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expand Issuing Year: 2017
Advisory Opinion 17-02 - Gift Exception 2017-2Within limitations, the Kentucky Center for the Arts Corporation (&quot;KCAC&quot;) may accept gifts as dictated by KRS 153.420(8) without violating KRS 11A.045.<br><br>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.<br><br>&nbsp;
Categories: Conflicts of Interest; Endorsement/Partnership; Gifts; Solicitation/Fundraising; Exceptions
Advisory Opinion 17-04An 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.<br><br>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.<br>
Categories: Conflicts of Interest;
Advisory Opinion 17-06A 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).
Categories: Post Employment;
Advisory Opinion 17-08, Gift Exception 2017-04Within 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.<br><br>
Categories: Gifts; Exceptions
expand Issuing Year: 2016
Advisory Opinion 16-02, Gift Exception 2016-2A 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&#39;s agency.
Categories: Gifts; Exceptions
Advisory Opinion 16-04Because a public health department is not considered a &quot;person&quot; or &quot;business&quot; 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.
Categories: Post Employment;
Advisory Opinion 16-06A 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.
Categories: Conflicts of Interest;
Advisory Opinion 16-08The 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.<br>
Categories: Solicitation/Fundraising; Endorsement/Partnership;
Advisory Opinion 16-10, Gift Exception 2016-10The 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.
Categories: Gifts; Exceptions
expand Issuing Year: 2015
Advisory Opinion 15-02An 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.
Categories: Conflicts of Interest; Endorsement/Partnership;
Advisory Opinion AO 15-03With 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.
Categories: Conflicts of Interest; Post Employment; Contracts
expand Issuing Year: 2014
Advisory Opinion 14-02Based on both the characteristics of the job and the examples of duties or responsibilities of the job classification,&nbsp; 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 &quot;officers&quot; within the Executive Branch Code of Ethics.
Categories: Post Employment; Conflicts of Interest;
expand Issuing Year: 2013
Advisory Opinion 13-01 Gift Exception No. 2013-01This 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.<br><br>
Categories: Gifts; Exceptions
Advisory Opinion 13-03When 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.&nbsp; 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.
Categories: Endorsement/Partnership; Conflicts of Interest;
expand Issuing Year: 2012
Advisory Opinion 12-01The Kentucky Housing Corporation (&quot;KHC&quot;) 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.&nbsp; Additionally, KHC may implement a vacation leave buy-back program if properly implemented.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 12-03The State Apiarist (a.k.a. the &quot;State Beekeeper&quot;) can teach a class on beekeeping for compensation as long as teaching such a class is not part of the State Apiarist&#39;s official duties and he avoids any conflict of interest.&nbsp; The State Apiarist may not teach a class on beekeeping as an employee of his wife&#39;s bee keeping supply store if the State Apiarist is involved in decision-making or recommendations concerning the business in his official capacity.
Categories: Conflicts of Interest; Outside Employment; Family Members
Advisory Opinion 12-05Reconsideration of A.O. 03-13.&nbsp; 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.&nbsp; The Commission delined to amend Advisory Opinion 03-13.
Categories: Conflicts of Interest; Self-employment
Advisory Opinion 12-07Employees 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.&nbsp; The Commission will consider granting its prior approval of an agency awards program if specific and appropriate criteria are established.
Categories: Gifts;
expand Issuing Year: 2011
Advisory Opinion 11-02It 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&nbsp; the Greater Louisville Association of Realtors.
Categories: Conflicts of Interest;
Advisory Opinion 11-04 Gift Exception 2011-2The 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.
Categories: Gifts; Exceptions
Advisory Opinion 11-06A 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 11-08Service 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.<br><br>&nbsp;<br>
Categories: Gifts;
expand Issuing Year: 2010
Advisory Opinion 10-02The 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.
Categories: Endorsement/Partnership; Solicitation/Fundraising;
Advisory Opinion 10-04A 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.
Categories: Conflicts of Interest; Outside Employment; Family Members
Advisory Opinion 10-06The 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.
Categories: Conflicts of Interest; Gifts; Contracts; Exceptions
expand Issuing Year: 2009
Advisory Opinion 09-01An employee may participate as a volunteer on the employee&#39;s own time in a local chamber of commerce organization, so long as the employee&#39;s volunteer activities do not create a conflict of interest with the employee&#39;s official duties.
Categories: Conflicts of Interest;
Advisory Opinion 09-03A case manager/nurse investigator for the Kentucky Board of Nursing may accept part-time employment with a nursing school in Kentucky, if the employee&#39;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&#39;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.
Categories: Outside Employment;
Advisory Opinion 09-05The Deputy Secretary of the Tourism, Arts, and Heritage Cabinet may accept employment with the World Games 2010 Foundation, Inc. (&quot;Foundation&quot;), because the Tourism, Arts, and Heritage Cabinet is not doing business with the Foundation, nor is the Foundation regulated by the Commonwealth.
Categories: Post Employment;
Advisory Opinion 09-07The Governor&#39;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.
Categories: Conflicts of Interest; Executive Agency Lobbying;
Advisory Opinion 09-09The 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.
Categories: Conflicts of Interest;
Advisory Opinion 09-11The 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.
Categories: Gifts;
Advisory Opinion 09-14It 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.
Categories: Conflicts of Interest;
Advisory Opinion 09-17The co-ownership of real property by the Secretary of the Governor&#39;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.
Categories: Conflicts of Interest;
Advisory Opinion 09-19A 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.
Categories: Gifts;
Advisory Opinion 09-21A 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.
Categories: Conflicts of Interest;
Advisory Opinion 09-23A 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.
Categories: Conflicts of Interest;
Advisory Opinion 09-27Regional 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 09-30Engaging 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.
