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Ad Hoc members of the Kentucky State Board on Electric Generation and Transmission Siting are not subject to the requirements of KRS Chaper 11A as they do not fall within the definition of an "officer" or of a "public servant" as defined in KRS 11A.010.

A husband's employment through a Memorandum of Agreement with the agency where his spouse is employed does not create a conflict of interest as the wife was not involved in the hiring process and will not supervise her spouse.

While the Prosecutor's Advisory Council has adopted a code of ethics for the unified prosecutorial system, such does not modify the obligations of Commonwealth's Attorneys and their staff under KRS 1IA. The provisions of the Executive Branch Code of Ethics contained in KRS Chapter 11A, including the requirement of filing a Statement of Financial Disclosure, pursuant to KRS 11A.050, are still applicable to Commonwealth's Attorneys.

KRS 11A.040 prohibits a former Division Director of the Division of Water for the Commonwealth of Kentucky from taking a job with a consulting firm with which he approved ongoing state contracts and projects. DECISION QUALIFIED: For one year from the termination of state service, KRS 11A.040(6) prohibits officers, or public servants listed in KRS 11A.010(9)(a) to (g), from "enjoying" the benefits of any contract awarded by their agency to a consulting firm with which they are seeking employment. Further, KRS 11A.040(7) prohibits officers, or public servants listed in KRS 11A.010(9)(a) to (g), from accepting employment, compensation, or other economic benefit from any person or business that contracts or does business with, or is regulated by, the state in matters the officer was directly involved in during the last 36 months of their state service. However, KRS 11A.040(7) also contains a limited exception for an individual to return to the same business, firm, occupation, or profession they held prior to state service, or for which they had received a professional degree or license prior to state service.

Because KRS 11A.040 (4) prohibits public servants from entering into contracts awarded by the agency by which they are employed, employees of the Kentucky Department of Agriculture may not be beneficiaries of low-interest rate loans offered by the Kentucky Agricultural Finance Corporation ("KAFC"), an entity that is administratively attached to the Kentucky Department of Agriculture.

The Correctional Farm Manager at Blackburn Correctional Complex is prohibited from personally accepting a monetary award from the Thoroughbred Industry Employee Award Organization for his outstanding work as manager of Blackburn's thoroughbred retirement farm; however, the monetary award may be donated in his honor to the thoroughbred retirement farm operated at Blackburn Correctional Complex.

The Executive Branch Ethics Commission grants a gift exemption pursuant to KRS 11A.040(5) and KRS 11A.045( 1) to the Office of the Secretary of the Tourism, Arts, and Heritage Cabinet for the employees of Jenny Wiley State Park to accept a gift from the non-profit "Friends of Jenny Wiley," for their exemplary service during and after the historic flooding in eastern Kentucky.

Upon review of the job requirements by the Executive Branch Ethics Commission (“the Commission”) for the Department of Juvenile Justice position, “Facilities Regional Administrator”, it is determined, by the Commission, that the job specifications indicate that Facilities Regional Administrator is a position considered to be “major management” as that term is used in KRS l lA.010(7) and therefore defined as an “officer”.

The Executive Branch Ethics Commission grants the exemption pursuant to KRS 11A.045(1) for the Executive Director of the Office of Senior Protection within the Attorney General's Office to receive funds from a donation account established by her friends to supplement her medical costs.

Executive Orders issued in 2008-454 and 2020-423 that include Members of the Kentucky Fish and Wildlife Commission are not enforceable by the Executive Branch Ethics Commission. Only the Governor has the authority to enforce Executive Orders that he or she issues.

The Executive Branch Ethics Commission grants an exemption pursuant to KRS 11A.040(5) to allow employees of the Kentucky Transportation Cabinet to participate in the Safety Recognition Program and receive prizes valued between $15 - $25.

Commonwealth Attorneys and their employees are subject to the provisions of KRS Chapter 11A. Commonwealth Attorneys are considered to be public servants as defined in KRS 11A.010(9) and officers as defined in KRS 11A.010(7). The employees of the Commonwealth's Attorneys are public servants as defined by KRS 11A.010(9).

In addition to the penalties set out in KRS 11A.100, the salary of a merit employee may be held, pursusant to KRS 11A.990(2), for his failure to timely file the Statement of Financial Disclosure required of him as a former officer.

The decision to allow an employee of the Kentucky Housing Corporation ("KHC"), currently running for a partisan office, and if elected, serve in both that elected politcal office and continue employment with KHC lies with the employer, Kentucky Housing Corporation.

The Executive Branch Ethics Commission grants a gifts exemption pursuant to KRS 1 lA.045(1). for the Chief Communications Officer in the Office of the Commissioner of the Kentucky Department of Education to receive funds from a donation account established by her friends to assist with payment of emergency veterinary costs.

The Executive Branch Ethics Commission grants an exemption to The Commonwealth Office of Technology pursuant to KRS 11A.040(5) so that it may offer a program in which public servants are enrolled into a drawing to win a prize of monetary value greater than $25 when they enroll into the Self Service for Password reset.

The Board of Cosmetology may, within its discretion pursuant to KRS 11A.040(10), choose to deny permission for a field inspector to engage in outside employment by opening a salon in their own home. However, in the alternative, the Board may also, in its discretion, choose to allow the field inspector for the Board to engage in the proposed outside employment if the Board sets up parameters to ensure that the inspector does not perform inspections in a geographical region of the state as determined by the board to ensure that the field inspector is not inspecting the competitors of their own salon.

A Constitutional Officer may use state resources, including attorneys – whether employed by the Commonwealth or retained under a personal service contract with the Commonwealth – to defend the allegations filed in a petition for impeachment against that Constitutional Officer.

The Commission provides a review of the conflict of interest provisions in the Executive Branch Code of Ethics and approves the Department for Behavioral Health, Developmental and Intellectual Disabilities for the Cabinet for Health and Family Services intended course of action to limit and mitigate conflicts of interest in two scenarios concerning one of its employees related to outside entities for which the spouse of the employee works that have contracts with or receive grants from the Department.

Within limits, a public servant in a non-officer position may accept employment with a company that has a contract with his former agency without violating the post-employment provisions contained in KRS 11A.040(6)-(9). Within limits, a public servant in a non-officer position may serve as an expert witness for his former agency through a contract with his new employer who has other current contracts with the public servant’s former agency.

A Property Valuation Administrator (PVA) may use their real estate license to market and sell their own personal property and purchase a personal residence in the county where they serve as the PVA. However, the PVA should not use the real estate license in the marketing and selling of real estate beyond the sale and purchase of their personal residence and furthermore, the Commission recommends the PVA create their own brokerage rather than affiliating with another existing brokerage to limit a potential conflict of interest.

A former public servant in an officer position may work for a company that has a current contract with the public servant’s former agency if the contract does not result in the contractor receiving state funds. Because the contractor is not “doing business with” the former public servant’s agency, the post-employment provisions in KRS 11A.040(7) would not prohibit the former public servant from accepting the employment during the first year after state service. However, the public servant must limit his contacts with his former agency in compliance with the provisions of KRS 11A.040(9).

The Executive Branch Ethics Commission grants an exemption to KRS 11A.045(1) for a non-merit employee of the Department of Veterans Affairs to receive induction into the Kentucky Veterans Hall of Fame which includes receipt of a plaque and dinner worth more than $25. That same employee should follow a planned six-month moratorium on any decision-making concerning the Kentucky Veterans Hall of Fame to avoid any conflicts of interest as provided in KRS 11A.020(3) and KRS 11A.030.

In light of the proposal to amend 101 KAR 1:365, upon which Advisory Opinion 93-21 was originally based, the Executive Branch Ethics Commission revisits Advisory Opinion 93-21 and issues guidance allowing for a public servant to use state time and resources for the limited purpose of engaging in communications with the staff of the Kentucky Personnel Board and appellee state agencies with written permission from the public servant's employing agency appointing authority.

The Department of Worker's Claims, Labor Cabinet is granted an exemption to KRS 11A.045(1) for a non-merit employee to receive funds from a donation account established by his family to supplement his medical costs.

Employees of the Kentucky Department of Agriculture (KDA), their spouse and their child are prohibited from accepting grants from the Kentucky Agricultural Development Board (KADB) (KRS 11A.040(4); however extended family of KDA employees may apply and accept grants from KADB as long as the grants will not benefit the KDA employee in whole or in part. A KDA employee or their family member may apply for and accept grants from a county program run by a county administrator group that is independent from KADB but receives KADB funds.

Department of Corrections staff are prohibited from using state time and state resources to conduct limited fundraising and administrative activities associated with managing outside bank accounts to support the staff canteen funds. Additionally, the Department of Corrections should follow the recommendations of the Finance and Administration Cabinet to avoid using correctional facility names in the name of the outside bank accounts associated with the staff canteen fund.

In light of a compelling argument made by the Kentucky Board of Education (KBE) that Advisory Opinion 01-27 sets a much more restrictive standard for members of the KBE than it does for public servants and members of other boards and commissions covered by the complete provisions of the Executive Branch Code of Ethics in similar circumstances, the Executive Branch Ethics Commission reconsiders Advisory Opinion 02-37 as it applies to members of the Kentucky Board of Education and VOIDS Advisory Opinion 02-37.

Within limits, the Executive Branch Ethics Commission grants an exception to KRS 11A.040(5) to all employees of the Department of Corrections("Department") as part of the Department's proposed awards program for employees who go beyond their official duties to provide exceptional service to the Department.

As defined in 9 KAR 1:025, Section 1(4), a contract for a 2020 construction project (Contract) in Henderson, Kentucky, to complete a section of the I-69 Ohio River Crossing is considered to be a separate “matter” from a 2016 agreement between Kentucky and Indiana (Agreement) to complete the environmental studies and preliminary development of the I-69 Ohio River Crossing for the application of the post-employment rules in KRS 11A.040(6) through (9). A former officer may be listed as a point of contact on the Contract during his first year post-employment without violating KRS 11A.040(6) through (9) as long as he abides by KRS 11A.040(9) in limiting any contacts he has with KYTC concerning the Agreement. The former officer may also work on the Contract during his first year post-employment without violating KRS 11A.040(6) through (9) as long as he abides by KRS 11A.040(7) and abstains from working on the Agreement and abides by KRS 11A.040(9) and avoids contacts with KYTC concerning the Agreement.

Property Valuation Administrators may sell advertising space on their websites without violating the Executive Branch Code of Ethics as long as they use the mechanism provided in KRS 45A.097 to solicit sponsorships, which may include selling advertising space on state-sponsored websites, as long as the state agency follows the requirements of KRS 45A.097 and the procedures established by the Finance and Administration Cabinet for its implementation. Furthermore, the Executive Branch Ethics Commission recommends that the website include a disclaimer that any such advertisements are not to be considered an endorsement of the services or products of the advertisers pursuant to KRS 45A.097(4)(h) and (i).

A Property Valuation Administrator may engage in practice as a certified public accountant in their home county as long as they are granted permission by their appointing authority to engage in outside employment pursuant to KRS 11A.040(10) and 9 KAR 1:050 as well as ensure that they abide by the conflict of interest provisions of KRS 11A.020 and KRS 11A.030.

Companies or businesses that apply for, receive, or have received economic incentives are considered to be "doing business with or being regulated by" the Kentucky Cabinet for Economic Development as long as the agreements between the Kentucky Cabinet for Economic Development and the companies or businesses are still active.

Within limitations, the Executive Branch Ethics Commission grants an exception to KRS 11A.040(5) to all employees of the Department of Criminal Justice Training ("DOCJT") as part of the DOCJT program to reward its employees who go beyond their official duties to provide exceptional performance.

Members of the Unemployment Insurance Commission are covered by the definition of "salaried" members of a board or commision as defined by KRS 11A.010(21) and, as such, they are covered by the expanded definition of "officer" in KRS 11A.010(7) as enacted by House Bill 81.

Members of the State Board of Elections are covered by the definition of "salaried" members of a board or commission as defined by KRS 11A.010(21) and, as such, they are covered by the expanded definition of "officer" in KRS 11A.010(7) as enacted by House Bill 81, in light of the recent changes in their compensation.

Pursuant to KRS 11A.055, the Department of Agriculture (KDA) is prohibited from directly raising funds for a 26 USC Section 501(c)(6) tax-exempt organization to fund a conference being held in Kentucky for the organization over which the Commissioner of Agriculture is serving as president. Pursuant to KRS 11A.045(1) the Commissioner of Agriculture and the staff of the KDA are prohibited from raising funds for the 501(c)(6) organization by soliciting persons or businesses that may otherwise be prohibited from giving gifts to the KDA and its employees. The Commissioner of Agriculture and other members of the KDA’s senior leadership may seek donations to the 501(c)(6) organization in advance of the conference from individuals and/or corporate entities who do not meet any of the circumstances as set forth in KRS 11A.045(1)as long as they use their own time and resources and avoid using state time and state resources. The 501(c)(6) organization may use the Commissioner’s name and identity on solicitations sent to entities that are regulated by or doing business with the KDA or otherwise listed in KRS 11A.045(1). If allowable under KRS 45A.097, the Commissioner of Agriculture and the staff of the KDA may raise funds to be donated directly to the Department to fund a conference sponsored jointly by the KDA with the 501(c)(6) organization.

A Utility Inspector with the Public Service Commission may work for a city-owned water treatment plant without violating the outside employment provisions of the Executive Branch Code of Ethics as long as the appointing authority approves of the outside employment and conflicts of interest are mitigated. An employee of the Public Service Commission may serve on the board of an Association of members regulated by the Public Service Commission as long as conflicts of interest are mitigated.

An officer and public servant serving in various roles of major management in the prior three years of state service seeks post-employment advice pursuant to KRS 11A.040(6) - (9).

Within limits, the Tourism, Arts, and Heritage Cabinet ("Cabinet") may be granted an exception to KRS 11A.045 to provide lunch and a voucher for overnight stay at one of the state parks to Cabinet employees who are selected to participate in the cabinet's Core Values Awards Programs. Selected employees of the cabinet are nominated s by agency leaders for providing exceptional customer service that goes beyond their official duties.

A Utility Inspector with the Public Service Commission may work for privately owned water treatment facilities that are not subject to the jurisdiction of the Public Service Commission without violating the outside employment provisions of the Executive Branch Code of Ethics as long as the appointing authority approves of the outside employment and conflicts of interest are mitigated.

As long as the meetings are initiated by the executive branch agency and are open to any interested stakeholders in the resultant executive agency decision, the participation of members or representatives of interest groups and their legal counsel in regulation development stakeholder meetings initiated by Kentucky executive branch agencies would not qualify as “executive agency lobbying activity” as defined in KRS 11A.201, as amended by the Kentucky General Assembly on June 27, 2019. As long as the contact is limited to attending the open meetings of the executive branch agency, entities that send representatives to attend meetings initiated by executive branch agencies are not required to register as employers of executive agency lobbyists and their representatives are not required to register as executive agency lobbyists pursuant to KRS 11A.211.

The publications prepared by the staff of the Institute of Justice fall within the statutory definition of "gift" in KRS 11A.010(5). The publications may be disseminated to and accepted by executive branch agency officials because the present market value of the publications is less than $25. The cost of the Institute of Justice staff to prepare the documents does not count toward the value of the gift if the cost is included in the market price nor does the gift fit within any of the exemptions to the definition of a gift in KRS 11A.010(5).

A public servant does not violate the Executive Branch Code of Ethics by bidding on items offered for sale by his or her agency as long as the bidding by the public servant is conducted during the public servant’s approved, personal leave time, the public servant was not involved in setting up the auction on behalf of the agency holding the auction, and the public servant does not have knowledge that is generally unavailable to the public. Any proposed policy prepared and adopted by the agency to address these concerns should reflect the qualifiers outlined in Advisory Opinion 18-02

Even though the Executive Branch Ethics Commission reaffirms Advisory Opinion 10-01, the advice provided in Advisory Opinion 10-01 would change in light of the State Board of Election's recent actions to grant the Secretary of State access to the personal information of all of the Commonwealth's registered voters, access to the personal information for all of the Commonwealth's precinct election officers, and day-to-day oversight of the regular operations and the staff of the State Board of Elections.

