Kentucky: Executive Branch Ethics Commission - Advisory Opinions 2000

Contact Information

John R. Steffen, Executive Director
Executive Branch Ethics Commission
Vest-Lindsey House
401 Wapping Street
Frankfort KY 40602
(502) 564-7954

Email: John.Steffen@ky.gov

Advisory Opinions

Summaries of 2007- 2006 - 2005 - 2004

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.

2007

Advisory Opinion 07-1: This opinion number has been voided.
Advisory Opinion 07-2: The Office of Financial Institutions is not prohibited from co-sponsoring a seminar entitled, "A Day with the Executive Director" with the Conference of State Banking Supervisors, but should not directly solicit financial institutions by sending invitations to the banking community, and as long as the fee for the seminar does not exceed the expense of providing the seminar.
Advisory Opinion 07-3: A program specialist who has responsibilities for, or may advise staff concerning, family support benefits may not have as tenants of rental units he owns individuals who receive family support benefits.
Advisory Opinion 07-4: This opinion authorizes a gifts exception to allow a Transportation Cabinet employee diagnosed with leukemia to accept donations from contractors of the Transportation Cabinet, provided the employee abstain for six months after returning to work from inspections of any of the contractors who have donated for his benefit.
Advisory Opinion 07-5: An employee of the Kentucky Housing Corporation who serves as a housing quality standards inspector for Section 8 and Safe Havens rental properties may not rent privately owned rental units to recipients of the Safe Havens voucher program.
Advisory Opinion 07-6: The Governor's Office of Wellness and Physical Activity may seek discounts from health clubs and weight loss programs on behalf of the Kentucky Employee Health Plan and/or Get Health Kentucky members?
Advisory Opinion 07-7: A Kentucky not-for-profit corporation, 2008 Matches, Inc., is not an executive branch agency and thus may accept monetary donations from private companies; however employees of the Office of the Kentucky Sports Authority may not solicit donations on the not-for-profit's behalf from private companies that have a business or regulatory relationship with or are trying to influence the actions of the Office of the Kentucky Sports Authority.
Advisory Opinion 07-8: Although proper use of state time and attendance by employees is a management decision, flagrant misuse of work time and attendance by a public servant could rise to the level of a violation of the Executive Branch Code of Ethics. Employees have a duty to accurately record their time worked and leave time submitted to their agencies on their official timesheets. Agency timesheets should always reflect the actual days and hours that a public servant works.
Advisory Opinion 07-9: University employees are not subject to the Executive Branch Code of Ethics even though they may be administering a program ultimately funded by an executive branch agency.
Advisory Opinion 07-10: Pursuant to the 2006-2008 Kentucky Biennial Budget Bill (House Bill 380), the Executive Branch Code of Ethics, found in KRS Chapter 11A, is applicable to the directors, officers and management and policymaking employees of the Louisville Arena Authority, Inc. , and thus the board of directors for the Authority must file with the Executive Branch Ethics Commission annual statements of financial disclosure.
Advisory Opinion 07-11: As a result of several recent investigations, the Commission wishes to advise public servants regarding hiring policies and procedures within the executive branch. The Commission attempts to provide guidance through this opinion.
Advisory Opinion 07-12: May agency accept donation of scrap yard land?
Advisory Opinion 07-13: The daughter of the director of the Division of Professional Learning and Assessment for the Educational Professional Standards Board may accept summer employment with a vendor of the Board, provided the director abstains from involvement with the vendor when necessary.
Advisory Opinion 07-14: For jurisdictional purposes, the Executive Branch Code of Ethics is applicable to any entity that is within the financial reporting entity of the Commonwealth as determined by the Finance and Administration Cabinet and audited by the Auditor of Public Accounts, excluding state colleges, universities, legislative, and judicial entities, subject to revision by the legislature.
Advisory Opinion 07-15: The Executive Branch Ethics Commission grants an exception, pursuant to KRS 11A.045(1), to allow the Department of Veterans' Affairs to accept a truck from a company that is constructing a state veterans' cemetery.
Advisory Opinion 07-16: May a Commonwealth’s Attorney lease to the state a building he privately owns for use as office space for his own office?
Advisory Opinion 07-17: A branch manager employed by the Department of Libraries and Archives may provided consulting services for the world Games 2010 Foundation provided any agreement is in compliance with the Model Procurement Code in KRS 45A.340.
Advisory Opinion 07-18: May candidate’s website link to and/or display information from governmental websites?
Advisory Opinion 07-19: In previously issued Advisory Opinion 04-34 (a copy of which is enclosed), the Commission clarified that based on KRS 11A.020(1)(a), (c), and (d), public servants are prohibited from advocating or influencing in any way the employment, appointment, promotion, transfer or advancement of a family member to an executive branch position the pubic servant directly supervises or manages. Employees are barred from interviewing, recommending, approving, supervising or evaluating the job performance of a family member in most circumstances.
Advisory Opinion 07-20: May employee develop and market software program and services similar to program developed for agency?
Advisory Opinion 07-21: Does contract or agreement as used in KRS Chapter 11A apply to an employment relationship?
Advisory Opinion 07-22: May the Commissioner of the Kentucky Department of Fish and Wildlife Resources own and operate an environmental consulting business?