Categories: Endorsement/Partnership;
Advisory Opinion Gift Exception 2009-01An 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.
Categories: Gifts; Exceptions; Sporting Events
Advisory Opinion Gift Exception 2009-03A 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.
Categories: Gifts; Statements of Financial Disclosure; Exceptions
Advisory Opinion Gift Exception 2009-05The 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.
Categories: Gifts; Statements of Financial Disclosure; Exceptions
expand Issuing Year: 2008
Advisory Opinion 08-02A 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.
Categories: Outside Employment;
Advisory Opinion 08-04Reconsideration 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 08-06A 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.
Categories: Gifts;
Advisory Opinion 08-08An 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.
Categories: Conflicts of Interest;
Advisory Opinion 08-10A 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.
Categories: Conflicts of Interest;
Advisory Opinion 08-12A 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.
Categories: Conflicts of Interest;
Advisory Opinion 08-14NUMBER VOIDED
Categories: Voided;
Advisory Opinion 08-16An 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.
Categories: Conflicts of Interest;
Advisory Opinion 08-18An employee&#39;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.
Categories: Conflicts of Interest;
Advisory Opinion 08-20The 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.
Categories: Conflicts of Interest;
Advisory Opinion 08-22A 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.
Categories: Conflicts of Interest;
Advisory Opinion 08-24Employees 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&#39;s regular duties.
Categories: Conflicts of Interest;
Advisory Opinion 08-26An employee of the Governor&#39;s Office may accept tickets to a sporting event from a former employer who has a business relationship with the Governor&#39;s Office, as long as the employee pays face value for the tickets.
Categories: Gifts; Sporting Events
Advisory Opinion 08-28Members 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.
Categories: Conflicts of Interest;
Advisory Opinion 08-30A 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&#39;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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 08-32No 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&#39;s private interests and the official job duties of the Director of Administration.
Categories: Conflicts of Interest; Outside Employment; Self-employment
expand Issuing Year: 2007
Advisory Opinion 07-02The Office of Financial Institutions is not prohibited from co-sponsoring a seminar entitled, &quot;A Day with the Executive Director&quot; 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.
Categories: Conflicts of Interest;
Advisory Opinion 07-05An 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.
Categories: Conflicts of Interest;
Advisory Opinion 07-07A 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&#39;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.
Categories: Jurisdiction; Solicitation/Fundraising;
Advisory Opinion 07-09University 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.
Categories: Jurisdiction;
Advisory Opinion 07-11As 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.
Categories: Conflicts of Interest;
Advisory Opinion 07-13The 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 07-16A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 07-18It 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.
Categories: Conflicts of Interest;
Advisory Opinion 07-20An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 07-22The 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 07-24Taking a leave of absence from ones regular job duties does not remove conflicts of interest pertaining to the employee’s position.
Categories: Conflicts of Interest;
Advisory Opinion 07-26A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 07-28A 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.
Categories: Post Employment;
Advisory Opinion 07-30A 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.
Categories: Conflicts of Interest;
Advisory Opinion 07-32NUMBER VOIDED
Categories: Voided;
Advisory Opinion 07-34A 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
Categories: Solicitation/Fundraising;
Advisory Opinion 07-36(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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 07-38NUMBER VOIDED
Categories: Voided;
Advisory Opinion 07-40The 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.
Categories: Endorsement/Partnership;
Advisory Opinion 07-42The 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.
Categories: Conflicts of Interest;
Advisory Opinion 07-44An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 07-46The 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion Gift Exception 2007-02The Executive Branch Ethics Commission grants an exception, pursuant to KRS 11A.045(1), to allow the Department of Veterans&#39; Affairs to accept a truck from a company that is constructing a state veterans&#39; cemetery.
Categories: Gifts; Exceptions
expand Issuing Year: 2006
Advisory Opinion 06-02The 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.
Categories: Post Employment;
Advisory Opinion 06-04A 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.
Categories: Conflicts of Interest;
Advisory Opinion 06-06Reconsidered and Upheld Advisory Opinion 03-37
Categories: Gifts;
Advisory Opinion 06-08(Amends Advisory Opinion 02-11) Department of Corrections&#39; 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.
Categories: Outside Employment;
Advisory Opinion 06-10A 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.
Categories: Conflicts of Interest;
Advisory Opinion 06-13A 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.
Categories: Conflicts of Interest;
Advisory Opinion 06-15Within 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 06-17A 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&#39;s official duty.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 06-19 <br>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.
Categories: Conflicts of Interest; Gifts;
Advisory Opinion 06-21The 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.
Categories: Conflicts of Interest; Endorsement/Partnership;
Advisory Opinion 06-23The 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.
Categories: Post Employment;
Advisory Opinion 06-26Neither 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 06-28A member of the Parole Board may serve as director of 911 communications for local county within limitations.
Categories: Conflicts of Interest;
Advisory Opinion 06-30A 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. .
Categories: Post Employment;
Advisory Opinion 06-32The Commissioner of Agriculture may serve as spokesperson for national company, within limitations.
Categories: Conflicts of Interest;
expand Issuing Year: 2005
Advisory Opinion 05-01Right 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 05-04The 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.
Categories: Conflicts of Interest;
Advisory Opinion 05-06An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 05-08The 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.
Categories: Post Employment;
Advisory Opinion 05-10A 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.
Categories: Post Employment;
Advisory Opinion 05-13A 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.
Categories: Post Employment;
Advisory Opinion 05-15A 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.
Categories: Post Employment;
Advisory Opinion 05-17Although not subject to the Executive Branch Code of Ethics , the chairman of the Kentucky Housing Corporation (&quot;KHC&quot;) 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.
