CHAPTER 11 The Governor

11.010. Salary. [Repealed.]

Compiler’s Notes.

This section (4357-1) was repealed by Acts 1959, ch. 123, § 29. For the present law see KRS 64.480 .

11.020. Mansion.

The Governor shall have the use of the mansion and the furniture therein and premises, free of rent, but the purchase of furniture for the mansion shall be upon the recommendation of the secretary of the Finance and Administration Cabinet and in accordance with KRS Chapter 42.

History. 4357-2: amend. Acts 1958, ch. 17, effective June 19, 1958.

NOTES TO DECISIONS

1.Fee for Tours.

When the Governor and the Cabinet for Finance and Administration agree that the private quarters of the executive mansion be opened to fund-raising tours for the general public conducted by a nonprofit organization and a permit is issued to such effect, their actions are within the statutory grant of authority of this section and KRS Chapters 42, 45, and 56. Commonwealth ex rel. Beshear v. Brown, 672 S.W.2d 675, 1984 Ky. App. LEXIS 602 (Ky. Ct. App. 1984).

This section and the relationship of the state’s chief executive officer to the Commonwealth as employee-tenant to public landlord afford the Governor the discretion to permit a nonprofit organization to conduct tours of the private quarters of the executive mansion for the general public in exchange for a monetary fee. Commonwealth ex rel. Beshear v. Brown, 672 S.W.2d 675, 1984 Ky. App. LEXIS 602 (Ky. Ct. App. 1984).

Research References and Practice Aids

Cross-References.

Accounting and bookkeeping systems, Governor to install uniform, KRS 12.130 .

Act, date of approval to be stated at end, KRS 6.240 .

Active militia, Governor is commander-in-chief of, KRS 37.180 .

Acts of legislature, Governor entitled to copy of, KRS 57.300 .

Administrative departments, general rules of conduct, promulgation by Governor, KRS 12.080 .

Agencies, conflicts between, determination by Governor, KRS 12.100 .

Appointments approved by Governor:

Alcoholic Beverage Control Board, KRS 241.030 .

Alcoholic Beverage Control Office Department, commissioner,KRS 241.015 .

Assistant treasurer to act for state treasurer, KRS 41.060 .

Attorney for Unemployment Insurance Commission, KRS 12.210 .

Cabinet for Health and Family Services, general counsel, KRS 194A.030 .

Cabinet for Health and Family Services, inspector general, KRS 194A.030 .

Cabinet for Health and Family Services, executive director, Office of Health Policy, KRS 194A.030 .

Department of Labor, employees, KRS 336.030 .

Deputy commissioner of financial institutions, KRS 286.1-025 .

Commissioner of financial institutions, KRS 286.1-012 .

Department of Housing, Buildings and Construction, Commissioner, KRS 227.205 .

Finance and Administration Cabinet, Office of the Secretary, executive directors, KRS 42.0145 .

Justice and Public Safety Cabinet, commissioner of Department of Criminal Justice Training, KRS 15A.020 .

Justice and Public Safety Cabinet, commissioner of Department of Juvenile Justice, KRS 15A.020 .

Justice and Public Safety Cabinet, commissioner of Department of State Police, KRS 15A.020 .

Office of Administrative Services, Division Directors, KRS 42.0171 .

Office of Employment and Training, executive director, KRS 151B.280 .

Probation and parole laws, person charged with administration of, KRS 439.310 .

Soil and Water Conservation Commission, KRS 146.090 .

Statutory departments, appointment of deputy heads, KRS 12.050 .

Supervisor of apprenticeship, KRS 343.030 .

Appointments by Governor:

Advisory Board for Veterans’ Affairs, KRS 40.305 .

Advisory Council for Medical Assistance, KRS 205.540 .

Apprenticeship and Training Council, KRS 343.020 .

Archives and Records Commission, KRS 171.420 .

Authority for Educational Television, KRS 168.040.

Board for Certification of Librarians, KRS 171.240 .

Board for Licensing Specialists in Hearing Instruments, KRS 334.140 .

Board of Barbering, KRS 317.430 .

Board of Claims, hearing officers, KRS 44.070 .

Board of Dentistry, KRS 313.020 .

Board of Education, KRS 156.029.

Board of Embalmers and Funeral Directors, KRS 316.170 .

Board of Hairdressers and Cosmetologists, KRS 317A.030 .

Board of Nursing, KRS 314.121 .

Board of Pharmacy, KRS 315.150 .

Board of Social Work, KRS 335.050 .

Board of Veterinary Examiners, KRS 321.230 .

Boards of directors for community colleges and community and technical colleges, KRS 164.600.

Boiler and Pressure Vessel Rules, Board of, KRS 236.020 .

Boxing and Wrestling Authority, KRS 229.151 .

Capital city, planning commission, member, KRS 100.133 .

Commissioners of foreign deeds, KRS 423.070 .

Crime Victims Compensation Board, KRS 346.030 .

Employees retirement system board of trustees, KRS 61.645 .

Environmental Quality Commission, KRS 224.1-100 .

Fish and Wildlife Resources Commission, KRS 150.022 .

Governor’s Financial Policy Council, KRS 147B.100 .

Hemophilia Advisory Committee, KRS 200.560 .

Higher education student loan corporation, KRS 164A.050.

Horse Racing Commission, KRS 230.225 .

Horse Racing Commission, executive director, 230.230 .

Infrastructure Authority, KRS 224A.030 .

Interstate Water Sanitation Board, KRS 224.18-710 .

Judges, commission to consider retirement, suspension or removal, two members, Ky. Const., § 121.

Judicial nominating commissions, Ky. Const., § 118, KRS 34.010.

Manufactured Home Certification and Licensure Board, KRS 227.560 .

Mine inspectors, KRS 351.090 .

Mining Board, KRS 351.105 .

Nature Preserves Commission, KRS 146.425 .

Occupational Safety and Health Review Commission, KRS 338.071 .

Occupational Safety and Health Standards Board, KRS 338.051 .

Oil and Gas Conservation Commission, KRS 353.565 .

Oral History Commission, KRS 153.380 .

Parks, commissioner of, KRS 148.011 .

Pest Control Advisory Board, KRS 217B.505(2).

Planning Commission, KRS 100.133 .

Psychologists, board of examiners of, KRS 319.020 .

Public employees deferred compensation board of trustees, KRS 18A.245 .

Public Officials Compensation Commission, KRS 64.742 .

Public Service Commission, KRS 278.050 .

Railroad policemen, KRS 277.270 .

Real Estate Commission, KRS 324.281 .

Registry of election finance, KRS 121.110 .

Special counsel to assist commonwealth’s attorney in civil cases, KRS 69.010 .

Special local peace officers, KRS 61.360 .

State Advisory Council on Libraries, KRS 173.810 .

State Board of Accountancy, KRS 325.230 .

State Board of Chiropractic Examiners, KRS 312.025 .

State Board of Elections, KRS 117.015 .

State Board of Examiners and Registration of Landscape Architects, KRS 323A.150 .

State Board of Medical Licensure, KRS 311.530 .

State Board of Registration for Professional Engineers and Land Surveyors, KRS 322.230 , 322.250 .

State Fair Board, KRS 247.090 .

State Labor Relations Board, KRS 345.120 .

State librarian, KRS 171.130 .

State Plumbing Code Committee, KRS 318.071 .

State treasurer, acting treasurer during suspension of, KRS 41.050 .

Unemployment insurance commission, KRS 341.110 .

Attorneys for state departments, Governor may employ or approve employment of, KRS 12.210 .

Auditor, Governor may require audit by, KRS 43.050 .

Audits, Governor may have audits made, KRS 43.050 , 43.090 .

Bonds of state officers, Governor to fix amounts of, KRS 62.160 .

Bonds to be approved by Governor:

Attorney General, KRS 62.200 .

State depositories, KRS 41.240 , 41.250 .

Books to be delivered to successor, KRS 57.360 .

Commissions to be issued by Governor, Ky. Const., §§ 140, 142, KRS 61.020 .

Congressional representatives, special election, proclamation, KRS 118.720 .

Constitutional provisions as to Governor, Ky. Const., §§ 69 to 90, 95, 96, 228, 240.

Contracts approved by Governor, KRS 57.091 .

Department of Highways, Governor to approve expenditure of funds for printing and dissemination of information concerning highways, KRS 176.055 .

Election of U.S. Senator to be certified to President of United States Senate, KRS 118.465 .

Election, writ of to fill vacancy in General Assembly, KRS 118.730 .

Executive journal, resignations to be entered in, KRS 63.010 .

Executive journal, state depositories to be entered on, KRS 41.220 .

Forest reserves, Governor must consent to acquisition by United States of, KRS 3.080 .

Forfeiture of charter of bridge company, Governor may institute proceedings for, KRS 280.990 .

Handicapped children, report on activities of Cabinet for Human Resources regarding, KRS 200.480 .

Interstate compacts or agreements, Governor’s control over, KRS 12.240 .

Journals of General Assembly, Governor entitled to copy, KRS 57.310 .

Judicial nominating commissions, appointment, Ky. Const., § 118.

Justice of the peace, Governor may authorize to perform marriage, KRS 402.050 .

Kentucky State Fair Board, Governor member of, KRS 247.090 .

Labor, cooperative agreements as to, to be approved by Governor, KRS 336.120 .

Law, Governor not to practice, KRS 11.120 .

Lease of land for charitable or correctional institution to be approved by Governor, KRS 196.120 .

Militia, officers of appointed by Governor, Ky. Const., § 222.

Militia, powers and duties of Governor with respect to, KRS Chapters 36, 37 and 38.

Pardons, Ky. Const., §§ 77, 240.

Peace officer, reinstatement by Governor, KRS 63.160 .

Printing contracts to be approved by Governor, Ky. Const., § 247; KRS 57.091 .

Prisoners, contracts for employment of to be approved by Governor, KRS 197.160 .

Removals by Governor:

Boxing and Wrestling Authority, KRS 229.151 .

Officers appointed by Governor, KRS 63.080 .

Peace officer, for neglect of duty, KRS 63.090 to 63.130 .

Peace officer, for permitting prisoner to be lynched, KRS 63.140 .

Planning Commission, KRS 100.133 .

Public Service Commission, KRS 278.070 .

State Police Personnel Board, KRS 16.050 .

State treasurer, suspension of, KRS 41.050 .

Reorganization powers of Governor, KRS 12.027 , 12.028 .

Reports and recommendations to General Assembly:

Budget, message and report, KRS 48.100 .

Finances and operations of state, KRS 12.110 .

Message to General Assembly, Ky. Const., § 79.

Reports to Governor:

Auditor, KRS 43.050 , 43.090 .

Administrative departments, KRS 12.110 , 12.130 .

Banks to report rates of exchange, KRS 360.080.

Child welfare, KRS 200.100 .

Department of Mines and Minerals, KRS 351.160 .

Financial condition of state, KRS 48.400 .

Geological survey, KRS 151.040 .

Handicapped children, report of Commission for Children with Special Health Care Needs, KRS 200.480 .

Highways, Department of, upon turnpike activities, KRS 177.530 .

State fair board building and improvement fund, KRS 247.190 .

Legislative Research Commission, KRS 7.110 .

Officers, Governor may require information from, Ky. Const., § 78.

Psychologists, Board of Examiners of, KRS 319.030 .

State Board of Registration of Professional Engineers, KRS 322.310 .

State Fair Board, audit of, KRS 247.190 .

State treasurer, KRS 41.310 , 41.320 , 41.340 .

Workers’ Compensation Board, KRS 342.435 .

Requisition for return of fugitive, KRS 440.090 .

Rewards for return of fugitive, KRS 440.100 , 440.110 .

Salary of Governor, KRS 64.480 .

Secretary of state’s bond to be filed with Governor, KRS 62.200 .

Separation of governmental powers, Ky. Const., §§ 27, 28.

State Fair Board, Governor is member of, KRS 247.090 .

State planning function of Governor’s cabinet, KRS 147.070 to 147.120 .

State Property and Buildings Commission, Governor is chairman of, KRS 56.450 .

State seal, official acts of Governor to be attested by, KRS 14.040 .

Treasurer, Governor may require exhibit of books, accounts and cash, KRS 41.310 , 41.320 .

Treasurer, Governor may suspend, KRS 41.050 .

Treasury, Governor may require statement of condition of, KRS 41.320 .

Turnpike projects of Department of Highways, Governor to approve, KRS 177.410 .

Vacancies filled by Governor:

Militia, Ky. Const., § 222.

Offices for which there is no other provision for filling vacancy, Ky. Const., §§ 76, 152; KRS 63.190 .

United States Senator, KRS 63.200 .

Writ of election to fill vacancy in General Assembly, KRS 118.730 .

Vacancy in county judge/executive, governor notified, KRS 63.210 .

Vacancy in office of Governor, KRS 118.710 .

Warrant for apprehension of fugitive, KRS 440.220 , 440.230 .

Warrant for execution of condemned prisoner, KRS 431.240 .

11.025. Mansion committee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 253, §§ 1-6; 1976, ch. 62, § 5) was repealed by Acts 1980, ch. 388, § 3, effective July 15, 1980.

11.026. Historic Properties Advisory Commission — Historic properties endowment trust fund — Separate trust fund.

  1. As used in this section, “state curator” means the director of the Division of Historic Properties within the Department for Facilities and Support Services in the Finance and Administration Cabinet with responsibilities for the preservation, restoration, acquisition, and conservation of all decorations, objects of art, chandeliers, china, silver, statues, paintings, furnishings, accouterments, and other aesthetic materials that have been acquired, donated, loaned, and otherwise obtained by the Commonwealth of Kentucky for the Executive Mansion, the Old Governor’s Mansion, the Vest Lindsey House, the New State Capitol, and other historic properties under the control of the Finance and Administration Cabinet.
  2. The Historic Properties Advisory Commission is established to provide continuing attention to the maintenance, furnishings, and repairs of the Executive Mansion, Old Governor’s Mansion, the Vest Lindsey House, and New State Capitol. The commission shall be attached to the Finance and Administration Cabinet for administrative purposes.
  3. The commission shall consist of fourteen (14) members, one (1) of whom shall be the director of the Kentucky Heritage Council. It is recommended that one (1) shall be the state curator, one (1) shall be the executive director of the Kentucky Historical Society, one (1) shall be a resident of Franklin County with experience in restoration, one (1) shall be the director of the Executive Mansion, one (1) shall be the director of the Old Governor’s Mansion, and the remainder of the membership shall be selected from the state-at-large from persons with experience in historical restoration.
  4. The officers of the commission shall consist of a chairman, who shall be appointed by the Governor, and a secretary, who shall be responsible for the keeping of the records and administering the directions of the commission. The state curator of the Commonwealth of Kentucky shall serve as the secretary of the commission. A member of the Governor’s family may serve as an honorary, nonvoting member of the commission. A simple majority of the membership shall constitute a quorum for the transaction of business by the commission.
  5. The public members of the commission shall be appointed by the Governor and shall serve terms of four (4) years except that of the members initially appointed, two (2) members shall serve terms of one (1) year; two (2) members shall serve terms of two (2) years; one (1) member shall serve a term of three (3) years; and one (1) member shall serve a term of four (4) years. The executive director of the Historical Society and director of the Executive Mansion shall serve on the commission in an ex officio capacity. The persons holding the offices of executive director of the Historical Society, director of the Executive Mansion, director of the Kentucky Heritage Council, and state curator shall serve terms concurrent with holding their respective offices.
  6. Each commission member shall be reimbursed for his necessary travel and other expenses actually incurred in the discharge of his duties on the commission.
  7. There is established in the State Treasury a historic properties endowment trust fund which shall be administered by the director of the Division of Historic Properties under the supervision of the Commissioner of the Department for Facilities and Support Services. The fund may receive state appropriations, gifts, grants, and federal funds and shall be disbursed by the State Treasurer upon warrant of the secretary of finance and administration. The fund shall be used for carrying out the functions of the Division of Historic Properties. The Division of Historic Properties may publish written material pertaining to historic properties of the state and charge and collect a reasonable fee for any such publications. The proceeds shall be deposited to the credit of the fund and after paying the costs of publication, the balance of the proceeds shall be used for purposes specified in KRS 11.027 .
  8. In addition to the historic properties endowment trust fund, there shall be established in the State Treasury a separate and distinct endowment trust fund known as the Ida Lee Willis-Vest Lindsey House endowment trust fund, which shall be jointly administered by the director of the Kentucky Heritage Council and the director of the Division of Historic Properties under the supervision of the commissioner of the Department for Facilities and Support Services. The fund may receive state appropriations, gifts, grants, and federal funds and shall be disbursed by the State Treasurer upon warrant of the secretary of finance and administration. The fund shall be used solely for the benefit of, or related to, the Vest Lindsey House, including but not limited to building maintenance and repairs, structural restoration or renovation, acquisition and maintenance of furnishings or decorations, and the development of interpretative materials regarding the historical and architectural significance of the Vest Lindsey House and its relation to other sites in the North Frankfort area. The creation of the Ida Lee Willis-Vest Lindsey House endowment trust fund is intended to be a supplemental source of funds and in no way restricts the expenditure of funds from the historic properties endowment trust fund or any state fund for the benefit of the Vest Lindsey House.