Advisory Opinion 07-23: May employee work as temporary employee for another state agency?
Advisory Opinion 07-24: Does leave of absence remove conflicts of interest pertaining to employee’s position?
Advisory Opinion 07-25: May PVA field representative work privately as appraiser in his own county?
Advisory Opinion 07-26: May a Property Valuation Administrator employee who is also a licensed realtor accept referral fees?
Advisory Opinion 07-27: May an agency solicit sponsorship for a Kentucky Employees Charitable Campaign event and print co-sponsors names on t-shirts to be distributed?
Advisory Opinion 07-28: May former state employee communicate with his former state agency on behalf of his current employer regarding implementation of existing contracts or grants awarded by his former agency?
Advisory Opinion 07-29: Post Employment Issues
Advisory Opinion 07-30: May PVA serve on local boards of directors?
Advisory Opinion 07-31: Actions of a family support services worker in matters regarding a client whose baby the worker plans to adopt creates a conflict of interest unless the worker abstains from involvement in any matters of the client.
Advisory Opinion 07-32: This opinion number has been voided.
Advisory Opinion 07-33: Post-employment guidance and clarification for transportation engineer branch manager regarding project with which he had direct involvement.
Advisory Opinion 07-34: May state agency co-sponsor a conference with another state and acknowledge co-sponsorship on conference materials?
Advisory Opinion 07-35: Employment of the spouse of a commissioner of the Public Service Commissioner at a law firm that has clients that appear before the Public Service Commission does not necessarily create a conflict of interest for the commissioner; however, the commissioner should review KRS 11A.030 in determining whether to abstain in each case involving the law firm of the spouse.
Advisory Opinion 07-36: May PVA field representative work privately as an appraiser in his own county?
Advisory Opinion 07-37: Employees may not accept award of $25 in gas from vendor based on agency fleet credit card purchases unless the agency is authorized to allow such private use, since the purchase agreement for the gas would be between the state agency and the vendor, and thus the award of the $25 in gas would be owned by the state agency. A gift card offered to an employee from a vendor as a result of agency purchases would be considered a gift to the employee from the vendor since the employee has not provided equal or greater consideration for the gift card, and should not be accepted by the employee if greater than $25. Any frequent flyer miles awarded as a result of an employee purchase of airline tickets on a personal credit card or for which the employee pays for a trip he is making on behalf of a state agency are not considered a “gift” to the employee, but are part of the purchase agreement the employee has with the airline. Even though the fare may be subsequently reimbursed to the employee by the state agency, the employee is not prohibited from accepting the frequent flyer miles. However, if the state agency directly purchases the airline ticket for an employee, any frequent flyer miles offered to an employee are actually owned by the employee’s state agency and the issue of whether the agency may allow the employee to use the frequent flyer miles for his private use is more appropriately addressed by agency management in conjunction with the Finance and Administration Cabinet.
Advisory Opinion 07-38: This opinion number has been voided.
Advisory Opinion 07-39: An employee of the Division of Water, Department of Environmental Protection, Environmental and Public Protection Cabinet, may be certified as a methamphetamine cleanup contractor provided neither the Department of Environmental Protection, nor the Division of Water has implemented a policy prohibiting employees from obtaining such cleanup certifications and so long as you do not provide such cleanup services for persons or businesses that are regulated by the Division of Water.
Advisory Opinion 07-40: The naming rights for the Kentucky Horse Park’s new indoor arena may be sold provided the selling of the naming rights is competitively bid and the sale has an overriding public benefit. However, this trend is somewhat disturbing in that it reflects an endorsement that will forever remain with the state agency.
Advisory Opinion 07-41: An employee of a systems development services contractor that provides executive support to state agencies is not considered an executive branch employee under the jurisdiction of the Executive Branch Code of Ethics.
Advisory Opinion 07-42: The Department of Parks, within the Commerce Cabinet, may allow a state park historian to conduct a book signing at a commemorative vent provided he does not use any state time or resources, and provided the decision to allow the conduct of the book signing is not made by the employee or anyone under his supervision.
Advisory Opinion 07-43: The Department of Vehicle Regulation, within the Justice Cabinet, may allow a sworn officer to own and operate a limousine business if the officer has no involvement in the regulation of the business.
Advisory Opinion 07-44: An individual’s acceptance as the communications director for the Office of the Governor does not preset a conflict of interest provided he abstains as part of his official duties from matters involving his private firm and the firm’s clients.
Advisory Opinion 07-45: Employment of the Secretary for the Environmental and Public Protection Cabinet by an individual who owns less than a five percent (5%) interest in stock of a publicly held bank corporation, and for which he also formerly served on the board of directors, does not pose a conflict of interest provided the individual refrains from involvement for a reasonable period of time regarding any matters pertaining to the bank corporation.
Advisory Opinion 07-46: The Personnel Cabinet Secretary should refrain from all matters relating to any contracts between Humana and the Commonwealth of Kentucky since her spouse is employed by Humana.