Categories: Conflicts of Interest; Jurisdiction;
Advisory Opinion 05-20A 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.
Categories: Post Employment;
Advisory Opinion 05-22A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 05-24Department 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 05-26Recipients 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 05-28An 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.
Categories: Gifts;
Advisory Opinion 05-3NUMBER VOIDED
Categories: Voided;
Advisory Opinion 05-32The 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 05-34Before 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.
Categories: Executive Agency Lobbying; Gifts; Solicitation/Fundraising; Statements of Financial Disclosure;
Advisory Opinion 05-36Employee’s service as an officer of the Kentucky Waterways Alliance creates a conflict of interest with his employment for the Division of Mine Permits.
Categories: Conflicts of Interest;
Advisory Opinion 05-39Employee 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&#39;s worksite to make presentations may appear to give the employee an advantage.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 05-42An 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&#39;s agency should refrain from purchasing products from a business owned by the employee&#39;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.
Categories: Conflicts of Interest; Contracts; Family Members
Advisory Opinion Gift Exception 2005-01The 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.
Categories: Gifts; Statements of Financial Disclosure; Exceptions
Advisory Opinion Gift Exception 2005-03The 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.
Categories: Gifts; Exceptions
Advisory Opinion Gift Exception 2005-05This opinion authorizes a gift exception to allow the Chief of Staff to the Governor&#39;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&#39;s Office for Local Development.
Categories: Gifts; Statements of Financial Disclosure; Exceptions
expand Issuing Year: 2004
Advisory Opinion 04-02A 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
Categories: Outside Employment;
Advisory Opinion 04-04The 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.
Categories: Conflicts of Interest;
Advisory Opinion 04-06Regarding 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.
Categories: Conflicts of Interest;
Advisory Opinion 04-08Registration 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.
Categories: Conflicts of Interest;
Advisory Opinion 04-10A 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.
Categories: Conflicts of Interest; Contracts; Family Members
Advisory Opinion 04-12An employee of Kentucky Educational Television (&quot;KET&quot;) may not submit a bid to complete rewiring for a school district for which KET provides services.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 04-14A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 04-16The 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.
Categories: Conflicts of Interest;
Advisory Opinion 04-18A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 04-20A 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.
Categories: Conflicts of Interest;
Advisory Opinion 04-22An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 04-24An 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.
Categories: Conflicts of Interest;
Advisory Opinion 04-27A 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.
Categories: Post Employment;
Advisory Opinion 04-29Employees 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.
Categories: Gifts;
Advisory Opinion 04-31Kentucky 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 04-33A 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 04-35A 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.
Categories: Post Employment;
Advisory Opinion 04-37NUMBER VOIDED
Categories: Voided;
Advisory Opinion 04-39A 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.
Categories: Post Employment;
Advisory Opinion 04-41Technical 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.
Categories: Gifts; Honoraria
Advisory Opinion 04-43NUMBER VOIDED
Categories: Voided;
Advisory Opinion 04-45A Department of Military Affairs employee must seek approval from the appointing authority of his agency for his outside employment with an airport.
Categories: Outside Employment;
Advisory Opinion Gift Exception 2004-01The 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.
Categories: Gifts; Sporting Events; Exceptions
expand Issuing Year: 2003
Advisory Opinion 03-02An employee of the Kentucky Real Estate Commission may date a real estate licensee, but should abstain from any matters involving the licensee.
Categories: Conflicts of Interest;
Advisory Opinion 03-04A 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.
Categories: Post Employment;
Advisory Opinion 03-06An 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.
Categories: Conflicts of Interest;
Advisory Opinion 03-08Neither 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&#39;s requests. Additionally, the requests of &quot;political contacts&quot; should be handled no differently from any other person that calls for service, regardless of political persuasion.
Categories: Conflicts of Interest;
Advisory Opinion 03-10A 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.
Categories: Conflicts of Interest;
Advisory Opinion 03-12An 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.
Categories: Post Employment;
Advisory Opinion 03-14A board member&#39;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.
Categories: Jurisdiction;
Advisory Opinion 03-16An employee traveling on state business who is &quot;bumped&quot; 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.
Categories: Gifts; Travel Expenses
Advisory Opinion 03-18Individuals 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&#39;s official duty to provide the service.
Categories: Conflicts of Interest; Jurisdiction; Outside Employment; Self-employment
Advisory Opinion 03-20State agencies may use state funds and equipment for lobbying purposes if such lobbying is supportive of carrying out the statutory mission of the agency.
Categories: Conflicts of Interest;
Advisory Opinion 03-22Vocational 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.
Categories: Gifts;
Advisory Opinion 03-24A 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
Categories: Conflicts of Interest;
Advisory Opinion 03-26An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 03-28An 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.
Categories: Outside Employment;
Advisory Opinion 03-30The 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.
Categories: Conflicts of Interest;
Advisory Opinion 03-32A 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.
Categories: Conflicts of Interest;
Advisory Opinion 03-34A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 03-36A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 03-38A 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.
Categories: Conflicts of Interest;
Advisory Opinion 03-40A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 03-42A 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.
Categories: Endorsement/Partnership;
Advisory Opinion 03-44A forensic anthropologist employed by the Sate Medical examiner’s Office may accept an advance from a publisher for writing his memoirs.
Categories: Conflicts of Interest;
Advisory Opinion 03-46Relatives of park employees may sell products to a park gift shop, provided the employees abstain from any purchasing discussions, recommendations and decisions.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 03-48An 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.
Categories: Post Employment;
Advisory Opinion 03-50Employees 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.
Categories: Conflicts of Interest;
expand Issuing Year: 2002
Advisory Opinion 02-01A 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.
Categories: Outside Employment;
Advisory Opinion 02-03A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 02-05An 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.
