Advisory Opinions
These summaries are designed to provide examples of decisions of actual inquiries of the Commission. Key points may have been deleted in the interest of brevity.
Note: For the full text version of Advisory Opinions, please click on the specific opinion name.
- Advisory Opinion 95-1: Employee may provide training to employees of another state, but due to possible conflict of interest, may accept reimbursement of actual expenses only.
- Advisory Opinion 95-2: Employee may own interest in company which provides drug and alcohol screening services provided the company has no contracts or agreements with any state agencies, and the agency for which the employee works does not seek the services of a company which provides similar services.
- Advisory Opinion 95-3: State agency, which is attached to a cabinet for administrative purposes only, is not prohibited from accepting donations from entities which may be regulated by the cabinet to which the agency is administratively attached.
- Advisory Opinion 95-4: Executive Branch agencies, for purposes of KRS Chapter 11A, are defined as those agencies listed in the Legislative Research Commission’s Informational Bulletin No. 171, The Executive Branch of Kentucky State Government.
- Advisory Opinion 95-5: A conflict of interest exists if a public servant receives compensation for teaching a student who is placed, through the school’s co-op program, in the public servant’s privately owned business to gain required practical experience.
- Advisory Opinion 95-6: Employee’s spouse may do business with entities which are regulated by the agency for which the employee works provided the employee is not directly involved in the regulation of such entities.
- Advisory Opinion 95-7: Employee may provide fitness instruction through outside entity to state agency located on the same grounds as the agency for which the employee works.
- Advisory Opinion 95-8: Employee may purchase sporting event tickets from vendor provided such tickets are available to the public, and the amount paid for the tickets is substantially the same as the market value of the tickets.
- Advisory Opinion 95-9: In KRS 11A.040(7), the term "lobbyist" refers to executive agency lobbyist as well as legislative agent.
- Advisory Opinion 95-10: This opinion addresses questions related to the post-employment of a cabinet secretary. A cabinet secretary should not apply for a state certification prior to leaving his state position. As agency head, a cabinet secretary is directly involved in all matters of the cabinet.
- Advisory Opinion 95-11: An employee may accept payment from a film production company for appearing in a film produced in part on the state grounds where the employee works as long as the employee was not involved in establishing the contract between his state agency and the film production company.
- Advisory Opinion 95-12: State employee may not accept the exclusive use of golf clubs from a golf supplier which sells products to the state agency for which the employee works.
- Advisory Opinion 95-13: Former employee is "representing" his new employer by taking part in on-site discussions with inspectors from the agency for which he former worked.
- Advisory Opinion 95-14: This opinion number has been voided.
- Advisory Opinion 95-15: Replaced by Advisory Opinion 00-20 issued June 23, 2000. Employee may own stock or other interest in an entity which is regulated by, or does business with, the employee’s state agency as long as such interest is less than five percent (5%) or $10,000, or the employee, in his state employment, is not directly involved in any matters concerning the entity.
- Advisory Opinion 95-16: Employee may accept travel expense payment from a state university which holds a contract with the employee’s agency because the contract is one of necessity and not one for which any competition exists.
- Advisory Opinion 95-17: It is not a conflict of interest for the president of a state-employee association to be employed as a state local office manager; however, if the office manager is using his influence in a manner which conflicts between his job and his role for the association, he may be in violation of the code of ethics.
- Advisory Opinion 95-18: Officer relieved of duties prior to termination of employment is subject to post-employment restrictions upon date of termination.
- Advisory Opinion 95-19: No conflict is apparent if a member of the State Board of Education does no business with a state-managed local school board other than publishing the annual performance report in his newspaper. The employment of a State Board member’s daughter by a state-managed local school board could present a conflict of interest, and the State Board member should abstain from involvement in the state’s management of the local school district.
- Advisory Opinion 95-20: This opinion number has been voided.
- Advisory Opinion 95-21: A state vocational instructor should not hire, for his private business, students who are enrolled in his classes.
- Advisory Opinion 95-22: An employee should not solicit or accept food or other items from entities which are regulated by the agency for which the employee works, even for charitable purposes.
- Advisory Opinion 95-23: This opinion number has been voided.
- Advisory Opinion 95-24: It is not a violation of the code of ethics for an agency to contract with the employer of a member of the agency’s board of directors.
- Advisory Opinion 95-25: An employee who is "returning to the same business, firm, occupation or profession" for purposes of KRS 11A.040(6) includes returning to the profession for which the employee was educated and licensed prior to state employment.
- Advisory Opinion 95-26: If approval has not been obtained from the Commission, it is a violation of the code of ethics for a local board of education to subsidize the salary of an area technology principal who supervises instructors paid by the local school board.
- Advisory Opinion 95-27: Convenience food store owned by spouse of employee who is involved in determining eligibility of applicants for food stamps is not prohibited from accepting stamps.
- Advisory Opinion 95-28: This opinion number has been voided.