2006

Advisory Opinion 06-01: An out-of-state consulting firm that has a contractual agreement with the Commonwealth may provide an in-state liaison to enhance their services, provided the proposed arrangement is within the scope of the original contract.
Advisory Opinion 06-02: The Deputy Director of the Kentucky Horse Park may immediately accept employment with the World Games 2010 Foundation, Inc., if he is returning to his former profession and he abstains for six months from working on any matters in which he had direct involvement as part of his official duty for the Horse Park.
Advisory Opinion 06-3: Commonwealth's Attorneys' and their staffs are subject to the provisions of the Executive Branch Code of Ethics in matters that are not addressed by KRS Chapter 15.733
Advisory Opinion 06-4: A supervisor in the Cabinet for Health and Family Services may use a foster family for personal childcare services, provided he abstains from involvement in the approval, inspection, or worker responsibilities of the foster care family.
Advisory Opinion 06-5: Pharmaceutical manufacturer employees must register as lobbyists when one of the main purposes of their job duties includes attempting to influence decisions regarding the Medicaid formulary list.
Advisory Opinion 06-6: Reconsidered and Upheld Advisory Opinion 03-37
Advisory Opinion 06-7: The Department of Public Advocacy may solicit other state agencies and the public to play in golf tournament to benefit the Kentucky Innocence Project, provided the persons and businesses solicited are not doing business with, involved in litigation against, or seeking to influence the Department.
Advisory Opinion 06-8: (Amends Advisory Opinion 02-11) Department of Corrections' employees may not have outside employment with entities that have a contract with the Department if such employment fulfills a part of the contract with the Department; an exception is allowed if employment is with a state institution of higher education.
Advisory Opinion 06-09: A member of the Parole Board may work as a jail consultant on a contractual basis for the purpose of advising jails on jail standards and other matters as long as he abstains from decisions involving inmates whom he is aware are housed in jails by which he is employed as a consultant.
Advisory Opinion 06-10: A mine inspector may lease coal to a coal company, provided neither he, nor anyone under his supervision, is involved in inspections of the coal company.
Advisory Opinion 06-11: Not yet issued.
Advisory Opinion 06-12: Board members of the Kentucky Board of Home Inspectors are not subject to the Executive Branch Code of Ethics and thus are not prohibited from conducting continuing education seminars for profit; however, the board is urged to adopt a "code of ethics" for its members.
Advisory Opinion 06-13: A potential employee can avoid a potential conflict, if hired, by abstaining from inspection of the mine he formerly owned, and from which he is still receiving payments, or from inspections of mines that directly compete with the mine.
Advisory Opinion 06-14: An employee may not be involved in the hiring, supervision, evaluation, or discipline of another employee with whom he shares a household and with whom a "family-like" relationship exists in which he will benefit financially from the employee.
Advisory Opinion 06-15: Within limitations, the Division of Historic Properties may solicit donations of historical items and monuments, or cash donations in lieu thereof, from the public without creating the appearance of a conflict under KRS Chapter 11A, provided such solicitation is not of vendors or individuals seeking to influence the actions of the Finance Cabinet, excluding the Department of Revenue.
Advisory Opinion 06-16: A conflict does not exist for the Attorney General if the Office of the Attorney General is involved in the investigation or prosecution of the Governor unless the Attorney General becomes as a candidate for the office of governor.
Advisory Opinion 06-17: A non-merit employee may engage in and receive compensation for outside political activity, provided a conflict does not exist between the political activity and the employee's official duty.