Categories: Gifts; Travel Expenses
Advisory Opinion 02-07A 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.
Categories: Jurisdiction; Post Employment;
Advisory Opinion 02-09A 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.
Categories: Conflicts of Interest;
Advisory Opinion 02-11Employees 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 &quot;enjoying&quot; a part of a contract between the Department and the Kentucky Community and Technical College System.
Categories: Conflicts of Interest; Jurisdiction; Contracts
Advisory Opinion 02-13An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 02-15A 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.
Categories: Conflicts of Interest;
Advisory Opinion 02-17A 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.
Categories: Conflicts of Interest;
Advisory Opinion 02-19An 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.
Categories: Conflicts of Interest;
Advisory Opinion 02-21A 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.
Categories: Endorsement/Partnership; Solicitation/Fundraising;
Advisory Opinion 02-23A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 02-25A 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.
Categories: Conflicts of Interest; Executive Agency Lobbying; Outside Employment; Self-employment
Advisory Opinion 02-27A 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.
Categories: Post Employment;
Advisory Opinion 02-29Members 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 &quot;artist in residence&quot; program. The Council member should also be aware that an appearance of impropriety might exist.
Categories: Conflicts of Interest; Jurisdiction;
Advisory Opinion 02-31This opinion number has been voided.
Categories: Voided;
Advisory Opinion 02-33The 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.
Categories: Endorsement/Partnership;
Advisory Opinion 02-35The 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 02-37A 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&#39;s appointment to the Board, unless severing the agreement will result in an undue burden.
Categories: Conflicts of Interest;
Advisory Opinion 02-39An 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 02-41The 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.
Categories: Conflicts of Interest; Outside Employment;
Advisory Opinion 02-43A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 02-45The 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.
Categories: Conflicts of Interest;
Advisory Opinion 02-47A 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.
Categories: Endorsement/Partnership;
Advisory Opinion 02-49An 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.
Categories: Conflicts of Interest;
Advisory Opinion 02-51A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 02-53The Administrator for the Board of Barbering may not be employed by a barbershop or a barber school.
Categories: Outside Employment;
Advisory Opinion 02-55A 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.
Categories: Gifts;
Advisory Opinion 02-57An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 02-59A 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.
Categories: Conflicts of Interest;
Advisory Opinion Gift Exception No. 2002-01The 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.&nbsp; Although the Department for employment Serivces regulates South Central Rural Telephone within its unemployment insurance&nbsp; 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.
Categories: Gifts; Exceptions
Advisory Opinion Gift Exception No. 2002-03The Commission authorizes an exception to KRS 11A.045(1) to allow the State Fire Marshal&#39;s Office, Department of Housing, Buildings, and Construction to accept free training and code materials for the National Fire Protection Association.&nbsp; 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.
Categories: Gifts; Exceptions
expand Issuing Year: 2001
Advisory Opinion Gift Exception No. 2001-02The 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.&nbsp; The &quot;Learn not to Burn&quot; program provided by the National Fire Protection Association, NFPA, benefits the people of the commonwealth and results in no profit earned by the organization.&nbsp; 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.
Categories: Gifts; Exceptions
Advisory Opinion: 01-02Because 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.
Categories: Endorsement/Partnership;
Advisory Opinion: 01-04A 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.
Categories: Outside Employment;
Advisory Opinion: 01-06An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion: 01-08A 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion: 01-10Because 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
Categories: Gifts; Travel Expenses
Advisory Opinion: 01-12A 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.
Categories: Outside Employment;
Advisory Opinion: 01-14Employees private business of repairing and selling computers creates a conflict in light of the employee’s official duties involving procurement.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion: 01-16A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion: 01-18An 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.
Categories: Conflicts of Interest;
Advisory Opinion: 01-20A Department of Education employee may not accept transportation, lodging, and certain entertainment expenses from a vendor to certain local school districts for &quot;flex&quot; account services that wishes to recognize the employee.
Categories: Gifts; Travel Expenses
Advisory Opinion: 01-22An 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.
Categories: Conflicts of Interest;
Advisory Opinion: 01-24An 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.
Categories: Conflicts of Interest;
Advisory Opinion: 01-26A 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.
Categories: Gifts; Conflicts of Interest; Meals
Advisory Opinion: 01-28This opinion number has been voided.
Categories: Voided;
Advisory Opinion: 01-30(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.
Categories: Gifts; Travel Expenses
Advisory Opinion: 01-32The 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion: 01-34A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion: 01-36A 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.
Categories: Conflicts of Interest;
Advisory Opinion: 01-38Employees of the Public Service Commission may not accept service from AT&amp;T during a testing phase unless a fair value is paid for the service.
Categories: Gifts;
Advisory Opinion: 01-40A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion: 01-42A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion: 01-44The 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.
Categories: Conflicts of Interest;
expand Issuing Year: 2000
Advisory Opinion 00-02NUMBER VOIDED
Categories: Voided;
Advisory Opinion 00-04A 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.
Categories: Post Employment;
Advisory Opinion 00-06An 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.
Categories: Post Employment;
Advisory Opinion 00-08An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-10An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-12The 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 00-14A 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 00-16A 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.
Categories: Conflicts of Interest;
Advisory Opinion 00-18Kentucky 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.
Categories: Endorsement/Partnership; Gifts; Meals
Advisory Opinion 00-20An 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.
Categories: Conflicts of Interest;
Advisory Opinion 00-22An 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 00-24The 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.
Categories: Conflicts of Interest;
Advisory Opinion 00-26An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-28An employee should not represent private clients against the Cabinet for Families and Children in an administrative appeal or in district action.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-30The Board of Nursing may accept a computer from the National Council of State Boards of Nursing.