- Advisory Opinion 95-29: An employee may accept travel expense reimbursement from an association while performing duties relative to the association provided the agency for which the employee works does no business with and does not regulate the association or members thereof.
- Advisory Opinion 95-30: This opinion number has been voided.
- Advisory Opinion 95-31: For one year, a former employee may not represent anyone before his former agency in a matter in which he was directly involved as a state employee. A former employee may teach a class for company with which he was directly involved as a state employee, but may not communicate with former agency regarding training on behalf of company.
- Advisory Opinion 95-32: This opinion number has been voided.
- Advisory Opinion 95-33: An employee is prohibited from accepting a stipend from a state agency for representing individuals through the guardian ad litem program because such acceptance constitutes an agreement with a state agency which is prohibited by the code of ethics.
- Advisory Opinion 95-34: Day-care center owned by employee may enroll children who receive child care benefits from agency for which employee works provided the employee's position involves no responsibility for day-care centers.
- Advisory Opinion 95-35: An employee, serving as a chair of a task force meeting, should not accept a meal from a representative of an entity which is regulated by the agency for which the employee works, unless the employee also makes a speech or is a panel participant.
- Advisory Opinion 95-36: Request withdrawn prior to issuance.
- Advisory Opinion 95-37: Attorney employed by a state agency must withdraw name from cases in which he was involved privately if his clients could appear before the employee's agency.
- Advisory Opinion 95-38: In order to avoid the appearance of a conflict of interest, mine inspector should not contract with coal company for surface mining on his property.
- Advisory Opinion 95-39: Employees who work as unemployment insurance auditors and are involved in the regulation of private businesses must refrain from outside employment which presents a conflict of interest between their private interest and their duties in the public interest. The code of ethics does not entirely prohibit an employee who is involved in the auditing of businesses from engaging in outside work provided the employee does not use his official position to obtain financial gain or advantages over the general public, and does not use his influence in a matter which poses a conflict between his private interest and his duties in the public interest. Certain outside employment is subject to the approval of the Commission.
- Advisory Opinion 95-40: Employees of a state agency are prohibited from having an agreement to provide interpreting services for another state agency. However, employees may seek such a solution to this problem through "dual employment" regulated through 101 KAR 2:095.
- Advisory Opinion 95-41: Stockyard owner may accept employment with the Department of Agriculture provided he is not employed by the division which regulates the stockyard.
- Advisory Opinion 95-42: State employee may receive specialized telecommunications equipment under state distribution program as long as not involved in decisions concerning the distribution of telecommunication devices for the deaf.
- Advisory Opinion 95-43: Employee's participation as executive director of a nonprofit educational corporation which seeks to promote awareness of intermodal transportation opportunities does not appear to create a conflict of interest.
- Advisory Opinion 95-44: An employee should not associate part-time psychology practice with an individual who receives referrals for psychological evaluations or psychotherapy from social workers whom the employee advises in his state position.
- Advisory Opinion 95-45: Employees are not prohibited from accepting outside employment as consultants or trainers with businesses which may be potential customers of the agency for which the employees work as long as the same classes are not offered by the agency.
- Advisory Opinion 94-1: Private conference staff who are also state employees should not solicit funds from persons or businesses regulated by or doing business with the state agency for which the employee works.
- Advisory Opinion 94-2: Non-profit organizations whose attempts to influence public policy involve decisions of executive branch officials regarding budgetary allocations of state funds must register as executive agency lobbyists.
- Advisory Opinion 94-3: This opinion REVERSES the conclusion of Advisory Opinion 93-48 based on new information received. Employee who works for the branch which approves continuing education courses may not continue to offer continuing education courses to x-ray technologists.
- Advisory Opinion 94-4: This opinion addresses a series of questions concerning executive agency lobbying as it applies to attorneys.
- Advisory Opinion 94-5: Employee is prohibited, for six months, from accepting employment with a company which contracts with the agency for which the employee works to provide assistance on a project in which the employee has been directly involved.
- Advisory Opinion 94-6: Employee may not work part-time for hospital which receives state funds from the agency for which the employee works.
- Advisory Opinion 94-7: This opinion number has been voided.
- Advisory Opinion 94-8: Agency head may not accept fee for service from association representing individuals who are regulated by the agency which the agency head supervises.
- Advisory Opinion 94-9: This opinion has been REPLACED by Advisory Opinion 94-18.
- Advisory Opinion 94-10: Employee may accept position as therapist but must refrain, for six months, from working on matters in which the employee was directly involved during state employment.
- Advisory Opinion 94-11: Volunteers, if paid by nonprofit organizations on behalf of an association, must register as executive agency lobbyists.
- Advisory Opinion 94-12: State employees may be employed at comprehensive care centers, provided such employees take no part in contract negotiations between their state agency and the comprehensive care centers.
- Advisory Opinion 94-13: "management personnel with procurement authority" includes employees below the director level who have procurement authority and who are in personnel management positions.