Advisory Opinion 06-18: Employees of the Governor's Office for Local Development may accept meals from local Chambers of Commerce since the local Chambers do not primarily represent persons or businesses that are attempting to influence the Governor's Office for Local Development.
Advisory Opinion 06-19: The Kentucky Commission on Human Rights may accept compensation for training classes provided for individuals and legal entities subject to the provisions of the Civil Rights Act provided the fee for the training does not exceed the expense of providing the training ,and provided regulated individuals and entities are free to choose where they obtain such training.
Advisory Opinion 06-20: A legal defense fund may be established for the Governor and funds may be solicited. However, the Governor should not accept any donations from the fund that have been donated by a person or business that may have interests before a state agency if the Governor is directly involved or has had direct participation in those interests.
Advisory Opinion 06-21: The Commonwealth Office of Technology (“COT”) may notify state employees of a vendor discount included as part of a state contract, but should not advertise the vendor or its products publicly other than notification to state employees of the contract terms. A conflict of interest may exist for employees to be involved in the selection process of the vendor if they know they can benefit personally from the terms of the contract with the vendor.
Advisory Opinion 06-22: A former officer of the Environmental and Public Protection Cabinet, for six months, may not benefit from a contract with any of the agencies within the Cabinet that were under his supervision. After six months, the former employee is not prohibited from benefiting from a contract with agencies within the Cabinet, provided for six additional months, he doesn’t communicate with those agencies concerning specific matters with which he was directly involved.
Advisory Opinion 06-23: The chief of staff for the Commerce Cabinet may accept employment with ConnectKentucky since he had no direct involvement with Connect Kentucky as part of his official position with the state, and the Commerce Cabinet holds no contracts with ConnectKentucky.
Advisory Opinion 06-24: An individual employed through a contract by the Educational Professional Standards board also may serve as a faculty member at a private college if he has no regulatory or discretionary decision-making involvement with the private college and if approved by the appointing authority of the Educations Professional Standards Board.
Advisory Opinion 06-25: The Department of Criminal Justice training may accept firearm training simulation machines from an association that represents cities since the association has no obvious incentive to attempt to influence the Department exists and since no appearance of impropriety will be created.
Advisory Opinion 06-26: Neither a potential candidate for Governor, nor any company of which he owns or controls a 5% interest, if elected may contract with or enjoy a part of a contract with an executive branch agency.
Advisory Opinion 06-27: An employee of the Department of Mental Health and Mental Retardation Services may not work during off-duty hours for a regional mental health and mental retardation board if such service fulfills part of an agreement with his Department.
Advisory Opinion 06-28: A member of the Parole Board may serve as director of 911 communications for local county within limitations.
Advisory Opinion 06-29: A spouse of a PVA may serve as a real estate agent within limitations.
Advisory Opinion 06-30: A former employee may immediately represent clients before the Department of Revenue, as long such representation does not involve matters in which he was directly involved the last 36 months of his tenure. .
Advisory Opinion 06-31: Reconsideration of Advisory Opinion 06-16.
Advisory Opinion 06-32: The Commissioner of Agriculture may serve as spokesperson for national company, within limitations.