Categories: Gifts;
Advisory Opinion 00-32Employees 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.
Categories: Conflicts of Interest;
Advisory Opinion 00-34The Director of Intergovernmental Relations within the Office of the Governor is not considered an &quot;officer&quot; because his personnel position is not a position considered an officer and because his duties do not rise to the level of major management.
Categories: Post Employment;
Advisory Opinion 00-36The Division of Forestry may accept a grant for a hardwood management project from a private, nonprofit, international tree-planting foundation.
Categories: Gifts;
Advisory Opinion 00-38An 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.
Categories: Outside Employment;
Advisory Opinion 00-40Property 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.
Categories: Statements of Financial Disclosure;
Advisory Opinion 00-42Employees of the Kentucky Department of Education should not serve as officers or on the Board of the Kentucky Science Teachers Association.
Categories: Conflicts of Interest;
Advisory Opinion 00-44The 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.
Categories: Gifts;
Advisory Opinion 00-46A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-48Although 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 00-50(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.
Categories: Conflicts of Interest;
Advisory Opinion 00-52Employees 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.
Categories: Gifts; Travel Expenses
Advisory Opinion 00-54The Commissioner of the Department of Local Government may accept employment with the Kentucky Association of Counties immediately upon his resignation from state government.
Categories: Post Employment;
Advisory Opinion 00-56An 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 00-58An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-60Although 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.
Categories: Conflicts of Interest;
Advisory Opinion 00-62A 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.
Categories: Gifts; Sporting Events
Advisory Opinion 00-64The Deputy State Treasurer’s spouse may serve on a Board administered by the Office of the Stae Treasurer.
Categories: Conflicts of Interest;
Advisory Opinion 00-66A hearing officer contracted by the Kentucky Retirement Systems may complete certain cases even though she has accepted employment with the Kentucky State Police.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-68The 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 00-70An 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.
Categories: Gifts; Travel Expenses
Advisory Opinion 00-72A pharmacy inspector employed by the Board of Pharmacy may not hold outside employment with a pharmacy.
Categories: Outside Employment;
Advisory Opinion 00-74(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.
Categories: Gifts; Travel Expenses
Advisory Opinion Gift Exception No. 2000-02The 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.&nbsp; 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
Categories: Gifts; Statements of Financial Disclosure; Exceptions
expand Issuing Year: 1999
Advisory Opinion 99-02The Cabinet for Families and Children may co-sponsor Vision 2000 meetings with community partners, within limitations.
Categories: Solicitation/Fundraising;
Advisory Opinion 99-04Employees of the Office of the State Treasurer may participate in a public auction held by their agency.
Categories: Conflicts of Interest;
Advisory Opinion 99-06A state employee&#39;s spouse&#39;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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 99-08A conflict of interest exists for the Board of Medical Licensure to be staffed by employees who are paid by the Kentucky Medical Association.
Categories: Conflicts of Interest;
Advisory Opinion 99-10The 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 99-12Members 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.
Categories: Conflicts of Interest; Jurisdiction;
Advisory Opinion 99-14Employees may accept prize from Kentucky Derby Festival organization because the prize is based solely on skill and is open to other than state employees.
Categories: Gifts;
Advisory Opinion 99-16This opinion number has been voided.
Categories: Voided;
Advisory Opinion 99-18Within 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&#39;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.
Categories: Post Employment;
Advisory Opinion 99-20A newspaper of which an agency head owns an interest may not sell an advertisement to the agency which the employee heads.
Categories: Conflicts of Interest;
Advisory Opinion 99-22An 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.
Categories: Conflicts of Interest;
Advisory Opinion 99-24An 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.
Categories: Conflicts of Interest;
Advisory Opinion 99-26A 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.
Categories: Conflicts of Interest;
Advisory Opinion 99-28A hearing officer should not be involved, as part of his official duty, in any matters involving his father’s law firm.
Categories: Conflicts of Interest;
Advisory Opinion 99-30A 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 99-32A state trooper is not prohibited from holding part-time employment as an assistant commonwealth or assistant county attorney in addition to his state employment.
Categories: Outside Employment;
Advisory Opinion 99-34Because 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 99-36The 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 99-38The 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 99-40A 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.
Categories: Jurisdiction;
Advisory Opinion 99-42An employee may continue outside employment as director of a nurse&#39;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&#39;s co-workers are not involved in the audit or monitoring of the outside employer.
Categories: Outside Employment;
Advisory Opinion 99-44A 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.
Categories: Outside Employment;
Advisory Opinion 99-46A 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.
Categories: Post Employment;
Advisory Opinion 99-48A 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.
Categories: Post Employment;
Advisory Opinion 99-50Employees 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.
Categories: Conflicts of Interest;
Advisory Opinion 99-52Family 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 99-54An employee of the Governor’ Office for Technology may accept outside employment with local clerk’s office.
Categories: Outside Employment;
expand Issuing Year: 1998
Advisory Opinion 98-02The 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.
Categories: Conflicts of Interest;
Advisory Opinion 98-04An employee may share a home party book with fellow employees during break or lunchtime.
Categories: Conflicts of Interest;
Advisory Opinion 98-06Electronic 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.
Categories: Conflicts of Interest;
Advisory Opinion 98-08An 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.
Categories: Outside Employment;
Advisory Opinion 98-10A 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.
Categories: Post Employment;
Advisory Opinion 98-12An interpreter for the hearing impaired may use his skills as an outside employment opportunity within limitations.
Categories: Outside Employment;
Advisory Opinion 98-14Approval 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 98-16A potential employee&#39;s private consulting business will create a conflict of interest with his official position.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 98-18A 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.