- Advisory Opinion 94-14: An employee may accept compensation for jury duty service in addition to paid leave time.
- Advisory Opinion 94-15: A state employee acting as an inspector for the Commonwealth should not inspect a business owned by his or her spouse or a business that is in competition with his or her spouse’s business. In addition, the inspector should not work in the same division as inspectors of the spouse’s business.
- Advisory Opinion 94-16: State employee may serve on state commission as long as employee is not employed by agency to which commission is attached.
- Advisory Opinion 94-17: Employee may serve as state coordinator for a national, non-profit organization dedicated to improving waste handling methods as long as the employee avoids direct dealings with persons and businesses which are regulated by or do business with the employee’s agency. An agency may conduct certification schools with the assistance of instructors who may be regulated by the agency, within certain limitations.
- Advisory Opinion 94-18: A state employee may accept outside employment with a private environmental engineering firm as long as the firm and the client to whom the employee will provide services are not regulated by or doing business with the department for which the employee works.
- Advisory Opinion 94-19: An employee who conducts tours to promote state tourism may accept complimentary meals, lodging and admission to attractions when traveling with tour officials whom the employee is seeking to persuade to bring tourism to the state if the gift or gratuity is not solicited by the employee, is accepted in performance of the employee’s official duties, and is of no more value than gifts to the other members of the group.
- Advisory Opinion 94-20: Executive branch employee may be hired by the Legislative Research Commission to interpret for legislative session.
- Advisory Opinion 94-21: A state employee should not solicit sponsors or accept donations for charity fund raisers from entities which do business with or are regulated by the agency for which the employee works.
- Advisory Opinion 94-22: Prior to the effective date of the house bill amending the post-employment provisions of the code of ethics, an employee may not accept a position with private contractor immediately upon retirement.
- Advisory Opinion 94-23: Employee may seek future employment with private company which does business with the employee’s state agency, as long as employee is not directly involved in matters of private company as part of his state job.
- Advisory Opinion 94-24: An attorney employed by an executive branch agency may not contract with a state agency to handle criminal appeals.
- Advisory Opinion 94-25: Employee may not accept a contract with a private, nonprofit agency to provide lawn service, because the private agency holds a contract with the employee’s agency to provide the service to the state.
- Advisory Opinion 94-26: A property valuation administrator may conduct auctions for the master commissioner of his county as long as such activity does not interfere or conflict with his duties as a property valuation administrator.
- Advisory Opinion 94-27: Employees who work as part of their official duty as staff for a private, nonprofit organization’s annual conference may accept meals and lodging from the organization. The organization is not regulated by or doing business with the employee’s agency, nor does it represent a particular interest group that is.
- Advisory Opinion 94-28: Employee at a state correctional facility may accept, immediately upon resignation, employment with a correctional corporation with which he had no direct involvement as a state employee.
- Advisory Opinion 94-29: Deputy executive directors are major management personnel and thus are required to file the statement of financial disclosure.
- Advisory Opinion 94-30: The president of a state-related credit union may resign his classified position and immediately be employed directly by the credit union.
- Advisory Opinion 94-31: Inspector, in performance of his official duty, may accept chartered flight from company in lieu of traveling on a commercial flight and charging the company for his expenses.
- Advisory Opinion 94-32: Employee who is returning to his former profession may accept position as environmental engineer as long as position will not involve, for six months, matters in which the employee was directly involved in state position.
- Advisory Opinion 94-33: State foresters who inspect tree farms as part of their official duty may not accept incentive awards and gifts for such service.
- Advisory Opinion 94-34: Building codes inspector should not solicit goods and services for nonprofit entity from those regulated by or doing business with the inspector’s agency.
- Advisory Opinion 94-35: A governor’s acceptance of moneys from an award fund set up as a means of helping the horse industry is not a specific violation of the code of ethics; however, such acceptance does not appear to comply with the ideals embodied in the code.
- Advisory Opinion 94-36: Members of a state corporation appointed by the governor who serve on a part-time basis and receive no compensation for their services are not subject to the code of ethics unless they also serve as state employees.
- Advisory Opinion 94-37: A state agency which regulates water companies may not accept a donation from a water company for an environmental project.
- Advisory Opinion 94-38: A constitutional officeholder is not prohibited from using his state title when endorsing or soliciting on behalf of a nonprofit organization; however, the officeholder should not use official stationery and the state agency he supervises must not do business with or regulate the non-profit agency.
- Advisory Opinion 94-39: Employees may not accept free tuition and lodging at vendor-sponsored seminar unless tuition and lodging were included as part of bid on equipment.
- Advisory Opinion 94-40: An employee’s child may accept a scholarship funded by a company which is regulated by the agency for which the employee works as long as the employee abstains from any involvement in decisions relating to the company.