2005

Advisory Opinion 05-1: Right of Way employees may work as real estate appraisers, but should not provide services to persons or businesses, privately, with whom or which they are involved as part of their official duties. No contacts should be made on state time, and a clear distinction should be made between the employees’ private businesses and their duties for the Cabinet.
Advisory Opinion 05-02: Reconsideration of Advisory opinion 04-14 Although licensure for individuals involved in appraising property in non-federally related transactions does not require certain standards to be followed, it does not remove potential conflicts that may exist for the executive director of the Real Estate Appraisers Board to be involved in non-federally related appraisals or reviews of such appraisals.
Advisory Opinion 05-03: This opinion number has not been issued yet.
Advisory Opinion 05-4: The charging of a higher conference registration fee for nonmembers of a professional association does not violate the code of ethics, however an appearance of impropriety may be unavoidable. Management may allow employees to perform duties at the conference.
Advisory Opinion 05-5: Education employees providing training for other states should make a clear distinction between their official positions and their private training interests. They should not use state time, materials or equipment to provide such services, nor should they use their official positions to refer customers to themselves privately.
Advisory Opinion 05-6: An employee who is a contract laborer for a private company is not required to seek approval for his outside work, but he must ascertain with management that a conflict does not exist with his official position.
Advisory Opinion 05-7: A former director who has returned to his former profession may work immediately on a project for another state that involves an interstate agreement with Kentucky if neither he, nor anyone under his supervision, had any involvement with the project during the last 36 months of the director’s state tenure. If he or any employees had direct involvement with the project, then the director should not work on the project for six months after leaving his state employment, and any bid by his employer should include such a statement.
Advisory Opinion 05-8: The executive director of the Bluegrass State Skills Corporation may accept employment as the executive director of a statewide, non-profit economic development association even though the Cabinet for Economic Development has paid for employees to be members of the association.
Advisory Opinion 05-9: The Commission reverses its interpretation of the language in KRS 11A.040(4), (6), & (7), "funds disbursed though entitlement funds," as an exception for administrative costs for the operation of an entitlement program. The exception applies only to public funds disbursed as benefits to individuals who automatically meet the qualifications that "entitle" then to such funds. This opinion reverses several previously issued advisory opinions.
Advisory Opinion 05-10: A former employee employed as the executive director of a non-profit, fraternal and philanthropic police organization for one year following his retirement may not act as a lobbyist in matters in which he had direct involvement the last three years.
Advisory Opinion 05-11: A Property Valuation Administrator ("PVA") may continue to serve in officer positions for realtor associations provided realtors, as a profession, are not attempting to influence the Office of the PVA, and provided the PVA does not engage in lobbying activity.
Advisory Opinion 05-12: The Governor’s Senior Advisor may accept wedding gifts from persons or businesses that may do business with or be regulated by the Office of the Governor, or may be attempting to influence official actions of the Office of the Governor, provided the gifts are reasonable in value.
Advisory Opinion 05-13: A former employee of the Department for Natural Resources, Environmental and Public Protection Cabinet, may begin an environmental consulting business, but must wait one year before representing clients before the state in matters in which he was directly involved.
Advisory Opinion 05-14: A former Associate Commissioner for the Department of Education may serve as a program consultant and accept compensation from the Education Professional Standards Board since the Department and the Board are considered separate state agencies.
Advisory Opinion 05-15: A former employee’s acceptance of a positron with a newly created non-profit medical development corporation appears to be in compliance with the ethics code. However, the employee was advised also to comply with lobbying and representation restrictions for one year.
Advisory Opinion 05-16: Executive branch employees may not perform duties for armories and be compensated by Installation Management Funds.
Advisory Opinion 05-17: Although not subject to the Executive Branch Code of Ethics , the chairman of the Kentucky Housing Corporation ("KHC") seeks the following advice. The chairman may allow purchasers of homes from his private company to seek KHC loans. He should disclose his indirect interest in the contracts or agreements with KHC and abstain from all matters of the Board involving contracts or agreements between KHC and purchasers of his company’s residences.
Advisory Opinion 05-18: The expenses of the spouse of an executive branch employee to attend an annual meeting of a hospital’s board of directors, of which the spouse is a member, is not considered a gift to the spouse. The executive branch employee may accept the gift of meals from the hospital, provided the hospital has no proceedings or other regulatory matters pending before the Finance and Administration Cabinet for which the employee works. The employee should also abstain from any matters that would come before Finance concerning the hospital.
Advisory Opinion 05-19: Kentucky Horse Park Commission members who are also state employees may not accept subscription for Three-Day Event from non-profit organization hosting the event if a business relationship exists between the organization and the Horse Park.
Advisory Opinion 05-20: A former employee of the Kentucky Housing Corporation may present grant application proposals before former agency if the former employee had no involvement with the grant as part of official duty. The completion and filing of a grant application would not necessarily be considered a ministerial function.
Advisory Opinion 05-21: The Deputy Commissioner of the Department of Fish and Wildlife Resources may not accept employment, upon retirement, with a vendor of or entity regulated by his former agency if the Deputy Commissioner or anyone under his supervision had direct involvement with the vendor or regulated entity.
Advisory Opinion 05-22: A property valuation administrator may not perform real estate appraisals or serve as a broker within the county where he serves as PVA but may serve as a broker or perform such appraisals outside of the county where he serves.