HISTORY: Enact. Acts 1980, ch. 388, § 1, effective July 15, 1980; 1984, ch. 254, § 1, effective July 13, 1984; 1988, ch. 101, § 1, effective July 15, 1988; 1994, ch. 176, § 4, effective July 15, 1994; 2005, ch. 85, § 26, effective June 20, 2005; 2008, ch. 24, § 2, effective July 15, 2008; 2015 ch. 69, § 2, effective June 24, 2015.

Opinions of Attorney General.

Under the common-law definition of dwelling house, the jurisdiction of the Mansion Commission extends to the immediate grounds used in connection with the Executive Mansion, to the extent applicable under this section and KRS 11.027 . OAG 83-21 .

11.027. Meetings of commission — Duties.

  1. The commission shall meet at least every six (6) months and when called into session by the chairman at the request of the Governor, of any two (2) or more members of the commission, or on his own motion.
  2. The commission shall examine the Executive Mansion, the Old Governor’s Mansion, the Vest Lindsey House, and the New State Capitol at least once each year, and the commission shall have authority over any construction, repairs, structural restoration, or renovation of these properties. The commission shall supervise the maintenance of a current inventory of all furnishings in the properties and the inventory shall be maintained by the Division of Historic Properties in the Department for Facilities and Support Services in the Finance and Administration Cabinet. The Division of Historic Properties shall maintain inventory records relating to all such property of the state and no such property shall be disposed of except upon recommendation of the director of the Division of Historic Properties with advice of the Historic Properties Advisory Commission. The proceeds realized from the sale of any items shall be deposited in the historic properties endowment fund, established by KRS 11.026 , except that the proceeds realized from the sale of any items derived from, or related to, the Vest Lindsey House shall be deposited in the separate and distinct Ida Lee Willis-Vest Lindsey House endowment trust fund, established by KRS 11.026 (8).
  3. The commission shall recommend, from time to time, on the needs for furnishings, maintenance, repair, or renovation of the Executive Mansion, the Old Governor’s Mansion, the Vest Lindsey House, and the New State Capitol; and the Department for Facilities and Support Services in the Finance and Administration Cabinet shall, from funds available, take the action recommended. The commission shall have final authority over articles placed in the properties and moneys spent on these buildings, except that the Kentucky Heritage Council shall have final authority over any moneys spent from the Ida Lee Willis-Vest Lindsey House endowment trust fund. The commission shall develop criteria for this display of objects on and for the use of the public areas of the basement and first and second floors of the New State Capitol and shall be consulted by the director of the Division of Historic Properties before objects are accepted for or removed from permanent display in the Capitol.
  4. The commission shall provide coordination and make arrangements for an orderly transition between outgoing and incoming chief executives.

History. Enact. Acts 1980, ch. 388, § 2, effective July 15, 1980; 1984, ch. 254, § 2, effective July 13, 1984; 1994, ch. 176, § 5, effective July 15, 1994; 2005, ch. 85, § 27, effective June 20, 2005; 2008, ch. 24, § 3, effective July 15, 2008.

Opinions of Attorney General.

Under the common-law definition of dwelling house, the jurisdiction of the Mansion Commission extends to the immediate grounds used in connection with the Executive Mansion, to the extent applicable under KRS 11.026 and this section. OAG 83-21 .

The words “moneys spent on mansion” in subsection (3) of this section are clear and unambiguous and mean, as the legislature clearly intended, any moneys from any source spent on mansion restoration. OAG 83-21 (Opinion prior to 1984 amendment).

The Mansion Commission’s authority extends to giving final approval on all moneys spent on mansion restoration, including final approval of gifts and donations made by private (nongovernment) entities to the Mansion Commission. OAG 83-21 .

11.030. Private secretary. [Repealed.]

Compiler’s Notes.

This section (4357-3, 4618-147) was repealed by Acts 1956, ch. 27, § 1.

11.031. Gift shop in New State Capitol.

  1. As used in this section:
    1. “Resident of Kentucky” means an individual who resides in the Commonwealth of Kentucky or an entity that manufactures, produces, or otherwise makes goods within the Commonwealth; and
    2. “Products made in the United States” means goods manufactured, produced, or otherwise made in the United States of America.
  2. The Finance and Administration Cabinet may establish a gift shop in the public areas of the New State Capitol. All goods sold in the gift shop shall be products made in the United States. Not less than fifty percent (50%) of the gift shop’s inventory shall be products made by residents of Kentucky.

History. Enact. Acts 1996, ch. 30, § 1, effective July 15, 1996.

11.040. Personnel for Governor’s office — Office of Secretary of the Governor’s Executive Cabinet.

  1. The Governor may appoint such persons as he deems necessary for the proper operation of his office to perform such duties as the Governor may require of them. The persons so appointed shall hold office at the pleasure of the Governor. None of the provisions of KRS 64.640 shall be applicable to persons appointed under this subsection.
  2. There is hereby created an agency of the state government to be known as the Office of the Secretary to the Governor’s Executive Cabinet. The Office of the Secretary to the Governor’s Executive Cabinet shall not be part of the Office of the Governor, but shall constitute a separate agency of state government. The secretary so appointed shall have such rights, duties and responsibilities as may be assigned by the Governor.
  3. The position of secretary to the Governor’s Executive Cabinet shall be filled by appointment of the Governor and shall serve at the pleasure of the Governor. The secretary shall be responsible for implementing all policies of the Governor, coordinating all activities of the Governor’s Executive Cabinet, and advising and consulting with the Governor on all policy matters affecting the state.
  4. The Office of the Secretary to the Governor’s Executive Cabinet shall include such principal assistants, appointed by the secretary of the cabinet pursuant to KRS 12.050 , as may be necessary to execute the functions of the office.

History. 3942f-1 to 3942f-3; amend. Acts 1956, ch. 27, § 2, effective May 18, 1956; 1982, ch. 393, § 1, effective July 15, 1982.

Opinions of Attorney General.

Where the Governor appointed a person to serve in two capacities: (1) as the Secretary of Justice under KRS 15A.010 (now repealed), whose salary is statutorily limited by KRS 64.640(2), and (2) as special assistant to the Governor, with specifically assigned duties under this section, separate and distinct from his duties as Secretary of Justice, that appointee’s total compensation should reflect his duties involved in both positions since the two positions are mutually exclusive, and since KRS 64.640(2) imposes no limitation on his salary as a special assistant under this section. OAG 80-265 .

A member of the turnpike authority may not send a proxy, with voting power, to meetings of the turnpike authority in the absence of statutory authority granting him such delegating power; the governor (pursuant to this section), the Attorney General (pursuant to KRS 15.100(1)), and the Secretary of Development (pursuant to executive order no. 80-190) can, in writing, designate a proxy to attend the turnpike authority meetings with full voting power. OAG 80-376 .

11.050. Messenger’s allowance. [Repealed.]

Compiler’s Notes.

This section (345) was repealed by Acts 1986, ch. 407, § 1, effective July 15, 1986.

11.060. Governor’s General Cabinet.

  1. The heads of the constitutional and statutory administrative departments and program cabinet secretaries enumerated in KRS 12.020 shall constitute the Governor’s General Cabinet, which shall meet upon the call of the Governor. The Governor shall be the chairman and the Governor’s private secretary shall serve as secretary of the General Cabinet. The General Cabinet shall be attached to the Office of the Governor and shall not constitute a separate department or agency of the state.
  2. The cabinet shall consider such matters involving general administrative policies and procedure, relations between departments and other agencies and desirable measures of cooperation between departments and other agencies, as the Governor or any member may place before it; shall advise and consult with the Governor at his request on all matters affecting the welfare of the state and relating to the several departments, program cabinets and other agencies.

History. 4618-147: amend. Acts 1974, ch. 74, Art. I, § 1.

NOTES TO DECISIONS

Cited in:

Thompson v. Huecker, 559 S.W.2d 488, 1977 Ky. App. LEXIS 867 (Ky. Ct. App. 1977); Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Research References and Practice Aids

Cross-References.

State planning, KRS 147.070 to 147.120 .

Kentucky Bench & Bar.

Lear and Fleenor, Board and Commission Appointments: Executive Power — With Limits,. Vol. 72, No. 4, July 2008, Ky. Bench & Bar 23.

Kentucky Law Journal.

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

11.065. Governor’s Executive Cabinet.

  1. The secretaries of the Justice and Public Safety Cabinet, the Education and Workforce Development Cabinet, the Public Protection Cabinet, the Transportation Cabinet, the Cabinet for Economic Development, the Cabinet for Health and Family Services, the Finance and Administration Cabinet, the Energy and Environment Cabinet, the Labor Cabinet, the Tourism, Arts and Heritage Cabinet, the Personnel Cabinet, the Governor’s Executive Cabinet, the chief information officer, the state budget director, the Governor’s chief of staff, and the Lieutenant Governor shall constitute the Governor’s Executive Cabinet. There shall be a vice chairman appointed by the Governor who shall serve in an advisory capacity to the Executive Cabinet. The Governor shall be the chairman, and the secretary of the Finance and Administration Cabinet shall be a second vice chairman of the Executive Cabinet. The Governor may designate others to serve as vice chairman.
  2. The cabinet shall meet not less than once every two (2) months and at other times on call of the Governor. The Executive Cabinet shall be a part of the Office of the Governor and shall not constitute a separate department or agency of the state. Members of the cabinet shall be the major assistants to the Governor in the administration of the state government and shall assist the Governor in the proper operation of his office and perform other duties the Governor may require of them.
  3. The cabinet shall consider matters involving policies and procedures the Governor or any member may place before it. The cabinet shall advise and consult with the Governor on all matters affecting the welfare of the state.

History. Enact. Acts 1974, ch. 74, Art. I, § 2; 1978, ch. 155, § 1, effective June 17, 1978; 1978, ch. 186, § 19, effective March 29, 1978; 1980, ch. 295, § 1, effective July 15, 1980; 1982, ch. 379, § 2, effective April 9, 1982; 1982, ch. 393, § 2, effective July 15, 1982; 1982, ch. 396, § 1, effective July 15, 1982; 1984, ch. 404, § 6, effective July 13, 1984; 1984, ch. 414, § 1, effective July 13, 1984; 1988, ch. 205, § 1, effective July 15, 1988; 1990, ch. 325, § 19, effective July 13, 1990; 1992, ch. 211, § 3, effective July 14, 1992; 1994, ch. 209, § 7, effective July 15, 1994; 1996, ch. 279, § 1, effective July 15, 1996; 1998, ch. 48, § 1, effective July 15, 1998; 1998, ch. 154, § 1, effective July 15, 1998; 1998, ch. 426, § 60, effective July 15, 1998; 2005, ch. 85, § 4, effective June 20, 2005; 2005, ch. 95, § 1, effective June 20, 2005; 2005, ch. 99, § 1, effective June 20, 2005; 2005, ch. 123, § 1, effective June 20, 2005; 2006, ch. 211, § 1, effective July 12, 2006; 2007, ch. 85, § 3, effective June 26, 2007; 2009, ch. 11, § 1, effective June 25, 2009; 2009, ch. 16, § 1, effective June 25, 2009; 2010, ch. 24, § 4, effective July 15, 2010; 2014, ch. 89, § 8, effective July 15, 2014; 2014, ch. 138, § 1, effective July 15, 2014.

Legislative Research Commission Notes.

(7/15/2014). This statute was amended by 2014 Ky. Acts chs. 89, sec. 8, and 138, sec. 1, which are identical and have been codified together.

NOTES TO DECISIONS

1.Secretary’s Authority.

As the Secretary is a member of the executive cabinet, he is authorized and required to assist the Governor in his duties; accordingly, the Governor has the authority to order the Secretary to bring a suit to enforce the laws of Kentucky and the Secretary has the right to retain private counsel to assist him in so doing. Stars Interactive Holdings (IOM) Ltd. v. Commonwealth ex rel. Tilley, 2018 Ky. App. LEXIS 321 (Ky. Ct. App. Dec. 21, 2018).

Cited in:

Ex parte Farley, 570 S.W.2d 617, 1978 Ky. LEXIS 390 ( Ky. 1978 ).

11.066. Creative Services Branch in the Office of the Governor. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 159, § 1) was repealed by Acts 1994, ch. 216, § 1, effective July 15, 1994.

11.068. Office of State Budget Director — Organizational units — Duties, rights, and responsibilities.

  1. There is created an agency of state government known as the Office of State Budget Director. The office shall be attached for administrative purposes to the Office of the Governor.
  2. The office shall include the following major organizational units:
    1. The Office of State Budget Director, headed by the state budget director. The state budget director shall be appointed by the Governor pursuant to KRS 11.040 and shall serve, under direction of the Governor, as state budget director and secretary of the state planning committee. The office shall include such principal assistants and supporting personnel appointed pursuant to KRS Chapter 12 as may be necessary to carry out the functions of the office. The office shall have such duties, rights, and responsibilities as are necessary to perform, without being limited to, the following functions:
      1. Functions relative to the preparation, administration, and evaluation of the executive budget as provided in KRS Chapters 45 and 48 and in other laws, including but not limited to, capital construction budgeting, evaluation of state programs, program monitoring, financial and policy analysis and issue review, and executive policy implementation and compliance;
      2. Continuous evaluation of statewide management and administrative procedures and practices, including but not limited to economic forecasting, technical assistance to state agencies, forms control, and special analytic studies as directed by the Governor; and
      3. Staff planning functions of the state planning committee and evaluation of statewide management and administrative practices and procedures.
    2. Governor’s Office for Policy and Management, headed by the state budget director. The state budget director shall maintain staff employed pursuant to KRS Chapter 18A sufficient to carry out the functions of the office relating to state budgeting as provided in paragraph (a) of this subsection and state planning as provided in KRS Chapter 147, review of administrative regulations proposed by executive agencies prior to filing pursuant to KRS Chapter 13A and such other duties as may be assigned by the Governor.
    3. Governor’s Office for Policy Research, headed by the state budget director. The Governor’s Office for Policy Research shall assist the state budget director in providing policy research data, information, and analysis to the Governor on public policy issues that impact the Commonwealth. The state budget director shall identify and direct the research to be completed and provided by the office. The state budget director shall maintain staff employed in accordance with KRS Chapter 18A sufficient to carry out the functions of the office.
    4. Governor’s Office for Economic Analysis, headed by the state budget director. The state budget director shall maintain staff employed in accordance with KRS Chapter 18A sufficient to carry out the functions of the office. The Governor’s Office for Economic Analysis shall carry out the revenue estimating and economic analysis functions and responsibilities, including but not limited to the functions and responsibilities assigned to the Office of State Budget Director by KRS Chapter 48. The Governor’s Office for Economic Analysis shall perform the tax administrative function of using tax data to provide the Department of Revenue with studies, projections, statistical analyses, and any other information that will assist the Department of Revenue in performing its tax administrative functions.