- Advisory Opinion 94-41: Upon resignation from state employment, for one year employee should not own more than five (5%) of a business which employs a lobbyist. Employee may not accept employment, for six months, with a consulting firm which does business with the state in matters in which the employee was directly involved. If returning to former profession, employee may accept employment as long as, for six months, employee refrains from working on matters in which he was directly involved as a state employee.
- Advisory Opinion 94-42: State engineer may provide services to engineering companies, development companies, other states, and counties and cities as long as the entity does not do business with and is not regulated by the agency for which the employee works.
- Advisory Opinion 94-43: Commissioner may not accept airline card which would entitle him to special privileges when flying.
- Advisory Opinion 94-44: Day-care center owned by employee may not enroll children who are recipients of child care benefits from the agency for which the employee works.
- Advisory Opinion 94-45: Employee may participate in golf outing sponsored by an entity which does no business with and is not regulated by the agency for which the employee works.
- Advisory Opinion 94-46: A former officer and the company for which he currently works must refrain for six months form working on any matter in which the former officer was involved during his state employment. The officer may work on agency projects for his new employer if the officer had no involvement with either the projects or the firm during the officer's state employment.
- Advisory Opinion 94-47: Former employee permitted to represent clients immediately before former state agency as long as former employee was not directly involved in any matter involving those clients during the employee’s state tenure.
- Advisory Opinion 94-48: State plumbing inspectors may be hired by another state agency to teach classes on their own time as long as they obtain the necessary approvals.
- Advisory Opinion 94-49: Family services worker may accept employment with regional program upon resignation, but for one year must not act as a lobbyist or represent new employer before the state in a matter in which worker was directly involved during state employment.
- Advisory Opinion 94-50: A state employee should not solicit sponsors or accept donations for charity fund raisers from entities which do business with or are regulated by the agency for which the employee works.
- Advisory Opinion 94-51: A state employee should not solicit sponsors or accept donations for charity fund raisers from entities which do business with or are regulated by the agency for which the employee works.
- Advisory Opinion 94-52: Employee may serve as an expert witness on own time and receive payment for services if no conflict of interest exists.
- Advisory Opinion 94-53: An investment firm employee who meets with employees of bond-issuing state agency must register as an executive agency lobbyist.
- Advisory Opinion 94-54: This opinion answers a series of questions concerning the state agency responsible for regulating state financial institutions.
- Advisory Opinion 94-55: Member of board which regulates health policy for the state should not be a voting or paid board member of an association comprised of members which the member’s agency regulates. Upon leaving state employment, member is not prohibited from serving patients in another state.
- Advisory Opinion 94-56: A state employee is not prohibited, immediate upon retirement, from accepting employment with a state university.
- Advisory Opinion 94-57: Health services instructor may continue to provide, on own time, continuing education to health care professionals of local hospital as long as classes offered are not in competition with classes offered by state agency for which employee works.
- Advisory Opinion 94-58: State agency may not market products and services to entities which it regulates, but may provide information to entities at cost.
- Advisory Opinion 94-59: The Governor’s mansion may be used for fund-raising events as long as the state treasury is promptly reimbursed for any costs to the state for such events.
- Advisory Opinion 94-60: An employee may serve on a state commission as long as the employee is employed by state agency other than the state commission to which he seeks appointment and such service does not interfere or conflict with the employee’s state employment duties.
- Advisory Opinion 94-61: Physician’s spouse may accept employment with the board which regulates state health policy because no regulatory or business relationship exists between the board and the physician.
- Advisory Opinion 94-62: Employee may not have agreement with another state agency to provide services to clients.
- Advisory Opinion 94-63: In certain circumstances, a gift or gratuity received by an employee should not be considered a violation of the law. A list of those situations is provided in the opinion.
- Advisory Opinion 94-64: This opinion was REPLACED BY Advisory Opinion 95-15.
- Advisory Opinion 94-65: This opinion number has been voided.
- Advisory Opinion 94-66: This opinion number has been voided.
- Advisory Opinion 94-67: A public servant must divest himself of all but five percent (5%) interest of a company which does business with the state. Such divestiture may be made to a current employee of the company with the proceeds to be distributed over several years, as long as the sale amount is fixed and is not dependent upon any event occurring after the transaction closing. The public servant may not continue to be listed as a guarantor for the company on loan documents.
- Advisory Opinion 94-68: Employee ownership of a temporary placement agency does not present a conflict of interest provided the employee’s agency does not accept students who are enrolled at the technical school where the employee works.
- Advisory Opinion 94-69: A former employee, for one year, may not represent a company before his former agency if the former employee worked on matters during his state tenure directly involving that company.
- Advisory Opinion 94-70: A public servant employed by agency which has statutory authority to inspect buildings that house automobile manufacturers may not solicit or accept automobiles from an automobile manufacturer for use in an experiment by an association comprised of arson investigators.
- Advisory Opinion 94-71: Employee should
refrain from involvement in any matter concerning organization for
which parents are employed.
