Statements of Financial Disclosure 

A statement of financial disclosure is Required by KRS 11A.050. The information to be provided is for the preceding calendar year (January 1 through December 31). This period of time is also referred to as the reporting year.

Who Must File

You must file an annual Statement of Financial Disclosure (hereinafter "Statement") if you are:

  1. The Governor; Lieutenant Governor; Secretary of State; Attorney General; Treasurer; Commissioner of Agriculture or Auditor of Public Accounts (referred to as constitutional officers);
  2. A candidate for any of the offices listed in item 1;
  3. An officer, defined in KRS 11A.010(7) as: all major management personnel in the executive branch of state government, including the secretary of the cabinet, the Governor's chief executive officers, cabinet secretaries, deputy cabinet secretaries, general counsels, commissioners, deputy commissioners, principal assistants, division directors, members and full-time chief administrative officers of the Parole Board, Board of Tax Appeals, Board of Claims, Kentucky Retirement Systems Board of Trustees, Public Service Commission, Worker's Compensation Board and its administrative law judges, the Occupational Safety and Health Review Commission, the Kentucky Board of Education, the State Board for Adult and Technical Education, the Council on Post-Secondary Education and any other person who holds a Personal Service Contract to perform on a full-time basis for a period of time not less than six (6) months a function of any position listed in this subsection.

When to File

Constitutional and other officers:

Each officer and each public servant listed in KRS 11A.010(9)(a) to (g) who occupied his position on December 31st of a calendar year shall file the statement for the portion of the calendar year which he worked on or before April 15th of the following year, whether or not he remains an officer or public servant as listed in KRS 11A.010(9)(a) to (g).

Each officer and each public servant listed in KRS 11A.010(9)(a) to (g) who occupied his position for a portion of a calendar year prior to December 31, shall file the statement within 30 days of his termination date.

Candidates:

Candidates must file a Statement with the Executive Branch Ethics Commission no later than February 15. The information required to be disclosed on a Statement (except identifying information such as name, address and current employment) shall pertain to the preceding calendar year.

Important! Please Read These General Instructions

The Commission has provided an electronic form that can be completed on your computer, printed, signed and mailed to the Commission. If you cannot complete the Statement in this manner, please type or print responses carefully with blue or black ink. Remember to sign and date the Statement at the end of the form.

You must respond to each and every part of every question. If a question does not pertain to you, or if you do not have any information to provide in response to a question check the box "None". DO NOT LEAVE ANY ITEMS ON THE FORM BLANK, UNLESS TOLD TO SKIP A QUESTION.

IF YOU FAIL TO ANSWER EVERY QUESTION, YOUR FORM WILL BE RETURNED TO YOU AS INCOMPLETE.

Do NOT abbreviate words, even your agency name. You may attach extra sheets to the Statement if necessary.

You do not have to disclose specific dollar amounts or privileged information. If you do not respond to a question because you believe it to be privileged, you must affirmatively state that fact and indicate the privilege upon which you rely. There is no attorney-client privilege as to the identity of a client.

Any officer or public servant who fails to file a required Statement shall be subject to salary withholding in accordance with the provisions of KRS11A.990(2).

Public Inspection

Your Statement is available for public inspection once it is filed with the Executive Branch Ethics Commission. The Commission staff will cover your home address and phone number before allowing the public to inspect your Statement.

If you have questions, contact:

John Steffen, Executive Director
Executive Branch Ethics Commission
#3 Fountain Place
Frankfort, Kentucky 40601
(502) 564-7954
(502) 564-7954