Within limitations, the Executive Branch Ethics Commission will grant an exception to KRS 11A.040(5) to all employees of nursing facilities of the Kentucky Department of Veterans Affairs (“KDVA”) to accept monetary rewards for demonstrating exceptional safety awareness from the KDVA Safety Committee’s at those facilities.

This advisory opinion has been suspended.

Within limitations, the Kentucky Center for the Arts Corporation ("KCAC") may accept gifts as dictated by KRS 153.420(8) without violating KRS 11A.045. Advisory Opinion 16-09 and the provisions of the amendment to 9 KAR 1:090, once enacted, do not apply to the KCAC when accepting gifts on behalf of the public corporation.

Within limitations, the Department of Parks (the “Department”) may accept gifts as dictated by KRS 148.021 without violating KRS 11A.045. Advisory Opinion 16-09 and the provisions of the amendment to 9 KAR 1:090, once enacted, do not apply to the Department when accepting gifts on behalf of the state agency.

An attorney representing the Justice and Public Safety Cabinet in appeals brought before the Kentucky Personnel Board (the “Board”) may continue with such representation before the Board even though the individual has been offered a position as a member of the Board, but has not yet been sworn into the position, as long as the attorney abstains from participating as a member of the Board in adjudicating the matter before the Board. Going forward, said attorney representing the Justice and Public Safety Cabinet in appeals brought before the Board may serve as a member of the Board if that attorney abstains from adjudicating matters in which she has been involved.

Public servants in the position of Policy Research Consultant at the Public Service Commission are not considered officers as that term is defined in KRS 11A.010(7).

A public servant in a non-officer position may accept employment as a manager of a property owned by a company that has a contract with his former agency immediately after retiring from the executive branch of state government without violating the post-employment provisions contained in KRS 11A.040(6)-(9); however, that same public servant must abide by the post employment provisions applying to all public servants contained in KRS 11A.040(8) and (9).

(1) Does the Commission still view Advisory Opinions 03-05 and 06-16 as valid? (2) May the Attorney General that has not ruled out a run for the office of Governor undertake an investigation, either by himself or through employees of the Attorney General’s Office of a potential political opponent? (3) If the answer to (2) is yes, then will a recusal by the Attorney General from the investigation cure any conflict of the staff of office of Attorney General conduct the investigation if sufficient “firewalls” are in place to shield the Attorney General from the investigation of his potential political opponent? (4) If the answer to (3) is no, then may the Attorney General contract with a third party to perform the investigation if that contractor ultimately answers to an official with the Attorney General’s Office? (5) Is it a conflict of interest for a Constitutional Officer to—directly, or through a department, cabinet, or agency run by his appointees and ultimately answerable to him – investigate a likely or potential political opponent? In other words, is it also the case that a conflict of interest exists if a sitting Governor considering seeking re-election initiates an investigation – involving himself personally or any employee, agency, or contractor at his direction – that could further his private interest (possible candidacy) to the detriment of a known or likely political adversary? DECISION: (1) Yes (2) Maybe, depending on the Attorney General’s intended course of action. (3) No (4) Qualified Yes, as long as the report of the third-party investigator is given to an individual with no conflict of interests in the matter.

The newly created non-voting advisors to the Kentucky Board of Education ("KBE"), established by Executive Order 2017-364, are not covered by the full Executive Branch Code of Ethics as are the members of the Kentucky Board of Education pursuant to KRS 11A.010(7); however, because of the language in Paragraph XIII of E.O. 2017-364 which states the advisors will be engaging in influencing the decision-makers on the KBE, said advisors should agree to follow the dictates of Executive Orders 2008-454 and 2016-377 applying three provisions of the Executive Branch Code of Ethics which are voluntary and not enforceable by the Executive Branch Code of Ethics.

An employee of the Auditor of Public Accounts may accept baby shower gifts from employees of a county office that is regulated by the office of the Auditor of Public Accounts provided the gifts are reasonable in value.

A public servant may accept a customary gift provided through Leadership Kentucky from another participant who provided the gift to all participants of the event even though the other participant is a representative of an entity that is regulated by the public servant's agency.

Employees of the Personnel Cabinet may participate in a 52 week weight loss pilot project being managed by the Personnel Cabinet's Department of Employee Insurance provided the department fairly and consistently administers the project.

Because a public health department is not considered a "person" or "business" as defined by the Executive Branch Code of Ethics, a public servant and officer working for the Cabinet for Health and Family Services may immediately go to work for a local public health department without violating the post-employment provisions applicable to officers and is therefore not required to abstain from matters involving the Cabinet for Health and Family Services for any amount of time after beginning employment with the local public health department.

A conflict of interest will not be attributed to a staff member of the Personnel Board if the same staff member serves as a Hearing Officer on an administrative proceeding in which one of the Personnel Board members has a conflict of interest because the Personnel Board member’s spouse serves as the agency representative or a witness in the administrative hearing.

A conflict of interest does not exist for the staff of the Personnel Board when the staff member serves as a Hearing Officer on an administrative proceeding involving an agency for which one of the elected Personnel Board members works.

The Office of the Secretary of State may accept a donation of 120 refurbished Surface Pro Tablets from the Microsoft Corporation for a one time limited purpose as long as the tablets are used only for the Go Vote Kentucky program and as such the donation provides a greater good, service, and benefit to the people of the Commonwealth.

The Transportation Cabinet may solicit sponsorships for its Safety Assistance for Freeway Emergencies (SAFE) Patrol and acknowledge the sponsor through placement of a plaque on its SAFE Patrol vehicles, provided that the Cabinet makes no effort to endorse or recognize the recipient of the sponsorship other than through a small plaque no larger than 12” x 18” and rejects sponsors from whom it cannot accept a gift pursuant to KRS 11A.045.

Guidance for executive branch agencies in relation to fundraising activities conducted in accordance with KRS 11A.055 for charitable non-profit organizations established, created, and controlled by these agencies in anticipation of the effective date of the amendment to 9 KAR 1:060.

The Governor may accept the use of six ( 6) box seats for the Keeneland meets as long as the seats are only used for official purposes for the Office of the Governor.

The Kentucky Department of Fish and Wildlife Resources may be granted an exemption from KRS 11A.040(5) in order to provide awards as part of an employee recognition program to employees who have "achieved excellence" or had accomplishments that have "helped to advance the Wildlife Division" pursuant to the proposed criteria outlined in the opinion.

An Executive Branch Agency may, in accordance with its policy of developing viable programs to be used in the private sector, assign a non-profit entity a program and marketing collateral that were developed by the Agency and expanded for use by a non-profit entity.

With certain limitations, a public servant who is not an officer, may within a year after leaving state employment, provide sign language interpreter services to his former state agency while working for his new employer on a contract with his former state agency in which he was directly involved during his last thirty-six months of employment.

A conflict of interest will exist if an Environmental Scientist I, employed by the Division of Oil and Gas, Department for Natural Resources, Energy and Environment Cabinet, is allowed to create a research-focused company involved in researching and developing a process for treating a waste product of the environmental industry of which the environmental scientist is a regulator. The Commission found that the appointing authority properly denied the same employee’s request for outside employment to work for his research-focused company because the employee’s involvement with the created company posed a direct conflict of interest with the employee’s duties for the Cabinet by operation of KRS 11A.040(10) and 9 KAR 1:050. The Commission did not find a valid reason to overrule the appointing authority’s decision.

The Personnel Cabinet may expand the scope of its “State Employee Discounts” website to include discounts from additional private entities within certain parameters.

Based on both the characteristics of the job and the examples of duties or responsibilities of the job classification, a former Assistant State Highway Engineer in the Kentucky Transportation Cabinet is considered an “officer” as that term is defined in KRS 11A.010(7) and must comply with the post employment restrictions applicable to "officers" within the Executive Branch Code of Ethics.

Within limitations, an employee of the Office of Attorney General may provide security to the Attorney General on state time when the Attorney General is attending a private or political event.

This opinion authorizes a gifts exception to allow a Kentucky Retirement Systems employee whose wife was diagnosed with lymphoma to accept donations from employees of vendors of the Kentucky Retirement Systems.

As a result of several recent investigations, the Commission wishes to advise public servants regarding their obligation to refuse to comply with orders of such a nature that anyone of ordinary sense and understanding would recognize as being contrary to the Executive Branch Code of Ethics and the need to report such misconduct to the Executive Branch Ethics Commission. The Commission wishes to provide guidance through this opinion.

When a 501(c)(3) charitable nonprofit organization exists solely for the purpose of supporting an executive branch agency, the staff of that agency may, with certain limitations, participate in temporary fundraising activities on behalf of the nonprofit organization and provide administrative support to the organization, subject to the approval and oversight of agency management. Further, the agency and the nonprofit organization may enter into a written agreement to establish the parameters of such support of the nonprofit organization by the agency.

According to the Executive Branch Code of Ethics, “executive agency lobbying” occurs when, after initial contact with a private firm to express interest in a new business relationship is initiated by the staff of an executive branch agency rather than by the staff of the private firm, the private firm chooses to respond to the executive branch agency’s expressed interest in the new business relationship.

Reconsideration of A.O. 03-13. Except under specific circumstances addressed herein, regulatory board inspectors who are employed in the profession they regulate are prohibited from conducting inspections in the county in which they own or work in a business they regulate. The Commission delined to amend Advisory Opinion 03-13.

Employees of agencies may not accept monetary or tangible items exceeding $25 in value as part of an agency awards program without the prior approval of the Commission where the source of the award is a person or business that is regulated or does business with the agency, or the awards could be considered additional compensation for the performance of the employee’s official duties. The Commission will consider granting its prior approval of an agency awards program if specific and appropriate criteria are established.

The Kentucky Housing Corporation ("KHC") may implement an employee incentive program providing cash awards to employees who offer suggestions to improve productivity and services as long as certain restrictions are added. Additionally, KHC may implement a vacation leave buy-back program if properly implemented.

A conflict of interest would be created if the appointed Executive Director of the Kentucky Horse Racing Commission ("KHRC") and his wife remain involved in the horse racing industry through their ownership and joint operation of a stable that is a thoroughred boarding, breaking, training, and racing facility with operations in Kentucky, Florida, and New York. Additionally, as long as conflicts of interest are avoided the Executive Director of the KHRC or his wife may remain involved in activities in Kentucky either not related to the horse racing industry or not involving licensees of the KHRC. The Executive Director of the KHRC or his wife may remain involved in the horse racing industry outside of Kentucky as long as conflicts of interest are avoided.

The State Apiarist (a.k.a. the "State Beekeeper") can teach a class on beekeeping for compensation as long as teaching such a class is not part of the State Apiarist's official duties and he avoids any conflict of interest. The State Apiarist may not teach a class on beekeeping as an employee of his wife's bee keeping supply store if the State Apiarist is involved in decision-making or recommendations concerning the business in his official capacity.

An agency or public servant is prohibited from accepting travel expenses, or reimbursement of travel expenses, in whole or in part, from any arm, division, affiliate, subsidiary, franchise, or other segment of a business with which the agency does business, either directly or indirectly or, which could be attempting to influence the actions of the agency or public servant.

Under certain conditions, the Kentucky Heritage Council may accept financial assistance in the form of reimbursement for the cost of its employees to attend and conduct training sessions, to attend state and national conferences, and to pay for incidental expenses (brochures, training materials) necessary to conduct quarterly conferences from an organization that is not regulated by or doing business with the agency.

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It is a conflict of interest for an appointed Commissioner of the Kentucky Real Estate Commission to simultaneously serve in leadership positions for the Kentucky Association of Realtors and the Greater Louisville Association of Realtors.

The Kentucky Horse Racing Commission may accept, as an exception to the gifts rule (KRS 11A.045(1)), access to a nationwide horse database from a company with which they do business.

The Dept of Criminal Justice Training may accept training machines from associations that represent cities/counties since the Dept has no direct regulatory relationship with the associations and the associations have no incentive to influence the Dept.

The Secretary of State is prohibited from accepting a gift worth up to $500 from the Kentucky League of Cities (KLC) for service as the previous President of KLC prior to her appointment as Secretary of State.

A business owned by the brother of the Chair of the Louisville and Southern Indiana Bridges Authority does not create a conflict of interest as along as the Chair continues to make all necessary disclosures and recuses himself appropriately.

Addresses several questions related to endorsement and partnership activities between the Kentucky Retirement Systems (KRS) and the Kentucky Public Retirees Organization, a non-profit organization comprised of retired public employees.

Service by a mayor on the Kentucky Public Transportation Infrastructure Authority does not interfere with ability to accept campaign contributions for re-election while serving as a member of the authority.

There is no conflict of interest requiring the Secretary of State, who is running for statewide office, to abstain from performing his statutory duty as chair of the State Board of Elections.

The Division of Compliance Assistance in the Department for Environmental Protection, Energy and Environment Cabinet, may solicit public-private partnerships, to include entities and persons regulated by the Department, for the purpose of reducing and preventing environmental crimes.

The Department of Corrections may not accept a gift in the form of a 40mm Single Shot Launcher from a vendor under the exception to the gifts rule provided for in KRS 11A.045(1) due to the concern that it would create an appearance of impropriety.

A deputy Property Valuation Administrator may co-own a real estate brokerage business with a partner who conducts business in the county in which the deputy PVA is employed as long as the deputy PVA does not financially benefit from the partner conducting business in that county.

A state regulator may, with some limitations, use state time and resources to promote membership and participation by comparable regulators from other jurisdictions in an international professional association comprised of such regulators if such use of state time and resources is approved by agency management.

The Department of Corrections may not accept a gift in the form of $70,000 in Correctional Officer uniforms from a vendor under the exception to the gifts rule provided for in KRS 11A.045(1) due to the concern that it would create an appearance of impropriety.

A state regulator may perform work as an independent contractor for a Third Party Certification firm under the Interstate Milk Shippers International Certification Pilot Program so long as he does not use state time, personnel, or property to perform the work.

An employee may participate as a volunteer on the employee's own time in a local chamber of commerce organization, so long as the employee's volunteer activities do not create a conflict of interest with the employee's official duties.

An agency may solicit contributions and grants from entities it does business with when there is express legislative intent and statutory authority for the solicitations.

A case manager/nurse investigator for the Kentucky Board of Nursing may accept part-time employment with a nursing school in Kentucky, if the employee's official job duties do not include regulation of nursing school programs. However, the employee must cease the part-time employment in the event that the employee's job duties change to include regulation of nursing school programs, or if a particular student who enrolls in a class taught by the employee is subject to disciplinary monitoring by the employee.

A state employee may accept a sum of money from an Employee Stock Ownership Plan from a previous employer, even though the employee deals with the former employer in the course of performing his official duties. However, the employee must abstain from any involvement in matters concerning his former employer for a reasonable length of time after receiving payment in full.

The Deputy Secretary of the Tourism, Arts, and Heritage Cabinet may accept employment with the World Games 2010 Foundation, Inc. ("Foundation"), because the Tourism, Arts, and Heritage Cabinet is not doing business with the Foundation, nor is the Foundation regulated by the Commonwealth.

For a period of one year, a former employee may not work for a private company that seeks to do business with the employee's former agency on matters in which the employee was directly involved during the last thirty-six months of his tenure.

The Governor's Chief of Staff may sell his interest in an office condominium to his co-owner, who is a registered executive and legislative branch lobbyist, but he is required to abstain from any official decision involving either the real property or the lobbyist for a reasonable time after the sale of the property.

The Commissioner of the Department for Fish and Wildlife Resources may also be self employed as an independent contractor with a land development company. However, he cannot do business with his own agency, and he must ensure that he has no competing interests between his official position and his private interests.

The President of the Kentucky Board of Dentistry, who also serves as President for one of four regional testing companies authorized to administer required clinical examinations to dentists seeking licensure in Kentucky, has a conflict of interest that must be publicly disclosed and requires abstention from all decisions by the Kentucky Board of Dentistry related to testing. Additionally, it is a conflict of interest for the President of the Kentucky Board of Dentistry who has been disciplined by the Board from subsequently participating in contract or employment decisions for those individuals involved in his disciplinary matter.

Legislative agents on the public affairs staff of the Kentucky Chamber of Commerce are not required to register as executive agency lobbyists since the activities described do not meet the definition of executive agency lobbying as outlined in KRS 11A.201.

The Kentucky Department of Veterans Affairs may accept a monetary gift from a resident of the Eastern Kentucky Veterans Center so long as all residents are cared for in a fair and impartial manner and never feel pressured to make such donations.