HISTORY: Enact. Acts 1984, ch. 186, § 1, effective July 13, 1984; 1996, ch. 279, § 2, effective July 15, 1996; 2000, ch. 46, § 1, effective July 14, 2000; 2005, ch. 85, § 28, effective June 20, 2005; 2009, ch. 78, § 23, effective June 25, 2009; 2017 ch. 53, § 1, effective June 29, 2017.

11.070. Governor may employ skilled or professional services.

The Governor may employ reputable, qualified, experienced auditors, accountants, clerks, bookkeepers and any other skilled or professional services to perform any service which the Governor deems proper and may direct.

History. 4618-170, 4618-173.

Research References and Practice Aids

Cross-References.

Attorneys, Governor may employ or approve employment of, KRS 12.210 .

11.080. Definition of agency.

As used in KRS 11.090 to 11.110 , “agency” includes any department, program cabinet, institution, board, commission, office or agency of the state.

History. Amend. Acts 1974, ch. 74, Art. I, § 3.

Compiler’s Notes.

This section was originally created to clarify KRS 11.090 to 11.110 .

11.090. Audit, study or survey of state agencies.

The Governor may, at any time, cause to be made a comprehensive and complete audit, study or survey of any agency of the state. The audit, study or survey shall extend back over such period of time as the Governor deems necessary to reveal the true financial condition of the agency, and shall be of such character as to ascertain any waste, duplication of efforts, useless or unnecessary offices or positions, faulty or inadequate systems of bookkeeping or accounting, improper budgeting, and all other facts deemed necessary by the Governor.

History. 4618-170.

Research References and Practice Aids

Cross-References.

Governor may require auditor to make audits, KRS 43.050 , 43.090 .

Governor may require information from officers, Ky. Const., § 78.

Governor to install uniform accounting and bookkeeping systems, KRS 12.130 .

Investigations and studies by Finance and Administration Cabinet, KRS 45.131 , 45.142 .

Legislative Research Commission, studies by, KRS 7.100 .

11.100. Right to information — Access to records.

Any person employed by the Governor under the provisions of KRS 11.070 may, when authorized in writing by the Governor, require information on oath of any person touching any matter relative to any account which he is required to examine, study or audit. Any person having such written authority shall also have free and full access to all books, files, records and accounts of every agency of the state, useful for the full and complete performance of the duties assigned to him by the Governor.

History. 4618-171.

Research References and Practice Aids

Cross-References.

Power of employees of departments to swear and examine witnesses, KRS 12.120 .

11.110. Compensation — From what fund paid.

The Governor shall fix the compensation of persons employed by him under the provisions of KRS 11.040 and 11.070 . If the services of the persons employed are rendered in or to any particular agency, their compensation and expenses may be charged to and paid out of the appropriation of that agency, when certified to the Finance and Administration Cabinet by the head of the agency and approved by the Governor. If there is no appropriation to the agency from which such compensation and expenses can properly be paid, the Governor may direct that they be paid out of the Governor’s emergency fund.

History. 4618-172: amend. Acts 1956, ch. 27, § 3, effective May 18, 1956; Acts 1974, ch. 74, Art. II, § 9(1).

11.120. Practice of law prohibited.

The Governor and the Lieutenant Governor shall not engage in the practice of law during their terms of office.

History. Enact. Acts 1976, ch. 58, § 1.

11.150. Negotiations with Indiana, Ohio, or Illinois — Ratification of agreements.

The Governor is expressly authorized to negotiate with the appropriate authorities of Indiana, Ohio, or Illinois and to ratify any agreements with Indiana, Ohio, or Illinois, including but not limited to any agreements governing the registration of motor boats or the operation, equipment or safety of any vessel as defined in KRS 235.010 , which may be needed as a result of the decision of the Supreme Court of the United States in Kentucky v. Indiana, No. 81, Original, or the decision of the Supreme Court of the United States in Ohio v. Kentucky, No. 27, Original.

History. Enact. Acts 1986, ch. 272, § 4, effective July 15, 1986.

11.160. Procedure for General Assembly confirmation of appointments by the Governor or other appointing authority.

  1. When a statute specifically requires Senate confirmation of an appointment by the Governor or by other appointing authority, the appointment shall be handled in the following manner:
    1. All names of persons nominated when the General Assembly is not in session shall be submitted for confirmation no later than the next regular session of the General Assembly. The Governor who makes the appointment, or other appointing authority, shall deliver the name of the nominee to the clerk of the Senate upon appointment or no later than the fifteenth legislative day of the next regular session of the General Assembly. The Governor may submit a nominee for confirmation at any special session that occurs between the date of initial appointment and the next regular session of the General Assembly. If the Governor desires to submit the name of a nominee for confirmation at a special session of the General Assembly, he shall place confirmation of the nominee on the call for special session.
    2. All names of persons nominated to positions during a regular session of the General Assembly shall be submitted for confirmation at that regular session. The Governor who makes the appointment, or other appointing authority, shall submit the name of the nominee, together with such accompanying information as may expedite the consideration of the appointment to the clerk of the Senate not more than three (3) legislative days after making the appointment, unless the appointment is made during the last fifteen (15) legislative days, in which case the nominee’s name and information shall be submitted not more than one (1) legislative day later.
    3. For each nominee, the Governor who makes the appointment, or other appointing authority, shall deliver to the clerk of the Senate a letter of appointment. The letter of appointment shall be accompanied by a resume which contains at least the following information:
      1. Complete employment history of the nominee;
      2. Complete educational background of the nominee; and
      3. Current and past employment by or financial relationships with the Commonwealth of Kentucky or any of its political subdivisions held by the nominee and any member of the nominee’s immediate family.
    4. When a statute requires an interim legislative committee to hold a public hearing on a particular appointment, the Governor who makes the appointment, or other appointing authority, shall deliver the letter of appointment and resume for each nominee to the Legislative Research Commission within seven (7) days after making the appointment.
    5. The Legislative Research Commission may utilize the services of its staff or other appropriate persons or organizations to investigate the background of nominees and to verify the information provided. The Department of Kentucky State Police shall conduct and provide a criminal record history on a nominee if requested by the Legislative Research Commission.
    6. During periods when the General Assembly is not in session, the Governor’s or other appointing authority’s power of appointment shall not be diminished, and nominees may assume the responsibilities of the position pending confirmation. During that period, they shall be considered for all purposes to have been appointed and to be lawful occupants of the post to which they have been nominated, except that they shall be subject to the confirmation process when the General Assembly is next in regular session or special session called for the purpose of confirming the nominees.
    7. If the Governor who makes the appointment, or other appointing authority, fails to submit the name of the nominee or if the Senate declines to consider a nominee, the position shall become vacant as of sine die adjournment of the applicable special or regular session of the General Assembly at which the appointment was to be confirmed. If the Senate declines to confirm the nominee, the position shall become vacant upon the date the Senate declined to confirm.
    8. Any person not confirmed by the Senate shall not be reappointed by the Governor, or other appointing authority, to the same position for which confirmation is required for a period of two (2) years from the date the Senate declined to confirm the nomination or the date of sine die adjournment if the Senate declined to consider the nomination.
  2. When a statute specifically requires Senate and House of Representatives confirmation of an appointment by the Governor or by other appointing authority, the appointment shall be handled in the following manner:
    1. All names of persons nominated when the General Assembly is not in session shall be submitted for confirmation no later than the next regular session of the General Assembly. The Governor who makes the appointment, or other appointing authority, shall deliver the name of the nominee to the clerk of the House of Representatives no later than the fifteenth legislative day of the next regular session of the General Assembly. The Governor may submit a nominee for confirmation at any special session that occurs between the date of initial appointment and the next regular session of the General Assembly. If the Governor desires to submit the name of a nominee for confirmation at a special session of the General Assembly, he shall place confirmation of the nominee on the call for special session.
    2. All names of persons nominated to positions during a regular session of the General Assembly shall be submitted for confirmation at that regular session. The Governor who makes the appointment, or other appointing authority, shall submit the name of the nominee to the clerk of the House of Representatives not more than three (3) legislative days after making the appointment, unless the appointment is made during the last fifteen (15) legislative days, in which case the nominee’s name and information shall be submitted not more than one (1) legislative day later.
    3. For each nominee, the Governor who makes the appointment, or other appointing authority, shall deliver to the clerk of the House of Representatives a letter of appointment. The letter of appointment shall be accompanied by a resume which contains at least the following information:
      1. Complete employment history of the nominee;
      2. Complete educational background of the nominee; and
      3. Current and past employment by or financial relationships with the Commonwealth of Kentucky or any of its political subdivisions held by the nominee and any member of the nominee’s immediate family.
    4. When a statute requires an interim legislative committee to hold a public hearing on a particular appointment, the Governor who makes the appointment, or other appointing authority, shall deliver the letter of appointment and resume for each nominee to the Legislative Research Commission within seven (7) days after making the appointment.
    5. The Legislative Research Commission may utilize the services of its staff or other appropriate persons or organizations to investigate the background of nominees and to verify the information provided. The Department of Kentucky State Police shall conduct and provide a criminal record history on a nominee if requested by the Legislative Research Commission.
    6. The confirmation shall originate in the House of Representatives. If the House of Representatives does not confirm an appointment, the Senate shall not consider the appointment.
    7. When both the Senate and the House of Representatives have confirmed an appointment, the Senate shall notify the House of Representatives of the final approval. The clerk of the House shall then notify the Governor, or other appointing authority, and the appointee in writing of the General Assembly’s action.
    8. During periods when the General Assembly is not in session, the Governor’s or other appointing authority’s power of appointment shall not be diminished, and nominees may assume the responsibilities of the position pending confirmation. During that period, they shall be considered for all purposes to have been appointed and to be lawful occupants of the post to which they have been nominated, except that they shall be subject to the confirmation process when the General Assembly is next in regular session or special session called for the purpose of confirming the nominees.
    9. If the Governor who makes the appointment, or other appointing authority, fails to submit the name of the nominee or if the House of Representatives or the Senate declines to consider a nominee, the position shall become vacant as of sine die adjournment of the regular session of the General Assembly at which the appointment was to be confirmed. If the House of Representatives or the Senate declines to confirm the nominee, the position shall become vacant upon the date that a chamber of the General Assembly first declined to confirm.
    10. Any person not confirmed by the House of Representatives or the Senate shall not be reappointed by the Governor, or other appointing authority, to the same position for which confirmation is required for a period of two (2) years from the date that a chamber of the General Assembly first declined to confirm the nomination, or the date of sine die adjournment if the House of Representatives or the Senate declined to consider the nomination.

History. Enact. Acts 1990, ch. 505, § 1, effective April 13, 1990; 1992, ch. 415, § 1, effective July 14, 1992; 1994, ch. 26, § 1, effective July 15, 1994; 2007, ch. 85, § 4, effective June 26, 2007.

NOTES TO DECISIONS

1.Effect of Action of Appointee Prior to Confirmation.

As of July 14, 1992, KRS 342.230(5) and subsection (1) of this section authorized an Administrative Law Judge (ALJ) to assume the responsibilities of the position of ALJ pending confirmation by the Senate. Bullock v. Peabody Coal Co., 882 S.W.2d 676, 1994 Ky. LEXIS 83 ( Ky. 1994 ).

Decision by administrative law judge (ALJ), who had been appointed but not confirmed by the Senate when the decision was rendered, was not void. Bullock v. Peabody Coal Co., 882 S.W.2d 676, 1994 Ky. LEXIS 83 ( Ky. 1994 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Terry and Edens, Workers’ Compensation Procedural Changes — An ALJ Perspective, Vol. 58, No. 4, Fall 1994, Ky. Bench & Bar 12.

Lear and Fleenor, Board and Commission Appointments: Executive Power — With Limits, Vol. 72, No. 4, July 2008, Ky. Bench & Bar 23.

11.170. Kentucky Agriculture Resources Development Authority. [Repealed]

History. Enact. Acts 1994, ch. 274, § 1, effective July 15, 1994; 2009, ch. 27, § 1, effective June 25, 2009; 2009, ch. 32, § 1, effective June 25, 2009; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 274, § 1, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

11.175. Each cabinet to designate small business ombudsman — Contact information — Annual report to Commission on Small Business Advocacy.

  1. Each cabinet secretary on the Governor’s Executive Cabinet, established pursuant to KRS 11.065 , shall designate a small business ombudsman from among their respective existing cabinet employees.
  2. The small business ombudsman shall:
    1. Respond to inquiries from small businesses on administrative regulations and other regulatory matters; and
    2. Provide information regarding the procedure for submitting comments on administrative regulations as provided by KRS 13A.270(1).
  3. Each cabinet shall provide contact information for the cabinet’s small business ombudsman on the cabinet’s Web site, including the ombudsman’s name, telephone number, mailing address, and e-mail address.
  4. No later than December 1 of each year, each small business ombudsman shall submit a report to the Commission on Small Business Innovation and Advocacy, established pursuant to KRS 11.200 , summarizing the number and nature of inquiries that the ombudsman has received from small businesses during the previous twelve (12) months.

History. Enact. Acts 2006, ch. 166, § 4, effective July 12, 2006; 2021 ch. 185, § 95, effective June 29, 2021.

Kentucky Appalachian Commission

11.180. Kentucky Appalachian Commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 468, § 1; 2005, ch. 95, § 2) was repealed by Acts 2007, ch. 47, § 95, effective June 26, 2007.

11.182. Membership — Reimbursement of expenses — Designation of alternate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 468, § 2; 2000, ch. 26, § 1; 2005, ch. 95, § 3; 2005, ch. 99, § 2; 2006, ch. 211, § 2) was repealed by Acts 2007, ch. 47, § 95, effective June 26, 2007.

11.184. Officers — Duties — Annual report. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 468, § 3) was repealed by Acts 2007, ch. 47, § 95, effective June 26, 2007.

11.190. Governor’s Commission on Sports, Physical Activity, and Wellness — Membership — Functions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 116, § 1, effective July 15, 1998.) was repealed by Act 2005, ch. 10, § 2, effective June 20, 2005.

Commission on Small Business Advocacy

11.200. Commission on Small Business Advocacy — Purpose — Membership — Meetings — Chief executive officer.

  1. There is created the Commission on Small Business Innovation and Advocacy. The commission shall be a separate administrative body of state government within the meaning of KRS 12.010(8).
  2. It shall be the purpose of the Commission on Small Business Innovation and Advocacy to:
    1. Address matters of small business as it relates to government affairs;
    2. Promote a cooperative and constructive relationship between state agencies and the small business community to ensure coordination and implementation of statewide strategies that benefit small business in the Commonwealth;
    3. Coordinate and educate the small business community of federal, state, and local government initiatives of value and importance to the small business community;
    4. Create a process by which the small business community is consulted in the development of public policy as it affects their industry sector;
    5. Aid the small business community in navigating the regulatory process, when that process becomes cumbersome, time consuming, and bewildering to the small business community; and
    6. Advocate for the small business, as necessary when regulatory implementation is overly burdensome, costly, and harmful to the success and growth of small businesses in the Commonwealth.
  3. The Commission on Small Business Innovation and Advocacy shall consist of thirteen (13) members:
    1. Two (2) members representing each congressional district; and
    2. One (1) at-large member.
  4. All members shall be appointed by the Governor for a term of four (4) years, except that the original appointments shall be staggered so that three (3) appointments shall expire at one (1) year, three (3) appointments shall expire at two (2) years, and three (3) appointments shall expire at three (3) years, and four (4) appointments shall expire at four (4) years from the dates of initial appointment.
  5. The Governor shall appoint the chair and vice chair of the commission from the appointed membership.
  6. The commission shall meet quarterly and at other times upon call of the chair or a majority of the commission.
  7. A quorum shall be a majority of the membership of the commission.
  8. Members of the commission shall serve without compensation but shall be reimbursed for their necessary travel expenses actually incurred in the discharge of their duties on the commission, subject to Finance and Administration Cabinet administrative regulations.
  9. The executive director of the Office of Entrepreneurship and Small Business Innovation shall be the administrative head and chief executive officer of the commission. The secretary of the Cabinet for Economic Development shall have authority to hire staff, contract for services, expend funds, and operate the normal business activities of the commission.
  10. The Commission on Small Business Innovation and Advocacy shall be administratively attached to the Office of Entrepreneurship and Small Business Innovation within the Cabinet for Economic Development.

