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121.140 Investigation of complaint -- Conciliation agreement hearing -Decision and order-- Appeal from order -- Reference for possible
prosecution -- Judicial review.
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(2)
(3)
(4)
Upon the sworn complaint of any person, or on its own initiative, the registry
shall investigate alleged violations of campaign finance law. In conducting any
investigation, the registry shall have the power of subpoena and may compel
production of evidence including the financial records of any person
determined by the registry to be vital to the investigation. The records subject
to subpoena include, but are not limited to, a person's bank records and other
relevant documents, but excluding individual and business income tax records.
If the registry concludes that there is probable cause to believe that the law has
been violated, the registry shall notify the alleged violator of its conclusions and
the evidence supporting them, and shall offer the alleged violator a conciliation
agreement to resolve the issue. A conciliation agreement may require the
alleged violator to comply with one (1) or more of the following:
(a) To cease and desist violations of the law;
(b) To file required reports or other documents or information;
(c) To pay a penalty not to exceed one hundred dollars ($100) a day, up to a
maximum total fine of five thousand dollars ($5,000), for failure to file any
report, payment of an administrative fee, or other document or information
required by law until the report, fee payment, document, or information is
filed; except that there shall be no maximum total fine for candidates for
statewide office; or
(d) To pay a penalty not to exceed five thousand dollars ($5,000) per
violation for acts of noncompliance with provisions contained within this
chapter.
To accept a conciliation agreement, an alleged violator shall deliver the signed
agreement to the registry either in person or by mail postmarked not later than
ten (10) days after the day he received it. The registry may institute a civil
action in Franklin Circuit Court or the Circuit Court for the county of the
violator's residence to enforce the provisions of any conciliation agreement
accepted by a violator who is not complying with its provisions.
If the alleged violator declines to accept the conciliation agreement or fails to
respond within the time allowed, the registry shall submit a written request to
the Chief Justice of the Kentucky Supreme Court to recommend not fewer than
five (5) nor more than ten (10) retired or former justices or retired or former
judges of the Court of Justice who are qualified and willing to conduct a hearing
to determine if a violation has occurred. Upon receipt of the recommendations
of the Chief Justice, the registry shall randomly select one (1) retired or former
justice or judge from the list to conduct the hearing, which shall be held in
accordance with the Kentucky Rules of Civil Procedure, or, if the Chief Justice
declines to make recommendations, the registry, on its own initiative, shall
request retired or former justices or judges to serve. The time and location of
hearings shall be determined by the registry. Retired or former justices or
judges selected to serve shall receive reimbursement from the registry for their
reasonable and necessary expenses incurred as a result of the performance of
their duties at the hourly rate set for attorneys by the Finance and
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Administration Cabinet. The registry shall notify the complainant and the
alleged violator that a hearing shall be conducted of the specific offenses
alleged not less than thirty (30) days prior to the date of the hearing. At the
hearing, which shall be open to the public pursuant to KRS 61.810, the
attorney for the registry shall present the evidence against the alleged violator,
and the alleged violator shall have all of the protections of due process,
including, but not limited to, the right to be represented by counsel, the right to
call and examine witnesses, the right to the production of evidence by
subpoena, the right to introduce exhibits and the right to cross-examine
opposing witnesses. If the justice or judge determines that the preponderance
of the evidence shows a violation has occurred, the justice or judge shall
render a decision not more than sixty (60) days after the case is submitted for
determination. The decision shall become the final decision of the registry
unless the registry board at its next regular meeting acts to set aside or modify
the justice's or judge's decision, in which case the registry board's decision
shall become the final registry decision. A party adversely affected by the
registry's order may appeal to Franklin Circuit Court within thirty (30) days after
the date of the registry's order. The violator may be ordered to comply with any
one (1) or more of the following requirements:
(a) To cease and desist violation of this law;
(b) To file any reports or other documents or information required by this law;
(c) To pay a penalty not to exceed one hundred dollars ($100) a day, up to a
maximum total fine of five thousand dollars ($5,000), for failure to file any
report, payment of an administrative fee, or other document or information
required by law until the report, fee payment, document, or information is
filed; except that there shall be no maximum total fine for candidates for
statewide office; or
(d) To pay a penalty not to exceed five thousand dollars ($5,000) per
violation for acts of noncompliance with provisions contained within this
chapter. An appeal of an order shall be advanced on the docket to permit
a timely decision.
If the registry concludes that there is probable cause to believe that the
campaign finance law has been violated knowingly, it shall refer the violation to
the Attorney General or the appropriate Commonwealth's or county attorney for
prosecution. The Attorney General may request the registry's attorney or the
appropriate county or Commonwealth's attorney to prosecute the matter and
may request from the registry all evidence collected in its investigation. In the
event the Attorney General or the appropriate local prosecutor fails to
prosecute in a timely fashion, the registry may petition the Circuit Court to
appoint the registry's attorney to prosecute, and upon a motion timely filed, for
good cause shown, the court shall enter an order to that effect. Prosecutions
involving campaign finance law violations, in which the reports are required to
be filed in Frankfort, may be conducted in Franklin Circuit Court or in the Circuit
Court for the county in which the contribution or expenditure constituting a
campaign finance violation was solicited, made, or accepted. The prosecution
of a person who unlawfully solicits, makes, or accepts a contribution or
expenditure through the use of the mail may be conducted in the Circuit Court
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for the county in which the solicitation is mailed, the county in which the
contribution is mailed or received, or the county in which the expenditure is
mailed.
Any person directly involved or affected by an action of the registry which is
final, other than of a determination to refer a violation to the Attorney General
or appropriate Commonwealth's or county attorney for prosecution, may seek
judicial review of the action within thirty (30) days after the date of the action.
If judicial review is sought of any action of the registry relating to a pending
election, the matter shall be advanced on the docket of the court. The court
may take any steps authorized by law to accelerate its procedures so as to
permit a timely decision.
Effective:July 15, 1998
History: Amended 1998 Ky. Acts ch. 109, sec. 1, effective July 15, 1998. -Amended 1994 Ky. Acts ch. 458, sec. 7, effective July 15, 1994. Amended
1992 Ky. Acts ch. 288, sec. 46, effective July 14, 1992. -- Amended 1988 Ky.
Acts ch. 341, sec. 42, effective July 15, 1988. -- Amended 1986 Ky. Acts
ch. 100, sec. 3, effective July 15, 1986. -- Amended 1980 Ky. Acts ch. 292,
sec. 5, effective July 15, 1980. -- Created 1974 Ky. Acts ch. 253, sec. 3.
Legislative Research Commission Note. Because of the similarity in the
substance of 1988 Acts ch. 341, sec. 19, and the last sentence of (3) of this
section, 1988 Acts ch. 341, sec. 19 has been treated as an amendment rather
than a newly created section.
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