The Kentucky Board of Speech-Language Pathology and Audiology are not prohibited by KRS Chapter 11A from contributing funds to associations related to the professions regulated by the Board. However, members of the Board who also serve in a leadership role in any of those professional associations should abstain from any matter before the Board that could affect his or her own association.

An employee of the Finance and Administration Cabinet may accept as a wedding gift tickets to a sporting event from an individual with whom his agency has a contract.

It is not a conflict of interest for a Property Valuation Administrator or a deputy Property Valuation Administrator to own real property in the county in which he or she is employed so long as they are not involved in the buying and selling of property as a business practice in the county in which they are employed.

The daughter of the Secretary of the Finance and Administration Cabinet may accept bat mitzvah gifts from persons or businesses that do business with, are regulated by, are seeking grants from, are involved in litigation against, or are attempting to influence the Finance and Administration Cabinet, provided the gifts are reasonable in value.

Amends Transportation Cabinet officials other than the Secretary may make decisions with respect to a highway project located near real property owned by the Secretary and may provide technical expertise to the neutral third party appointed to make discretionary decisions in lieu of the Secretary so long as the Secretary remains uninvolved with any of those discussions or decisions. Further, the Secretary may testify before Legislative committees regarding other projects named in the Six Year Road Plan and other Transportation Cabinet employees may testify if questions arise regarding the road project located near the real property owned by the Secretary.

The co-ownership of real property by the Secretary of the Governor's Executive Cabinet with the Secretary of the Transportation Cabinet or his family does not create any issues under the Executive Branch Code of Ethics with respect to a highway project located near the real property assuming the Secretary abstains from any involvement in the highway project. Likewise, the ownership of real property by the interim Secretary of the Cabinet for Economic Development does not create any issues under the Executive Branch Code of Ethics with respect to infrastructure grants for an industrial property located near the real property assuming the interim Secretary abstains from any involvement in the grant process.

An employee of the Department of Environmental Protection, Division of Water, is prohibited from bidding on or holding a contract with the Department for Natural Resources, Division of Abandoned Mine Lands, as a statutory conflict would exist due to the fact that the departments are part of the same agency.

A state employee may purchase a product from a state-contracted vendor at a lower than retail rate for their personal use as long as the discount value does not exceed $25 per person per year.

Microsoft eLearning vouchers may be distributed to the citizens of the Commonwealth of Kentucky through the Education and Workforce Development Cabinet. The vouchers are gifts to the citizens of Kentucky and not to the agency. The eLearning voucher program is an allowable partnership pursuant to KRS Chapter 11A and would not constitute an impermissible endorsement of Microsoft Corporation.

A member of the Kentucky Board of Speech-Language Pathology may serve in a leadership role as Licensure Board Liaison for the Kentucky Speech Language Hearing Association, but the board member would be required to abstain from participating in practically all matters that come before the board. A member of the Kentucky Board of Speech-Language Pathology may serve as Pediatric Program Conference Chair for the Kentucky Speech Language Hearing Association.

It would not be a conflict of interest for the Director of Biofuels to accept an outside consulting agreement with an out-of-state bank to assist in the sale of certain idle biofuel manufacturing assets located in West Texas.

A commissioner of the Public Service Commission may serve on the board of directors of a local hospital that receives electricity from a regulated electric utility pursuant to a special contract tariff, if the commissioner abstains from any and all matters involving the PSC’s review of that contract. Further, the commissioner may serve on the board of directors even though a regulated electric utility has made significant contributions to a non-profit foundation that the commissioner previously led that supports the hospital, so long as he abstains from matters involving that utility for a reasonable period of time.

It would be a conflict of interest for an Administrative Branch Manager within the Provider Services Branch of Program Integrity with the Department for Medicaid Services to offer credentialing/consulting services to assist health care professionals in completing enrollment applications for private insurance health plans if those professionals were participating in the Medicaid program or involved in the enrollment process to become Medicaid providers.

A member of the Governor’s executive staff may accept wedding gifts from persons or businesses that do business with, are regulated by, are seeking grants from, are involved in litigation against, or are lobbying or attempting to influence the Office of the Governor, provided the gifts are reasonable in value.

A member of the Governor’s executive staff may accept wedding gifts from persons or businesses that do business with, are regulated by, are seeking grants from, are involved in litigation against, or are lobbying or attempting to influence the Office of the Governor, provided the gifts are reasonable in value.

Regional Librarians and other staff members of the Kentucky Department for Libraries and Archives may accept a stipend for serving as mentors for public library staff members who are taking college classes toward the completion of associate’s and bachelor’s degrees at Bluegrass Community and Technical College and Northern Kentucky University through a program funded by a federal grant.

Assuming he abstains from any involvement in any matters that directly involve his private institution or that would affect his institution differently than any other similarly situated private postsecondary institution, not only may a member of the Council on Postsecondary Education be President of a private postsecondary institution licensed by the Council, he may continue to serve as Chair of the Council as well.

The General Counsel of the Kentucky Real Estate Commission may accept wedding gifts and a bridal shower from persons or businesses that do business with, are regulated by, are seeking grants from, are involved in litigation against, or are lobbying or attempting to influence the actions of the Kentucky Real Estate Commission, provided the gifts and bridal shower are reasonable in value.

Engaging in health and wellness ventures in partnership with First Onsite clinics or not-for-profit organizations would not be considered an “endorsement” by the Department of Employee Insurance and other health and wellness activities so long as the partnering follows certain guidelines and it provides a benefit to the Commonwealth. Further, if permitted by the contractual terms of the contract, First Onsite may, on its own initiative, facilitate a mobile mammography unit, health screening services and other health and wellness ventures.

The Director of Research and Statistics in the Office of Employment and Training, Workforce Development Cabinet, may receive an honorarium and travel expenses for making presentations to out of state agencies on his own time, so long as he makes a clear distinction between his official position and his private interest.

The inclusion of an individual in a will is not within the definition of “gift” until an individual is deceased, and thus the children of employees of a veterans center are not prohibited by the Executive Branch code of Ethics from inclusion in a resident’s will. However, the Kentucky Department of Veterans’ Affairs should consider the consequences of such inclusion and adopt internal policies to address the matter.

A former Commissioner of Parks may provide volunteer service for the Kentucky State Park Foundation and accept reimbursement for expenditures made on behalf of the Foundation, including mileage while traveling on behalf of Foundation efforts. He also may participate in fund-raising activities on behalf of the Foundation.

A conflict of interest will not exist for the Transportation Secretary to have an ownership interest in property adjacent or near to a priority road project when the ownership interest predates the identification of the road project as a priority and the Secretary abstains, in writing, from any future decisions that could affect the property in question that have not been addressed in the six year plan.

A Transportation Cabinet staff attorney and EEO compliance officer may serve as board member representatives, as part of their official duties for the Cabinet, on a non-profit community land trust.

The Department for Employee Insurance in the Personnel Cabinet may accept written brochures and speakers for its wellness programs from pharmaceutical companies provided the brochures and speakers do not advertise or mention specific drugs or companies.

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An administrative coordinator for the Department of Corrections responsible for oversight of the Recovery Kentucky facilities and prison/jail substance abuse programs cannot serve as a member of the statewide Board of Directors for People Advocating Recovery.

An officer for the Kentucky Board of Respiratory Care may serve as an officer for a professional organization for respiratory therapists, however, a conflict of interest will arise every time a matter affecting the professional organization or the regulation of its members is before the Kentucky Board of Respiratory Care. Executive Order 2008-454 requires the member to publicly disclose each and every conflict of interest and abstain in decisions relating to the conflict.

A state agency is not prohibited from offering a discount on lodging in state parks to businesses, including vendors of the agency, so long as the businesses are evaluated according to standard criteria and treated equally.

An employee's volunteer activity does not present a conflict of interest with his official duty, as long as the employee makes a clear distinction between his official duty and his volunteer activity.

The Executive Director of a state board may not be involved in the RFP and bid selection process when the Executive Director's adult children are associated with one of the potential bidder's companies as independent contractors.

A mine inspector may accept short-term employment with a coal company in order to gain retirement and health care benefits as long as he has no involvement with the coal company in his state position, he does not perform any work for the coal company on state time, and such employment does not interfere in any way with his job duties.

The Chairman of the Public Service Commission may actively practice law if he does not represent clients regulated by the Public Service Commission, subject to the approval of his appointing authority. A period of six months is a reasonable period of time for the Chairman of the Public Service Commission to abstain in a matter pending before the Public Service Commission in which the Chairman formerly represented one of the parties in the matter, and in a matter in which his former law firm represents a party. However, the agency may require the Chairman to abstain for a longer period of time. The Chairman of the Public Service Commission my serve on boards of certain charitable and civic organizations that are not regulated by the Public Service Commission.

With limitations and the approval of his appointing authority, the Vice Chairman of the Public Service Commission may actively practice law, serve as a Bankruptcy Trustee, and remain an equity partner in a law firm in an "as counsel" role. A period of six months is a reasonable period of time for the Vice Chairman of the Public Service Commission to abstain in a matter pending before the Public Service Commission in which the Vice Chairman formerly represented one of the parties, but the agency may require abstention for a longer period of time. A Vice Chairman who was a former member of the Sierra Club is not required to abstain in cases in which the Sierra Club intervenes as a party.

A conflict of interest exists when a member of the Kentucky Real Estate Commission owns a real estate school. Executive Order 2008-454 requires the member to publicly disclose the ownership interest in the real estate school and abstain from decisions concerning his or her interest.

An Administrative Section Supervisor for the Kentucky Law Enforcement Council may administer polygraph tests through her own private company to individuals monitored by Probation and Parole.

Employees of the Kentucky Department of Parks may perform duties and requested tasks for the Kentucky State Park Foundation on state time and utilizing state resources, unless such use of state time and resources becomes abusive or interferes with the employee's regular duties.

Executive Order 2008-454 subjects board members of the Bluegrass State Skills Corporation to the gift provisions of KRS 11A.045, and the request for a blanket gift exception to allow the board members to receive gifts in excess of the statutory limit is denied.

An employee of the Governor's Office may accept tickets to a sporting event from a former employer who has a business relationship with the Governor's Office, as long as the employee pays face value for the tickets.

The Executive Director of the Office of Financial Management for the Kentucky Finance Cabinet may serve as a public issuer representative board member on the Municipal Securities Rulemaking Board.

Members of the Kentucky Board of Auctioneers who are licensed auctioneers may perform activities for or with other licensed auctioneers or for other state entities and get paid for his or her services. However, the board member cannot perform auction activities for the board, and the board member must publicly disclose conflicts of interest that may arise and abstain from all decisions by the board related to those conflicts.

A Division Director who is a licensed attorney but who had no attorney responsibilities for the agency may return to private law practice and immediately begin to represent clients before his former agency, provided that he refrains for a period of one year from participation in matters in which he was directly involved for the last thirty-six (36) months of his state employment.

A Kentucky Vehicle Enforcement Officer may work for an attorney’s office conducting investigations and serving subpoenas only in those matters that don’t pose a conflict with his peace officer position. He should have no involvement in his peace officer position in matters concerning investigations or subpoenas with which he has had involvement as part of his private work, and he should not be involved in investigations and subpoena service in his private work if he has had involvement with such cases as a peace officer.

A landscaping company owned by an employee subject to the Code of Ethics may not provide landscaping and mowing services on a property leased by the employee's agency through a property management company, even though the employee is not a party to the contract between the property management company and the agency for maintenance of the property.

A social worker may not participate in a baby shower or accept baby gifts from foster care families who are part of the social worker's caseload.

No conflict of interest exists for a Director of Administration for the Workers Compensation Funding Commission who also provides instructional services for government finance professionals, because there is no intersection between the official's private interests and the official job duties of the Director of Administration.

Reconsideration of Although a sworn Kentucky Vehicle Enforcement Officer may operate a private limousine service, potential conflicts may exist for the employee. As part of his official duty, the sworn officer should have no involvement in matters regarding his limousine service or any business that competes with his limousine service. He also must ascertain that he does not regulate any of his private clients as a part of his official duty. If it is impossible for him to remove such potential conflicts, he should not operate the limousine service. Kentucky Vehicle Enforcement also may implement in-house policies regarding such outside business operations of employees.

The Executive Director of the Education Professional Standards Board may accept a professional organization's offer to pay for attendance at conference since the Board does not regulate the members of the organization. However, the Board may not accept travel and hotel accommodations from a testing service that the Board selects to administer proficiency tests.

A Chief District Engineer employed by the Transportation Cabinet may accept scholarship from university even if donors are persons or businesses that do business with or are regulated by the Cabinet provided the scholarship selection is made by the university and not by the donors.

Officers employed by the Department of Revenue may serve as ex-officio members of Kentucky Farm Bureau Tax Advisory Committee as long as they are non-compensated and non-voting.

An employee of the Division of Mine Permits within the Department for Natural Resources may participate in volunteer activity for the Salt River Watershed Watch without creating a conflict of interest.

Employee who had involvement with specific clients in previous state employment should abstain for a reasonable period of time before having any involvement in matters pertaining to the same clients.

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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.

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.

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.

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.

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.

Finance and Administration Cabinet may accept donation of scrap yard land from a person with whom it does business because the cost to contain the environmental hazards of the property is greater than the value of the property free of any environmental hazards. As the donated property has no value in its current state, it is not a gift as that term is defined in KRS Chapter 11A.

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.

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.

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.

A Commonwealth’s Attorney may lease a building he privately owns to the state for use as his own official state office space so long as he has no involvement in the actual selection process. This is based on the fact that the lease would not be with his own agency, but rather with the Commonwealth as administered by the Finance and Administration Cabinet.

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.

It is permissible for a candidate’s website to link to and/or display information from governmental websites that are themselves available to the general public.

Review of Nepotism under the Executive Branch Code of Ethics (Amends Advisory Opinion 04-34) In previously issued Advisory Opinion 04-34 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 public 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.

An employee of the Auditor of Public Accounts may develop and market software/services similar to a program developed for the agency as long as it is not part of his job duties with the APA, that he refrains from using his position with the APA to market the program ,that he take great care not to use state time, equipment, resources, or his position to benefit his private endeavor, that he not market his program or services to entities that may be audited by the APA, and that he not market his program or services to vendors of, or persons or businesses that seek to influence the actions of, the APA.

“Contract” or “agreement” as those terms are used in KRS Chapter 11A do not apply to an actual employment relationship.

The Commissioner of the Kentucky Department of Fish and Wildlife Resources may own and operate an environmental consulting business as long as he does not use his official position to give himself an advantage and does not accept clients who have matters involving his agency or are competing with his agency in any way.

A state employee may not work through a temp agency as a temporary employee for another state agency unless the agreement with the temp agency is competitively bid.

Taking a leave of absence from ones regular job duties does not remove conflicts of interest pertaining to the employee’s position.

A Property Valuation Administrator field representative may work privately as an appraiser in his own county if the data collected as a part of his official duty is not used for PVA appraisals. However, an appearance of a conflict may still exist.

A Property Valuation Administrator employee who is also a licensed realtor may accept referral fees as long as he does not have any involvement in the buying, selling, or any type of marketing or recommendation of the property, other than to refer a client to another realtor. The PVA employee should not conduct any such business on state time or property, including cell or other phone calls that relate to said real estate business, nor use the office address of the PVA for any private business correspondence.

An agency may solicit sponsorship for a Kentucky Employees Charitable Campaign event and print co-sponsors names on t-shirts to be distributed as long as neither the agency nor agency employees actively endorse or acknowledge the co-sponsors of the event through a public statement.

A former state employee may communicate with his former state agency on behalf of his current employer regarding implementation of existing contracts or grants awarded by his former agency assuming neither the former state employee nor anyone under his supervision had any involvement with such contracts or grants during the last three years.

Because he is returning to his former profession, the Executive Director for Project Delivery with the Transportation Cabinet is not prohibited, upon retirement, from immediately accepting employment with a consulting firm with which he may have had direct involvement, provided for six months the employee does not work on any matters for the new employer with which he or anyone under his supervision had involvement.

A Property Valuation Administrator is not prohibited from serving on a local board of directors provided the association involved is not seeking to influence decisions of the Office of the PVA, the PVA does not use his office to give an advantage to the association, and the PVA does not engage in any activity that would require registration as a lobbyist.

