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11A.040 Acts prohibited for public servant or officer -- Exception.
(1)
(2)
(3)
(4)
(5)
(6)
A public servant, in order to further his own economic interests, or those of any
other person, shall not knowingly disclose or use confidential information
acquired in the course of his official duties.
A public servant shall not knowingly receive, directly or indirectly, any interest
or profit arising from the use or loan of public funds in his hands or to be raised
through any state agency.
A public servant shall not knowingly act as a representative or agent for the
Commonwealth or any agency in the transaction of any business or regulatory
action with himself, or with any business in which he or a member of his family
has any interest greater than five percent (5%) of the total value thereof.
A public servant shall not knowingly himself or through any business in which
he owns or controls an interest of more than five percent (5%), or by any other
person for his use or benefit or on his account, undertake, execute, hold, bid
on, negotiate, or enjoy, in whole or in part, any contract, agreement, lease,
sale, or purchase made, entered into, awarded, or granted by the agency by
which he is employed or which he supervises, subject to the provisions of KRS
45A.340. This provision shall not apply to:
(a) A contract, purchase, or good faith negotiation made pursuant to KRS
Chapter 416 relating to eminent domain; or
(b) Agreements which may directly or indirectly involve public funds
disbursed through entitlement programs; or
(c) A public servant's spouse or child doing business with any state agency
other than the agency by which the public servant is employed or which
he supervises; or
(d) Purchases from a state agency that are available on the same terms to
the general public or that are made at public auction; or
(e) Sales of craft items to a state park by interim state employees designated
as craftspersons under KRS 148.257.
A public servant shall not knowingly accept compensation, other than that
provided by law for public servants, for performance of his official duties without
the prior approval of the commission.
A former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not,
within six (6) months of termination of his employment, knowingly by himself or
through any business in which he owns or controls an interest of at least five
percent (5%), or by any other person for his use or benefit or on his account,
undertake, execute, hold, bid on, negotiate, or enjoy, in whole or in part, any
contract, agreement, lease, sale, or purchase made, entered into, awarded, or
granted by the agency by which he was employed. This provision shall not
apply to a contract, purchase, or good faith negotiation made under KRS
Chapter 416 relating to eminent domain or to agreements that may directly or
indirectly involve public funds disbursed through entitlement programs. This
provision shall not apply to purchases from a state agency that are available on
the same terms to the general public or that are made at public auction. This
provision shall not apply to former officers of the Department of Public
Advocacy whose continued representation of clients is necessary in order to
prevent an adverse effect on the client.
(7) A present or former officer or public servant listed in KRS 11A.010(9)(a) to (g)
shall not, within six (6) months following termination of his office or
employment, accept employment, compensation, or other economic benefit
from any person or business that contracts or does business with, or is
regulated by, the state in matters in which he was directly involved during the
last thirty-six (36) months of his tenure. This provision shall not prohibit an
individual from returning to the same business, firm, occupation, or profession
in which he was involved prior to taking office or beginning his term of
employment, or for which he received, prior to his state employment, a
professional degree or license, provided that, for a period of six (6) months, he
personally refrains from working on any matter in which he was directly
involved during the last thirty-six (36) months of his tenure in state government.
This subsection shall not prohibit the performance of ministerial functions,
including but not limited to filing tax returns, filing applications for permits or
licenses, or filing incorporation papers, nor shall it prohibit the former officer or
public servant from receiving public funds disbursed through entitlement
programs.
(8) A former public servant shall not act as a lobbyist or lobbyist's principal in
matters in which he was directly involved during the last thirty-six (36) months
of his tenure for a period of one (1) year after the latter of:
(a) The date of leaving office or termination of employment; or
(b) The date the term of office expires to which the public servant was
elected.
(9) A former public servant shall not represent a person or business before a state
agency in a matter in which the former public servant was directly involved
during the last thirty-six (36) months of his tenure, for a period of one (1) year
after the latter of:
(a) The date of leaving office or termination of employment; or
(b) The date the term of office expires to which the public servant was
elected.
(10) Without the approval of his appointing authority, a public servant shall not
accept outside employment from any person or business that does business
with or is regulated by the state agency for which the public servant works or
which he supervises, unless the outside employer's relationship with the state
agency is limited to the receipt of entitlement funds.
(a) The appointing authority shall review administrative regulations
established under KRS Chapter 11A when deciding whether to approve
outside employment for a public servant.
(b) The appointing authority shall not approve outside employment for a
public servant if the public servant is involved in decision-making or
recommendations concerning the person or business from which the
public servant seeks outside employment or compensation.
(c) The appointing authority, if applicable, shall file quarterly with the
Executive Branch Ethics Commission a list of all employees who have
been approved for outside employment along with the name of the
outside employer of each.
(11) The prohibitions imposed by subsection (5) or (10) of this section shall not
apply to Professional Golfers' Association class A members who teach golf
lessons and receive a fee or lesson charge at golf courses owned and
operated by the Kentucky Department of Parks. Instruction provided by an
employee of the Commonwealth shall only be given while the employee is on
his or her own personal time. The commissioner of the Department of Parks
shall promulgate administrative regulations to establish guidelines for the
process by which Professional Golfers' Association class A members are
approved to teach golf lessons at Kentucky Department of Parks-owned golf
courses. The exception granted by this subsection is in recognition of the
benefits that will accrue to the Kentucky Department of Parks due to increased
participation at state-owned golf courses.
Effective:July 12, 2006
History: Amended 2006 Ky. Acts ch. 68, sec. 1, effective July 12, 2006. -Amended 2000 Ky. Acts ch. 417, sec. 4, effective December 1, 2000; and
ch. 475, sec. 2, effective July 14, 2000. -- Amended 1998 Ky. Acts ch. 381,
sec. 2, effective July 15, 1998; ch. 429, sec. 2, effective July 15, 1998; ch. 430,
sec. 1, effective July 15, 1998; and ch. 602, sec. 2, effective July 15, 1998. -Amended 1996 Ky. Acts ch. 367, sec. 1, effective July 15, 1996. -- Amended
1994 Ky. Acts ch. 434, sec. 3, effective July 15, 1994. Created 1992 Ky. Acts
ch. 287, sec. 6, effective July 14, 1992.
Legislative Research Commission Note (12/1/2000). The contingency on the
effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the
voters of the Commonwealth having ratified at the general election on
November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399)
abolishing the Railroad Commission.
Legislative Research Commission Note (7/15/98). A reference to "KRS
11A.010(9)(a) to (i)" in the former subsection (6) of this statute (now subsection
(7)) has been changed in codification to "KRS 11A.010(9)(a) to (h)" under KRS
7.136(1)(e) and (h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former
paragraph (g) of KRS 11A.010(9) and renumbered the remaining subsections
accordingly. Other actions within Acts Chapter 429 used the "(a) to (h)" range in
new language and modified existing language to use the "(a) to (h)" range. It
seems clear from context, and this has been confirmed by the drafter of the bill,
that this change was intended here as well but was inadvertently overlooked.
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