History. Enact. Acts 2000, ch. 387, § 1, effective July 14, 2000; 2002, ch. 317, § 1, effective July 15, 2002; 2005, ch. 85, § 29, effective June 20, 2005; 2005, ch. 95, § 4, effective June 20, 2005; 2006, ch. 152, § 1, effective July 12, 2006; 2010, ch. 24, § 5, effective July 15, 2010; 2014, ch. 89, § 1, effective July 15, 2014; 2014, ch. 92, § 20, effective January 1, 2015; 2018 ch. 37, § 1, effective July 14, 2018; 2021 ch. 185, § 96, effective June 29, 2021.

Legislative Research Commission Notes.

(1/1/2015). This statute was amended by 2014 Ky. Acts chs. 89 and 92. Acts ch. 92 was passed last by the General Assembly and, ordinarily, any provisions in ch. 92 which conflict with provisions in ch. 89, the earlier-passed bill, would prevail under the authority of KRS 446.250 . However, new language added in ch. 92 has not been incorporated into KRS 11.200 because to make such change would make the section unintelligible. KRS 7.136(3) provides that if a statute is amended by more than one act in the same session of the General Assembly, that the change shall be given effect and incorporated only if the change will make the section intelligible.

11.202. Duties of Commission on Small Business Innovation and Advocacy — Annual reports.

  1. The duties of the Commission on Small Business Innovation and Advocacy shall include but not be limited to:
    1. Coordinate and promote the awareness of the Federal Small Business Regulatory Enforcement Fairness Act of 1996, and its subsequent amendments within the small business community of the Commonwealth;
    2. Develop a process by which the small business community is made aware of state legislation and administrative regulations affecting it, both prior to its enactment and during its implementation;
    3. Advocate for the small business sectors when state legislation and administrative regulations are overly burdensome, costly, or harmful to the success and growth of the sector;
    4. Collect information and research those public policies and government practices which are helpful or detrimental to the success and growth of the small business community; and
    5. Review administrative regulations that may impact small business. The commission may seek input from other agencies, organizations, or interested parties. In acting as an advocate for small business, the commission may submit a written report to the promulgating administrative body to be considered as comments received during the public comment period required by KRS 13A.270(1)(c). The report may specify the commission’s findings regarding the administrative regulation, including an identification and estimate of the number of small businesses subject to the administrative regulation, the projected reporting, recordkeeping, and other administrative costs required for compliance with the administrative regulation, and any suggestions the commission has for reducing the regulatory burden on small businesses through the use of tiering or exemptions, in accordance with KRS 13A.210 . A copy of the report shall be filed with the regulations compiler of the Legislative Research Commission.
  2. By September 1 of each year, the commission shall submit a report to the Governor, the Interim Joint Committee on Economic Development and Workforce Investment, and the Interim Joint Committee on Tourism, Small Business, and Information Technology detailing its work in the prior fiscal year, including but not limited to the following:
    1. Activities and achievements of the commission in accomplishing its purposes and duties;
    2. Findings of the commission related to its collection of information and research on public policies and government practices affecting small businesses, including specific legislation and administrative regulations that are helpful or detrimental to the success of small businesses; and
    3. Specific recommendations of ways state government could better promote the economic development efforts of small businesses in the Commonwealth.
  3. Beginning December 1, 2012, and on every December 1 thereafter, the commission shall submit an annual report to the Secretary of State and the Legislative Research Commission setting forth an analysis of how the one-stop electronic business portal established in KRS 14.250 may be improved to make the business portal more user friendly for businesses.

History. Enact. Acts 2000, ch. 387, § 2, effective July 14, 2000; 2004, ch. 165, § 1, effective July 13, 2004; 2011, ch. 75, § 2, effective March 16, 2011; 2021 ch. 124, § 1, effective June 29, 2021; 2021 ch. 185, § 97, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 124 and 185, which do not appear to be in conflict and have been codified together.

Gubernatorial Transition

11.210. Definition for KRS 11.210 to 11.260.

As used in KRS 11.210 to 11.260 , “Governor-elect” means the person who is the apparent successful candidate for the office of Governor, as ascertained by the Secretary of State following the general election.

History. Enact. Acts 1972, ch. 3, § 1.

11.220. Purpose, intent of gubernatorial transition law.

The General Assembly declares it to be the purpose of KRS 11.210 to 11.260 to promote the orderly transfer of the executive power in connection with the expiration of the term of office of a governor and the inauguration of a new governor. The interest of the Commonwealth requires that such transitions be accomplished so as to assure continuity in the conduct of the affairs of the state government. Any disruption occasioned by the transfer of the executive power could produce results detrimental to the safety and well-being of the Commonwealth and its people. Accordingly, it is the intent of the General Assembly that appropriate actions be authorized and taken to avoid or minimize any disruption. In addition to the specific provisions contained in KRS 11.210 to 11.260 directed toward that purpose, it is the intent of the General Assembly that all officers of the state government so conduct the affairs of the state government for which they exercise responsibility and authority as to be mindful of problems occasioned by transitions in the office of Governor, to take appropriate lawful steps to avoid or minimize disruptions that might be occasioned by the transfer of the executive power and otherwise to promote orderly transitions in the office of Governor.

History. Enact. Acts 1972, ch. 3, § 2.

11.230. Facilities for Governor-elect.

The secretary of the Finance and Administration Cabinet is authorized to provide, upon request, to each Governor-elect, for use in connection with his preparations for the assumption of official duties as Governor, necessary services and facilities, including suitable office space appropriately equipped with furniture, and office supplies as determined by the secretary of the Finance and Administration Cabinet after consultation with the Governor-elect, within the State Capitol complex.

History. Enact. Acts 1972, ch. 3, § 3; 1974, ch. 74, Art. II, § 9(2).

11.240. Duty of outgoing Governor.

It shall be incumbent upon the outgoing Governor to direct that all official documents, vital information and procedural manuals shall be given to the Governor-elect upon request.

History. Enact. Acts 1972, ch. 3, § 4.

11.250. Participation by Governor-elect in executive branch and Transportation Cabinet budget recommendations.

  1. The Governor-elect or a delegate appointed by him or her shall be entitled to examine the budget recommendations of the executive branch of government, and the Finance and Administration Cabinet shall provide him or her with every practicable facility for reviewing and familiarizing himself or herself with the recommendations. The Governor-elect shall be entitled to a seat in all hearings thereon. He or she shall be furnished a copy of the budget request of each executive branch budget unit. The budget director shall make available to the Governor-elect so much as he or she requests of the information upon which the executive branch budget recommendations are based.
  2. After a review of the executive branch and Transportation Cabinet draft budget bills, the Governor-elect may prepare revisions and additions thereto. The budget director shall assist, upon request, in the preparation of such revisions and additions.
  3. The budget director shall have as many copies of the revised budget recommendations of the executive branch of government printed as the Governor-elect requests.

History. Enact. Acts 1972, ch. 3, § 5; 1974, ch. 74, Art. II, § 9(1); 1982, ch. 450, § 50, effective July 1, 1983; 1990, ch. 507, § 1, effective July 13, 1990; 2009, ch. 78, § 24, effective June 25, 2009.

11.260. Expenses of transition.

The Finance and Administration Cabinet shall bear all necessary expenses for carrying out the purposes of KRS 11.210 to 11.260 . The Governor shall include in the budget transmitted to the General Assembly, for each fiscal year in which his regular term of office will expire, a proposed appropriation for carrying out the provisions of KRS 11.210 to 11.260 .

History. Enact. Acts 1972, ch. 3, § 6; 1974, ch. 74, Art. II, § 9(1).

Governor’s Office for Coal and Energy Policy

11.300. Governor’s Office for Coal and Energy Policy created. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 325, § 1, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.305. Responsibilities of Governor’s Office for Coal and Energy Policy. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.090 by Acts 1978, ch. 186, § 8, effective March 29, 1978; 1980, ch. 295, § 34, effective July 15, 1980; 1982, ch. 345, § 4, effective July 5, 1982, and repealed, reenacted and amended as KRS 11.305 by Enact. Acts 1990, ch. 325, § 2, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.310. Research program. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.100 by 1978, ch. 186, § 9, effective March 29, 1978; 1982, ch. 345, § 5, effective July 15, 1982; 1984, ch. 111, § 89, effective July 13, 1984 and repealed, reenacted and amended as KRS 11.310 by Enact. Acts 1990, ch. 325, § 3, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.315. Duties of Governor’s Office for Coal and Energy Policy. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.125 by 1982, ch. 345, § 8, effective July 15, 1982; 1984, ch. 404, § 16, effective July 13, 1984 and repealed, reenacted and amended as KRS 11.315 by Acts 1990, ch. 325, § 4, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.320. Administration of state and federally funded programs. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.170 by 1978, ch. 186, § 17, effective March 28, 1978 and repealed, reenacted and amended as KRS 11.320 by Acts 1990, ch. 325, § 5, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.325. Administrative regulations. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152A.180 by 1978, ch. 186, § 18, effective March 28, 1978 and repealed, reenacted and amended as KRS 11.325 by Acts 1990, ch. 325, § 6, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.330. Definitions. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.310 by Acts 1960, ch. 127, § 1; 1976, ch. 299, § 16; 1978, ch. 186, § 22, effective March 28, 1978; 1980, ch. 188, § 14, effective July 15, 1980, was renumbered as KRS 152A.210 and repealed, reenacted and amended as KRS 11.330 by Acts 1990, ch. 325, § 7, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.335. Establishment of research program. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.320 by Acts 1960, ch. 127, § 2; 1974, ch. 157, § 2; 1976, ch. 299, § 17; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.220 and repealed, reenacted and amended as KRS 11.330 by Acts 1990, ch. 325, § 8, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.340. Duties of special assistant. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.330 by Acts 1960, ch. 127, § 3; 1974, ch. 157, § 3; 1976, ch. 299, § 18; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.230 , and repealed, reenacted and amended as KRS 11.340 by Acts 1990, ch. 325, § 9, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.345. Powers of special assistant. [Repealed.]

Compiler’s Notes.

This section (which was enacted as KRS 152.340 by Acts 1960, ch. 127, § 4; 1974, ch. 157, § 4; 1976, ch. 299, § 19; 1978, ch. 186, § 22, effective March 28, 1978; 1978, ch. 291, § 2, effective June 17, 1978, renumbered as KRS 152A.240 , and repealed, reenacted and amended as KRS 11.345 by Acts 1990, ch. 325, § 10, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.350. Study grants. [Repealed.]

Compiler’s Notes.

This section (which was enacted as KRS 152.360 by Acts 1960, ch. 127, § 6; 1974, ch. 157, § 6; 1976, ch. 299, § 21; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.260 , and repealed, reenacted and amended as KRS 11.345 by Acts 1990, ch. 325, § 11, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.355. Interstate agreements. [Repealed.]

Compiler’s Notes.

This section (which was enacted as KRS 152.380 by Acts 1960, ch. 127, § 8; 1974, ch. 157, § 7, was renumbered as KRS 152A.270 and was repealed, reenacted and amended as KRS 11.355 by Acts 1990, ch. 325, § 12, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

11.360. Extension of program into state schools. [Repealed.]

Compiler’s Notes.

This section (enacted as KRS 152.390 by Acts 1960, ch. 127, § 9; 1974, ch. 157, § 8; 1976, ch. 299, § 22; 1978, ch. 155, § 104, effective June 17, 1978; 1978, ch. 186, § 22, effective March 28, 1978, renumbered as KRS 152A.280 , amended by 1990, ch. 476, Part IV, § 125, July 13, 1990, and repealed, reenacted and amended as KRS 11.360 by Acts 1990, ch. 325, § 13, effective July 13, 1990) was repealed by Acts 1994, ch. 227, § 11, effective July 15, 1994.

Lieutenant Governor

11.400. Duties of Lieutenant Governor.

  1. In addition to the duties prescribed for the office by the Constitution of the Commonwealth of Kentucky, the duties of the Lieutenant Governor shall be as follows:
    1. To serve as vice chairman of the State Property and Buildings Commission as prescribed by KRS 56.450 ;
    2. To serve as vice chairman of the Kentucky Turnpike Authority as prescribed in KRS 175.430 ;
    3. To serve as a member of the Board of the Kentucky Housing Corporation in accordance with KRS 198A.030 ; and
    4. To serve as a member of Kentucky delegations on the following interstate compact commissions or boards:
      1. The Breaks Interstate Park Commission as provided in KRS 148.225 ;
      2. The Falls of the Ohio Interstate Park Commission pursuant to KRS 148.242 ;
      3. The Tennessee-Tombigbee Waterway Development Authority pursuant to KRS 182.305 ;
      4. The Interstate Water Sanitation Control Commissions as prescribed by KRS 224.18-710 ; and
      5. The Kentucky Mining Advisory Council for the Interstate Mining Compact as provided by KRS 350.310 .
  2. Nothing in this section shall prohibit the Governor and Lieutenant Governor from agreeing upon additional duties within the executive branch of the state government to be performed by the Lieutenant Governor.

HISTORY: Enact. Acts 1980, ch. 141, § 1, effective July 15, 1980; 1982, ch. 447, § 13, effective April 12, 1982; 1984, ch. 111, § 18, effective July 13, 1984; 1986, ch. 331, § 7, effective July 15, 1986; 1992, ch. 105, § 70, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 74, effective September 16, 1993; 1994, ch. 486, § 14, effective July 15, 1994; 2003, ch. 82, § 1, effective June 24, 2003; 2007, ch. 47, § 4, effective June 26, 2007; 2017 ch. 80, § 1, effective June 29, 2017; 2021 ch. 12, § 1, effective March 12, 2021.

Opinions of Attorney General.

Since Chapter 4 of Acts 1993 (1st Ex. Sess.), contained an emergency clause [§ 92] it became effective as a whole when the Governor tendered the bill, which he had signed, to the Secretary of State on February 18, 1993. However, section 87 (13) of Ch. 4 of Acts 1993 (1st Ex. Sess.) provided that, except as provided in §§ 88, 89, and 90, §§ 1-84 of the Act should become effective two hundred ten (210) days after the effective date of the Act, September 16, 1993; other subsections within § 87 establish a transition schedule with other specific dates calculated from the effective date of the Act. Such schedule is actually a listing of deadlines within which certain actions called for in § 87 of the Act are to be completed. Such schedule is as follows: “within 45 days of the effective date of the act” = on or before April 5, 1993; “within 60 days of the effective date of the act” = on or before April 19, 1993; “within 75 days of the effective date of the act” = on or before May 4, 1993; “within 90 days of the effective date of the act” = on or before May 19, 1993; “within 150 days of the effective date of the act” = on or before July 19, 1993; “within 180 days of the effective date of the act” = on or before August 17, 1993; “two hundred ten (210) days after the effective date of the act” = September 16, 1993. OAG 93-25 .

Research References and Practice Aids

Cross-References.

Compensation, Ky. Const., § 86.

Election, term, qualifications, Ky. Const., § 82.

Governor, when to act as, Ky. Const., § 84.

Information Technology

11.501. Renumbered as KRS 42.720.

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 506, § 1, effective July 14, 2000; 2000, ch. 536, § 1, effective July 14, 2000; 2005, ch. 85, § 21, effective June 20, 2005; 2005, ch. 99, § 3, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.720 by Acts 2009, ch. 12, § 2, effective July 25, 2009.

This section was formerly compiled as KRS 61.935 .

11.503. Renumbered as KRS 42.722.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 2, effective July 14, 2000; 2000, ch. 536, § 2, effective July 14, 2000) was repealed, reenacted and amended as KRS 42.722 by Acts 2009, ch. 12, § 3, effective June 25, 2009.

Legislative Research Commission Notes.

(7/14/2000). This section was created by 2000 Ky. Acts chs. 506 and 536, which are identical and have been codified together.

11.505. Renumbered as KRS 42.724.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 3, effective July 14, 2000; 2000, ch. 536, § 3, effective July 14, 2000; 2001, ch. 59, § 1, effective June 21, 2001; 2005, ch. 85, § 22, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.724 by Acts 2009, ch. 12, § 4, effective June 25, 2009.