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.

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Post-employment guidance and clarification for transportation engineer branch manager regarding project with which he had direct involvement.

A Kentucky state agency may co-sponsor a conference with another state that solicits sponsors, and acknowledge such co-sponsorship in conference materials, as long as employees of the Kentucky state agency are not involved in the solicitation of such financial sponsorship from entities that do business with, are regulated by, or are seeking to influence some future action of the agency

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.

(Amends Advisory Opinion 07-25) A Property Valuation Administrator field representative may work privately as an appraiser in his own county if data collected as a part of his official duty is not used for PVA appraisal of a property on which he performs a private appraisal. However, an appearance of a conflict may still exist.

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. The same is true for any rewards points programs attached to the employee's personal credit card. 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.

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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.

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.

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.

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.

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.

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.

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.

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.

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.

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?

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.

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.

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.

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.

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.

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

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.

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.

Reconsidered and Upheld Advisory Opinion 03-37

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.

(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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

A member of the Parole Board may serve as director of 911 communications for local county within limitations.

A spouse of a PVA may serve as a real estate agent within limitations.

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. .

Reconsideration of Advisory Opinion 06-16.

The Commissioner of Agriculture may serve as spokesperson for national company, within limitations.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

Executive branch employees may not perform duties for armories and be compensated by Installation Management Funds.

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.

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.

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.

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.

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.

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.

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.

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.

The Executive Branch Ethics Commission may not investigate violations of or impose penalties for violations of agency in-house policies for unpaid volunteers.

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.

Property tax assessment employees may accept travel expense reimbursement from a professional association which primarily represents PVAs, deputy PVAs and other Revenue Department employees.

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.

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.

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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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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

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.

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.

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.

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.

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.

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.

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.

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.

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.

An employee of Kentucky Educational Television ("KET") may not submit a bid to complete rewiring for a school district for which KET provides services.

A Service Region Administrator should not solicit employees under his direct or indirect supervision for monetary donations.

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.

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.

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.

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.

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.

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.

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.

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.

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.

This opinion number is voided.

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.

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.

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.

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.

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.

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.

Campaign contributions are not required to be reported by executive agency lobbyists as expenditures or financial transactions.

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.

The Attorney General may seek votes for school board candidate, provided the individuals contacted have no interests before the Office of the Attorney General.

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.

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.

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.

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.

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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.

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.

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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.

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.

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A Department of Military Affairs employee must seek approval from the appointing authority of his agency for his outside employment with an airport.

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.

Attorneys employed by the Kentucky Real Estate Commission may be involved in the mediation of cases involving a real estate firm when the attorneys' mothers are associated with the real estate firm as independent contractors, but the attorneys should not be involved in any matters involving either of their mothers, and must disclose such abstention in writing.

An employee of the Kentucky Real Estate Commission may date a real estate licensee, but should abstain from any matters involving the licensee.

An employee who performs a service that is outsourced to a vendor or "privatized" is not prohibited from immediately accepting employment with the vendor procured to provide the service, as long as the employee had no involvement in the decision to privatize or in developing the provisions of the Request for Proposal or contract awarded.

A former state employee who was not an officer as defined in KRS 11A.010(7) may accept employment with any private organization, even one that does business with the agency for which the employee formerly worked. The former employee is not prohibited from representing a new employer before his former state agency, provided the representation pertains to matters with which the former employee had no involvement during the last three years of his state tenure.

An investigation by the Office of the Attorney General of a political opponent of the Attorney General creates a conflict of interest for the Attorney General, and thus, the Office of the Attorney General must remove itself from any involvement regarding the investigation.

An employee who serves as an interpreter in state employment may serve on a state board that will be responsible for licensure of interpreters for the deaf and hard of hearing, provided the employee abstains from involvement in licensure decisions for himself, specifically, and employees in his department.

The Governor, as well as other state officials, should not attempt to influence employment decisions in return for favors when the official has no personal knowledge of the capabilities or qualifications of the individual for whom he is trying to influence a decision. State officials also should abstain from making state government employment recommendations regarding family members or individuals with whom an official has a close, intimate relationship.

Neither the Office of Constituent Services, nor any other function of the Office of the Governor, should send employment recommendations and/or applications to other state agencies based solely on caller's requests. Additionally, the requests of "political contacts" should be handled no differently from any other person that calls for service, regardless of political persuasion.

Vehicle enforcement officers should not void issued uniform citations when requested by another officer. Additionally, vehicle enforcement officers should not request other officers to void any uniform citations. Management within the Division of Vehicle Enforcement should implement policies that include a periodic accounting of all uniform citation numbers and follow-up on any citations that have been voided.

A state employee may serve in an appointed position on a city police advisory commission, provided the employee ascertains that there is no conflict with KRS 61.080.

An employee of the Department of Insurance may accept payment for travel expenses from an international association of insurance fraud agencies because it appears that the organization has as its primary purpose the representation of the interests of state and federal regulators, rather than those of insurance companies.

An interpreter relations coordinator for the Kentucky Commission on Deaf and Hard of Hearing may work as a freelance interpreter immediately upon resignation, provided the employee does not use his current position to give himself an advantage in his post-employment activities. A former employee is not prohibited from using general knowledge gained in the interpretation coordination area in any private endeavor, but should not use any specific knowledge that is not available the general public, such as a list of names of interpreters, unless such a list can be obtained elsewhere.

Regulatory boards may hire inspectors who are employed in the profession they regulate, provided the Executive Director (or Administrator) of the board inspects the businesses owned by or employing the inspectors. Additionally, inspectors may be employed as instructors by a school that trains students in the profession only if the course instruction does not require specific approval by the board.

A board member's service creates a potential conflict with his private employment in light of the fact that the board member works privately for an agency that receives grant funds from the board. However, the board member is not subject to the jurisdiction of the Executive Branch Code of Ethics.

The practice of the Racing Commission giving "pins" to individuals that allow free admission to racetracks, including the Derby, creates a conflict of interest for the Racing Commission in the conduct of its duties. Because of this practice, racetracks may feel pressure to allow such a gratuity and the Racing Commission would be aware of any tracks that decline to allow such free admission. Additionally, employees of the Racing Commission are prohibited from accepting any gift or gratuity with a value of over $25, including track admission, from a racetrack regulated by the Racing Commission.

An employee traveling on state business who is "bumped" from an air flight may accept a ticket for future use from the airline. The ticket is not considered a gift because the employee is being compensated for his inconvenience.

This opinion number has been voided.

Individuals employed by the Department of Education through Memorandums of Agreement are, in substance, public servants subject to the code of ethics. Such employees may not accept compensation for educational services provided on their own time if it is a part of their official duties to provide such services, but may accept compensation for services provided on their own time if management has determined that it is not part of the employee's official duty to provide the service.

A forensic anthropologist employed by the Kentucky State Medical Examiner's Office may use his job title for identification purposes in the marketing of an autobiographical book because such identification will not give an advantage to the employee.

State agencies may use state funds and equipment for lobbying purposes if such lobbying is supportive of carrying out the statutory mission of the agency.

The Kentucky Commission on Women may post views related to its statutory mission on its listserv and may also take stands on legislation related to its statutory mission, but only so far as such communication does not give an appearance to the public of partisan, political activity not directly related to it mission.

Vocational rehabilitation counselors may accept a tuition-free course from a sate university because the counselors are not involved in matters directly affecting the university and thus an appearance of impropriety will not be created.

A correctional institution should not contract with the child of the warden of the institution to provide dental services to the institution, because compliance with the ethics requirements, for the warden, would be impractical and the appearance of impropriety unavoidable.

A Deputy Commissioner of Medicaid Services may work on matters that impact the comprehensive care system universally, including the one where he is employed, provided he does not use his position to give any comprehensive care center an advantage over other providers

The Commission believes that the Department may accept four tickets for admission to attend the ICC’s convention in July 2003, so long as all ICC members receive the same benefit.

An employee of the Cabinet for Families and Children may provide services for a regional mental health entity on a contractual basis, provided he has no involvement with the entity as part of his official position.

Employees of the Revenue Cabinet may solicit donations from regulated entities for the benefit of KECC. However, the Revenue Cabinet should not publicly acknowledge a corporate donor to the KECC effort. A private book vendor may be allowed on state property to conduct a book sale to benefit KECC, but only if all profits are given to KECC, and not just a percentage.

An employee of the Cabinet for Families and Children may retain his outside employment, provided the employee has no involvement, as part of his official duty, with the entity for which he works privately.

the Commission grants prior approval for the Department’s deputy commissioner to accept additional compensation for performance of work consistent with his official duties if the deputy commissioner spends time over and above his normal hours performing work for the archery program and is not paid or allowed compensatory time by the Department. The additional compensation should not exceed a fair market value for such service.

The decision as to whether an employee should use personal leave time for his service on a state university board of regents should be left to the discretion of his management, provided it is within Personnel Cabinet policies.

An employee of the Kentucky Heritage Council may serve as a member of the Board of Trustees for a private school, provided the employee has no involvement with the school as part of his official position.

A conflict of interest will exist if individuals who apply for grants from the Justice Cabinet also serve as peer reviewers of grant applications unless the applications they review are from entities with which they do not compete for grant monies.

An employee may perform pre-sentence investigative services in addition to his state job, but he must ensure no conflict of interest exists with his official position.

A state employee may not own more than a 5% interest in a group home that receives referrals through an agreement with his state agency, but may own more than a 5% interest of a group home that receives referrals through an agreement with a state agency other than the state agency for which the employee works, provided he complies with the provisions of KRS 45A.340, the Model Procurement Code.

The decision to allow correctional facility employees to take, free of charge, compost and firewood from the cleared facility land is a management decision, provided such a decision complies with applicable statutes and regulations regarding the disposal of surplus property.

A state employee may not discuss with management the performance of contractors with whom he holds a private partnership. Additionally, an appearance of impropriety may exist even if the employee abstains from any official involvement regarding the contractors.

The Kentucky Youth Challenge Foundation may accept donations of items toiletry items from Sam’s Club for the benefit of the Bluegrass Challenge Academy. However, if the Bluegrass Challenge Academy accepts such items from the Foundation, the Department should no longer consider Sam’s Club and Wal-Mart as vendors in the future if employees involved in procurement for the agency are aware of the ultimate source of the donations.

A state agency’s procedures for assigning motor pool vehicles to field inspectors does not fall under the jurisdiction of the Executive Branch Code of Ethics, but the Executive Branch Ethics Commission believes the agency should ensure that a policy is in place for assignment of vehicles so that favoritism and impropriety are not created or perceived.

Reconsideration of Advisory Opinion 96-31 – Due to steps taken by the Governmental Services Center to alleviate inherent conflicts of interest, the decision as to whether Governmental Services Center employees who have responsibilities in the Certified Manager Program may be eligible for the Educational Achievement Award upon successful completion of the Certified Public Manager Program is one that should be made by Governmental Services Center management.

A violation of KRS Chapter 11A would exist for an employee if a law firm owned in part by the employee’s spouse contracted with the employee’s agency.

A state employee may use data from the agency by which he is employed for completion of a research paper because the analysis of the information obtained is part of the employee’s official duties, and the information is available to the general public.

A state agency may allow its name to be used in advertisements for a benefit concert, the proceeds of which will benefit youthful offenders housed by the state agency, because the use of the agency’s name will not give the performer an advantage.

A state employee may engage in outside self-employment for compensation to provide speaking services on Medicaid eligibility, provided he does not provide services for persons or entities that are Medicaid recipients, who are seeking Medicaid eligibility, or who are under investigation by the Office of Inspector General within the agency.

A forensic anthropologist employed by the Sate Medical examiner’s Office may accept an advance from a publisher for writing his memoirs.

The post-employment provisions in KRS Chapter 11A do not apply if an employee transfers to another executive branch agency.

Relatives of park employees may sell products to a park gift shop, provided the employees abstain from any purchasing discussions, recommendations and decisions.

An employee may accept a trip won at a nutrition conference if the conference, and the door prize, was open to the public, and the drawing was truly random.

An employee may accept post-employment with a federal agency which maintains facilities the employee inspects as part of his official duty, provided the employee does not use his current position to give the federal agency an advantage.

Individuals who volunteer their services to state government are not subject to the Executive Branch Code of Ethics, however potential conflicts may exist and agency policies should be established to eliminate potential conflicts for volunteers.

Employees should not be required to provide confidential information to non-employees who may have private conflicts with an agency if the confidential information could lead to the furtherance of the non-employee’s economic interests.

The Commission authorizes an exception to KRS 11A.045(1) to allow the outgoing Commissioner of Agriculture to accept a plaque exceeding the $25 gift limit from a university that submits grant requests to the Department of Agriculture. Although the university does seek grants from the Department from time to time, because of the nature of the award, and because the Commissioner is nearing the end of his tenure, the Commission believes acceptance of the plaque by the Commissioner would not create an appearance of impropriety.

A medical director is not prohibited from having outside employment with nursing homes or hospitals in addition to his state employment, provided such employment does not pose a conflicts of interest with his employment for the Eastern Kentucky Veterans Center.

The Department for Veteran’s Affairs should not accept a donation from a person or business that is seeking the Department’s business. Additionally, the Department should notify persons or business in advance of acceptance of a donation that such acceptance by the Department might affect the Department’s ability to consider the person or business as a vendor in the future.

A company employing an individual to perform as a professional services vendor for an agency is not prohibited by the code of ethics from responding to a competitive solicitation that the professional services vendor prepares. However, the Commission recommends that agency management comply with the Model Procurement Code in deciding whether to allow a professional services vendor to be involved in the preparation of competitive solicitations to which the company employing him may respond.

An employee of the Cabinet for Health Services may serve on an advisory board partially funded by a pharmaceutical company, but may not accept travel and related expenses from the pharmaceutical company.

An employee of the Department for Technical Education may not accept travel expenses to attend an advisory council meeting sponsored by an organization that does business with the Department.

State employees may contract with and sell products to the Appalachian Kentucky Gateway Artisan Center Authority provided they are not employed by the Authority and provided they comply with the Model Procurement Code.

A former public servant may represent a local governmental agency before the state in a matter in which he had been directly involved because the local government is not a person or business as defined by the ethics code.

Pharmaceutical manufacturer employees must register as lobbyists if they are attempting to influence decisions of the Pharmacy and Therapeutics advisory committee concerning recommendations for drug approvals.

A contract physicians group that provides the only primary care physician services to a state correctional institution may refer inmate patients to the closest local hospital where the same physicians group is the sole emergency physician provider, however an appearance of a conflict may exist.

A staff member of the Council on Postsecondary Education should not be involved in matters involving Kentucky State University’s "program of distinction", which has applied to the Agriculture Development Board for grant money, unless the staff member abstains from any involvement in the Kentucky Shrimp Grower’s grant application to the Agricultural Development Board.

Employees of the Kentucky Community and Technical College System who serve as instructors at prisons through a contract with the Department of Corrections are not employees of the Department and thus are not subject to the Executive Branch Code of Ethics. Employees of the Department of Corrections may not work part-time during off-duty hours for the Kentucky Community and Technical College System as instructors at prisons since they would be "enjoying" a part of a contract between the Department and the Kentucky Community and Technical College System.

The Kentucky Law Enforcement Memorial Foundation, the membership of which is comprised of many employees of the Department of Criminal Justice Training, may allow businesses to sponsor a golf scramble to benefit families of fallen officers provided state employees do not solicit businesses that do business with the Department for Criminal Justice Training.

An education consultant employed by the Kentucky Board of Nursing may not accept employment with a college or university whose baccalaureate nursing program is regulated by the Kentucky Board of Nursing, even though the employee will be teaching in the post-licensure or graduate program.

An employee of the Division of Waste Management may not solicit funds from cities of the Commonwealth and nonprofit associations if the city, or membership of the association, is regulated by the Natural Resources and Environmental Cabinet, but the employee may solicit the federal PRIDE program in support of the agency’s recycling program.

A state agency may not write a letter of support for an entity seeking grant monies, but a state official may do so personally if the letter will not be sent to persons or businesses regulated by, doing business with, or seeking to influence the official’s state agency. A state agency may write a letter in support of establishing a Court Appointed Special Advocate Program in the county where the local state agency office is located.