Advisory Opinion 05-23: A current board member of the Board of Trustees of the Kentucky Retirement Systems may not be involved in the nomination process for selection of applicants to be included on the ballot if the board member is an applicant.
Advisory Opinion 05-24: Department of Criminal Justice Training instructors should not accept compensation for firearms qualification services they provide privately for active peace officers that also attend training classes provided by the Department. Department instructors may accept compensation, however, from retired peace officers that do not attend training classes provided by the Department.
Advisory Opinion 05-25: The Executive Branch Ethics Commission may not investigate violations of or impose penalties for violations of agency in-house policies for unpaid volunteers.
Advisory Opinion 05-26: Recipients of single county coal severance grants administered by the Governor’s Office for Local Development are not required to file an economic incentive disclosure statement pursuant to KRS 11A.233. Persons attempting to obtain single county coal severance grants may be required to register as executive agency lobbyists.
Advisory Opinion 05-27: Property tax assessment employees may accept travel expense reimbursement from a professional association which primarily represents PVAs, deputy PVAs and other Revenue Department employees.
Advisory Opinion 05-28: An employee may not accept fire-retardant wood from Habitat for Humanity that was donated by a company regulated by the state agency for which the employee works.
Advisory Opinion 05-29: Employees may accept gifts for legal aid from a corporation established to assist employees with the payment of legal fees, provided the donors to the fund do not do business with, are not regulated by, and are not seeking to influence the actions of the individual state agencies for which each employee works.
Advisory Opinion 05-30: The Kentucky Horse Racing Authority may accept fingerprinting machines from professional organizations which have as their primary purpose the representation of interests of regulators of the industry rather than those who are regulated. Because no other organizations provide similar services or compete for the Authority’s membership, no actual conflict appears to exist. No actual conflict or appearance of impropriety would be created by a state agency’s acceptance of a donation from a professional organization when the only relationship between the agency and the organization or its members is created by payment of membership fees to a professional organization that serves the mission of the agency.
Advisory Opinion 05-31: The former executive director of the Office of Certificate of Need within the Health and Family Services Cabinet immediately may represent persons before the office he formerly headed provided the representation does not include matters that were before the office during the last three years of his tenure.
Advisory Opinion 05-32: The Department of Criminal Justice Training may solicit advertisements for its news magazine, provided the department does not solicit persons or businesses doing business with or regulated by the Department of Criminal Justice Training.
Advisory Opinion 05-33: A former merit employee who previously served as an officer is subject to post-employment laws applicable to officers, but only for one year following the date that the employee no longer served as an officer.
Advisory Opinion 05-34: Before accepting assistance from a trust set up to assist employees with the payment of legal fees, an employee should ascertain that the donors to a fund or sub-trust set up on his behalf are not doing business with, regulated by, seeking grants from, or in any way seeking to influence the state agency for which the employee works or over which he has supervisory authority. The trust should not be established by anyone registered as an executive agency lobbyist, holding a contract with, or attempting to influence the actions of any of the agencies which employ the employee beneficiaries of the fund. Employees who are officers must disclose on their annual statement of financial disclosure the source of any legal assistance received if the value is over $200.
Advisory Opinion 05-35: The Cabinet for Health and Family Services, in this fact specific situation, may partner with and accept a donation from a private corporation to benefit a children’s health program.
Advisory Opinion 05-36: Employee’s service as an officer of the Kentucky Waterways Alliance creates a conflict of interest with his employment for the Division of Mine Permits.
Advisory Opinion 05-37: This opinion authorizes a gift exception to allow an inspector to accept donations from an account set up to assist his family to which vendors have donated.
Advisory Opinion 05-38: Representatives from the Board of Trustees of the Kentucky Retirement Systems may attend conference presented by a financial group but should reimburse any vendors of the agency for food and drink that they accept if the value exceeds $25 per person. Attending a conference that is strictly dissemination of information that is free to all attending is not considered a gift as defined in KRS Chapter 11A.
Advisory Opinion 05-39: Employee may sell prepaid legal services on his own time, provided he does not use his official position to gain an advantage in securing state sites to make presentations to employees. Mere use of the employee's worksite to make presentations may appear to give the employee an advantage.
Advisory Opinion 05-40: (Gift Exception 2005-5) This opinion authorizes a gift exception to allow the Chief of Staff to the Governor's Office for Local Development to accept wedding gifts from persons or businesses that work for local governments that may be regulated by and/or applying for grants from the Governor's Office for Local Development.
Advisory Opinion 05-41: A Transportation Cabinet employee may accept part-time employment with an engineering and testing company that is a contractor of the Cabinet only if approved by his appointing authority.
Advisory Opinion 05-42: An employee is prohibited through a business of his or her spouse from knowingly having a contract or an agreement with the state agency for which the employee works. The employee's agency should refrain from purchasing products from a business owned by the employee's spouse due to the fact that it may cause the employee or other employees involved in making the purchase decision to possibly commit a violation of the Executive Branch Code of Ethics.
Advisory Opinion 05-43: The Governor's Office of Local Development ("GOLD"), through its employees, should not solicit vendors of GOLD for sponsorship of the Southern Regional Conference of the Council of State Community Development Agencies annual conference due to inherent conflicts of interest that exist.

