 1994 Ky. Acts <br>ch. 479, sec. 4, effective July 15, 1994. -- Created 1993 (1st Extra. Sess.) Ky. Acts <br>ch. 4, sec. 39, effective September 16, 1993.
Page 1 of 2
6.686 Complaint procedure -- Preliminary investigations -- 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 complaint shall be a <br>written statement alleging a violation against one (1) or more named persons <br>and stating the essential facts constituting the violation charged. The <br>complaint shall be made under oath and signed by the complaining party <br>before a person who is legally empowered to administer oaths. The <br>commission shall have no jurisdiction in absence of a complaint. A member of <br>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 <br>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 <br>of an answer is wholly permissive, and no inferences shall be drawn from the <br>failure to file an answer.
(d) Not later than ten (10) days after the commission receives the answer, or the
time expires for the filing of an answer, the commission shall initiate a <br>preliminary inquiry into any alleged violation of this code. If the commission <br>determines that the complaint fails to state a claim of an ethics violation, the <br>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 <br>applicable law to the person alleged to have committed a violation.
(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 <br>made by the commission, except: <br>(a) The commission may turn over to the Attorney General, the United States
Attorney, Commonwealth's attorney, or county attorney of the jurisdiction in <br>which the offense allegedly occurred, evidence which may be used in criminal <br>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 <br>inquiry and, in its discretion, make public any documents which were issued <br>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 <br>shall have the right to be represented by counsel, to appear and be heard under oath, <br>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 <br>commission shall immediately terminate the matter and notify in writing the
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complainant and the person alleged to have committed a violation. The commission <br>may confidentially inform the alleged violator of potential violations and provide <br>information to ensure future compliance with the law. If the alleged violator <br>publicly discloses the existence of such action by the commission, the commission <br>may confirm the existence of the action and, in its discretion, make public any <br>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 <br>notify the alleged violator of the finding, and the commission may, upon majority <br>vote: <br>(a) Due to mitigating circumstances such as lack of significant economic
advantage or gain by the alleged violator, lack of significant economic loss to <br>the state, or lack of significant impact on public confidence in government, <br>confidentially reprimand, in writing, the alleged violator for potential <br>violations of the law and provide a copy of the reprimand to the presiding <br>officer of the house in which the alleged violator serves, or the alleged <br>violator's employer, if the alleged violator is a legislative agent. The <br>proceedings leading to a confidential reprimand and the reprimand itself shall <br>remain confidential except that, if the alleged violator publicly discloses the <br>existence of such an action, the commission may confirm the existence of the <br>action and, in its discretion, make public any documents which were issued to <br>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 <br>misdemeanor.
Effective: July 14, 2000 <br>History: Amended 2000 Ky. Acts ch. 493, sec. 2, effective July 14, 2000. -- Amended
1996 Ky. Acts ch. 211, sec. 4, effective July 15, 1996. -- Amended 1994 Ky. Acts <br>ch. 479, sec. 4, effective July 15, 1994. -- Created 1993 (1st Extra. Sess.) Ky. Acts <br>ch. 4, sec. 39, effective September 16, 1993.
Page 1 of 2
6.686 Complaint procedure -- Preliminary investigations -- 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 complaint shall be a <br>written statement alleging a violation against one (1) or more named persons <br>and stating the essential facts constituting the violation charged. The <br>complaint shall be made under oath and signed by the complaining party <br>before a person who is legally empowered to administer oaths. The <br>commission shall have no jurisdiction in absence of a complaint. A member of <br>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 <br>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 <br>of an answer is wholly permissive, and no inferences shall be drawn from the <br>failure to file an answer.
(d) Not later than ten (10) days after the commission receives the answer, or the
time expires for the filing of an answer, the commission shall initiate a <br>preliminary inquiry into any alleged violation of this code. If the commission <br>determines that the complaint fails to state a claim of an ethics violation, the <br>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 <br>applicable law to the person alleged to have committed a violation.
(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 <br>made by the commission, except: <br>(a) The commission may turn over to the Attorney General, the United States
Attorney, Commonwealth's attorney, or county attorney of the jurisdiction in <br>which the offense allegedly occurred, evidence which may be used in criminal <br>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 <br>inquiry and, in its discretion, make public any documents which were issued <br>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 <br>shall have the right to be represented by counsel, to appear and be heard under oath, <br>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 <br>commission shall immediately terminate the matter and notify in writing the
Page 2 of 2
complainant and the person alleged to have committed a violation. The commission <br>may confidentially inform the alleged violator of potential violations and provide <br>information to ensure future compliance with the law. If the alleged violator <br>publicly discloses the existence of such action by the commission, the commission <br>may confirm the existence of the action and, in its discretion, make public any <br>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 <br>notify the alleged violator of the finding, and the commission may, upon majority <br>vote: <br>(a) Due to mitigating circumstances such as lack of significant economic
advantage or gain by the alleged violator, lack of significant economic loss to <br>the state, or lack of significant impact on public confidence in government, <br>confidentially reprimand, in writing, the alleged violator for potential <br>violations of the law and provide a copy of the reprimand to the presiding <br>officer of the house in which the alleged violator serves, or the alleged <br>violator's employer, if the alleged violator is a legislative agent. The <br>proceedings leading to a confidential reprimand and the reprimand itself shall <br>remain confidential except that, if the alleged violator publicly discloses the <br>existence of such an action, the commission may confirm the existence of the <br>action and, in its discretion, make public any documents which were issued to <br>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 <br>misdemeanor.
Effective: July 14, 2000 <br>History: Amended 2000 Ky. Acts ch. 493, sec. 2, effective July 14, 2000. -- Amended
1996 Ky. Acts ch. 211, sec. 4, effective July 15, 1996. -- Amended 1994 Ky. Acts <br>ch. 479, sec. 4, effective July 15, 1994. -- Created 1993 (1st Extra. Sess.) Ky. Acts <br>ch. 4, sec. 39, effective September 16, 1993.