A state employee may not deliver a presentation at a document management session of the Kentucky Forum, coordinated by Government Technology magazine, if the presentation will give the appearance that the employee is endorsing a product or the company sponsoring the presentation.

A state employee may not teach mine-safety classes for coal companies off-site and at times other than normal working hours if it is part of the employees official duty to provide such training.

The assistant director of the Kentucky Board of Licensure for Processional Engineers and Land Surveyors should not serve on the board of the Kentucky Association of Professional Land Surveyors, but may be a member. Members of the Kentucky Board of Licensure for Professional Engineers and Land Surveyors are not considered public servants subject to the Executive Branch Code of Ethics.

An employee of the Cabinet for Economic Development may not owns more that a 5% interest in a company that has receives or will receive economic incentives from the Cabinet.

A state employee may provide surveying services for a property owner who is a principal in a company whose work employee the employee has reviewed, but the employee should wait a minimum of six months following involvement with the company as part of the employee’s official duty before providing private services to the property owner. The employee also should abstain, for a minimum of six months following completion of private service for the property owner, from any involvement in matters pertaining to the company of which the property owner is a principal.

A state agency may have a partnership with a private company for promotion or endorsement of a program if the promotion will benefit the entire Commonwealth and it will be open to any entity wishing to partner with the state. A state agency is not prohibited from soliciting donations for state-sponsored programs provided the agency does not regulate or do business with entities solicited, but the employees acting as representatives of their agencies should take great care not to reflect that they are endorsing or promoting a specific product or company. State agencies generally should not co-sponsor ads with corporations or provide links to private web sites on a state agency’s homepage. State agencies should not actively endorse or promote specific products or companies when no corresponding public benefit to the Commonwealth or to the state’s economic development will occur.

A state agency may not host, on state property, a fund-raising event in conjunction with a private company to generate funds for the agency’s employee recognition program.

A state employee may not provide typing services for a sex offender evaluation provider who is approved by the sate board for which the employee serves as secretary.

A principal assistant in the Department of Agriculture may not serve as a member and/or chair of a local area development district if the employee is considered a "state Officer" or a "deputy state officer."

A state employee may accept outside employment with a business that is registered to lobby the executive branch agency where the employee is employed, but an appearance of a conflict may exist even if the employee has no involvement in decision-making responsibilities for the agency.

An auditor is not prohibited from hiring a computer expert to install computer equipment for a personal computer even though the computer expert works for a corporation that owns facilities the auditor is reviewing, provided the auditor pay the computer expert a fair wage and provided the auditor not use official position to get an advantage.

A former director of the Division of Pupil Transportation may not accept employment, within six-months of his termination, with a school bus company if the director had direct involvement with the school bus company, or with a local school district under the Division’s regulatory control regarding the school bus company, as a part of his official duties. The former director may accept employment, immediately upon termination, with a local school district.

The Commissioner of Agriculture may not solicit funds on behalf of the National Association of Departments of Agriculture from entities the Department of Agriculture may directly or indirectly regulate or with which it does business. However, because the National Association of Departments of Agriculture promotes the interests of the Department, the Commissioner may allow the Association to use his name as an endorsement in the association’s solicitation of such entities.

Members of the Kentucky Arts Council are not public servants subject to the executive branch code of ethics. However, to avoid any public perception of impropriety, an individual serving on the Arts Council who also serves as an artist in residence should abstain from any Arts Council action involving the "artist in residence" program. The Council member should also be aware that an appearance of impropriety might exist.

The Executive Director of the Kentucky Real Estate Appraisers Board may serve on a standards setting board and accept compensation and travel expense reimbursement from the standards setting board.

This opinion number has been voided.

An employee of the Department of Public Advocacy may not accept a door prize from a vendor at its annual convention because the drawing for the door prize is not open to the public.

The Department of Fish and Wildlife Resources may partner with various private companies in the promotion of activities, events and programs beneficial to the agency and the Commonwealth, and may reflect such a partnership through a plaque or marker, but may not actively endorse the private entity. Entities solicited by the Department should have no business or regulatory relationship with the Department, and should not be seeking to influence the Department in any way.

The Commissioner of the Department for Juvenile Justice may accept a teaching position with Eastern Kentucky University, College of Criminal Justice and Safety even though the Department contracts with the university for research and administrative services of the Kentucky Collaborative for State Agency Children.

The General Counsel for the Kentucky Real Estate Commission may not teach a pre-license course for the Jefferson County Adult Education program because approval by the Real Estate Commission is required to provide the class.

The Executive Director of the Kentucky State Board of Accountancy may accept, upon retirement, reimbursement from the American Institute of Certified Public Accountants for travel expenses incurred as a volunteer member of the Board of Examiners. However, the Executive Director may not accept, upon retirement, reimbursement of travel expenses from the Kentucky State Board of Accountancy.

This Advisory Opinion has been VOIDED by Advisory Opinion 21-08 issued on May 19, 2021. A newly appointed member of he Kentucky Board of Education may not provide a professional development session for the Southeast South Central Co-op, the agreement which was made prior to the member's appointment to the Board, unless severing the agreement will result in an undue burden.

Although the employee may not be required to obtain approval for his outside consulting, he still must ascertain that no conflict of interest exists between his private consulting business and his official position with the Department. Thus, the employee should not serve, in substance, as the administrator and representative before the Cabinet for the long-term care facility while still in the employ of the Department. The employee is not prohibited from post-employment with the long-term care facility.

An employee should not solicit manufacturers of computer equipment for demonstration equipment to be used at a professional organization’s annual conference when the manufacturer indirectly seeks to do business with the employee’s agency. The state agency is not prohibited from purchasing discounted computer equipment offered as a result of being used as demonstration equipment, provided the discount is available to any customer that wishes to purchase the equipment.

An employee who has indirect, but no direct, authority over plumbing inspectors employed by the same state agency may rent a room from an inspector so long as fair market value is paid by the employee.

The administrator and/or executive director of the Kentucky Board of Respiratory Care may not serve as a lobbyist or in any policy-making position for a national or state professional organization. Additionally, the Board of Respiratory Care’s administrator and/or its executive director should not work as a respiratory therapist in Kentucky.

A public servant may solicit funds from businesses, on behalf of a non-profit association, provided the businesses do not do business with and are not regulated by the state agency for which the public servant works.

A state social worker is not prohibited from providing custody evaluations for a family court, but the social worker’s appointing authority should consider the potential for conflict before approving such self-employment.

The Commissioner of the Department of Financial Institutions should not promote membership in a national industry trade organization to those entities over which the Department has regulatory authority, such as banks. However, the Commissioner may allow the trade association to use the Commissioner’s endorsement in the trade association’s solicitation of such entities.

The state budget director also may serve as the interim president of the University of Louisville, provided his service does not conflict with his state employment duties. He should abstain from involvement in state budgetary matters involving the University and should give strong consideration to abstaining from involvement in state budgetary matters for other state-funded universities. Additionally, he should not appear before the Office of State Budget on behalf of the University, nor should her testify before any public agency on behalf of the University.

A former director may not accept a position with a company that will involve fulfillment of a contract with the state agency by which the director was formerly employed.

A state agency may not allow a private dermatology practice to have a booth at the agency’s human resources fair to perform skin screenings for cancerous or pre-cancerous conditions unless the booth space is available for any practice that wishes to provide such a service.

The Office of Women’s Physical and Mental Health may not accept gifts, including in-kind contributions, from corporations or other entities regulated directly or indirectly by the Cabinet for Health Services.

An employee should abstain from any involvement in the monitoring and regulation of a DUI program for which the employee’s brother provides classes, and the employee should disclose such abstention in writing.

A former Commissioner may not immediately accept employment with an entity that does business with the state agency by which the Commissioner was formerly employed, but must wait six months, unless the entity is a political subdivision.

A state employee may represent an internet research company and make sales calls on state agencies, provided the employee owns less than 5% of the company, provided he does not represent the company before the state agency for which he works, and provided he does not use or attempt to use his official position to give himself financial gain or an advantage.

The question as to whether a private board member may serve on a state licensure board committee is not under the jurisdiction of the Executive Branch Ethics Commission. However, the Board should consider the impact that placing such persons on committees might have on the public confidence of the integrity of the Board.

The Administrator for the Board of Barbering may not be employed by a barbershop or a barber school.

A former employee may immediately accept employment with a subcontractor of a transportation service company with which he had direct involvement during his state tenure, but for one year should not lobby on behalf of or represent the company in matters in which he was directly involved.

A state employee may not accept a door prize from an exhibitor at an event not open the general public unless the door prize has a value of less than $25.

A craftsperson who is also an employee of the Department of Parks may not sell wares at the Park or refer customers to his private business.

An employe who is employed through a contract with a comprehensive care program also may serve as the Deputy Commissioner for the Department for Medicaid Services, provided the employee has no involvement in matters relating to the comprehensive care program as part of his official duties.

A non-profit entity may contribute in the form of a hospitality room, or money to defray expenses, for a training conference for victim’s advocates hosted by the Office of the Attorney General assuming that no vendor or entity regulated by the Office of the Attorney General has control of or participates in the management of the non-profit entity.

A greens superintendent may be compensated for preparation time for a golf course maintenance course taught at the state park, but if the course instruction is considered a part of the employee’s official duties, the compensation should be provided to the employee by the park.

State colleges, state universities, and political subdivisions are not considered "persons" or "businesses" as defined by the Executive Branch Code of Ethics.

The Commission authorizes an exception to KRS 11A.045(1) to allow the Department of Employment Services to accept Internet service from South Central Rural Telephone for a one day Farm Family Education Expo. Although the Department for employment Serivces regulates South Central Rural Telephone within its unemployment insurance program, the Department may accept the Internet service for the one-day event that will benefit the people of the Commonwealth, provided the telephone company is not seeking to influence the Department concerning any regulatory matters.

The Commission authorizes an exception to KRS 11A.045(1) to allow the Finance and Administration Cabinet to accept the BioMail Solutions Detection System equipment from a corporation that it does business with in exchange for the corporation's ability to test the equipment. Although the Cabinet does business with the corporation, the Cabinet may accept the testing equipment with the expectation that no advantage be allowed by the Finance and Administration Cabinet now or in the future with regard to bidding on this type of equipment, and maintenance of equipment or related mail processing equipment, and on the basis that it provides a substantive security benefit to the people of the Commonwealth.

The Commission authorizes an exception to KRS 11A.045(1) to allow the State Fire Marshal's Office, Department of Housing, Buildings, and Construction to accept free training and code materials for the National Fire Protection Association. Although the Commission believes that Department employees may accept free training from the NFPA, provided others attending the training are not charged a fee (See Advisory Opinion 00-63), the law does not allow the Department to accept free code books from the NFPA if the value of the books exceeds $25, unless an appearance of impropriety does not exist. The Commission believes that in this situation the acceptance of the code books by the Department from the NFPA would not create an appearance of impropriety.

For purposes of addressing the digital divide, vendors of the Governor’s Office of Technology are not prohibited from offering discounts to state employees who wish to purchase computer products, provided the discounts are offered to employees of all state agencies and are not limited to a select group or a particular agency, and provided the vendor offers a reasonably consistent discount to its other customers’ employees. Employees involved in the selection of computer products, as part of their official duties, should not accept the offer.

Because an article written by an employee of Kentucky Educational Television for a trade publication reflects that it is promoting the sale and use of a product, Kentucky Education Television should not allow the company that produces the product to distribute the article to its customers and at trade shows. Kentucky Educational Television should not reflect that it is promoting or advertising a specific company through the use of the article. Additionally, if an employee writes an article for publication endorsing a product, he should not identify his title or the name of the state agency for which he works.

The Lieutenant Governor may promote the distribution of the Emergency Medical Services files project through a local television public service announcement, but only if such an announcement is not associated with any of the sponsors of the project. He should not promote or endorse any companies or organizations sponsoring the project.

A deputy state fire marshal is not prohibited from serving a the fire chief of a local fire department provided the positions are compatible pursuant to KRS 61.080.

This Number Voided

An employee of the Economic Development Cabinet may market an alliance building program similar to one he helped develop for Kentucky to companies located outside of Kentucky provided the companies have no locations in Kentucky.

An inspector may accept an one-day employment with a coal company and attend training in order to benefit his retirement plan provided he has no responsibilities in regulating the coal company as part of his official duty.

A conflict of interest will not exist for a mine inspector if his spouse has an agreement with a coal company provided the mine inspector has no involvement with the coal company as part of his official duty.

A former deputy commissioner for the Department of Medicaid Services may serve as a consultant for the Department.

Because state regulations require the Department of Housing, Buildings, and Construction use examinations of a specific vendor, employees may accept travel expense reimbursement for service as board or committee member from the entity the agency is required to contract with for the purpose of administering the examinations. This opinion reverses Advisory Opinion 00-52

This opinion reverses Advisory Opinion 99-41 and concludes that the departments within the Workforce Development Cabinet are considered separate state agencies for purposes of the Executive Branch Code of Ethics.

A conflict of interest will not exist if an employee of the Department of Corrections accepts outside employment as a deputy jailer with a detention center because the employee has no involvement with the Department’s decisions concerning the detention center.

Members of the Agricultural Development Board are not subject to the Executive Branch Code of Ethics however, they are subject to any internal ethics policy developed by the Board itself.

Employees private business of repairing and selling computers creates a conflict in light of the employee’s official duties involving procurement.

An employee may not have a compensation agreement to receive a portion of the proceeds of fuel sold with a company that he inspects as part of his official duty.

A facility within the Health Services Cabinet may employ the services of a psychologist who is employed full-time by another executive branch agency; however, the psychologist must recuse himself from approving behavior plans of the facility’s residents.

A potential conflict of interest exists if a division director has the responsibility to regulate cellular antenna towers and he also owns land that he leases to a cellular telephone provider.

An agency may give game prizes, such as gift certificates, attachés, and t-shirts to its employees for participation in a contest if such expenditures are allowable by the Finance and Administration Cabinet. Such prizes are not considered additional compensation for performance of one’s official duties.

Kentucky Correctional Industries may accept keyboards from the National Braille Association to use at the Kentucky Correctional Institute for Women in the translating of children’s textbooks from English to Braille.

A Department of Education employee may not accept transportation, lodging, and certain entertainment expenses from a vendor to certain local school districts for "flex" account services that wishes to recognize the employee.

An employee of the Department of Corrections may not place candy machines in the workplace in order to raise money for charity.

An employee of the Council on Postsecondary Education may serve on the board of trustees of a private college, provided the employee is not involved in the licensing of the institution and provided the institution does not participate in programs under the employee’s supervision.

The Department of Housing, Buildings, and Construction may accept booth space for the purpose of dissemination of information from an association whose members may be regulated by the Department.

An assignment of an Unemployment Insurance Commission Appeals Referee to conduct hearings for the Appeals Branch of the Division of Unemployment Insurance does not create a conflict of interest under KRS Chapter 11A, provided the Unemployment Insurance Commission Appeals referee does not review the hearings he conducts.

Employee organizations may provide lunch and gratuities to state employees in a non-work area of a state office building.

A state-employed physician may accept gifts of only up to a value of $25 from a pharmaceutical company if the pharmaceutical company is regulated by, lobbying or attempting to influence the actions of the executive branch state agency employing the physician.

A student legislative coordinator foe a student government association a Kentucky public university may serve as a student member on the Council on Postsecondary Education provided he is not engaged in lobbying activity.

This opinion number has been voided.

The Commissioner of the Department of Workers Claims should not continue to serve as the President of a non-profit corporation if a perception of a conflict exists.

(Reconsideration of Advisory Opinion 01-30) Although an actual conflict may not exist, the law prohibits the Executive Director of a Board from accepting travel expense reimbursement from an association which purpose is to represent individuals regulated by the Board. Thus, the Commission upholds its original opinion.

Commissioner may send letter to other state officials encouraging them to donate surplus computer equipment to nonprofit organization.

The Director of Boards and Commission’s spouse may be affiliated with a real estate firm owned, in part, by a Real Estate Commission member, provided the Director abstains from involvement in the appointment of the Real Estate Commission member.

The Executive Director of the Capital Plaza Operations may serve on the local tourism and convention commission.

A driver license examiner employed by the Kentucky State Police may teach a driver education program for a community college, provided he is compensated by the community college and the compensation is not based on the number of students taking the class.