- Advisory Opinion 93-1: A former commissioner for the Cabinet for Human Resources is prohibited for six months from accepting compensation from associations whose members contract with or do business with the state in matters in which he had direct involvement as a public servant.
- Advisory Opinion 93-2: The Commission finds no clear cut authority for a blanket prohibition against the issuance of commercial licenses for turkey hunting guides or taxidermists to Fish and Wildlife employees; however, it believes that the potential for abuse will exist if Fish and Wildlife employees engage in such activity.
- Advisory Opinion 93-3: This opinion number has been voided.
- Advisory Opinion 93-4: An employee is prohibited for six months from accepting employment or compensation from a company with which he was directly involved in highway construction projects.
- Advisory Opinion 93-5: This opinion number has been voided.
- Advisory Opinion 93-6: An employee may immediately represent clients before his former agency provided that for one year after leaving employment, such representation does not pertain to matters in which the employee was directly involved while a public servant.
- Advisory Opinion 93-7: Commonwealth and County Attorneys are not subject to the provisions of KRS Chapter 11A.
- Advisory Opinion 93-8: An attorney formerly employed by a state agency is permitted to represent individuals before his former state agency as long as the subject matter of the representation is not something in which the attorney was directly involved while he was an employee.
- Advisory Opinion 93-9: A university employee employed by a state agency through a memorandum of agreement may not represent the university at an informal conference or formal hearing before the state agency.
- Advisory Opinion 93-10: An employee may accept lunch and a small gift from a civic organization provided the meal was an integral part of the event and the meal was available to all others at the event.
- Advisory Opinion 93-11 - AMENDED BY ADVIDSORY OPINION 00-54: A former employee who conducted audits of county officials as part of his official duty may not, for six months, providing bookkeeping assistance to the same county officials.
- Advisory Opinion 93-12: An employee may not market a computer program developed on his free time because the employee's official position affords him contact with the same private attorneys to whom he will attempt to market the program.
- Advisory Opinion 93-13: This opinion was replaced by Advisory Opinion 93-80.
- Advisory Opinion 93-14: Members of a county emergency planning committee are not considered employees in the executive branch and thus are not subject to KRS 11A.
- Advisory Opinion 93-15:A merit employee is legally prohibited from selling any products from a business which he owns to any state agency or to the Commonwealth as a whole.
- Advisory Opinion 93-16: Upon resignation, an employee may contract to provide services for a state facility in which the employee is not currently employed.
- Advisory Opinion 93-17: A former employee's acceptance of employment with a charitable organization does not present a conflict of interest because the employee had no direct involvement in matters concerning the charitable organization as a part of his official duty.
- Advisory Opinion 93-18: An agriculture market inspector is not permitted to acting as an order-buyer on his day off.
- Advisory Opinion 93-19: An employee should not receive outside compensation for participation in a seminar of which the subject matter appears to be the same as that handled regularly in the employee's state job.
- Advisory Opinion 93-20: An employee may provide therapy in the community on his own time through limited services contract with private agencies.
- Advisory Opinion 93-21: An employee should not prepare a grievance on state time (while on duty), using office equipment and supplies.
- Advisory Opinion 93-22: An employee, upon resignation, may immediately obtain a personal service contract with the state.
- Advisory Opinion 93-23: Transportation Cabinet employees may not accept an all expense paid two-day tour of a private company's transportation safety center that does business with the Cabinet.
- Advisory Opinion 93-24: Property valuation administrators are required to file a statement of financial disclosure. The Executive Branch Code of Ethics Does not specifically prohibit the employment of relatives in PVA offices; however in such circumstances conflicts of interest could arise.
- Advisory Opinion 93-25: A cabinet secretary may attend a forum sponsored by a state vendor but should pay any fee charged those in attendance.
- Advisory Opinion 93-26: An inspector, a representative of the state, is prohibited from inspecting businesses that purchase eggs from his leased wholesale egg business.
- Advisory Opinion 93-27: A cabinet secretary may participate in a charitable golf tournament at the invitation of a city organization.
- Advisory Opinion 93-28: An employee may serve as and out-of-state consultant on his own time.
- Advisory Opinion 93-29: An employee must wait six months, upon her resignation form state employment, before accepting employment with a community mental health and mental retardation board with which she had direct involvement as an employee.
- Advisory Opinion 93-30: An employee may accept employment with private law firm provided, for six months, he does not work on matters in which he was directly involved as a state employee.
- Advisory Opinion 93-31: A secretary of a cabinet should not receive additional compensation for services which are a part of his official duty.
- Advisory Opinion 93-32: An "acting" director is required to file a statement of financial disclosure.
- Advisory Opinion 93-33: An agency head is prohibited for one year from representing persons or businesses before his former agency because, as agency head, he is directly involved in all matters regarding the agency. In addition, for six months he is prohibited from accepting compensation or other economic benefit from any person or business that contracts or does business with his former agency.