Categories: Conflicts of Interest;
Advisory Opinion 98-20An employee may not serve on a labor council because the employee&#39;s official position requires him to make recommendations in disputes between labor and management.
Categories: Conflicts of Interest;
Advisory Opinion 98-22The 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.
Categories: Jurisdiction;
Advisory Opinion 98-24A 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&#39;s state agency.
Categories: Conflicts of Interest; Outside Employment; Contracts; Self-employment
Advisory Opinion 98-26A 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.
Categories: Conflicts of Interest;
Advisory Opinion 98-28Tangible 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.
Categories: Gifts;
Advisory Opinion 98-30Transportation Cabinet employees may not solicit companies that own trucks that are regulated by the Cabinet.
Categories: Solicitation/Fundraising;
Advisory Opinion 98-32A Labor Cabinet employee may own a private safety and health consulting business and provide services for companies that do not manufacture products in Kentucky.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 98-34An employee is not prohibited from volunteering for a local sheriff&#39;s office provided he has no involvement in his state position concerning the sheriff&#39;s office.
Categories: Conflicts of Interest;
Advisory Opinion 98-36A state attorney may volunteer as a trial commissioner as long as the attorney does not use his influence to benefit himself privately.
Categories: Conflicts of Interest;
Advisory Opinion 98-38The 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 98-40An employee&#39;s former employer may pay attorney&#39;s fees for litigation resulting from former employment if the employee&#39;s agency does not regulate or do business with the former employer.
Categories: Conflicts of Interest;
Advisory Opinion 98-42Substitute teachers in the Department of Technical Education are not considered public servants under the jurisdiction of the Executive Branch Code of Ethics.
Categories: Jurisdiction;
Advisory Opinion 98-44An 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.
Categories: Gifts;
Advisory Opinion 98-46The Executive Branch Ethics Commission does not have the authority to exempt individuals from the statutory requirements of KRS 210.110.
Categories: Conflicts of Interest;
expand Issuing Year: 1997
Advisory Opinion 97-01This opinion number has been voided.
Categories: Voided;
Advisory Opinion 97-03An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 97-05A 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.
Categories: Gifts; Solicitation/Fundraising;
Advisory Opinion 97-07An employee may serve as a member of a speaker&#39;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.
Categories: Conflicts of Interest; Outside Employment; Contracts; Self-employment
Advisory Opinion 97-09If 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 97-11The &quot;state agency&quot; 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&#39;s characteristics are distinct from the appointing authority.
Categories: Conflicts of Interest;
Advisory Opinion 97-13Client of employee&#39;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.
Categories: Conflicts of Interest;
Advisory Opinion 97-15Inspector may hold part-time position as a solid-waste coordinator with county government which is regulated by the employee&#39; 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.
Categories: Outside Employment;
Advisory Opinion 97-17An 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.
Categories: Outside Employment;
Advisory Opinion 97-19An 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.
Categories: Post Employment;
Advisory Opinion 97-21An employee may remain a board member for a nonprofit organization that contracts with the agency audited by the employee&#39;s agency.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 97-23A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 97-25An executive secretary of regulatory board may not serve as legislative contact for private association if such contacts will require registration as a lobbyist.
Categories: Conflicts of Interest; Executive Agency Lobbying;
Advisory Opinion 97-27Employees 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.
Categories: Conflicts of Interest;
Advisory Opinion 97-29A director may not accept honorarium and donate it to a charitable organization if it is part of the director&#39;s official duty to speak at the educational program for which the honorarium was received.
Categories: Gifts;
expand Issuing Year: 1996
Advisory Opinion 96-02An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 96-04An 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&#39;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.
Categories: Outside Employment;
Advisory Opinion 96-06Adjutant General may serve on the board of directors of an airport board.
Categories: Conflicts of Interest;
Advisory Opinion 96-08A former Secretary of the Governor&#39;s Executive Cabinet may not represent a hospital in a &quot;certificate of need&quot; matter if such representation involves communication with or an appearance before the Health Policy Board.
Categories: Post Employment;
Advisory Opinion 96-10Employee 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 96-12This 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 96-14Employee 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).
Categories: Post Employment;
Advisory Opinion 96-16An employee may provide volunteer service and accept reimbursement for actual expenses from client of state agency for which the employee formerly worked.
Categories: Conflicts of Interest; Post Employment;
Advisory Opinion 96-18An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 96-20A department may hire a doctor to provide training even though an employee involved in the procurement rents private office space from the doctor.
Categories: Conflicts of Interest;
Advisory Opinion 96-22A 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 96-24A state agency may not accept donations from local businesses for foster care program if the state agency does business with the local merchant.
Categories: Solicitation/Fundraising;
Advisory Opinion 96-26An employee involved in procuring the services of a hotel for an official meeting should not accept a certificate for a free night&#39;s stay at the hotel. Additionally, if the official has received and used a certificate for a free night&#39;s stay he should refrain from involvement in all decisions relating to the hotel.
Categories: Conflicts of Interest;
Advisory Opinion 96-28An employee may not sell a continuing education program to the agency for which he works.
Categories: Conflicts of Interest;
Advisory Opinion 96-30An 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 96-32A Cabinet Secretary&#39;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.
Categories: Conflicts of Interest;
Advisory Opinion 96-34A 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.
Categories: Conflicts of Interest;
Advisory Opinion 96-36A 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.
Categories: Post Employment;
Advisory Opinion 96-38An 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 &quot;enjoying&quot; part of the contract.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 96-40A 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.
Categories: Post Employment;
Advisory Opinion 96-42A state agency may not accept gratuities from entities which do business with or are regulated by the state agency.
Categories: Gifts;
Advisory Opinion 96-44If 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.
Categories: Outside Employment;
Advisory Opinion 96-48An 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.