11.507. Renumbered as KRS 42.726.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 4, effective July 14, 2000; 2000, ch. 536, § 4, effective July 14, 2000; 2005, ch. 85, § 30, effective June 20, 2005; 2005, ch. 99, § 4, effective June 20, 2005; 2006, ch. 193, § 10, effective July 12, 2006) was repealed, reenacted and amended as KRS 42.726 by Acts 2009, ch. 12, § 3, effective June 25, 2009.

11.509. Renumbered as KRS 42.728.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 5, effective July 14, 2000; 2000, ch. 536, § 5, effective July 14, 2000; 2005, ch. 85, § 31, effective June 20, 2005; 2005, ch. 99, § 5, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.728 by Acts 2009, ch. 12, § 6, effective June 25, 2009.

11.511. Renumbered as KRS 42.730.

Compiler’s Notes.

This section (Repealed, reenact. and amend. Acts 2000, ch. 506, § 6, effective July 14, 2000; 2000, ch. 536, § 6, effective July 14, 2000; 2005, ch. 85, § 23, effective June 20, 2005) was repealed and reenacted as KRS 42.730 by Acts 2009, ch. 12, § 7, effective June 25, 2009.

This section was formerly compiled as KRS 61.936 .

11.512. Office of the 911 Coordinator — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2005, ch. 85, § 24, effective June 20, 2005; 2006, ch. 193, § 11, effective July 12, 2006; 2006, ch. 219, § 8, effective July 12, 2006) was repealed by Acts 2009, ch. 12, § 56, effective June 25, 2009.

11.513. Renumbered as KRS 42.732.

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 506, § 7, effective July 14, 2000; 2000, ch. 536, § 7, effective July 14, 2000; 2005, ch. 85, § 32, effective June 20, 2005) was repealed and reenacted as KRS 42.732 by Acts 2009, ch. 12, § 8, effective June 25, 2009.

11.515. Renumbered as KRS 42.740.

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 506, § 8, effective July 14, 2000; 2000, ch. 536, § 8, effective July 14, 2000; 2005, ch. 85, § 33 effective June 20, 2005; 2005, ch. 95, § 5, effective June 20, 2005; 2005, ch. 99, § 6, effective June 20, 2005; 2005, ch. 123, § 6, effective June 20, 2005; 2007, ch. 47, § 5, effective June 26, 2007; 2007, ch. 85, § 5, effective June 26, 2007) was repealed, reenacted and amended as KRS 42.740 by Acts 2009, ch. 12, § 9, effective June 25, 2009.

11.5161. Renumbered as KRS 42.734.

Compiler’s Notes.

This section (Enact. Acts 2003, ch. 164, § 1, effective June 24, 2003; 2005, ch. 85, § 34, effective June 20, 2005) was repealed and reenacted as KRS 42.734 by Acts 2009, ch. 12, § 10, effective June 25, 2009.

11.5162. Renumbered as KRS 42.736.

Compiler’s Notes.

This section (Enact. Acts 2003, ch. 164, § 2, effective June 24, 2003; 2004, ch. 48, § 1, effective July 13, 2004) was repealed, reenacted and amended as KRS 42.736 by Acts 2009, ch. 12, § 11, effective June 25, 2009.

11.5163. Renumbered as KRS 42.738.

Compiler’s Notes.

This section (Enact. Acts 2003, ch. 164, § 3, effective June 24, 2003; 2004, ch. 48, § 2, effective July 13, 2004; 2005, ch. 85, § 35, effective June 20, 2005; 2005, ch. 95, § 6, effective June 20, 2005; 2005, ch. 99, § 74, effective June 20, 2005; 2006, ch. 193, § 8, effective July 12, 2006; 2007, ch. 85, § 6, effective June 26, 2007) was repealed, reenacted and amended as KRS 42.738 by Acts 2009, ch. 12, § 12, effective June 25, 2009.

11.517. Renumbered as KRS 42.742.

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 506, § 9, effective July 14, 2000; 2000, ch. 536, § 9, effective July 14, 2000; 2005, ch. 85, § 36, effective June 20, 2005) was repealed, reenacted and amended as KRS 42.742 by Acts 2009, ch. 12, § 13, effective June 25, 2009.

This section was formerly compiled as KRS 61.959 .

11.518. Renumbered as KRS 42.744.

Compiler’s Notes.

This section (Enact. Acts 2006, ch. 206, § 1, effective July 12, 2006) was repealed, reenacted and amended as KRS 42.738 by Acts 2009, ch. 12, § 14, effective June 25, 2009.

11.520. Renumbered as KRS 42.746.

Compiler’s Notes.

This section (Enact. Acts 2006, ch. 223, § 1, effective July 12, 2006) was repealed and reenacted as KRS 42.746 by Acts 2009, ch. 12, § 15, effective June 25, 2009.

11.550. Telehealth Board — Members — Chair — Scope of administrative regulations — Board to make recommendations following consultation with Governor’s office — Universities of Kentucky and Louisville to report to General Assembly — Receipt and dispensing of funds. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 376, § 2, effective July 14, 2000; 2001, ch. 47, § 1, effective June 21, 2001; 2001, ch. 57, § 1, effective June 21, 2001; 2005, ch. 85, § 37, effective June 20, 2005; 2006, ch. 143, § 1, effective July 12, 2006) was repealed, reenacted and amended as KRS 194A.125 , by Acts 2007, ch. 24, § 25, effective June 26, 2007.

CHAPTER 11A Executive Branch Code of Ethics

11A.001. Short title for chapter.

This chapter may be cited as the “Executive Branch Code of Ethics.”

History. Enact. Acts 1992, ch. 287, § 1, effective July 14, 1992.

NOTES TO DECISIONS

1.Purpose.

The purpose and function of the Kentucky Code of Legislative Ethics and the Executive Branch Code of Ethics is not to restrict or prohibit appropriate and protected communications of the lobbyists; instead, the Commonwealth’s compelling interest in insuring the proper operation of a democratic government and deterring corruption is protected by these narrowly tailored sections, which require only that one who receives compensation and/or expends funds in lobbying must register and report the nature and extent of his activities. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

Herrington, Executive Branch Ethics Commission Advisory Opinion 94-4 and Lobbying Registration Requirements Applicable to Attorneys, Vol. 59, No. 1, Winter 1995, Ky. Bench & Bar 22.

11A.005. Statement of public policy.

  1. It is the public policy of this Commonwealth that a public servant shall work for the benefit of the people of the Commonwealth. The principles of ethical behavior contained in this chapter recognize that public office is a public trust and that the proper operation of democratic government requires that:
    1. A public servant be independent and impartial;
    2. Government policy and decisions be made through the established processes of government;
    3. A public servant not use public office to obtain private benefits; and
    4. The public has confidence in the integrity of its government and public servants.
  2. The principles of ethical behavior for public servants shall recognize that:
    1. Those who hold positions of public trust, and members of their families, also have certain business and financial interests;
    2. Those in government service are often involved in policy decisions that pose a potential conflict with some personal financial interest; and
    3. Standards of ethical conduct for the executive branch of state government are needed to determine those conflicts of interest which are substantial and material or which, by the nature of the conflict of interest, tend to bring public servants into disrepute.

History. Enact. Acts 1992, ch. 287, § 2, effective July 14, 1992.

11A.010. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Business” means any corporation, limited liability company, partnership, limited partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust, or any legal entity through which business is conducted, whether or not for profit;
  2. “Commission” means the Executive Branch Ethics Commission;
  3. “Compensation” means any money, thing of value, or economic benefit conferred on, or received by, any person in return for services rendered, or to be rendered, by himself or herself or another;
  4. “Family” means spouse and children, as well as a person who is related to a public servant as any of the following, whether by blood or adoption: parent, brother, sister, grandparent, grandchild, father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in-law, daughter-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, half sister;
  5. “Gift” means a payment, loan, subscription, advance, deposit of money, services, or anything of value, unless consideration of equal or greater value is received; “gift” does not include gifts from family members, campaign contributions, the waiver of a registration fee for a presenter at a conference or training described in KRS 45A.097(5), or door prizes available to the public;
  6. “Income” means any money or thing of value received or to be received as a claim on future services, whether in the form of a fee, salary, expense allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain, or any other form of compensation or any combination thereof;
  7. “Officer” means:
    1. All major management personnel in the executive branch of state government, including the secretary of the cabinet, the Governor’s chief executive officers, cabinet secretaries, deputy cabinet secretaries, general counsels, commissioners, deputy commissioners, executive directors, executive assistants, policy advisors, special assistants, administrative coordinators, executive advisors, staff assistants, and division directors;
    2. Members and full-time chief administrative officers of:
      1. The Parole Board;
      2. Office of Claims and Appeals;
      3. Board of Tax Appeals;
      4. Board of Claims;
      5. Crime Victims Compensation Board;
      6. Kentucky Retirement Systems board of trustees;
      7. Kentucky Teachers’ Retirement System board of trustees;
      8. The Kentucky Public Employees Deferred Compensation Authority board of trustees;
      9. Public Service Commission;
      10. Worker’s Compensation Board and its administrative law judges;
      11. The Kentucky Occupational Safety and Health Review Commission;
      12. The Kentucky Board of Education;
      13. The Council on Postsecondary Education;
      14. County Employees Retirement System board of trustees;
      15. Kentucky Public Pensions Authority; and
      16. The Kentucky Horse Racing Commission;
    3. Salaried members of executive branch boards and commissions; and
    4. Any person who, through a personal service contract or any other contractual employment arrangement with an agency, performs on a full-time, nonseasonal basis a function of any major management position listed in this subsection;
  8. “Official duty” means any responsibility imposed on a public servant by virtue of his or her position in the state service;
  9. “Public servant” means:
    1. The Governor;
    2. The Lieutenant Governor;
    3. The Secretary of State;
    4. The Attorney General;
    5. The Treasurer;
    6. The Commissioner of Agriculture;
    7. The Auditor of Public Accounts;
    8. All employees in the executive branch including officers as defined in subsection (7) of this section and merit employees; and
    9. Any person who, through any contractual arrangement with an agency, is employed to perform a function of a position within an executive branch agency on a full-time, nonseasonal basis;
  10. “Agency” means every state office, cabinet, department, board, commission, public corporation, or authority in the executive branch of state government. A public servant is employed by the agency by which his or her appointing authority is employed, unless his or her agency is attached to the appointing authority’s agency for administrative purposes only, or unless the agency’s characteristics are of a separate independent nature distinct from the appointing authority and it is considered an agency on its own, such as an independent department;
  11. “Lobbyist” means any person employed as a legislative agent as defined in KRS 6.611(23) or any person employed as an executive agency lobbyist as defined in KRS 11A.201(9);
  12. “Lobbyist’s principal” means the entity in whose behalf the lobbyist promotes, opposes, or acts;
  13. “Candidate” means those persons who have officially filed candidacy papers or who have been nominated by their political party pursuant to KRS 118.105 , 118.115 , 118.325 , or 118.760 for any of the offices enumerated in subsections (9)(a) to (g) of this section;
  14. “Does business with” or “doing business with” means contracting, entering into an agreement, leasing, or otherwise exchanging services or goods with a state agency in return for payment by the state, including accepting a grant, but not including accepting a state entitlement fund disbursement;
  15. “Public agency” means any governmental entity;
  16. “Appointing authority” means the agency head or any person whom he or she has authorized by law to act on behalf of the agency with respect to employee appointments;
  17. “Represent” means to attend an agency proceeding, write a letter, or communicate with an employee of an agency on behalf of someone else;
  18. “Directly involved” means to work on personally or to supervise someone who works on personally;
  19. “Sporting event” means any professional or amateur sport, athletic game, contest, event, or race involving machines, persons, or animals, for which admission tickets are offered for sale and that is viewed by the public;
  20. “Person” means an individual, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business or statutory trust, donative trust, estate, company, corporation, limited liability company, association, club, committee, organization, or group of persons acting in concert; and
  21. “Salaried” means receiving a fixed compensation or benefit reserved for full-time employees, which is paid on a regular basis without regard to the actual number of hours worked.

HISTORY: Enact. Acts 1992, ch. 287, § 3, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 71, effective September 16, 1993; 1994, ch. 406, § 7, effective July 15, 1994; 1996, ch. 362, § 6, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 149, effective May 30, 1997; 1998, ch. 429, § 1, effective July 15, 1998; 1998, ch. 431, § 2, effective July 15, 1998; 1998, ch. 602, § 1, effective July 15, 1998; 2000, ch. 417, § 3, effective December 1, 2000; 2000, ch. 475, § 1, effective July 14, 2000; 2000, ch. 542, § 5, effective July 14, 2000; 2003, ch. 29, § 3, effective June 24, 2003; 2005, ch. 123, § 7, effective June 20, 2005; 2012, ch. 75, § 1, effective April 11, 2012; 2012, ch. 81, § 77, effective July 12, 2012; 2013, ch. 106, § 1, effective June 25, 2013; 2014, ch. 75, § 11, effective July 15, 2014; 2018 ch. 107, § 83, effective July 14, 2018; 2019 ch. 195, § 1, effective June 27, 2019; 2020 ch. 79, § 11, effective April 1, 2021; 2020 ch. 127, § 7, effective July 15, 2020; 2021 ch. 185, § 4, effective June 29, 2021; 2021 ch. 200, § 4, effective June 29, 2021; 2021 ch. 200, § 5, effective June 29, 2021.

Legislative Research Commission Notes.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

NOTES TO DECISIONS

1.Equal Protection Rights.

The need to properly identify and regulate compensated lobbyist groups in order to preserve and maintain the integrity of government constitutes a compelling state interest, which validates this classification and does not violate these groups’ equal protection rights. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

2.Public Servants.

Because property valuation administrators (PVAs) were state level “officers” subject to the Executive Branch Code of Ethics, KRS ch. 11A, the trial court improperly instructed the Kentucky Executive Branch Ethics Commission to dismiss charges against the PVAs for hiring family members, on the basis that they were local officials. Ky. Exec. Branch Ethics Comm'n v. Atkinson, 339 S.W.3d 472, 2010 Ky. App. LEXIS 105 (Ky. Ct. App. 2010).

Opinions of Attorney General.

Since Chapter 4 of Acts 1993 (1st Ex. Sess.), contained an emergency clause [§ 92] it became effective as a whole when the Governor tendered the bill, which he had signed, to the Secretary of State on February 18, 1993. However, section 87 (13) of Ch. 4 of Acts 1993 (1st Ex. Sess.) provided that, except as provided in §§ 88, 89, and 90, §§ 1-84 of the Act should become effective two hundred ten (210) days after the effective date of the Act, September 16, 1993; other subsections within § 87 establish a transition schedule with other specific dates calculated from the effective date of the Act. Such schedule is actually a listing of deadlines within which certain actions called for in § 87 of the Act are to be completed. Such schedule is as follows: “within 45 days of the effective date of the act” = on or before April 5, 1993; “within 60 days of the effective date of the act” = on or before April 19, 1993; “within 75 days of the effective date of the act” = on or before May 4, 1993; “within 90 days of the effective date of the act” = on or before May 19, 1993; “within 150 days of the effective date of the act” = on or before July 19, 1993; “within 180 days of the effective date of the act” = on or before August 17, 1993; “two hundred ten (210) days after the effective date of the act” = September 16, 1993. OAG 93-25 .

Since the state lottery is not a “business” as that term is used in subsection (1) of this section and does not engage in business for profit in any normal sense of the words and has no owners or stockholders who have a personal financial stake in its earnings, employment with the state lottery is not affected by the provisions of KRS 11A.040 . OAG 93-83 .

Commonwealth’s Attorneys are not covered by the provisions of KRS 11A. Rather, KRS 15 contains specific statutory directives regarding ethical consideration related to prosecutorial practice that governs Commonwealth’s Attorneys. OAG 2005-09 .

11A.015. Agency exempt from chapter if law or administrative regulation creates its code of ethics.

An agency that is directed by statute to adopt a code of ethics shall be exempt from KRS Chapter 11A upon the effective date of an Act of the General Assembly creating the agency’s code of ethics or upon the effective date of an administrative regulation that creates the agency’s code of ethics.