- Advisory Opinion 93-34: Some sales employees are considered executive agency lobbyists. Those who lobby concerning executive agency decisions of more than $5,000 per decision are considered as acting on a "regular and substantial basis" and are subject to regulation as executive agency lobbyists. Expenditures required to be reported by executive agency lobbyists include any expenses made to, or for the benefit of, an executive branch employee including food, travel, and consulting fees.
- Advisory Opinion 93-35: An agency should not accept food and refreshments, or sponsorship of receptions, from private corporations who are potential vendors and are affected by the tax laws over which the agency has control.
- Advisory Opinion 93-36: An agriculture marketing specialist who, because of his state position, has an advantage over other livestock buyers should not act as an order/buyer for a livestock company.
- Advisory Opinion 93-37: An elected official should not serve on the board of a private corporation if a real or perceived conflict of interest would exist because of such service.
- Advisory Opinion 93-38: A commissioner should not be an officer or voting member of the board of directors of an organization which is predominantly comprised of individuals who own companies which are regulated by the agency which the commissioner supervises.
- Advisory Opinion 93-39: Temporary employees are considered public servants, and thus may not influence a public agency in derogation of the state at large by also serving as an lobbyist.
- Advisory Opinion 93-40: A state employee may not work part-time for an outside agency if the private agency has a direct contract with or receives funding from the state agency for which the employee works (other than entitlement programs such as Medicaid or Medicare). The obligation to determine if the private agency holds a contract with the state agency rests with the employee.
- Advisory Opinion 93-41: Someone who is marketing goods or services to the state as a vendor would normally be considered an executive agency lobbyist. However, only those who act on a regular and substantial basis of attempting to influence decisions of over $5,000 per decision must register. If registered as an executive agency lobbyist, all expenditures made on behalf of an official must be reported even if made on behalf of an official the lobbyist is not trying to influence. Property valuation administrators and their deputies are considered executive branch employees.
- Advisory Opinion 93-42: The executive agency lobbying laws place no restrictions on the offering of discounts by executive agency lobbyists, and do not address the types of contracts which must be awarded by bid. The law does require, however, executive agency lobbyists to register with the Commission and report all expenditures made to or on behalf of an executive branch employee.
- Advisory Opinion 93-43: General knowledge gained through state employment does not prohibit a former state employee from opening a day-care center and entering into agreements to provide child care through the state-operated "purchase of care" program.
- Advisory Opinion 93-44: An executive agency official who is employed under a personal service contract to work full-time for an executive agency and who receives benefits similar to other state employees is "in substance" an executive agency employee during the period of the personal service contract. Thus, the employee is subject to the future employment restrictions in KRS 11A.040(6).
- Advisory Opinion 93-45: The appearance of a conflict of interest prohibits a state agency from soliciting donations from companies over which the agency has some regulatory control.
- Advisory Opinion 93-46: Leasing of property by a state employee to a private company which holds a provider agreement with a state agency is not a violation of the code of ethics.
- Advisory Opinion 93-47: Post-employment restrictions in KRS 11A apply to all former executive branch employees regardless of level of responsibility.
- Advisory Opinion 93-48: Employee may continue to offer continuing education courses on personal time as long as not using official position for financial gain, and such outside employment does not conflict with duty in the public interest. NOTE: Advisory Opinion 94-3 REVERSES the conclusion of Advisory Opinion 93-48 based on new information received,
- Advisory Opinion 93-49: Employee is not prohibited from accepting meals and lodging from an association comprised of national, state and local agencies similar to the employee’s while performing duties relative to the board of education.
- Advisory Opinion 93-50: State employees involved in the regulation of electric cooperatives should not accept food and refreshments from the association that represents the cooperatives.
- Advisory Opinion 93-51: This opinion number has been voided.
- Advisory Opinion 93-52: Individuals and companies who hold personal service contracts with an agency and are advising the agency within the scope of their contract are not executive agency lobbyists. If providing recommendations to the agency which are not within the scope of the contract and which also may involve state expenditures, such as attempting to influence the agency concerning the renewal or extension of a contract, then the individual or company would be considered an executive agency lobbyist.
- Advisory Opinion 93-53: Unless specifically listed in the code of ethics, part-time board and commission members paid on a per diem basis are not public servants and thus, are not subject to the provisions of the code of ethics.
- Advisory Opinion 93-54: Public agencies (federal, state, local) are not considered executive agency lobbyists, and are not required to register. If a vendor is attempting to influence a decision and cannot determine if the decision amount will exceed $5,000, the vendor should register as an executive agency lobbyist. The $5,000 criteria for "regular and substantial" is clarified to mean $5,000 per decision per year. Individuals are not required to register as executive agency lobbyists if influencing state-agency decisions is not one of the main purposes of their employment. Merely submitting a bid or responding to a request for proposal is not executive agency lobbying.