Categories: Conflicts of Interest;
Advisory Opinion 96-50A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 96-52A 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 96-54A 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.
Categories: Conflicts of Interest; Family Members
expand Issuing Year: 1995
Advisory Opinion 95-01Employee may provide training to employees of another state, but due to possible conflict of interest, may accept reimbursement of actual expenses only.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 95-03State 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 95-05A 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 95-07Employee may provide fitness instruction through outside entity to state agency located on the same grounds as the agency for which the employee works.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 95-09In KRS 11A.040(7), the term &quot;lobbyist&quot; refers to executive agency lobbyist as well as legislative agent.
Categories: Executive Agency Lobbying;
Advisory Opinion 95-11An 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.
Categories: Conflicts of Interest; Outside Employment; Contracts; Self-employment
Advisory Opinion 95-13Former employee is &quot;representing&quot; his new employer by taking part in on-site discussions with inspectors from the agency for which he former worked.
Categories: Post Employment;
Advisory Opinion 95-15Replaced 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.
Categories: Post Employment;
Advisory Opinion 95-17It 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.
Categories: Conflicts of Interest;
Advisory Opinion 95-19No 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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 95-21A state vocational instructor should not hire, for his private business, students who are enrolled in his classes.
Categories: Conflicts of Interest;
Advisory Opinion 95-23NUMBER VOIDED
Categories: Voided;
Advisory Opinion 95-25An employee who is &quot;returning to the same business, firm, occupation or profession&quot; for purposes of KRS 11A.040(6) includes returning to the profession for which the employee was educated and licensed prior to state employment.
Categories: Post Employment;
Advisory Opinion 95-27Convenience food store owned by spouse of employee who is involved in determining eligibility of applicants for food stamps is not prohibited from accepting stamps.
Categories: Conflicts of Interest;
Advisory Opinion 95-29An 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.
Categories: Gifts; Travel Expenses
Advisory Opinion 95-31For 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.
Categories: Post Employment;
Advisory Opinion 95-33An 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.
Categories: Conflicts of Interest; Outside Employment; Contracts; Self-employment
Advisory Opinion 95-35An 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.
Categories: Gifts; Meals
Advisory Opinion 95-37Attorney employed by a state agency must withdraw name from cases in which he was involved privately if his clients could appear before the employee&#39;s agency.
Categories: Conflicts of Interest;
Advisory Opinion 95-39Employees 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.
Categories: Outside Employment;
Advisory Opinion 95-41Stockyard owner may accept employment with the Department of Agriculture provided he is not employed by the division which regulates the stockyard.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 95-43Employee&#39;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.
Categories: Conflicts of Interest;
Advisory Opinion 95-45Employees 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
expand Issuing Year: 1994
Advisory Opinion 94-02Non-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.
Categories: Executive Agency Lobbying;
Advisory Opinion 94-04This opinion addresses a series of questions concerning executive agency lobbying as it applies to attorneys.
Categories: Executive Agency Lobbying;
Advisory Opinion 94-06Employee may not work part-time for hospital which receives state funds from the agency for which the employee works.
Categories: Outside Employment;
Advisory Opinion 94-08Agency head may not accept fee for service from association representing individuals who are regulated by the agency which the agency head supervises.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 94-11Volunteers, if paid by nonprofit organizations on behalf of an association, must register as executive agency lobbyists.
Categories: Executive Agency Lobbying;
Advisory Opinion 94-13management personnel with procurement authority includes employees below the director level who have procurement authority and who are in personnel management positions.
Categories: Post Employment; Solicitation/Fundraising;
Advisory Opinion 94-15A 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.
Categories: Conflicts of Interest;
Advisory Opinion 94-17Employee 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.
Categories: Conflicts of Interest;
Advisory Opinion 94-19An 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.
Categories: Gifts; Meals
Advisory Opinion 94-21A 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 94-23Employee 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.
Categories: Post Employment;
Advisory Opinion 94-25Employee 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.
Categories: Conflicts of Interest; Outside Employment; Contracts; Self-employment
Advisory Opinion 94-27Employees 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.
Categories: Gifts; Meals
Advisory Opinion 94-29Deputy executive directors are major management personnel and thus are required to file the statement of financial disclosure.
Categories: Statements of Financial Disclosure;
Advisory Opinion 94-31Inspector, 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.
Categories: Gifts; Travel Expenses
Advisory Opinion 94-33State foresters who inspect tree farms as part of their official duty may not accept incentive awards and gifts for such service.
Categories: Gifts;
Advisory Opinion 94-35A 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.
Categories: Conflicts of Interest;
Advisory Opinion 94-37A state agency which regulates water companies may not accept a donation from a water company for an environmental project.
Categories: Solicitation/Fundraising;
Advisory Opinion 94-39Employees may not accept free tuition and lodging at vendor-sponsored seminar unless tuition and lodging were included as part of bid on equipment.
Categories: Gifts; Travel Expenses
Advisory Opinion 94-41Upon 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.
Categories: Post Employment;
Advisory Opinion 94-43Commissioner may not accept airline card which would entitle him to special privileges when flying.
Categories: Conflicts of Interest;
Advisory Opinion 94-45Employee 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.
Categories: Gifts;
Advisory Opinion 94-47Former 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.
Categories: Post Employment;
Advisory Opinion 94-49Family 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.
Categories: Post Employment;
Advisory Opinion 94-51A 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 94-53An investment firm employee who meets with employees of bond-issuing state agency must register as an executive agency lobbyist.
Categories: Executive Agency Lobbying;
Advisory Opinion 94-55Member 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.
Categories: Conflicts of Interest; Post Employment;
Advisory Opinion 94-57Health 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 94-59The 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.