History. Enact. Acts 2000, ch. 475, § 5, effective July 14, 2000.

Opinions of Attorney General.

Commonwealth’s Attorneys are not covered by the provisions of KRS 11A. Rather, KRS 15 contains specific statutory directives regarding ethical consideration related to prosecutorial practice that governs Commonwealth’s Attorneys. OAG 2005-09 .

11A.020. Public servant prohibited from certain conduct — Exception — Disclosure of personal or private interest.

  1. No public servant, by himself or through others, shall knowingly:
    1. Use or attempt to use his influence in any matter which involves a substantial conflict between his personal or private interest and his duties in the public interest;
    2. Use or attempt to use any means to influence a public agency in derogation of the state at large;
    3. Use his official position or office to obtain financial gain for himself or any members of the public servant’s family; or
    4. Use or attempt to use his official position to secure or create privileges, exemptions, advantages, or treatment for himself or others in derogation of the public interest at large.
  2. If a public servant appears before a state agency, he shall avoid all conduct which might in any way lead members of the general public to conclude that he is using his official position to further his professional or private interest.
  3. When a public servant abstains from action on an official decision in which he has or may have a personal or private interest, he shall disclose that fact in writing to his superior, who shall cause the decision on these matters to be made by an impartial third party.
  4. The prohibitions imposed by subsection (1)(c) of this section shall not apply to Professional Golfers’ Association class A members who teach golf lessons and receive a fee or lesson charge at golf courses owned and operated by the Kentucky Department of Parks. Instruction provided by an employee of the Commonwealth shall only be given while the employee is on his or her own personal time. The commissioner of the Department of Parks shall promulgate administrative regulations to establish guidelines for the process by which Professional Golfers’ Association class A members are approved to teach golf lessons at Kentucky Department of Parks-owned golf courses. The exception granted by this subsection is in recognition of the benefits that will accrue to the Kentucky Department of Parks due to increased participation at state-owned golf courses.

History. Enact. Acts 1992, ch. 287, § 4, effective July 14, 1992; 1998, ch. 381, § 1, effective July 15, 1998.

NOTES TO DECISIONS

Analysis

1.In General.

Supervisor was not entitled to assert a claim of qualified immunity to an employee’s 42 USCS § 1983 action that was based on the supervisor’s alleged response of making a pretextual performance review and taking part in the employee’s allegedly illegal suspension after the employee made a report of alleged violations of KRS 11A.020 by the supervisor, since (1) any adverse actions taken against the employee for having made that report violated his First Amendment rights, (2) the employee’s First Amendment rights were clearly established by the time of the alleged violation, and (3) the supervisor’s responses were objectively unreasonable. Commonwealth v. Hall, 2006 Ky. App. Unpub. LEXIS 64 (Ky. Ct. App. Dec. 1, 2006).

2.Effect of Pardon.

Defendant, who had served in the state cabinet, received a pardon from the Governor in criminal proceedings alleging misdemeanor violations of the merit system laws and felony violations alleging evidence and witness tampering; such pardon did not preclude civil proceedings against defendant by the Kentucky Executive Branch Ethics Commission (EBEC) for violations of KRS 11A.020 ; defendant remained subject to the EBEC’s jurisdiction and the EBEC proceeding was not subject to the Governor’s pardon. Turbyfill v. Exec. Branch Ethics Comm'n, 303 S.W.3d 124, 2009 Ky. App. LEXIS 232 (Ky. Ct. App. 2009).

3.Nepotism.

Kentucky Legislature does not intend to bar the hiring and promotion of family members within a property valuation administrator's office via this section; because the terms “to obtain” and “financial gain” were not defined by statute, they were given their normal, ordinary, and common meaning. Therefore, members of the property valuation administrator's office did not violate this section by hiring or promoting family members within their respective offices. Ky. Exec. Branch Ethics Comm'n v. Wooten, 465 S.W.3d 453, 2014 Ky. App. LEXIS 158 (Ky. Ct. App. 2014).

11A.030. Considerations in determination to abstain from action on official decision — Advisory opinion.

In determining whether to abstain from action on an official decision because of a possible conflict of interest, a public servant should consider the following guidelines:

  1. Whether a substantial threat to his independence of judgment has been created by his personal or private interest;
  2. The effect of his participation on public confidence in the integrity of the executive branch;
  3. Whether his participation is likely to have any significant effect on the disposition of the matter;
  4. The need for his particular contribution, such as special knowledge of the subject matter, to the effective functioning of the executive branch; or
  5. Whether the official decision will affect him in a manner differently from the public or will affect him as a member of a business, profession, occupation, or group to no greater extent generally than other members of such business, profession, occupation, or group. A public servant may request an advisory opinion from the Executive Branch Ethics Commission in accordance with the commission’s rules of procedure.

History. Enact. Acts 1992, ch. 287, § 5, effective July 14, 1992.

11A.040. Acts prohibited for public servant or officer — Exceptions.

  1. A public servant, in order to further his or her own economic interests, or those of any other person, shall not knowingly disclose or use confidential information acquired in the course of his or her official duties.
  2. A public servant shall not knowingly receive, directly or indirectly, any interest or profit arising from the use or loan of public funds in his or her hands or to be raised through any state agency.
  3. A public servant shall not knowingly act as a representative or agent for the Commonwealth or any agency in the transaction of any business or regulatory action with himself or herself, or with any business in which he or she or a member of his or her family has any interest greater than five percent (5%) of the total value thereof.
  4. A public servant shall not knowingly himself or herself or through any business in which he or she owns or controls an interest of more than five percent (5%), or by any other person for his or her use or benefit or on his or her account, undertake, execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, entered into, awarded, or granted by the agency by which he or she is employed or which he or she supervises, subject to the provisions of KRS 45A.340 . This provision shall not apply to:
    1. A contract, purchase, or good faith negotiation made pursuant to KRS Chapter 416 relating to eminent domain; or
    2. Agreements which may directly or indirectly involve public funds disbursed through entitlement programs; or
    3. A public servant’s spouse or child doing business with any state agency other than the agency by which the public servant is employed or which he supervises; or
    4. Purchases from a state agency that are available on the same terms to the general public or that are made at public auction; or
    5. Sales of craft items to a state park by interim state employees designated as craftspersons under KRS 148.257 .
  5. A public servant shall not knowingly accept compensation, other than that provided by law for public servants, for performance of his or her official duties without the prior approval of the commission.
  6. A former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, within one (1) year of termination of his or her employment, knowingly by himself or herself or through any business in which he or she owns or controls an interest of at least five percent (5%), or by any other person for his or her use or benefit or on his or her account, undertake, execute, hold, bid on, negotiate, or enjoy, in whole or in part, any contract, agreement, lease, sale, or purchase made, entered into, awarded, or granted by the agency by which he or she was employed. This provision shall not apply to a contract, purchase, or good-faith negotiation made under KRS Chapter 416 relating to eminent domain or to agreements that may directly or indirectly involve public funds disbursed through entitlement programs. This provision shall not apply to purchases from a state agency that are available on the same terms to the general public or that are made at public auction. This provision shall not apply to former officers of the Department of Public Advocacy whose continued representation of clients is necessary in order to prevent an adverse effect on the client.
  7. A present or former officer or public servant listed in KRS 11A.010(9)(a) to (g) shall not, within one (1) year following termination of his or her office or employment, accept employment, compensation, or other economic benefit from any person or business that contracts or does business with, or is regulated by, the state in matters in which he or she was directly involved during the last thirty-six (36) months of his or her tenure. This provision shall not prohibit an individual from returning to the same business, firm, occupation, or profession in which he or she was involved prior to taking office or beginning his or her term of employment, or for which he or she received, prior to his or her state employment, a professional degree or license, provided that, for a period of one (1) year, he or she personally refrains from working on any matter in which he or she was directly involved during the last thirty-six (36) months of his or her tenure in state government. This subsection shall not prohibit the performance of ministerial functions, including but not limited to filing tax returns, filing applications for permits or licenses, or filing incorporation papers, nor shall it prohibit the former officer or public servant from receiving public funds disbursed through entitlement programs.
  8. A former public servant shall not act as a lobbyist or lobbyist’s principal in matters in which he or she was directly involved during the last thirty-six (36) months of his or her tenure for a period of one (1) year after the latter of:
    1. The date of leaving office or termination of employment; or
    2. The date the term of office expires to which the public servant was elected.
  9. A former public servant shall not represent a person or business before a state agency in a matter in which the former public servant was directly involved during the last thirty-six (36) months of his or her tenure, for a period of one (1) year after the latter of:
    1. The date of leaving office or termination of employment; or
    2. The date the term of office expires to which the public servant was elected.
  10. Without the approval of his appointing authority, a public servant shall not accept outside employment from any person or business that does business with or is regulated by the state agency for which the public servant works or which he or she supervises, unless the outside employer’s relationship with the state agency is limited to the receipt of entitlement funds.
    1. The appointing authority shall review administrative regulations established under KRS Chapter 11A when deciding whether to approve outside employment for a public servant.
    2. The appointing authority shall not approve outside employment for a public servant if the public servant is involved in decision-making or recommendations concerning the person or business from which the public servant seeks outside employment or compensation.
    3. The appointing authority, if applicable, shall file quarterly with the Executive Branch Ethics Commission a list of all employees who have been approved for outside employment along with the name of the outside employer of each.
  11. The prohibitions imposed by subsection (5) or (10) of this section shall not apply to Professional Golfers’ Association class A members who teach golf lessons and receive a fee or lesson charge at golf courses owned and operated by the Kentucky Department of Parks. Instruction provided by an employee of the Commonwealth shall only be given while the employee is on his or her own personal time. The commissioner of the Department of Parks shall promulgate administrative regulations to establish guidelines for the process by which Professional Golfers’ Association class A members are approved to teach golf lessons at Kentucky Department of Parks-owned golf courses. The exception granted by this subsection is in recognition of the benefits that will accrue to the Kentucky Department of Parks due to increased participation at state-owned golf courses.
  12. The prohibitions imposed by subsections (6) to (10) of this section shall not apply to members of the Kentucky Horse Racing Commission.

History. Enact. Acts 1992, ch. 287, § 6, effective July 14, 1992; 1994, ch. 434, § 3, effective July 15, 1994; 1996, ch. 367, § 1, effective July 15, 1996; 1998, ch. 381, § 2, effective July 15, 1998; 1998, ch. 429, § 2, effective July 15, 1998; 1998, ch. 430, § 1, effective July 15, 1998; 1998, ch. 602, § 2, effective July 15, 1998; 2000, ch. 417, § 4, effective December 1, 2000; 2000, ch. 475, § 2, effective July 14, 2000; 2006, ch. 68, § 1, effective July 12, 2006; 2019 ch. 74, § 1, effective June 27, 2019; 2021 ch. 200, § 6, effective June 29, 2021.

Legislative Research Commission Notes.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

(7/15/98). A reference to “KRS 11A.010(9)(a) to (i)” in the former subsection (6) of this statute (now subsection (7)) has been changed in codification to “KRS 11A.010(9)(a) to (h)” under KRS 7.136(1)(e) and (h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 11A.010(9) and renumbered the remaining subsections accordingly. Other actions within Acts Chapter 429 used the “(a) to (h)” range in new language and modified existing language to use the “(a) to (h)” range. It seems clear from context, and this has been confirmed by the drafter of the bill, that this change was intended here as well but was inadvertently overlooked.

NOTES TO DECISIONS

1.Prohibition Against Lobbying.

There are no qualifications, exceptions, or conditions in subsection (7) (now (8)) of this section that would remove any public servant from the reaches of the prohibition against lobbying. Flint v. Executive Branch Ethics Comm'n, 981 S.W.2d 132, 1998 Ky. App. LEXIS 131 (Ky. Ct. App. 1998).

2.Jurisdiction.

Because the former deputy liquidator’s misconduct related only to his personal behavior and was not directly connected to insurance liquidation, the trial court lacked jurisdiction to grant summary judgment. Exec. Branch Ethics Comm'n v. Stephens, 92 S.W.3d 69, 2002 Ky. LEXIS 200 ( Ky. 2002 ).

Opinions of Attorney General.

Where a Deputy Commissioner in the Department of Education, will be retiring effective June 30, 1992 and after leaving the Department of Education, will be available as a consultant through appropriate contractual arrangements with the Department and local school districts, this section will not require the Deputy Commissioner to wait six months after he has left the Department of Education before becoming a consultant to the Department; subsection (6) of this section requires a six months’ wait only if the formerly employed person obtains employment with a person or business that contracts or does business with the Education Department in matters in which the formerly employed person was directly involved during their tenure with the Department. OAG 92-89 .

Since the state lottery is not a “business” as that term is used in KRS 11A.010 (1) and does not engage in business for profit in any normal sense of the words and has no owners or stockholders who have a personal financial stake in its earnings, employment with the state lottery is not affected by the provisions of this section. OAG 93-83 .

11A.045. Acceptance of gifts by public servants permitted under certain circumstances.

  1. No public servant, his spouse, or dependent child knowingly shall accept any gifts or gratuities, including travel expenses, meals, alcoholic beverages, and honoraria, totaling a value greater than twenty-five dollars ($25) in a single calendar year from any person or business that does business with, is regulated by, is seeking grants from, is involved in litigation against, or is lobbying or attempting to influence the actions of the agency in which the public servant is employed or which he supervises, or from any group or association which has as its primary purpose the representation of those persons or businesses. Nothing contained in this subsection shall prohibit the commission from authorizing exceptions to this subsection where such exemption would not create an appearance of impropriety. This subsection shall not apply to:
    1. Activities involving sponsorships, naming rights, or similar honoraria granted under KRS 45A.097 ; or
    2. Individuals traveling on their own while involved in activities related to KRS 45A.097 .
  2. Nothing in KRS Chapter 11A shall prohibit or restrict the allocation of or acceptance by a public servant of a ticket for admission to a sporting event if the ticket or admission is paid for by the public servant at face value or is paid for at face value by the individual to whom the ticket is allocated.
  3. Nothing in KRS 11A.001 to 11A.110 shall prohibit or restrict the acceptance by a public servant of the Cabinet for Economic Development or by any other public servant working directly with the cabinet on an economic incentive package of anything of economic value as a gift or gratuity, if the gift or gratuity:
    1. Was not solicited by the public servant;
    2. Was accepted by the public servant in the performance of his or her official duties and in compliance with guidelines to be established by the Kentucky Economic Development Partnership which shall include requirements that all gifts or gratuities of a reportable value under KRS 11A.050(3)(k) be registered with the Kentucky Economic Development Partnership and with the Executive Branch Ethics Commission and that all tangible property with a value in excess of twenty-five dollars ($25), other than food and beverages consumed on the premises, shall be turned over to the Cabinet for Economic Development within thirty (30) days of receipt. In filing reports of gifts or gratuities with the Executive Branch Ethics Commission, the Cabinet for Economic Development may delete information identifying the donors if the cabinet believes identification of the donors would damage economic development; and
    3. Was not accepted under circumstances which would create a violation of KRS Chapter 521.

HISTORY: Enact. Acts 1994, ch. 450, § 36, effective July 15, 1994; 1998, ch. 431, § 1, effective July 15, 1998; 2000, ch. 475, § 3, effective July 14, 2000; 2000, ch. 542, § 6, effective July 14, 2000; 2017 ch. 175, § 4, effective June 29, 2017.

11A.047. Definitions — Transition team to promote orderly transfer of executive power and continuity in conduct of state government — Executive Branch Ethics Commission to establish in administrative regulations standards of ethical conduct for transition team members — Access to and confidentiality of nonpublic information — Disclosure of positions held outside state government — Financial conflicts of interest — Standards of ethical conduct to be available on commission’s Web site.