2004

Advisory Opinion 04-1: The Department of Agriculture may not accept free amusement ride passes, from amusement companies that the Department of Agriculture regulates, to distribute to agency employees.
Advisory Opinion 04-2: A state employee pharmacist consultant, not involved in any matters concerning pharmacists or pharmacies as part of his official duty, may obtain outside employment as a retail pharmacist only if such outside employment is approved by his appointing authority
Advisory Opinion 04-3: Service provided by the General Counsel of the Cabinet for Health and Family Services, as a private citizen, on various local boards and councils will not cause a conflict of interest, provided he recuses himself and abstains from any official action with respect to any of the boards or councils on which he serves.
Advisory Opinion 04-4: The spouse of an employee of the Cabinet for Economic Development may lease property to a company that has received economic incentives from Economic Development, provided the employee is not enjoying part of the agreement for such incentives.
Advisory Opinion 04-5: Employees may not offer continuing professional education, privately, for compensation, to persons regulated by their state agency without causing a conflict of interest for the employees.
Advisory Opinion 04-6: Regarding retirement parties and events for state employees, management and employees need to be mindful of the requirement of the Executive Branch Code of Ethics which cautions all state employees to be good stewards of state time and resources.
Advisory Opinion 04-7: Although the Governor has ultimate authority over every executive branch agency, he is not considered to be employed by or supervising every executive branch agency in applying the gifts provisions in KRS 11A.045(1). Only when the Governor is directly involved or has direct participation in interests before a particular agency should the Governor be considered to be employed by or supervising that agency for purposes of acceptance of gifts.
Advisory Opinion 04-8: Registration fees for the annual conference of the Kentucky Association of Administrative Adjudicators may be waived from employees of the Office of the Attorney General since the fee waiver does not constitute compensation and the Association does not have as its primary purpose the representation of persons seeking to do business with , regulated by, or seeking to influence the Office of the Attorney General.
Advisory Opinion 04-9: A park manager/golf professional may accept golf equipment for personal use from a religious-based organization that receives such equipment from a vendor of the Department of Parks, provided the purpose of the donation by the vendor is to accomplish the mission of the religious-based organization.
Advisory Opinion 04-10: A public servant should not refer clients with which he has contacts through his official position to his or his family’s private business. A public servant may not provide services, for an individual, which fulfill part of a contract between the public servant’s state agency and the other individual.
Advisory Opinion 04-11: The issuance of a formal legal opinion by the Attorney General regarding benefit calculations for the Legislators’ Retirement Plan creates a conflict of interest for the Attorney General.
Advisory Opinion 04-12: An employee of Kentucky Educational Television ("KET") may not submit a bid to complete rewiring for a school district for which KET provides services.
Advisory Opinion 04-13: A Service Region Administrator should not solicit employees under his direct or indirect supervision for monetary donations.
Advisory Opinion 04-14: A conflict of interest is inevitable if the executive director of the Real Estate Appraisers Board engages in the private practice of performing real property appraisals or reviews of other appraisers’ work for a local government. The executive director is not prohibited from volunteering his services for the local government, provided he does not benefit privately in some way from such action.
Advisory Opinion 04-15: The former executive director of the Kentucky Horse Racing Authority may pursue employment options in the horse racing industry immediately upon his termination of employment because he will be returning to his former profession in which he was employed prior to his state employment. However, for six months, he should not work on any matters in which he had direct involvement during the last three years of his state tenure.
Advisory Opinion 04-16: The Secretary of State is not directly prohibited by the Executive Branch Code of Ethics from soliciting political contributions for private candidates or a political party. However, situations may arise regarding an election that may give an appearance that the Secretary of State is not independent and impartial if he is involved in the solicitation of political contributions. Thus, if the Secretary of State wishes to avoid any appearance of a conflict, he should refrain from soliciting political contributions from individuals on behalf of a political party.
Advisory Opinion 04-17: An employee may not have or enjoy part of an agreement with his own state agency to provide interpretive services for compensation. However, an agency is not prohibited from allowing an employee to work for the agency in addition to his normal working hours and earn compensatory time. An employee may have or enjoy an agreement to provide interpretive services for a state agency, other than his own, so long as the agreement complies with the Model Procurement Code at KRS 45A.340. An employee is not prohibited from providing interpretive services to entities outside of state government so long as the employee does not use his official position to give himself an advantage.
Advisory Opinion 04-18: A state employee may contract with, and receive compensation from, another state agency for goods and/or services totally unrelated to the employee’s employment with state government so long as the employee abides by the requirements of KRS 45A.340.
Advisory Opinion 04-19: A state employee may solicit donations from a private local help agency for the benefit of clients of his state agency if the private local help agency is a charitable non-profit organization under Section 501(c) of the Internal Revenue Code. If the help agency is not charitable, the employee may solicit donations, but not from persons or businesses that are regulated by or doing business with the employee’s state agency.
Advisory Opinion 04-20: A program coordinator should recuse himself and abstain from official action for a reasonable period of time regarding an organization for which he formerly provided services. In order to avoid an appearance of a conflict, he also should abstain from involvement in matters regarding an organization that claims he has a conflict of interest in reviewing the organization.