Categories: Conflicts of Interest;
Advisory Opinion 94-61Physician’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.
Categories: Conflicts of Interest; Family Members
Advisory Opinion 94-63In 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.
Categories: Gifts; Statements of Financial Disclosure;
Advisory Opinion 94-65This opinion number has been voided.
Categories: Voided;
Advisory Opinion 94-67A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 94-69A 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.
Categories: Post Employment;
Advisory Opinion 94-70A 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 94-9Replaced by Advisory Opinion 94-18
Categories: Outside Employment;
expand Issuing Year: 1993
Advisory Opinion 93-02The 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.
Categories: Conflicts of Interest;
Advisory Opinion 93-04An employee is prohibited for six months from accepting employment or compensation from a company with which he was directly involved in highway construction projects.
Categories: Conflicts of Interest;
Advisory Opinion 93-06An 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.
Categories: Post Employment;
Advisory Opinion 93-08An 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.
Categories: Post Employment;
Advisory Opinion 93-10An 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.
Categories: Gifts; Meals
Advisory Opinion 93-12An employee may not market a computer program developed on his free time because the employee&#39;s official position affords him contact with the same private attorneys to whom he will attempt to market the program.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 93-14Members of a county emergency planning committee are not considered employees in the executive branch and thus are not subject to KRS 11A.
Categories: Jurisdiction;
Advisory Opinion 93-16Upon resignation, an employee may contract to provide services for a state facility in which the employee is not currently employed.
Categories: Post Employment;
Advisory Opinion 93-18An agriculture market inspector is not permitted to acting as an order-buyer on his day off.
Categories: Conflicts of Interest; Outside Employment;
Advisory Opinion 93-20An employee may provide therapy in the community on his own time through limited services contract with private agencies.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 93-22An employee, upon resignation, may immediately obtain a personal service contract with the state.
Categories: Conflicts of Interest; Post Employment; Contracts
Advisory Opinion 93-24Property 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.
Categories: Conflicts of Interest; Solicitation/Fundraising; Statements of Financial Disclosure;
Advisory Opinion 93-26An inspector, a representative of the state, is prohibited from inspecting businesses that purchase eggs from his leased wholesale egg business.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 93-28An employee may serve as and out-of-state consultant on his own time.
Categories: Outside Employment;
Advisory Opinion 93-30An 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.
Categories: Post Employment;
Advisory Opinion 93-32An &quot;acting&quot; director is required to file a statement of financial disclosure.
Categories: Solicitation/Fundraising; Statements of Financial Disclosure;
Advisory Opinion 93-34Some 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 &quot;regular and substantial basis&quot; 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 93-36An 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 93-38A 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.
Categories: Conflicts of Interest;
Advisory Opinion 93-40A 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.
Categories: Outside Employment;
Advisory Opinion 93-42The 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 93-44An 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 &quot;in substance&quot; 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).
Categories: Jurisdiction; Post Employment;
Advisory Opinion 93-46Leasing 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.
Categories: Conflicts of Interest;
Advisory Opinion 93-48Employee 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,
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 93-50State employees involved in the regulation of electric cooperatives should not accept food and refreshments from the association that represents the cooperatives.
Categories: Gifts; Meals
Advisory Opinion 93-52Individuals 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 93-54Public 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 &quot;regular and substantial&quot; 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 93-56The 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 93-58In 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 93-60Members 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.
Categories: Solicitation/Fundraising;
Advisory Opinion 93-62Managers 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 93-64Attempts 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.
Categories: Executive Agency Lobbying;
Advisory Opinion 93-66Any entity which is regulated by a state agency is considered to be doing business with the state under KRS 11A.040(6).
Categories: Post Employment;
Advisory Opinion 93-68All state agencies which are a part of the financial reporting entity of the Commonwealth are considered executive branch agencies.
Categories: Jurisdiction;
Advisory Opinion 93-70This opinion number has been voided.
Categories: Voided;
Advisory Opinion 93-72The 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.
Categories: Conflicts of Interest; Outside Employment; Self-employment
Advisory Opinion 93-74The head of an agency which oversees public institutions of higher learning should not accept meals and tickets to athletic events from those institutions.
Categories: Gifts; Jurisdiction; Meals; Sporting Events
Advisory Opinion 93-76Retiring employee who has no regulatory authority over milk marketing companies may accept employment immediately with milk marketing company.
Categories: Post Employment;
Advisory Opinion 93-78This opinion number has been voided.
Categories: Voided;
Advisory Opinion 93-80An 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.
Categories: Gifts; Honoraria; Travel Expenses
Advisory Opinion 93-82This opinion number has been voided.
Categories: Voided;
Advisory Opinion 93-84An 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.
Categories: Jurisdiction; Post Employment;
Advisory Opinion 93-86An 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.
Categories: Conflicts of Interest; Jurisdiction; Contracts
Advisory Opinion 93-88Solicitation 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.
Categories: Conflicts of Interest; Gifts;
Advisory Opinion 93-90This opinion number has been voided.
Categories: Voided;
Advisory Opinion 93-92Upon 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.
Categories: Conflicts of Interest; Post Employment;
expand Issuing Year: 1992
Advisory Opinion 92-02A Fish and Wildlife officer that owns a marina should not transact business with state officers where state monies will be expended.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 92-04A 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.
Categories: Conflicts of Interest; Contracts
Advisory Opinion 92-06Social 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.
Categories: Conflicts of Interest; Post Employment; Contracts
Advisory Opinion 92-08The 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.
Categories: Post Employment;
Advisory Opinion 92-10The Executive Branch Code of Ethics is applicable to all employees including property valuation administrators.
Categories: Jurisdiction;
Advisory Opinion 92-12An 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.
Categories: Post Employment;