  1. As used in this section:
    1. “Agency” means any department, program cabinet, division, institution, board, commission, office, or agency of state government;
    2. “Nonpublic information” means information relating to state government that a transition team member obtains as part of his or her participation on the transition team that such member knows or reasonably should know has not been made available to the general public, or is otherwise not available for public inspection under KRS 61.870 to 61.884 ;
    3. “Transition team” means a team created by a person newly elected to any office listed in KRS 11A.010(9)(a) to (g) to promote the orderly transfer of executive power and ensure continuity in the conduct of the affairs of state government in connection with the expiration of the term of office for any person elected to the offices listed under KRS 11A.010(9)(a) to (g) and the election and inauguration of another person to serve in any of the offices listed in KRS 11A.010(9)(a) to (g); and
    4. “Transition team member” means any person designated to serve on a transition team.
  2. A person newly elected to any office listed in KRS 11A.010(9)(a) to (g) may create a transition team for the purpose of promoting an orderly transfer of executive power and ensuring continuity in the conduct of affairs of state government by requesting and utilizing information provided by the administration of the outgoing official that had been elected to any office listed in KRS 11A.010(9)(a) to (g) prior to the expiration of his or her term of office.
  3. The commission shall establish by administrative regulation promulgated under KRS Chapter 13A standards of ethical conduct for transition team members. The standards of ethical conduct for transition team members shall include ethics requirements that:
    1. Apply to all transition team members;
    2. Address the role of transition team members who are:
      1. Registered lobbyists under KRS 6.801 to 6.829 and KRS 11A.201 to 11A.246 ; or
      2. Former lobbyists who were registered under KRS 6.801 to 6.829 and KRS 11A.201 to 11A.246 during the twelve (12) month period prior to becoming a transition team member.
  4. Each person elected to an office listed in KRS 11A.010(9)(a) to (g) shall designate a person or persons to lead his or her transition team or transition teams. Persons designated as transition team leaders shall, on a form prescribed by the commission by administrative regulation promulgated under KRS Chapter 13A, submit to the commission:
    1. A list of all transition team members;
    2. A description of how transition team members will comply with the provisions contained within this section; and
    3. Any additions to or departures from the list of transition team members as necessary to provide an accurate and up-to-date list.
  5. A transition team member shall:
    1. Seek authorization from the transition team leader designated by the person elected to the office listed in KRS 11A.010(9)(a) to (g) to oversee the transition team to which the transition team member is assigned before seeking access to any nonpublic information as part of the transition process;
    2. Keep confidential any nonpublic information provided in the course of the duties of the transition team member with the transition team and exclusively use such information for the purposes of the transition; and
    3. Not use any nonpublic information provided in the course of transition duties, in any manner, for personal or private gain of the transition team member or any other party at any time during or after the transition.
  6. A transition team member shall not receive nonpublic information regarding matters that financially impact:
    1. The transition team member or his or her spouse;
    2. The transition team member’s employer or his or her spouse’s employer;
    3. The transition team member’s lobbying clients;
    4. Any business in which the transition team member or his or her spouse is a board member;
    5. Any business in which the transition team member or his or her spouse is an officer;
    6. Any business in which the transition team member or his or her spouse is an owner of five percent (5%) or more of the business; or
    7. Any provider of non-state sources of funds received by the transition team member related to his or her transition team duties.
  7. Every transition team member shall disclose prior to serving on the transition team, and update as necessary during service on the transition team on a form prescribed by the commission by administrative regulation promulgated under KRS Chapter 13A:
    1. His or her current employer and the current employer of his or her spouse;
    2. Any business in which a transition team member or his or her spouse is a board member, an officer, or an owner of five percent (5%) or more of the business during the twelve (12) month period prior to becoming a transition team member;
    3. Any non-state sources of funds received for his or her services related to transition team duties;
    4. All positions the transition team member has held outside of state government for the twelve (12) month period prior to becoming a transition team member, including both paid and unpaid positions;
    5. Any contracts that the transition team member or his or her spouse has sought or received with state government during the twelve (12) month period prior to becoming a transition team member and affirmation that the transition team member and his or her spouse will not seek a contract with a state agency for which he or she received nonpublic information during the tenure of the administration;
    6. Whether the transition team member or his or her spouse has accepted any gift or payment exceeding twenty-five dollars ($25) or has accepted future employment from any party interested in seeking influence in state government during the twelve (12) month period prior to becoming a transition team member, or during service as a transition team member;
    7. A description of the transition team member’s role in the transition, including a list of any policy issues on which the transition team member is expected to work, and a list of agencies with which the transition team member is expected to interact while serving on the transition team;
    8. Any issues from which each transition team member shall be recused while serving as a member of the transition team; and
    9. An affirmation that each transition team member does not have a financial conflict of interest that precludes transition team members from working on specified issues to which he or she has been assigned.
  8. The commission shall make the standards of ethical conduct for transition team members available to the public on its Web site.

HISTORY: 2021 ch. 129, § 1, effective June 29, 2021.

11A.050. Financial disclosure by officers, candidates, and public servants.

  1. Each officer, each public servant listed in KRS 11A.010(9)(a) to (g), and each candidate shall file a statement of financial disclosure with the commission, as follows:
    1. Each officer shall file the statement within thirty (30) days of employment as an officer, and each officer who occupies his or her position during any portion of a calendar year shall file the statement for that portion of the calendar year he or she occupied the position on or before April 15 of the following year, whether or not he or she remains an officer;
    2. Each public servant listed in KRS 11A.010(9)(a) to (g) who occupies his or her position during any portion of a calendar year shall file the statement for that portion of the calendar year he or she occupied the position on or before April 15 of the following year, whether or not he or she remains a public servant as listed in KRS 11A.010(9)(a) to (g);
    3. Each officer and public servant listed in KRS 11A.010(9)(a) to (g) who does not remain an officer or public servant listed in KRS 11A.010(9)(a) to (g) for the entire calendar year shall file the statement for the portion of the calendar year that the person served as an officer or public servant listed in KRS 11A.010(9)(a) to (g). The statement shall be filed with the commission within thirty (30) days after the date the person no longer serves as an officer or public servant listed in KRS 11A.010(9)(a) to (g);
    4. A candidate shall file the statement reflecting the previous calendar year with the commission no later than February 15; and
    5. Each candidate elected to serve as a public servant in a position listed in KRS 11A.010(9)(a) to (g) shall, within ten (10) days of taking the oath of office for the position to which he or she was elected, file a statement of financial disclosure with the commission for the calendar year in which the election was held.
  2. The statement of financial disclosure shall be filed on a form prescribed by the commission. The commission shall provide copies of the form upon request without charge.
  3. The statement shall include the following information for the preceding calendar year:
    1. Name and entire residential and business address of filer;
    2. Title of position or office whereby filing is required;
    3. Any other occupations of filer and spouse;
    4. Positions held by the filer or his or her spouse in any business, and the name and address of the business;
    5. Name and address of any employer by whom the filer was employed for the one (1) year period immediately prior to becoming an officer, not including those listed in paragraph (d) of this subsection;
    6. Names and addresses of all businesses in which the filer, his or her spouse, or dependent children has or had an interest of ten thousand dollars ($10,000) at fair market value or five percent (5%) ownership interest or more;
    7. The name and address of any source of gross income exceeding one thousand dollars ($1,000) from any one (1) source to the filer, his or her spouse, or dependent child, as well as information concerning the nature of the business, and the form of the income;
    8. Any representation or intervention for compensation by the filer or his or her spouse for any person or business before a state agency for which the filer works or supervises or before any entity of state government for which the filer would serve in a decision-making capacity, including the name and address of the person or business;
    9. All positions of a fiduciary nature held by the filer or his or her spouse in a business, including the name and address of the business;
    10. Information, including a street address or location, regarding any real property in which there is an interest of ten thousand dollars ($10,000) or more held by the filer, his or her spouse, or dependent children;
    11. Sources, including each source’s name and address, of gifts of money or property with a retail value of more than two hundred dollars ($200) from any one (1) source to the filer, his or her spouse, or dependent children, except those from a member of the filer’s family;
    12. Identity, including an address, of creditors owed more than ten thousand dollars ($10,000), except debts arising from the purchase of consumer goods; and
    13. Names and addresses of family members of the filer or persons with whom the filer was engaged in a business who are registered as legislative agents under KRS 6.807 or executive agency lobbyists under KRS 11A.211 .

Paragraphs (a) to (m) of this subsection shall not require disclosure of specific dollar amounts or of privileged information.

History. Enact. Acts 1992, ch. 287, § 7, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 72, effective September 16, 1993; 1998, ch. 429, § 3, effective July 15, 1998; 2000, ch. 417, § 5, effective December 1, 2000; 2000, ch. 475, § 4, effective July 14, 2000; 2019 ch. 74, § 2, effective June 27, 2019; 2021 ch. 129, § 2, effective June 29, 2021.

Legislative Research Commission Notes.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

(7/15/98). A reference to “KRS 11A.010(9)(a) to (i)” in subsection (1) of this statute has been changed in codification to “KRS 11A.010(9)(a) to (h)” under KRS 7.136(1)(e) and (h). 1998 Ky. Acts ch. 429, sec. 1, eliminated the former paragraph (g) of KRS 11A.010(9) and renumbered the remaining subsections accordingly. Other actions within Acts Chapter 429, including in the section that amended this statute, used the “(a) to (h)” range in new language and modified existing language to use the “(a) to (h)” range. It seems clear from context, and this has been confirmed by the drafter of the bill, that this change was intended here as well but was inadvertently overlooked.

11A.055. Raising of funds for certain activities permitted — Exemption from requirements of chapter for nonprofit charitable organization.

  1. Any provision of KRS Chapter 11A to the contrary notwithstanding, a state agency or a public servant may raise funds, either individually or as a department or agency, for a charitable nonprofit organization granted a tax exemption by the Internal Revenue Service under Section 501c of the Internal Revenue Code without violating the provisions of this chapter. Raising of funds shall include but not be limited to holding events for the benefit of the charitable organization, contacting potential donors, providing prizes, and engaging in other forms of fundraising and providing the funds thus raised to the charitable organization.
  2. Any provision of KRS Chapter 11A to the contrary notwithstanding, a state agency or a public servant may raise funds, either individually or as a department or agency, for crime prevention, drug and alcohol abuse prevention, tourism promotion, and traffic safety programs without violating the provisions of this chapter. Raising of funds shall include but not be limited to holding events for the benefit of a program specified in this section, contacting potential donors, providing prizes, and engaging in other forms of fundraising and providing the funds thus raised to the program.
  3. Any provision of KRS Chapter 11A to the contrary notwithstanding, any nonprofit charitable organization organized under 26 U.S.C. sec. 501(c)(3) , affiliated with the Tourism, Arts and Heritage Cabinet, or whose purpose is the promotion of tourism in the Commonwealth:
    1. Shall not be subject to the provisions of this chapter;
    2. May benefit from cabinet employees working on its behalf without the employees violating the provisions of this chapter; and
    3. May make contributions to the cabinet after being solicited by cabinet employees without the employees violating the provisions of this chapter.

HISTORY: Enact. Acts 2002, ch. 290, § 2, effective April 9, 2002; 2017 ch. 175, § 5, effective June 29, 2017.

Compiler’s Notes.

The reference to “Section 501c of the Internal Revenue Code” in subsection (1) appears to be intended as a reference to 26 USCS § 501(c).

11A.060. Executive Branch Ethics Commission — Membership — Officers — Compensation — Removal — Meetings.

  1. The Executive Branch Ethics Commission is hereby established.
  2. The commission shall be composed of five (5) members appointed by the Governor.
  3. Members of the commission shall serve staggered terms of four (4) years. Of the initial members appointed as provided in this section, one (1) member shall serve a term of one (1) year, one (1) member shall serve a term of two (2) years, one (1) member shall serve a term of three (3) years, and two (2) members shall be appointed for terms of four (4) years. Thereafter, all appointments shall be for four (4) years.
  4. The commission shall elect from its membership a chairman and vice chairman. In the absence of the chairman or in the event of a vacancy in that position, the vice chairman shall serve as chairman.
  5. A member of the commission shall receive one hundred dollars ($100) per day for attending meetings and shall be reimbursed for actual and necessary expenses incurred in the performance of duties.
  6. All members shall be registered voters of the state.
  7. Members of the commission shall be removed by the Governor for cause only, including substantial neglect of duty and inability to discharge the powers and duties of office.
  8. A quorum shall consist of three (3) or more members. An affirmative vote of three (3) or more members shall be necessary for commission action.
  9. The commission shall meet at the call of the chairman or a majority of its members.
  10. The commission shall be attached to the Finance and Administration Cabinet for administrative purposes only.

History. Enact. Acts 1992, ch. 287, § 8, effective July 14, 1992; 1994, ch. 208, § 1, effective July 15, 1994; 1998, ch. 602, § 3, effective July 15, 1998; 2009, ch. 12, § 17, effective June 25, 2009.

11A.070. Executive director and employees of commission — Use of services and facilities of state agencies.

The commission may employ an executive director and any other employees, agents, and consultants it considers necessary, and may prescribe their duties, fix their compensation, and provide for reimbursement of their expenses within the amount available therefor by appropriation. The commission may also engage outside professional counsel it considers necessary. The commission and its staff may also make use of the services and facilities of the office of the Attorney General or of any other state agency.

History. Enact. Acts 1992, ch. 287, § 9, effective July 14, 1992.

11A.080. Investigation of complaints — Procedures — Resolution.

    1. Upon a complaint signed under penalty of perjury by any person, or upon its own motion, the commission shall conduct a preliminary investigation of any alleged violation of this chapter. (1) (a) Upon a complaint signed under penalty of perjury by any person, or upon its own motion, the commission shall conduct a preliminary investigation of any alleged violation of this chapter.
    2. The preliminary investigation shall begin not later than ten (10) days after the next commission meeting following the receipt of the sworn complaint, or, if the investigation is initiated by the commission’s own motion, not later than ten (10) days after the date of the adoption of the motion.
    3. Within ten (10) days of the commencement of the preliminary investigation, the commission shall forward a copy of the complaint, if one has been filed, or a statement of possible violations being investigated, and a general statement of the applicable law to the person alleged to have committed a violation.
  1. All commission proceedings and records relating to a preliminary investigation shall be confidential until a final determination is made by the commission, except:
    1. The commission may turn over to the Attorney General, the United States Attorney, or the Commonwealth’s attorney of the jurisdiction in which the offense allegedly occurred, evidence which may be used in criminal proceedings or, at its discretion, may at any time turn over to the Personnel Board, the Auditor of Public Accounts, or any other agency with jurisdiction to review, audit, or investigate the alleged offense, evidence which may be used by those agencies for investigative purposes;
    2. If the alleged violator publicly discloses the existence of a preliminary investigation, the commission may publicly confirm the existence of the inquiry and, in its discretion, make public any documents which were issued to either party;
    3. If the matter being investigated was referred to the commission from another state agency, the commission may inform the referring state agency of the status of any preliminary investigation and of any action taken on the matter.
  2. If the commission determines in the preliminary investigation that the facts are not sufficient to constitute a violation of this chapter, the commission shall immediately terminate the investigation and notify in writing the complainant, if any, and the person alleged to have committed a violation. The commission may confidentially inform the alleged violator of potential violations and provide information to ensure future compliance with the law. If the alleged violator publicly discloses the existence of such action by the commission, the commission may confirm the existence of the resolution and, in its discretion, make public any documents which were issued to the alleged violator.
  3. If the commission, during the course of the preliminary investigation, finds probable cause to believe that a violation of this chapter has occurred, the commission may, upon majority vote:
    1. Due to mitigating circumstances such as lack of significant economic advantage or gain by the alleged violator, lack of significant economic loss to the state, or lack of significant impact on public confidence in government, in writing, confidentially reprimand the alleged violator for potential violations of the law and provide a copy of the reprimand to the alleged violator’s appointing authority, if any. If the alleged violator publicly discloses the existence of such an action, the commission may confirm the existence of the action and, in its discretion, make public any documents which were issued to the alleged violator; or
    2. Initiate an administrative proceeding to determine whether there has been a violation.
  4. If the commission determines that a violation of this chapter has occurred in a case involving a contract with state government, the secretary of the Finance and Administration Cabinet may void any contract related to that case.
  5. If the commission determines that a violation of the provisions of KRS 11A.001 to 11A.130 has occurred, an employer of a former officer or public servant may be subject to a fine of up to one thousand dollars ($1,000) for each offense.