A polygraph examiner employed by the Kentucky State Police may conduct polygraph examinations for other law enforcement agencies, provided he does not receive compensation directly from the individuals whom he tests.

A health program administrator may provide private supervision for certified social workers, but in order to avoid an appearance of a conflict, should abstain from involvement in site reviews of facilities that employ certified social workers the employee is supervising privately.

A former Commissioner of Medicaid may represent a university before the legislature and executive branch.

Employees of the Public Service Commission may not accept service from AT&T during a testing phase unless a fair value is paid for the service.

A Division of Water employee’s ownership of a car wash that uses water provided and treated by a local treatment plant does not present a conflict of interest unless the car wash is regulated by a utility under the regulation of the Division of Water.

A deputy commissioner may be employed as an on-line instructor fore the University of Phoenix because the University has no business or regulatory relationship with the Cabinet that could cause a conflict for the deputy commissioner.

An employee of the Division of Forestry may perform contract work for The Nature Conservancy, provided the employee has no direct involvement as part of his official duty with The Nature Conservancy.

A Revenue Cabinet employee may teach a Geographic Information System class at the University of Kentucky if it is not part of the employee’s official duty to provide such a class.

An employee of the Kentucky State Police may be approved for outside employment with a trucking company provided the employee is not involved in the regulation of the trucking company. The appointing authority should review the applicable regulations when deciding whether to approve the outside employment.

The Old Fort Harrod State Park gift shop may purchase items from a local non-profit organization for resale, even if one of the Park’s gift shop employees’ mother is a member of the non-profit group, as long as the employee is not involved with purchasing decisions.

The Commission grants an exception, pursuant to KRS 11A.045 for the Lt. Governor and his spouse to accept customary baby gifts from persons or businesses that may be doing business with, regulated by, or attempting to influence the actions of the Office of the Lt. Governor provided such gifts are reasonable in value. The Commission does not have the authority to exempt the Lt. Governor from the reporting requirements in KRS 11A.050; thus, the Lt. Governor must report any gift he or his wife receives if it has a value of more than $200 and it is not from a family member.

The Commission authorizes an exception to KRS 11A.045(1) for the employees of the Department of Housing, Buildings, and Construction, as well as their state agencies, to attend a child fire safety program training at no cost to their agency as long as other participants attending the training can also attend for no cost. The "Learn not to Burn" program provided by the National Fire Protection Association, NFPA, benefits the people of the commonwealth and results in no profit earned by the organization. Additionally the Commission authorizes an exception to allow the employees, as well as their state agencies, to accept reimbursement from the non profit organization NFPA for costs incurred while attending training such as meals, lodging, etc.

A state park golf professional may privately repair golf clubs for park customers, but he may not refer park customers to himself.

NUMBER VOIDED

An executive branch employee may own stock or other interest in an entity that does business with his employing state agency if he has no direct involvement in matters concerning the entity.

A former principal assistant may return to his former profession as a tax representative and real estate appraiser in appeals of the assessed valuation of parcels of land provided, as part of his official duty, he had no direct involvement with the either the assessment or appeal of the specific parcel of land, and the appeal does not involve subsidized housing matters involving companies with which he was directly involved.

A state agency may award cash prizes to civic groups, religious and charitable organizations, and other nonprofit groups. Advice should also be sought from the Finance and Administration Cabinet on this matter.

An engineer may accept employment with a contractor of his agency immediately upon his resignation; however he should not discuss any future employment options with the contractor while at the same time he is involved in matters regarding the contractor as a part of his official duties. Additionally, for one year he should not represent the contractor before his former state agency in matters in which he was directly involved.

For six months, a former officer may not provide consulting services for state agencies with which he had direct involvement as part of his official duties.

An offender rehabilitation specialist with the Department of Corrections, Division of Mental Health may be self-employed as a sex offender counselor for juvenile and adult offenders as long as his clients are not clients that he or anyone under his official supervision would assess or treat.

An employee whose job includes work as a pilot may seek outside employment as a pilot with an entity that does not do business with the state agency for which the employee works.

An employee of Oakwood may house former residents provided he has no involvement with the residents as part of his official duty for Oakwood. Additionally, neither the employee, nor anyone under his supervision, should refer residents of Oakwood to the employee’s residence for living arrangements.

Upon termination from employment, an acting director must wait six months before obtaining a personal service contract with his former agency. Additionally, the acting director has an affirmative duty to file a statement of financial disclosure.

The spouse of a deputy cabinet secretary may be appointed to a major management position in an agency with the cabinet provided the deputy cabinet secretary has no involvement in the appointment of an applicant to the position and abstains from all matters regarding the state agency by which the spouse is employed.

The Office of the Attorney General may use teddy bears to help facilitate a children’s health care charity program.

A company co-owned by the spouse of a chief district engineer may not subcontract with or perform services for a company that has an agreement with the Transportation Cabinet if such service will fulfill part of the agreement.

The staff of the Kentucky Commission on Human Rights may not solicit entities over which they have regulatory control; however, they may allow a separate entity over which they have no regulatory control to do so.

A new employee may not retain stock with a value of over $10,000 if the stock is in a company that he will regulate as a part of his official duty.

Kentucky State Police employees may accept outside employment to handle facility security and traffic control problems for Kentucky Speedway provided there is no business or regulatory relationship between the Kentucky State Police and Kentucky Speedway. A clear distinction should be made between the employee’s official duty and his private employment.

Kentucky State Police should not allow a motor company to use its insignia for promotional purposes. Kentucky State Police may allow a private organization of retired police officers to arrange for sponsorship of a dinner at an annual conference provided employees are not involved in the solicitation or record-keeping. Additionally, if the dinner is sponsored by a vendor, employees are prohibited from accepting the meal, unless it is included as part of a registration fee, or unless the employee is a speaker or panel participant.

A former executive director may not accept employment with a non-profit child care agency with which he had been involved in contracting as a part of his official duties and which is regulated by the state agency by which he formerly worked, unless the former executive director is returning to his former business or profession.

An employee may own stock or other interest in an entity that is regulated by the employee’s state agency as long as such interest is less than 5%, the interest is purchased through a mutual fund or the employee has no direct involvement with matters concerning the entity of which he owns an interest. Additionally, an employee may own stock or other interest in an entity that does business with the employee’s state agency provided the interest is less than 5%, or it is purchased through a mutual fund.

An employee may not accept a paid, part-time position to lead prevention programs when funding for such programs is provided by the state agency for which the employee works.

An employee of a correctional facility may not contract with a correctional facility to provide services as a ventriloquist for the Department by which he is employed, even though he will be paid through the inmate canteen fund.

The executive director of the Kentucky Authority for Educational Television may accept compensation for service provided to the Kentucky Educational Television Foundation provided such service is in addition to official time spent for state service.

The Attorney General may include a statement reflecting his views on consumer scams in a book written by an investigative reporter, provided such a statement does not reflect that the Attorney General is promoting the sale of the book.

Because an employee of the Department of Housing, Buildings & Construction has no involvement, as part of official duties, in regulating inspectors who are members of a trade organization, he may serve on and be compensated for his service for the trade organization.

An employee of the Department of Corrections is not prohibited from providing consulting services for a company that provides dental services for the agency by which he is employed; however, an appearance of a conflict of interest may still remain.

A horticulture instructor at a youth development center may conduct a landscaping labor program at the facility even though he will be soliciting customers of his private commercial greenhouse to hire residents for labor.

An employee should not represent private clients against the Cabinet for Families and Children in an administrative appeal or in district action.

An employee may lease an apartment at the agency by which he is employed provided the employee is not involved in the supervision of employees who handle the billing or collection of rent from tenants.

The Board of Nursing may accept a computer from the National Council of State Boards of Nursing.

An employee may accept travel expense reimbursement when interviewing for future employment if no employees under his supervisions have any involvement regarding the entity with which he seeks employment, and if no active matters of regulation of the entity are before the agency. Additionally, an employee seeking future employment with a person or business should abstain from all matters before the agency regarding the entity with which he seeks employment.

Employees of the Department of Housing, Buildings and Construction may assist in the development of code books that may be adopted by the Department provided the employees have no involvement in the adoption of the codes as part of their official duties.

Artisans are not permitted to sell their crafts at a state park because their state positions would allow them to receive a financial gain and an advantage over other vendors.

The Director of Intergovernmental Relations within the Office of the Governor is not considered an "officer" because his personnel position is not a position considered an officer and because his duties do not rise to the level of major management.

An employee of the Petroleum Storage Tank Environmental Assurance Fund may return to his former profession as a managing engineer, but for one year should not represent any consultant before the Fund in matters in which he was directly involved during the last three years of his employment.

The Division of Forestry may accept a grant for a hardwood management project from a private, nonprofit, international tree-planting foundation.

Former employees who are working under personal service contracts, and who are not considered officers, must wait one year from their retirement dates before thEY lobby or represent individuals before their former state agencies.

An employee who monitors local investment areas for compliance with the Workforce Investment Act may not have outside employment to provide training with a local investment area if the local investment area will be inspected by the agency for which the employee works.

(REPLACING 00-28): An employee of the Cabinet for Health Services may represent private clients against the Cabinet for Families and Children in an administrative appeal or in district action.

Property Valuation Administrators are not subject to local codes of ethics and are not required to file a statement of financial disclosure with the local entity; however, they are required to file a statement of financial disclosure with the Executive Branch Ethics Commission.

An employee may accept a book and software package won at a conference from a vendor provided the conference and the contest were open to the public. However, the employee should have no involvement with the vendor as a part of his official duty.

Employees of the Kentucky Department of Education should not serve as officers or on the Board of the Kentucky Science Teachers Association.

The Commission believes that as long as the chief information officer has no involvement with the VINE Company as part of his official duty, he may serve on the board of directors of the Mary Byron Foundation. The chief information officer should disclose, in writing, his intention to abstain from matters involving the VINE Company, and matters involving specifications for victim notification services, as directed by KRS 11A.020(3) above.

The Office of the Governor may accept cards from Hallmark Cards, Inc. to use in its immunization cards program, provided Hallmark Cards, Inc. is not doing business with or attempting to influence the actions of the Office of the Governor or any agency over which the Governor has authority.

A pharmacist supervisor employed by the Department of Corrections may accept outside employment with the Board of Pharmacy provided that he obtains approval for dual employment, if required.

A plumber inspector for the Department of Housing, Buildings and Construction may have outside employment certifying plumbers if such employment is not with a plumber or a union representing the plumbers. The Executive Branch Ethics Commission may advise an employee to discontinue outside employment where a conflict of interest with his official duties exists, even if such outside employment has been approved by the employee’s appointing authority.

A former employee of the Kentucky State Police may represent his spouse, who also is employed by the Kentucky State Police, before the Personnel Board, provided his involvement in the matter while employed was personal and was not part of his official duties for the Kentucky State Police.

Although an appearance of a conflict may exist, no actual conflict will exist if the spouse of an employee of the Cabinet for Families and Children provides training for Cabinet staff if the spouse receives no compensation for the service.

Employees may accept an incentive bonus in addition to their compensation provided by law if such incentive was authorized through the pilot personnel program.

(AMENDS Advisory Opinion 00-32): Employees of the Department of Housing, Buildings and Construction may assist in the development of building codes which may be adopted by the Department, provided employees are involved in all organizations developing the codes and do not favor one organizations over another.

Employees may accept awards for exceptional service presented by a local committee within the Family Court if award value is less than $25.

Employees may not accept travel expense reimbursement for service as board or committee member from entity with which the agency contracts for the purpose of testing and licensing inspectors.

Even though the Justice Cabinet awards grants to local police departments, Justice Cabinet officials may attend an event hosted by a local police chief if they pay a fair value for the event, but they should consider the effect that their attendance may have on public confidence.

The Commissioner of the Department of Local Government may accept employment with the Kentucky Association of Counties immediately upon his resignation from state government.

Employees of the Office of the Governor may solicit entities for sponsorship of Governor’s Conference on Latin America provided the entities are not doing business with or regulated by the Office of the Governor and are not attempting to influence actions of the Governor. The Governor is considered to have ultimate authority over all executive branch agencies, other than those of other elected officials, and thus he should not solicit any entities doing business with or regulated by any agency under his authority.

An employee does not need to be excluded from serving on a selection committee because of his child’s job search with architectural firms. However, the employee may want to voluntarily abstain from matters on the selection committee that pose a conflict for him. Upon employment of his child by an architectural firm, the employee is prohibited from serving on a selection committee, pursuant to statute.

A former general counsel may accept employment as an attorney with his former state agency within six months of resignation. Additionally, the former general counsel may contract with his former state agency six months after he resigns his officer position as general counsel.

An employee may serve as a consultant for a subsidiary of a company that is an agent for companies regulated by the division for which the employee works, provided the employee has no involvement with the parent company as part of his official duties.

A director in the Department of Education, who also serves as the president-elect for an organization comprised of school administrators, may not accept travel reimbursement from the organization whose members are regulated by the Department of Education.

Although board members are not subject to the Executive Branch Code of Ethics, they should not receive stipends for their service as mentors from the board on which they serve.

Department of Education employees may not accept travel and hotel accommodations from potential vendor.

A public servant may not accept a sporting event ticket that has been allocated and paid for by a vendor unless the public servant pays the vendor the face value of the ticket.

Transportation engineers may attend a seminar provided by an engineering company at no charge if there is no fee charged other participants to attend.

The Deputy State Treasurer’s spouse may serve on a Board administered by the Office of the Stae Treasurer.

A psychiatrist may serve as a forensic psychiatrist in addition to his employment with the Department of Corrections. The psychiatrist should not perform any forensic assessments, however, on any individual he, or anyone under his supervision, has treated as part of his official duties.

A hearing officer contracted by the Kentucky Retirement Systems may complete certain cases even though she has accepted employment with the Kentucky State Police.

A mortgage company examiner is not prohibited from selling real estate, but he should not have any involvement in seeking loans from mortgage companies or brokers that he is scheduled to examine. Additionally, he should not examine mortgage companies or brokers from whom his private clients are seeking, or have sought, a loan.

The clinical director of Western State Hospital, who also operates a small, private medical practice that provides psychological assessments for the Department of Disability Determinations, is not required to obtain approval for his self-employment, but he must ascertain that a conflict on interest does not exist between his official position and his private clients.

NUMBER VOIDED

An executive director of a state licensure board may not accept payment for travel expenses from a professional association that represents persons regulated by the board.

NUMBER VOIDED

A pharmacy inspector employed by the Board of Pharmacy may not hold outside employment with a pharmacy.

NUMBER VOIDED

(Reconsideration of Advisory Opinion 00-59): Because the Department of Education regulates, awards grants to, and may be making decisions that affect the majority of the members of the Kentucky Association of School Administrators, a director within the Department of Education is prohibited from accepting travel expense reimbursement from the Kentucky Association of School Administrators. Thus, the Commission upholds the original opinion.

The Commission authorizes an exception to KRS 11A.045(1) allowing employees of the Workforce Development Cabinet who are not employed by the Department for Employment Services to accept gifts from persons or businesses that are regulated by DES, but that are not doing business with, regulated by or attempting to influence the actions of any other department of the Workforce Development Cabinet

The Commission grants an exception, pursuant to KRS 11A.045 for the Lt. Governor to accept customary wedding gifts from persons or businesses that may be doing business with, regulated by, or attempting to influence the actions of the Office of the Lt. Governor provided such gifts are reasonable in value. The Commission does not have the authority to exempt the Lt. Governor from the reporting requirements in KRS 11A.050; thus, the Lt. Governor must report any gift he or his wife receives if it has a value of more than $200 and it is not from a family member

An employee of the Kentucky State Board of Registration for Professional engineers and Land Surveyors may not present continuing education seminars for compensation to land surveyors who are regulated by the Board for which the employee works.

The Cabinet for Families and Children may co-sponsor Vision 2000 meetings with community partners, within limitations.

An inspector employed by the Board of Barbering may not open private barbing school.

Employees of the Office of the State Treasurer may participate in a public auction held by their agency.

Four employees of the Labor Cabinet may open consulting business and provide services to other state agencies provided they comply with the Model Procurement Code in KRS 45A.340.

A state employee's spouse's representation of a book company before local school boards presents a conflict of interest for employee if spouse is representing the company before schools that the employee assists in matters of instructions and curriculum.