- Advisory Opinion 93-55: Design engineers and right-of-way agents involved in state negotiations are not considered executive agency lobbyists if their employment does not involve attempting to influence executive agency decisions as one of its main purposes.
- Advisory Opinion 93-56: The solicitation of funds by a state agency from an entity or trade association member who is a potential vendor to the agency or who is regulated in a non-ministerial function by the agency creates a conflict of interest.
- Advisory Opinion 93-57: Employee may not accept position as controller of hospital for six months after leaving state job because it would be impossible for controller not to be involved in reports which employee audited during state employment.
- Advisory Opinion 93-58: In most cases, an owner or operator who seeks financial assistance from a state agency to pay the costs of corrective action due to a storage tank release is not an executive agency lobbyist. If trade organization members approach a state agency commission member in an effort to influence an agency decision, then the members must register as executive agency lobbyists even if the commission member is also a member of the trade organization.
- Advisory Opinion 93-59: Employee may continue part-time employment because outside employer holds no contracts with and receives no funds, other than entitlement funds, from the state agency for which the employee works.
- Advisory Opinion 93-60: Members of a private nonprofit association who are also state employees may not solicit donations for the association from persons or businesses regulated by or doing business with the agency for which the members work.
- Advisory Opinion 93-61: A former state employee may represent claimants immediately before his state agency as long as the persons represented by the former employee did not have claims pending before the state agency during the former employee’s tenure.
- Advisory Opinion 93-62: Managers of a comprehensive care center are not considered executive agency lobbyists when acting in their fiduciary capacity as representatives of the mental health-mental retardation board which governs the center and which is considered a political subdivision of the Commonwealth.
- Advisory Opinion 93-63: An employee is not prohibited from operating a private business on his own time as long as a clear separation between his official duties and private activities is maintained. The employee should not solicit private business during state-paid work hours, use client lists compiled as a result of his state employment, advertise his private business at his work site, or use his work site for operation of his private business.
- Advisory Opinion 93-64: Attempts to influence budgetary allocations of funds require registration as an executive agency lobbyist. Although negotiations with regard to a lease agreement are likely to involve attempts to influence a state agency, unless personnel are involved in attempting to influence executive agency decisions as one of the main purposes of employment, they are not required to register as executive agency lobbyists.
- Advisory Opinion 93-65: A state employee’s spouse who is also an executive agency lobbyist is not required to report gifts or financial transactions made to or with the state employee. A lobbyist who makes an expenditure on behalf of or a financial transaction with a close personal friend who is also a state employee must report the expenditure or financial transaction.
- Advisory Opinion 93-66: Any entity which is regulated by a state agency is considered to be doing business with the state under KRS 11A.040(6).
- Advisory Opinion 93-67: A department commissioner should not introduce his brother-in-law, who is a stockbroker, to officials of the state responsible for investing state funds.
- Advisory Opinion 93-68: All state agencies which are a part of the financial reporting entity of the Commonwealth are considered executive branch agencies.
- Advisory Opinion 93-69: A state employee traveling to a demonstration on behalf of an agency may accept travel costs from that agency’s vendor within limitations listed in the opinion.
- Advisory Opinion 93-70: This opinion number has been voided.
- Advisory Opinion 93-71: Physicians who contract with the state to provide services on a limited basis are not public servants as defined by KRS Chapter 11A, and thus are not subject to the code of ethics.
- Advisory Opinion 93-72: The provisions of KRS 11A.040(4) prohibit an employee or spouse from contracting with any state agency. A day-care center owned by an employee who supervises an office responsible for entitlement programs may not receive entitlement benefits which are approved by caseworkers over whom the supervisor has direct authority.
- Advisory Opinion 93-73: A broker of a securities firm should register as executive agency lobbyist if contacting state agencies and attempting to influence decisions as to whether to issue bonds and as to what fees will be paid. A broker who executes only stock and bond transactions as order by a state investment officer is not required to register as an executive agency lobbyist unless he attempts to influence state investment decisions.
- Advisory Opinion 93-74: The head of an agency which oversees public institutions of higher learning should not accept meals and tickets to athletic events from those institutions.
- Advisory Opinion 93-75: Appointed board members and employees of a political subdivision are not considered executive agency lobbyists. However, those persons who are engaged to represent the political subdivision, such as independent CPAs and outside general counsel, are not considered employees and must register as executive agency lobbyists.
- Advisory Opinion 93-76: Retiring employee who has no regulatory authority over milk marketing companies may accept employment immediately with milk marketing company.
- Advisory Opinion 93-77: An employee of a political subdivision’s convention and visitors’ bureau is not considered an executive agency lobbyist.
- Advisory Opinion 93-78: This opinion number has been voided.
- Advisory Opinion 93-79: This opinion addresses a series of questions concerning executive agency lobbying as it applies to architectural and engineering services.
- Advisory Opinion 93-80: An employee invited to speak to another state on matters pertaining to his employment may accept travel expenses and honorarium because such action was not a part of his official duty.