Advisory Opinion 04-21: The former executive director of the Parole Board may immediately serve as a consultant and sub-contractor for a company owned by an individual with whom he had direct involvement as part of his official duty, but with whom the Parole Board did not do business or regulate.
Advisory Opinion 04-22: An employee of the Department of Education may perform peer reviews for other states’ programs, for compensation, provided that conducting peer reviews is not part of his official duties as determined by the Department.
Advisory Opinion 04-23: This opinion number is voided.
Advisory Opinion 04-24: An officer or director of a professional organization may serve as a board member for a state licensure agency that regulates the same profession, but an appearance of a conflict may be unavoidable.
Advisory Opinion 04-25: The Department of Tourism may contract with the Kentucky Tourism Council for the sale of advertisements in the Great Getaway Guide, even though the Commissioner of Tourism and the Commissioner of the Department of Parks serve on the Kentucky Tourism Council by virtue of their positions.
Advisory Opinion 04-26: The Governor and the Lieutenant Governor may accept 12 box seats and 12 walk-around passes from Derby from Churchill Downs for both the Kentucky Oaks and the Kentucky. The acceptance of such tickets will not create an appearance of impropriety but will allow them to represent the Commonwealth nationally.
Advisory Opinion 04-27: A former employee may return to the practice of law, and seek clients, for his law firm, that are regulated by the former employee’s former state agency, provided the former employee does not work on any matters, for the clients, in which he was directly involved during the last three years.
Advisory Opinion 04-28: Executive Director may accept post-employment with company to perform a specific function that will fulfill a contract between the company and the Cabinet for which he currently works if the contract directly involves entitlement funds. The Cabinet Secretary may provide a job referral for the employee if the Cabinet Secretary does not make the referral to a company that has a business or regulatory relationship with the Cabinet.
Advisory Opinion 04-29: Employees of the Office of Insurance should not accept a boat ride during Derby festivities from an insurance company if the value of the boat ride exceeds $25 even if the employees will be discussing insurance issues with attendees and distributing informational packets. If the agency believes it is worthwhile for the employees to attend such a function, the agency should pay for the value of the boat ride.
Advisory Opinion 04-30: Campaign contributions are not required to be reported by executive agency lobbyists as expenditures or financial transactions.
Advisory Opinion 04-31: Kentucky Housing Corporation may solicit financial sponsorship for a statewide affordable housing conference, provided the entities solicited do not do business with or seek to influence the Kentucky Housing Corporation. KHC may partner with any nonprofit organization (or company) to promote a state program that has an overriding benefit to the Commonwealth, provided such partnering is open to any similar nonprofit organization (or company) interested in such partnering.
Advisory Opinion 04-32: The Attorney General may seek votes for school board candidate, provided the individuals contacted have no interests before the Office of the Attorney General.
Advisory Opinion 04-33: A state employee may allow the marketing of a book and personal protection packet that he has co-authored and assembled with a family member even if the subject matter relates to his state employment, but should not specifically identify himself as an employee of the Department of Labor. Further, he should not market the book or packet to any clients or students with which he comes in contact while performing his job duties.
Advisory Opinion 04-34: Employees should not be involved in interviewing, recommending, or approving family members for positions within their agencies. They should not directly supervise a family member or evaluate a family member’s job performance.
Advisory Opinion 04-35: A former Commissioner of the Department of Medicaid Services may pursue future employment options with a healthcare company or provider if the compensation is paid by public funds disbursed through an entitlement program.
Advisory Opinion 04-36: The Executive Director of the Office of Financial Institutions may not accept a fee waiver to attend convention activities in addition to the session where he will be a program presenter.
Advisory Opinion 04-37: This opinion number has been voided.
Advisory Opinion 04-38: If the Office of Financial Institutions does business with Microsoft, employees may accept a voucher to purchase up to $80 worth of merchandise from Microsoft’s on-line store at the employee discount up to a discount value of $25.
Advisory Opinion 04-39: A Director in the Kentucky Housing Corporation may return to employment with his former employer, but for six months may not work on matters in which he had direct involvement the last three years. Furthermore, for one year he should not act or employ a lobbyist, or represent someone before the state, in matters in which he was directly involved the last three years.
Advisory Opinion 04-40: This opinion number has been voided.
Advisory Opinion 04-41: Technical education schools administered by the Education Cabinet may accept honorarium from KCTCS and local board of education technical schools for the services of an Evaluation Team Leader (ETL) reviewer if the Department is not involved in doing business with, regulating, or funding the technical school reviewed.
Advisory Opinion 04-42: The Chairman of the Public Service Commission may attend and participate in a program sponsored by a utility association that represents local energy companies regulated by the Public Service Commission, but may not accept reimbursement from the association for the costs of attending the program.
Advisory Opinion 04-43: This opinion number has been voided.
Advisory Opinion 04-44: This opinion number has been voided.
Advisory Opinion 04-45: A Department of Military Affairs employee must seek approval from the appointing authority of his agency for his outside employment with an airport.
Advisory Opinion 04-46: The Department of Corrections may approve outside employment for a probation and parole officer with a substance abuse center, provided the employee is not involved in any decisions or recommendations regarding the substance abuse center as part of his duty for the state. Such approval should include a requirement that the employee not be involved in supervising individuals, as part of his official duty for the agency, who are enrolled in any type of treatment program at the substance abuse center.

Reviewed: 06/03/2008