Employees may not use state equipment or state time for personal benefit.

A conflict of interest exists for the Board of Medical Licensure to be staffed by employees who are paid by the Kentucky Medical Association.

The general counsel for a regulatory board is prohibited from present continuing classes to land surveyors regulated by the board.

The name of the Lieutenant Governor may be included in solicitation letters sent for the annual conference of an organization that promotes the interests of the Office of the Lieutenant Governor.

An agricultural veterinarian employed by the Department of Agriculture may operate a small animal emergency clinic after normal working hours.

Members of the Kentucky Statewide Independent Living Council are not subject to the Executive Branch Code of Ethics. Employees of the Department of Vocational Rehabilitation may seek position as executive director of the Kentucky Statewide Independent Living Council.

Because of his direct involvement, a director employed by the Department of Education may not accept a position with the National Study of School Evaluation within six months of his termination unless the director is returning to his former profession.

Employees may accept prize from Kentucky Derby Festival organization because the prize is based solely on skill and is open to other than state employees.

The messenger mail system may be used for the delivery of state employee organization newsletters if management determines that such use is a proper use of state resources.

This opinion number has been voided.

An administrative branch manager may provide assistance from his home and on own time to a postsecondary school formerly under his supervision.

Within six months of leaving state government, a former director may provide consulting work for a subcontractor of a company that contracts with the state agency for which he worked because the work for the subcontractor is not related to the contractor's work for the state agency and also because the subcontractor does not have a contract with the state agency for which the director formerly worked.

An employee of the Department of Corrections, Division of Probation and Parole, may have outside employment with a 911 Board because there is no business or regulatory relationship between Corrections and the 911 Board.

A newspaper of which an agency head owns an interest may not sell an advertisement to the agency which the employee heads.

An individual must register as an executive agency lobbyist if he is lobbying an executive agency decision that will benefit him or his business.

An employee may serve on the board of a private entity that receives funding from the state agency for which the employee works provided the employee has no involvement with the private entity as a part of his official duty.

A director may not accept a trip to a transportation research center from a vendor or potential vendor of his state agency.

An employee may use state resources to inquire regarding rights and responsibilities pursuant to the Americans with Disabilities Act. However, an employee may not use state time and equipment to pursue a grievance.

An employee may volunteer to provide private legal services provided the employee does not use his official position to benefit himself privately.

A Medicaid employee should not include in the credits of a book he has written that he is employed by the Department for Medicaid Services. The employee may serve as a consultant for individuals regarding Medicaid issues provided it is not part of his official duty to provide such information.

A conflict of interest will not exist for an employee if his outside employment involves interviewing persons charged with criminal offenses who were investigated or prosecuted by the state agency for which the employee works provided the employee abstains from involvement as part of his official duty with any person so investigated.

A hearing officer should not be involved, as part of his official duty, in any matters involving his father’s law firm.

A director may not provide training, at a university for compensation, when he is required to provide such training as a part of his official duty.

A conflict of interest does not exist for an employee whose spouse owns more than a $10,000 interest in a bank that is regulated by the division over which the employee is the director provided the employee refrains from involvement in matters pertaining to the bank.

A forest ranger may begin a wildlife consulting business provided he has no direct involvement as a part of his official duty with the private landowners for which he wishes to provide the service.

A state trooper is not prohibited from holding part-time employment as an assistant commonwealth or assistant county attorney in addition to his state employment.

Upon his retirement, a pharmacy technician may accept employment with a pharmacist who holds a contract with the state agency for which the pharmacy technician formerly worked.

Because employees will not be involved in soliciting individuals outside of their state agency, an employee association may use raffles and fundraisers as a way to pay for retirement gifts.

The son of the Governor may develop and market a software package to state universities and county school boards provided the Governor refrains from any involvement in his son’s business and from influencing universities or school boards regarding the software package.

The Department for Criminal Justice Training may participate in fundraising to erect a memorial in honor of those officers who have died in the line of duty provided the employees of the Department do not solicit persons or businesses that do business with the Department.

Photographers, writers and artists for the Department of Fish & Wildlife Resources may have outside employment provided they are not compensated privately for providing information or services to the public when it is a part of their official duties to provide such information or services.

The Executive Director of the Kentucky Wood Products Competitiveness Corporation is not required to register as an executive agency lobbyist because he is an employee of a political subdivision of the Commonwealth.

A chief hearing officer may immediately represent a client before the hearings branch provided the client had no matters before the hearings branch during the past three years.

A member of the Public Advocacy Commission, who also contracts privately with the Department for Public Advocacy, is not subject to the Executive Branch Code of Ethics, and thus may vote on the budget of the Department. However, such action may damage public confidence in the integrity of the Department. Additionally, legislation is proposed to prohibit board and commission members from contracting with the Board or Commission on which they serve.

The departments within the Workforce Development Cabinet are not considered separate state agencies for purposes of the Executive Branch Code of Ethics.

An employee may continue outside employment as director of a nurse's aide training program, provided the employee is not involved in monitoring or auditing businesses which may be in competition with the outside employer and provided the employee's co-workers are not involved in the audit or monitoring of the outside employer.

An employee may serve in the Statewide Independent Living Council provided such service does not conflict with the employee's offical duty.

A nurse employed in a state health care facility may accept outside employment with a private college that will involve clinical instruction at the facility where she is employed by the state, provided she has no involvement as part of her offical duties for the health care facility in negotiating the agreement with the college and provided she does not represent the college before the state health care facility regarding the agreement. The private college recieves no remuneration from the state health care facility.

The Director of the Victims Advocacy Division may remain as a volunteer board member for a local children's advocacy center provided she remove herself, as a part of her offical duty, from any matters involving children's advocacy centers.

A former administrator for the Commission on Fire Protection Personnel Standards and Education may lobby legislators on matters involving the reorganization of the Commission, provided he is not compensated in any way.

Advisory Opinion 99-40 is upheld because the Public Advocacy Commission’s mission and responsibilities appear to be intertwined with the Department for Public Advocacy.

A former employee may accept employment as a consultant for a non-profit corporation to which he provided services as a state employee, but, for one year, may not represent the corporation before his former state agency in matters in which he had direct involvement.

A director may privately employ contract workers employed by the agency for which he works, provided he does not use his official position to give himself an advantage. Contract workers employed by the state to work on special projects, who are not hired through a P-1 employment document, are not considered public servants.

Employees may use the electronic mail system to request sick leave donations if such action is within management policy. Agencies should implement in-house policies to allow reasonable requests, but prevent the abuse of the system.

University employees on loan to a partnership must register as executive agency lobbyists when attempting to influence decisions on behalf of the partnership. Board members and employees of a partnership must register as executive agency lobbyists if attempting to influence decisions regardless as to whether they are paid by the partnership or the company employing the partnership.

Family members of the Kentucky Commission on the Deaf and Hard of Hearing may be included in the agency program that makes referrals of interpreters for state agencies, provided the employees do not use their positions to create an advantage or financial gain for family members.

An employee of the Kentucky Heritage Council may accept a grant from the Renaissance Kentucky program because the employee has no involvement, as part of his official duty, in matters pertaining to the Kentucky Renaissance program or in approval of plans for the improvement of his property.

An employee of the Governor’ Office for Technology may accept outside employment with local clerk’s office.

A state highway engineer's son may solicit employment from firms which do business with the Transportation Cabinet as long as the state engineer refrains from contact regarding his son's employment and abstains from any involvement regarding his son's employer.

The assignment of a training specialist to work for a private company, as part of his official duty, is a management decision and does not appear to violate the Executive Branch Code of Ethics.

An employee may accept a part-time position as a mediator as long as the position does not conflict with the employee's official duty.

An employee may share a home party book with fellow employees during break or lunchtime.

A Finance and Administration employee may provide traffic related services for a firm that does business with his former employer, the Transportation Cabinet, since it does not appear that his current official duties involve any matters related to the traffic design work he is seeking.

Electronic mail may be used to respond to questions from school children and teachers if management determines that such use of electronic mail is a proper use of state resources.

An employee may not accept a television set won in a random drawing from an association that represents vendors that do business with the state agency for which the employee works because the drawing was limited to state employees and members of the donors industry.

An employee may sell pre-paid legal services on his own time provided he does not solicit individuals who do business with or are regulated by the Department of Education.

Staff members of a local Department of Social Services office may serve as facilitators for a local truancy program if their official duties do not involve matter which may conflict with the truancy program.

A director, immediately upon retirement, his may accept employment with a CPA firm with which he was directly involved as part of his official duties because he is returning to his former profession.

An employee of a Property Valuation Administrator's office may work as a real estate associate if his official duty does not involve the valuation of property or access to information not freely available to the general public.

An interpreter for the hearing impaired may use his skills as an outside employment opportunity within limitations.

State official may write endorsement letter for nonprofit organization to use in its fundraising activities provided the letter is not sent to entities doing business with or regulated by an agency of state government under the jurisdiction of the state official.

Approval by the Executive Branch Ethics Commission is not required for self-employment; however, an employee should ascertain that no conflict exists between his official duties and potential clients.

A decision as to whether employees may use state time and equipment to host a baby shower should be left to the discretion of management, provided state time and equipment are not misused.

A potential employee's private consulting business will create a conflict of interest with his official position.

An employee may begin a consulting business for utilities, within limitations, immediately upon her resignation form the Public Service Commission.

A Transportation Cabinet employee may not purchase a farm that adjoins his property and through which a new road designed by the Transportation Cabinet will be located.

A university employee may assume the position of Commissioner of the Department for Medicaid Services provided he remove himself from all matters which pose a conflict of interest for him.

An employee may not serve on a labor council because the employee's official position requires him to make recommendations in disputes between labor and management.

An employee should not instruct co-workers to perform personal errands on state time.

The Kentucky Higher Education Student Loan Corporation may develop an internal code of ethics for its employees and board members; however, employees also are subject to the Executive Branch Code of Ethics.

A welfare fraud supervisor may accept a part-time position as the executive director of the Kentucky Association of Chiefs of Police, but he must refrain from certain solicitation.

A Fish and Wildlife employee may provide consulting services for an environmental consulting firm provided his services do not fulfill part of a contract with the employee's state agency.

A deputy commissioner may accept employment, within limitations, with a company that recently purchased a company with which the employee has had direct involvement as a part of his official duty.

A hearing officer employed by the Cabinet for Health Services may serve as a member of the Brain Injury Trust Fund Board, but must recuse himself, as part of his official duty, from any matter involving the Board or its actions which may be subject to appeal or hearings.

An employee's private business involving electronically filing of medical claims for physicians to insurance carriers does not present a conflict of interest with his official position as a caseworker specialist with the Cabinet for Families and Children.

Tangible gifts include that those items that can be touched. Items that are not tangible include monetary gifts, agreements to pay, forgiveness of debt, reimbursement for expenses, lodging, honoraria, and tickets to events.

An employee may own and operate two private businesses provided the businesses are not regulated by or doing business with the agency for which the employee works.

Transportation Cabinet employees may not solicit companies that own trucks that are regulated by the Cabinet.

Internal policies will help general counsel avoid a perceived conflict of interest.

A Labor Cabinet employee may own a private safety and health consulting business and provide services for companies that do not manufacture products in Kentucky.

An assistant attorney general, as a non-merit employee, may file to run for a seat on the Court of Appeals, provided he does not use his influence or official position to create advantages or privileges for himself and provided he does not use state time or equipment for his campaign.

An employee is not prohibited from volunteering for a local sheriff's office provided he has no involvement in his state position concerning the sheriff's office.

Neither a state park manager, nor any employees under his supervision, may refer customers to rental property owned by the park manager or his spouse.

A state attorney may volunteer as a trial commissioner as long as the attorney does not use his influence to benefit himself privately.

An executive secretary to the executive director of the Kentucky Racing Commission may not seek outside employment at Keeneland racetrack.

The Master Logger Program, administered by the Natural Resources and Environmental Cabinet, may not accept donations solicited by the University of Kentucky and the Kentucky Forest Industries Association if the donations are from persons or entities that will be regulated by the Master Logger Program.

An employee may not lease land through a competitive bid process from the state agency for which he works.Amended by 00-29 issued June 23, 2000.

An employee's former employer may pay attorney's fees for litigation resulting from former employment if the employee's agency does not regulate or do business with the former employer.

A former Commissioner may contract with Eastern Kentucky University upon her retirement although she had direct involvement with the university during the last three years of her state employment.

Substitute teachers in the Department of Technical Education are not considered public servants under the jurisdiction of the Executive Branch Code of Ethics.

A principal assistant may accept a post-employment position as executive director of the Kentucky Disabilities Coalition if he is not directly involved in matters of the Kentucky Disabilities Coalition as part of his official duty.

An employee of the Office of the Attorney General may accept a gift from a senior vice president of a bank if the Office of the Attorney General is not currently regulating the bank, and the bank is not attempting to influence the actions of the Office of the Attorney General.

An employee may rent a room to an employee of a company with which the employee's agency holds a contract to perform imaging and data conversion.

The Executive Branch Ethics Commission does not have the authority to exempt individuals from the statutory requirements of KRS 210.110.

A secretary employed by the Department of Mines and Minerals may accept dinner and gifts from a coal company by which her spouse is employed.

This opinion number has been voided.

Divesture of stock with a value which exceeds $10,000 is not required of an officer of a Cabinet if the officer has not direct involvement in any matters concerning the company of which he owns an interest.

An attorney employed by a state agency may not privately represent clients in workers compensation cases against industries which are regulated by the state agency for which the employee works or against another state agency.

An employee may start a business monitoring indoor air quality and performing environmental consultations for entities which are not doing business with or regulated by the state agency for which the employee works.

A state highway safety program may accept corporate donations provided the corporation is not regulated by or doing business with the state agency through which the program is administered.

An employee should not provide private mental health services to probated/paroled offenders if such offenders are referred by the state agency for which the employee works or if the employee has been involved in the treatment of the offender as part of his official duty.

An employee may serve as a member of a speaker's bureau, but should not discuss, during state time, his employment with the bureau, and should not serve as a speaker at the state park where he is employed.

A former officer who is returning to his former profession may accept employment as executive vice-president of a workers' compensation program provided, for six months, he refrains from working on any matters in which he was directly involved during the last three years of his state employment.

If an employee is not involved in vendor selection or regulation of outside entities, he may, through mailings only, solicit for advertisements for golf league score cards. However, if an employee is involved in vendor selection or regulation of an outside entities, he should not solicit advertisements from such persons or entities which are not regulated by or doing business with the agency for which he works.

Because assistant commonwealth attorneys are not subject to the requirements of the Executive Branch Code of Ethics, they may lease facilities to the Commonwealth of Kentucky.

The "state agency" for which an employee works is the state agency by which his appointing authority is employed unless the agency is attached for administrative purposes only or the agency's characteristics are distinct from the appointing authority.

Employee responsible for authorizing entitlement payments to area day-care centers may not retain current position and also enroll children who receive entitlement benefits in day-care center which employee owns.

Client of employee's private accounting business who is also approved as a Medicaid provider does not present a conflict of interest for employee as long as employee is not involved in the audit or review of the client. Medicaid auditor may remain a school board member even if school board becomes a Medicaid provider and submits claims for payment, as long as employee is not involved in reviews or audits of the school board.

Property Valuation Administrators must comply with the Executive Branch Code of Ethics and may not have the option to comply with a local code of ethics instead.

Inspector may hold part-time position as a solid-waste coordinator with county government which is regulated by the employee' agency because neither the employee, nor his co-workers, have any involvement in the regulation of the county government. However, the employee must obtain approval by the Commission, pursuant to KRS 11A.040(9) and 9 KAR 1:050.

State psychologist may accept part-time employment as psychological consultant with company as long as he is not involved in any matters concerning the company or a business in competition with the company.

An employee of the Cabinet for Families and Children may teach parenting classes for circuit court as long as he abstains from any official involvement concerning the participants of class.

A branch manager's mother may represent a company that sells products to agency gift shop provided the branch manager refrains from any involvement concerning purchases from the company.

An employee designated by the Board of Registration for Professional Engineers and Land Surveyors as an engineer-in-training before his state employment is considered to be returning to former profession if he accepts post-employment with an engineering firm upon his retirement.