- Advisory Opinion 93-81: An executive branch employee, spouse, or dependent child should not accept travel expenses, meals, alcoholic beverages, lodging, honoraria, or other gifts from any person or business that does business with or is regulated by the state agency in which the employee works or from any group or association which has as its primary purpose the representation of such persons or businesses. A list of exceptions to this prohibition is provided in the opinion.
- Advisory Opinion 93-82: This opinion number has been voided.
- Advisory Opinion 93-83: Employee is not prohibited from hiring spouse as interpreter if no other qualified person applies.
- Advisory Opinion 93-84: An employee hired to work for a state agency through an education cooperative, and who also receives all state benefits, is considered an executive branch employee and is subject to the post employment requirements in the code of ethics.
- Advisory Opinion 93-85: Insurance and other health-care agents who, through contacts with executive branch officials, are attempting to influence the outcome of an agreement to provide state insurance benefits must register as executive agency lobbyists.
- Advisory Opinion 93-86: An executive branch employee is prohibited from holding a contract or agreement with any state agency. State university employees are not considered executive branch employees and thus are not subject to the code of ethics.
- Advisory Opinion 93-87: A former state employee returning to his former profession may be pre-qualified by a cabinet for services for projects as long as he was not directly involved in those projects during his state employment. He must refrain for six months from working in any matter, in his new employment, in which he was directly involved during his state employment. However, he is not prohibited from immediately holding a personal service contract in his own name concerning matters in which he was directly involved during his tenure with the state.
- Advisory Opinion 93-88: Solicitation of discount lodging rates for employees on official travel status is not prohibited by the code of ethics as long as the discounted rate is offered to all state employees on official travel status.
- Advisory Opinion 93-89: For six months former employee’s business should not do business with the state in matters in which the employee was directly involved during his state tenure.
- Advisory Opinion 93-90: This opinion number has been voided.
- Advisory Opinion 93-91: Attorneys who contract with an agency to provide services on a limited basis are not considered executive branch employees and thus are not subject to the code of ethics.
- Advisory Opinion 93-92: Upon resignation, employee may not accept employment immediately from a firm whose proposal he reviewed as a state employee. If negotiations with a prospective employer occur while still a state employee, employee should abstain from any official involvement with firm with which he is negotiating.
- Advisory Opinion 92-1: Members of the Child Care Advisory Committee are not under the jurisdiction of the Commission, but the Commission nevertheless provides advice concerning the award of contracts which are financed with funds for the Child Care Development Block Grant to members of the Committee.
- Advisory Opinion 92-2: A Fish and Wildlife officer that owns a marina should not transact business with state officers where state monies will be expended.
- Advisory Opinion 92-3: An employee of the Workforce Development Cabinet is prohibited from purchasing property from the Transportation Cabinet upon which his house has encroached.
- Advisory Opinion 92-4: A company that is seven percent (7%) owned by the spouse of a merit (or non-merit) employee is prohibited from engaging in or transacting business with the Commonwealth because the employee stands to benefit from the transaction of business with the Commonwealth.
- Advisory Opinion 92-5: An employee who left his position prior to the effective date of Senate Bill 63, which enacted the Executive Branch Code of Ethics, is still subject its to post-employment restrictions.
- Advisory Opinion 92-6: Social workers employed by the Cabinet for Human Resources who provide direct services to clients of the Cabinet are prohibited from providing services through contract with the Cabinet. They also are prohibited from employment with a comprehensive care center upon separation from employment with the Cabinet if they had direct involvement with the center as a state employee. A former employee is prohibited for one year from acting as an expert witness regarding matters in which he was involved while a state employee.
- Advisory Opinion 92-7: Although a former board member's service ended before the effective date of the Executive Branch Code of Ethics, he is still subject to post-employment restrictions on his actions until one-year after his separation from the board, although he may immediately represent clients in legal matters before his former agency provided such representation does not pertain to matters in which he was directly involved as a public servant.
- Advisory Opinion 92-8: The post-employment restrictions in KRS 11A.040(6) and (8) apply even to employees dismissed without cause. An attorney may immediately represent clients in legal matters before his former agency provided for one year after leaving employment such representation does not pertain to matters in which the attorney was directly involved as a public servant.
- Advisory Opinion 92-9: Department attorneys may immediately represent clients in legal matters before their former agency provided for one year after leaving employment such representation does not pertain to matters in which they were directly involved public servants.
- Advisory Opinion 92-10: The Executive Branch Code of Ethics is applicable to all employees including property valuation administrators.
- Advisory Opinion 92-11: A branch manager is not prohibited from employment as a consultant for an out of state law firm.
- Advisory Opinion 92-12: An employee of the Transportation Cabinet is not prohibited from accepting employment with a company that does not do business with the Transportation Cabinet, but is owned, in part, by an individual who owns another company, in part, that does do business with the Transportation Cabinet.