A forester may provide arboricultural services for a city as long as he has no involvement with the city as part of his official duty.

An employee may remain a board member for a nonprofit organization that contracts with the agency audited by the employee's agency.

A Cabinet Secretary in a position responsible for the administration of funding of various health care organizations should not serve on the board of directors of a United Way agency.

A general counsel should not represent an individual as counsel of record if he will be required to appear before a state agency. Additionally, he should not be involved in litigation involving matters concerning the state agency for which he works, and he should not have as clients or receive compensation from individuals who are licensed by the state agency for which he works.

An employee may accept reimbursement for time and travel expense from a university that contracts with the employee's agency because the contract is one for which there is no competition, and it is a collaborative effort between the state agency and the university.

An executive secretary of regulatory board may not serve as legislative contact for private association if such contacts will require registration as a lobbyist.

A general counsel of regulatory agency may not provide continuing professional education if such training is sponsored or approved by the agency for which the general counsel works and the training will be provided to individuals licensed by his agency. A board member is not under the jurisdiction of the Commission, and thus may provide continuing professional education to individuals regulated by the Board on which he serves. However, such action may damage public confidence in the independence the agency.

Employees may not market products to entities outside the Commonwealth of Kentucky if involved in marketing to or reviewing the work of entities with which they may be in competition privately.

A state agency may accept incentive items offered by videotape manufacturer if such items are a part of the purchase agreement.

A director may not accept honorarium and donate it to a charitable organization if it is part of the director's official duty to speak at the educational program for which the honorarium was received.

Non-profit corporation, of which employee is a member of the board of directors, may apply for and receive state grants as long as the grant funds are not used to benefit the farm owned by the state employee.

An employee involved in the regulation of health care facilities may accept a part-time teaching position with a private college which involves conducting on-site tours and clinical rotations at a state hospital.

The spouse of a state employee may hold a personal service contract with a state agency if the funds used to pay the spouse are received through an entitlement program.

An employee may perform sewage plant discharge analyses for businesses regulated by the agency for which the employee works as long as, as a part of the employee's official duties, he is not involved in any agency decisions or discussions with respect to his outside employer and he receives approval from the Executive Branch Ethics Commission for such outside employment, pursuant to 9 KAR 1:050.

Cabinet Secretary may sit on the board of directors of a state bank where the cabinet does not have any regulatory or business relationships with the bank.

Adjutant General may serve on the board of directors of an airport board.

Former employee's licensed family care home may accept referrals from the agency for which employee formerly worked because the home had no matters in which the employee was directly involved.

A former Secretary of the Governor's Executive Cabinet may not represent a hospital in a "certificate of need" matter if such representation involves communication with or an appearance before the Health Policy Board.

Employee must recuse himself from informal penalty assessment discussion conferences requested by coal companies if such conferences involve clients of a law firm whose members are customers of employee's private business.

Employee may operate a private business which supervises visitation between non-custodial parents and their children provided referrals by the court to his private business do not involve persons under the supervision of the division for which he works.

An employee may accept meals and travel expenses from nonprofit organizations as long as the organizations are not regulated by or seeking funds from the agency for which the employee works.

This opinion provides guidance on solicitation and other matters related to state agency employees involved in the hosting of an annual meeting for a professional organization related to their employment.

Employees may write history for organization which provides funds to non-profit support group of agency for which the employees work.

Employee may accept position with corporation with which he was directly involved as part of his official duty because he was not an officer as defined by KRS Chapter 11A and thus was not subject to the post-employment restriction in KRS 11A.040(6).

Executive Director of health-related state agency may seek employment in the insurance industry or with a voluntary health insurance purchasing cooperative if state position is terminated, but must still comply with the post-employment restrictions in KRS Chapter 11A.

An employee may provide volunteer service and accept reimbursement for actual expenses from client of state agency for which the employee formerly worked.

The employment of a state employee's fiance or spouse by a company which is regulated by the division for which the employee works may create a conflict of interest unless the employee abstains from decisions relating to that company.

An auditor involved in the review and audit of coal company assessments may perform consulting work for coal companies doing business outside Kentucky provided the company does not have an interest in property in Kentucky. The employee should not review or be involved in audits of coal companies which are in competition with the company for which the employee wishes to work privately.

A gift shop owned in part by an employee's mother may sell products to agency gift shops as long as the employee is not involved in decisions concerning the gift shops.

A department may hire a doctor to provide training even though an employee involved in the procurement rents private office space from the doctor.

A land conservation fund which is administered by a board comprised, in part, of members from various state agencies may not accept corporate donations to help promote the sale of environmental license plates from companies which are regulated by the agencies represented on the board which administers the fund.

A state agency may not solicit items for charitable purposes from companies with which it holds contracts and over which the state agency has authority to intervene in rate-setting cases.

An employee may volunteer as a treasurer of a state association of community arts agencies as long as such service does not conflict with his position in state government.

A state agency may not accept donations from local businesses for foster care program if the state agency does business with the local merchant.

An employee who owns a small percentage of stock in a surgery center may serve as director for the division which intervenes in insurance rate cases, but should consider the effect on public confidence when appearing before any state agencies.

An employee involved in procuring the services of a hotel for an official meeting should not accept a certificate for a free night's stay at the hotel. Additionally, if the official has received and used a certificate for a free night's stay he should refrain from involvement in all decisions relating to the hotel.

A state official may apply for certification as a minority business enterprise as long as he takes no action which would lead the public to believe that he used his office to obtain an advantage over the general public.

An employee may not sell a continuing education program to the agency for which he works.

Employee is not prohibited from selling account of life's experiences which includes participation in a self-help group as part of the employee's official duty with the state.

An employee who provided snow removal services for a state agency may not receive compensation for such service, because he is prohibited from having an agreement with a state agency.

An employee should not recommend a consultant to provide training to an outside company if the employee has received compensation from or is employed privately by the consultant or a competitor of the consultant. A state agency should implement an in-house policy to prohibit its employees from receiving a monetary incentive which may be awarded through an educational program in which they may be involved as part of their official duty.

A Cabinet Secretary's ownership of stock, in excess of $10,000, in a company seeking financial incentives from the state agency which the Secretary heads creates a conflict of interest for the Secretary.

A Cabinet Secretary should not accept honoraria for the performance of his official duty even it such honoraria will be donated to the Commonwealth.

A Cabinet Secretary may not delegate responsibilities regarding a company of which he owns an interest in order to avoid a conflict of interest, because as agency head he is considered directly involved in all matters of the agency.

A former officer may accept employment with a non-profit entity which holds a contract with the state agency for which he worked if he is returning to the same business or profession in which he was involved prior to his tenure with state government and he personally refrains, for six months, from working on any matter in which he was directly involved.

A former manager may accept a position as a sales representative with a company which markets products to state agencies as long as the former manager will not be acting as an executive agency lobbyist.

A conflict of interest, or the appearance of one, exists when a General Counsel for a state agency represents a client in court against another state agency.

An employee should not subcontract with a person or entity which holds a contract with the agency for which the employee works if the employee will be "enjoying" part of the contract.

A design engineer may not subcontract to provide work for a project with a roadway contractor who holds a contract for the project with the state agency for which the design engineer works. A design engineer may provide consulting engineering services for local governments as long as he is not involved in discussions or decisions concerning the local governments as part of his official duty.

A former employee involved as part of his official duty with the audit of a fiscal court may accept employment as treasurer of the fiscal court. However, he should not use his official position to secure the position.

An employee may not rent a car for state purposes to be paid with state funds from an entity owned by the employee's father.

A state agency may not accept gratuities from entities which do business with or are regulated by the state agency.

A director within the cabinet responsible for air quality may accept employment with a local air pollution control district, but must refrain for one year from lobbying on any matter and from representing the local air pollution control district before the division which he currently directs.

If an employee desires to hold outside employment with a person or entity which is under the regulatory authority of the agency for which the employee works, the employee must apply for approval of such outside employment as directed by 9 KAR 1:050. A Cabinet is not required to send a confidential listing of entities to be audited to the Commission, if the Cabinet will assume the responsibility for determining whether or not the entity for which the employee seeking approval wishes to work is scheduled to be audited.

Corporate sponsor may not be sought to underwrite the cost of a special license plate to benefit the Child Victims' Trust Fund if the sponsor is doing business with or regulated by the state agency which produces the plates.

An applicant for a linked deposit investment loan is required to complete and submit an economic incentive recipient disclosure form. An employee of a state agency granting the investment loan may not apply for the loan through his employing agency.

A state employee may, on his own time, train individuals for the carrying of a concealed weapon provided the state agency for which he works is not responsible for regulating or enforcing the laws pertaining to the carrying of a concealed weapon, and as long as the employee is not monitored by an official of his own state agency.

A state employee, although a peace officer, is not prohibited from obtaining training and certification to train applicants who wish to obtain a license to carry a concealed weapon. However, the employee is cautioned not to provide training to persons who may be involved in investigations, prosecution or other actions involving the state agency for which the employee works. although he is a peace officer, he is not prohibited from operating his private business within limitations.

The Adjutant General may not accept complimentary Kentucky Derby tickets from Churchill Downs.

A state agency with the mission of prevention of child sexual abuse through the financial support of local education and awareness organizations may not accept donations from a broadcasting association with which it contracts to seek air time for its public service announcements.

An employee may accept a position as director over a division which regulates the bank where his spouse is employed as long as the employee is not involved in any matters concerning the bank for which his spouse works.

A company owned by the brother of two correctional officers may bid on a contract to operate a canteen at the facility where his brothers are employed as long as his brothers are not involved in any discussions, decisions or recommendations concerning the contract to operate the canteen.

An employee involved in the review of applications for permits which are prepared by environmental engineering firms, should not hold outside employment with an environmental engineering firm. An employee is not prohibited from providing landfill surveying services for a city because the city does not seek permits from the divisions for which the employee works. The employee should not represent his private business before the division for which he works.

Employee may provide training to employees of another state, but due to possible conflict of interest, may accept reimbursement of actual expenses only.

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.

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.

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.

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.

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.

Employee may provide fitness instruction through outside entity to state agency located on the same grounds as the agency for which the employee works.

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.

In KRS 11A.040(7), the term "lobbyist" refers to executive agency lobbyist as well as legislative agent.

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.

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.

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.

Former employee is "representing" his new employer by taking part in on-site discussions with inspectors from the agency for which he former worked.

This opinion number has been voided.

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.

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.

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.

Officer relieved of duties prior to termination of employment is subject to post-employment restrictions upon date of termination.

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.

This opinion number has been voided.

A state vocational instructor should not hire, for his private business, students who are enrolled in his classes.

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.

NUMBER VOIDED

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.

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.

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.

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.

This opinion number has been voided.

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.

This opinion number has been voided.

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.

NUMBER VOIDED

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.

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.

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.

NUMBER VOIDED

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.

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.

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.

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.

Stockyard owner may accept employment with the Department of Agriculture provided he is not employed by the division which regulates the stockyard.

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.

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.

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.

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.

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.

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.

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.

This opinion addresses a series of questions concerning executive agency lobbying as it applies to attorneys.

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.

Employee may not work part-time for hospital which receives state funds from the agency for which the employee works.

This opinion number has been voided.

Agency head may not accept fee for service from association representing individuals who are regulated by the agency which the agency head supervises.

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.

Volunteers, if paid by nonprofit organizations on behalf of an association, must register as executive agency lobbyists.

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.

management personnel with procurement authority includes employees below the director level who have procurement authority and who are in personnel management positions.

An employee may accept compensation for jury duty service in addition to paid leave time.

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.

State employee may serve on state commission as long as employee is not employed by agency to which commission is attached.

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.

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.

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.

Executive branch employee may be hired by the Legislative Research Commission to interpret for legislative session.

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.

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.

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.

An attorney employed by an executive branch agency may not contract with a state agency to handle criminal appeals.

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.

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.

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.

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.

Deputy executive directors are major management personnel and thus are required to file the statement of financial disclosure.

The president of a state-related credit union may resign his classified position and immediately be employed directly by the credit union.

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.

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.

State foresters who inspect tree farms as part of their official duty may not accept incentive awards and gifts for such service.

Building codes inspector should not solicit goods and services for nonprofit entity from those regulated by or doing business with the inspector’s agency.

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.

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.

A state agency which regulates water companies may not accept a donation from a water company for an environmental project.

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.

Employees may not accept free tuition and lodging at vendor-sponsored seminar unless tuition and lodging were included as part of bid on equipment.

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.

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.

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.

Commissioner may not accept airline card which would entitle him to special privileges when flying.

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.

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.

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.

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.

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.

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.

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.

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.

Employee may serve as an expert witness on own time and receive payment for services if no conflict of interest exists.

An investment firm employee who meets with employees of bond-issuing state agency must register as an executive agency lobbyist.

This opinion answers a series of questions concerning the state agency responsible for regulating state financial institutions.

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.

A state employee is not prohibited, immediate upon retirement, from accepting employment with a state university.

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.

State agency may not market products and services to entities which it regulates, but may provide information to entities at cost.

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.

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.

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.

Employee may not have agreement with another state agency to provide services to clients.

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.

This opinion was REPLACED BY Advisory Opinion 95-15.

This opinion number has been voided.

This opinion number has been voided.

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.

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.

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.

NUMBER VOIDED

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.

Employee should refrain from involvement in any matter concerning organization for which parents are employed.

Replaced by Advisory Opinion 94-18

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.

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.

This opinion number has been voided.

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.

This opinion number has been voided.

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.

Commonwealth and County Attorneys are not subject to the provisions of KRS Chapter 11A.

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.

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.

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.

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.

This opinion was replaced by Advisory Opinion 93-80.

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.

Upon resignation, an employee may contract to provide services for a state facility in which the employee is not currently employed.

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.

An agriculture market inspector is not permitted to acting as an order-buyer on his day off.

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.

An employee may provide therapy in the community on his own time through limited services contract with private agencies.

An employee should not prepare a grievance on state time (while on duty), using office equipment and supplies.

An employee, upon resignation, may immediately obtain a personal service contract with the state.

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.

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.

A cabinet secretary may attend a forum sponsored by a state vendor but should pay any fee charged those in attendance.

An inspector, a representative of the state, is prohibited from inspecting businesses that purchase eggs from his leased wholesale egg business.

A cabinet secretary may participate in a charitable golf tournament at the invitation of a city organization.

An employee may serve as and out-of-state consultant on his own time.

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.

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.

A secretary of a cabinet should not receive additional compensation for services which are a part of his official duty.

An "acting" director is required to file a statement of financial disclosure.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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).

The appearance of a conflict of interest prohibits a state agency from soliciting donations from companies over which the agency has some regulatory control.

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.

Post-employment restrictions in KRS 11A apply to all former executive branch employees regardless of level of responsibility.

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,

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.

State employees involved in the regulation of electric cooperatives should not accept food and refreshments from the association that represents the cooperatives.

This opinion number has been voided.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

Any entity which is regulated by a state agency is considered to be doing business with the state under KRS 11A.040(6).

A department commissioner should not introduce his brother-in-law, who is a stockbroker, to officials of the state responsible for investing state funds.

All state agencies which are a part of the financial reporting entity of the Commonwealth are considered executive branch agencies.

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.

This opinion number has been voided.

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.

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.

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.

The head of an agency which oversees public institutions of higher learning should not accept meals and tickets to athletic events from those institutions.

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.

Retiring employee who has no regulatory authority over milk marketing companies may accept employment immediately with milk marketing company.

An employee of a political subdivision’s convention and visitors’ bureau is not considered an executive agency lobbyist.

This opinion number has been voided.

This opinion addresses a series of questions concerning executive agency lobbying as it applies to architectural and engineering services.

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.

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.

This opinion number has been voided.

Employee is not prohibited from hiring spouse as interpreter if no other qualified person applies.

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.

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.

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.

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.

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.

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.

This opinion number has been voided.

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.

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.

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.

A Fish and Wildlife officer that owns a marina should not transact business with state officers where state monies will be expended.

An employee of the Workforce Development Cabinet is prohibited from purchasing property from the Transportation Cabinet upon which his house has encroached.

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.

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.

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.

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.

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.

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.

The Executive Branch Code of Ethics is applicable to all employees including property valuation administrators.

A branch manager is not prohibited from employment as a consultant for an out of state law firm.

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.