History. Enact. Acts 1992, ch. 287, § 10, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 73, effective September 16, 1993; 1998, ch. 603, § 1, effective July 15, 1998; 2000, ch. 475, § 6, effective July 14, 2000; 2012, ch. 34, § 1, effective July 12, 2012; 2017 ch. 162, § 1, effective June 29, 2017; 2019 ch. 74, § 3, effective June 27, 2019.

NOTES TO DECISIONS

1.Applicability.

Because property valuation administrators (PVAs) were state level “officers” subject to the Executive Branch Code of Ethics, KRS ch. 11A, the trial court improperly instructed the Kentucky Executive Branch Ethics Commission to dismiss charges against the PVAs for hiring family members, on the basis that they were local officials. Ky. Exec. Branch Ethics Comm'n v. Atkinson, 339 S.W.3d 472, 2010 Ky. App. LEXIS 105 (Ky. Ct. App. 2010).

Opinions of Attorney General.

Where first page of subpeona was released, second page of subpeona could not be withheld under the exceptions of KRS 61.878 (1)(h) and (i) (now (i) and (j)) since a subpeona is a final draft upon execution and cannot be characterized as preliminary memorandum in which opinions are expressed. OAG 94-ORD-81.

Assertion that subsection (2) of this section precluded the release of the second page of a subpeona issued by the Auditor’s office because the Auditor’s services had been enlisted by the Executive Branch Ethics Commission failed where the Auditor was acting independently at the time the subpeona was issued. OAG 94-ORD-81.

A finding of no probable cause is not a “final determination” such as one reached at the conclusion of a full-blown adjudicatory hearing conducted under KRS 11A.100(3). It is, instead, an option available to the Commission if, in the course of a preliminary investigation, it determines that the complaint does not allege facts sufficient to constitute a violation of KRS Chapter 11A. Records pertaining to such preliminary investigative findings, including minutes of executive sessions of the Commission, are expressly excluded from public inspection by operation of KRS 11A.080(2). OAG 02-ORD-44.

As a public agency employee, the requester would normally be entitled to inspect and copy any record including preliminary and other supporting documentation that relates to him at the conclusion of any criminal or administrative investigations by an agency. However, the specific confidentiality provision codified at KRS 11A.080(2) overrides KRS 61.878(3), and the requester has no greater right of access to the Commission’s confidential records than the public generally. OAG 02-ORD-44.

11A.090. Subpoena power.

For the purpose of carrying out a preliminary investigation, the commission may issue subpoenas to compel the attendance and testimony of witnesses or the production of documents, books, papers, or other records. Subpoenas may be issued by the chairman or the majority of the members of the commission and shall be served in the same manner as subpoenas for witnesses in civil cases. All provisions of law relative to subpoenas issued in such cases, including compensation of witnesses, shall apply to subpoenas issued by the commission. Upon petition by the commission, any Circuit Court within the jurisdiction of which any inquiry is being carried on may, in case of refusal to obey a subpoena or order of the commission, issue an order requiring compliance. Any failure to obey the order of the court may be punished by the court as contempt thereof.

History. Enact. Acts 1992, ch. 287, § 11, effective July 14, 1992; 1996, ch. 318, § 14, effective July 15, 1996.

11A.100. Procedures for administrative hearings — Action by commission.

  1. The provisions of KRS Chapter 13B shall apply to all commission administrative hearings, except for the provisions of:
    1. KRS 13B.030(2)(b);
    2. KRS 13B.050(1), (2), and (3) when a party fails to file an answer or otherwise participate; and
    3. KRS 13B.090(7).
  2. All administrative hearings of the commission carried out pursuant to the provisions of this section shall be public, unless the members vote to go into executive session in accordance with KRS 61.810 .
  3. The commission, upon a finding pursuant to an administrative hearing that there has been clear and convincing proof of a violation of this chapter, may:
    1. Issue an order requiring the violator to cease and desist the violation; and
    2. Issue an order requiring the violator to file any report, statement, or other information as required by this chapter; and
    3. In writing, publicly reprimand the violator for potential violations of the law and provide a copy of the reprimand to the alleged violator’s appointing authority, if any; and
    4. In writing, recommend to the violator’s appointing authority that the violator be removed or suspended from office or employment, and include a recommendation for length of suspension, to be approved by the appointing authority, if any; and
    5. Issue an order requiring the violator to pay a civil penalty of not more than five thousand dollars ($5,000) for each violation of this chapter.
  4. In addition to any other remedies provided by law, any violation of this chapter which has substantially influenced the action taken by any state agency in any particular matter shall be grounds for voiding, rescinding, or canceling the action on such terms as the interests of the state and innocent third persons require.
  5. The commission shall refer to the Attorney General evidence of violations of KRS 11A.040 for prosecution. The Attorney General shall have responsibility for all prosecutions under the law and may request from the commission all evidence collected in its investigation. The commission may represent itself through the general counsel in all subsequent proceedings.

HISTORY: Enact. Acts 1992, ch. 287, § 12, effective July 14, 1992; 1996, ch. 318, § 15, effective July 15, 1996; 1998, ch. 603, § 2, effective July 15, 1998; 2000, ch. 475, § 7, effective July 14, 2000; 2018 ch. 188, § 1, effective July 14, 2018.

NOTES TO DECISIONS

Cited in:

Exec. Branch Ethics Comm’n v. Stephens, 92 S.W.3d 69, 2002 Ky. LEXIS 200 ( Ky. 2002 ).

Opinions of Attorney General.

A finding of no probable cause is not a “final determination” such as one reached at the conclusion of a full-blown adjudicatory hearing conducted under KRS 11A.100(3). It is, instead, an option available to the Commission if, in the course of a preliminary investigation, it determines that the complaint does not allege facts sufficient to constitute a violation of KRS Chapter 11A. Records pertaining to such preliminary investigative findings, including minutes of executive sessions of the Commission, are expressly excluded from public inspection by operation of KRS 11A.080(2). OAG 02-ORD-44.

11A.110. Additional duties of commission.

The commission shall perform the following additional duties:

  1. On its own initiative or upon a signed request in writing, issue and publish advisory opinions on the requirements of this chapter for those who wish to use the opinion to guide their own conduct. If requested in writing by the person seeking the advisory opinion, the commission shall not release that person’s name;
  2. Provide a continuing program of education, assistance, and information to public servants, including, but not limited to, publishing and making available to the persons subject to this chapter and the public explanatory information concerning this chapter, the duties imposed by it, and the means of enforcement;
  3. Promulgate administrative regulations in accordance with KRS Chapter 13A to implement this chapter, including, if required by the commission, electronic filing of disclosure statements by executive agency lobbyists, their employers, or real parties in interest;
  4. Prescribe forms for statements required by this chapter and furnish the forms to persons required to file the statements. The forms shall be adopted as administrative regulations or adopted by reference in an administrative regulation;
  5. Prepare and publish a manual of guidelines setting forth uniform methods of reporting for use by persons required to file under this chapter;
  6. Accept and file any information voluntarily supplied that exceeds the requirements of this chapter;
  7. Preserve the disclosure statements filed with it for four (4) years from the date of receipt;
  8. Make statements and reports filed with the commission available for public inspection and copying pursuant to KRS 61.870 to KRS 61.884 (Kentucky Open Records Law);
  9. Compile and maintain a current index of all statements filed with the commission to facilitate public access to the reports and statements;
  10. Prepare and publish reports as it may deem appropriate;
  11. Audit statements and reports filed with the commission;
  12. Make recommendations for legislation relating to governmental ethics and other matters included in this chapter as the commission deems desirable; and
  13. Prepare a biennial written report, no later than December 1 of each odd-numbered year, to the Legislative Research Commission, the Governor, and the public on the activities of the commission in the preceding two (2) fiscal years. The report shall contain the names and duties of each individual employed by the commission and a summary of commission determinations and advisory opinions. The commission shall prevent disclosure of the identity of a person involved in decisions or advisory opinions. The report may contain other information on matters within the commission’s jurisdiction and recommendations for legislation as the commission deems desirable.

History. Enact. Acts 1992, ch. 287, § 13, effective July 14, 1992; 1998, ch. 429, § 4, effective July 15, 1998; 2019 ch. 74, § 4, effective June 27, 2019.

11A.120. Employment of public servant by state institution of higher education.

Nothing in KRS 11A.001 to 11A.110 shall prohibit or restrict a public servant from accepting outside employment in a state institution of higher education as long as that outside employment does not interfere or conflict with the public servant’s state employment duties. Nothing in this section shall prohibit or restrict a present or former public servant from accepting employment with a state institution of higher education immediately following termination of his office or employment in another state agency.

History. Enact. Acts 1992, ch. 287, § 14, effective July 14, 1992.

11A.130. Employment of officer or public servant in privatized agency by agency’s operator.

Nothing in this chapter shall be construed to prohibit an officer or public servant employed by an agency that is privatized from accepting employment from the person or business which is operating that agency if the officer or public servant was not involved in making the decision to privatize or in developing the provisions of the privatization contract.

History. Enact. Acts 1994, ch. 434, § 2, effective July 15, 1994; 1998, ch. 492, § 6, effective July 15, 1998.

Executive Agency Lobbying

11A.201. Definitions for KRS 11A.201 to 11A.246 and KRS 11A.990.

As used in KRS 11A.201 to 11A.246 and KRS 11A.990 :

  1. “Compensation” means any money, thing of value, or economic benefit conferred on, or received by, any person in return for services rendered, or to be rendered, by himself or another;
    1. “Expenditure” means any of the following that is made to, or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or a member of the staff of any of the officials listed in this paragraph: (2) (a) “Expenditure” means any of the following that is made to, or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or a member of the staff of any of the officials listed in this paragraph:
      1. A payment, distribution, loan, advance, deposit, reimbursement, or gift of money, real estate, or anything of value, including, but not limited to, food and beverages, entertainment, lodging, transportation, or honoraria;
      2. A contract, promise, or agreement to make an expenditure; or
      3. The purchase, sale, or gift of services or any other thing of value.
    2. “Expenditure” does not include a contribution, gift, or grant to a foundation or other charitable organization that is exempt from federal income taxation under Section 501(c)(3) of the Internal Revenue Code. “Expenditure” does not include the purchase, sale, or gift of services or any other thing of value that is available to the general public on the same terms as it is available to the persons listed in this subsection. “Expenditure” does not include a payment, contribution, gift, purchase, or any other thing of value that is made to or on behalf of any elected executive official, the secretary of a cabinet listed in KRS 12.250, an executive agency official, or any member of the staff of any of the officials listed in this paragraph who works for a state agency for which the executive agency lobbyist is not registered to influence;
  2. “Employer” means any person who engages an executive agency lobbyist;
  3. “Engage” means to make any arrangement, and “engagement” means arrangement, whereby an individual is employed or retained for compensation to act for or on behalf of an employer to influence executive agency decisions or to conduct any executive agency lobbying activity;
  4. “Financial impact” means to have an effect on the financial position of the employer of the executive agency lobbyist or the real party in interest whether or not the impact is positive or negative;
    1. “Financial transaction” means a transaction or activity that is conducted or undertaken for profit and arises from the joint ownership, or the ownership, or part ownership in common of any real or personal property or any commercial or business enterprise of whatever form or nature between the following: (6) (a) “Financial transaction” means a transaction or activity that is conducted or undertaken for profit and arises from the joint ownership, or the ownership, or part ownership in common of any real or personal property or any commercial or business enterprise of whatever form or nature between the following:
      1. An executive agency lobbyist, his or her employer, a real party in interest, or a member of the immediate family of the executive agency lobbyist, his or her employer, or a real party in interest; and
      2. Any elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of the officials listed in this subparagraph.
    2. “Financial transaction” does not include any transaction or activity described in paragraph (a) of this subsection if it is available to the general public on the same terms;
  5. “Executive agency” means the office of an elected executive official, a cabinet listed in KRS 12.250 , or any other state agency, department, board, or commission controlled or directed by an elected executive official or otherwise subject to his or her authority. “Executive agency” does not include any court or the General Assembly;
  6. “Executive agency decision” means a decision of an executive agency regarding the expenditure of funds of the state or of an executive agency with respect to the award of a contract, grant, lease, or other financial arrangement under which those funds are distributed or allocated. This shall also include decisions made concerning:
    1. The parameters of requests for information, requests for proposals, and other forms of solicitation in KRS Chapter 45A or 176;
    2. Drafting, adopting, or implementing a budget provision;
    3. Administrative regulations or rules;
    4. An executive order; or
    5. Legislation or amendments thereto;
    1. “Executive agency lobbyist” means any person engaged to influence executive agency decisions or to conduct executive agency lobbying activity as one (1) of his or her main purposes regarding a substantial issue, including associations, coalitions, or public interest entities formed for the purpose of promoting or otherwise influencing executive agency decisions. The term “executive agency lobbyist” shall also include placement agents and unregulated placement agents. (9) (a) “Executive agency lobbyist” means any person engaged to influence executive agency decisions or to conduct executive agency lobbying activity as one (1) of his or her main purposes regarding a substantial issue, including associations, coalitions, or public interest entities formed for the purpose of promoting or otherwise influencing executive agency decisions. The term “executive agency lobbyist” shall also include placement agents and unregulated placement agents.
    2. “Executive agency lobbyist” does not include an elected or appointed officer or employee of a federal or state agency, state college, state university, or political subdivision who attempts to influence or affect executive agency decisions in his or her fiduciary capacity as a representative of his or her agency, college, university, or political subdivision;
    1. “Executive agency lobbying activity” means contacts made to promote, advocate, or oppose the passage, modification, defeat, or executive approval or veto of any legislation or otherwise influence the outcome of an executive agency decision by direct communication with an elected executive official, the secretary of any cabinet listed in KRS 12.250 , any executive agency official whether in the classified service or not, or a member of the staff of any one (1) of the officials listed in this paragraph. (10) (a) “Executive agency lobbying activity” means contacts made to promote, advocate, or oppose the passage, modification, defeat, or executive approval or veto of any legislation or otherwise influence the outcome of an executive agency decision by direct communication with an elected executive official, the secretary of any cabinet listed in KRS 12.250 , any executive agency official whether in the classified service or not, or a member of the staff of any one (1) of the officials listed in this paragraph.
    2. “Executive agency lobbying activity” does not include any of the following:
      1. The action of any person having a direct interest in executive agency decisions, if the person acting under Section 1 of the Kentucky Constitution, assembles together with other persons for their common good, petitions any person listed in paragraph (a) of this subsection for the redress of grievances or other proper purposes;
      2. Contacts made for the sole purpose of gathering information contained in a public record;
      3. Appearances before public meetings of executive agencies;
      4. News, editorial, and advertising statements published in newspapers, journals, or magazines, or broadcast over radio or television;
      5. The gathering and furnishing of information and news by bona fide reporters, correspondents, or news bureaus to news media described in subparagraph 4. of this paragraph;
      6. Publications primarily designed for, and distributed to, members of bona fide associations or charitable or fraternal nonprofit corporations;
      7. Professional services in preparing executive agency decisions, preparing arguments regarding executive agency decisions, or in advising clients and rendering opinions regarding proposed or pending executive agency decisions, if the services are not otherwise connected to lobbying; or
      8. Public comments submitted to an executive agency during the public comment period on administrative regulations or rules;
  7. “Executive agency official” means an officer or employee of an executive agency whose principal duties are to formulate policy or to participate directly or indirectly in the preparation, review, or award of contracts, grants, leases, or other financial arrangements with an executive agency;
  8. “Aggrieved party” means a party entitled to resort to a remedy;
  9. “Elected executive official” means the Governor, Lieutenant Governor, Secretary of State, Auditor of Public Accounts, State Treasurer, Attorney General, and Commissioner of Agriculture;
  10. “Person” means an individual, proprietorship, firm, partnership, limited partnership, joint venture, joint stock company, syndicate, business or statutory trust, donative trust, estate, company, corporation, limited liability company, association, club, committee, organization, or group of persons acting in concert;
  11. “Staff” means any employee of the office of the Governor, or a cabinet listed in KRS 12.250 , whose official duties are to formulate policy and who exercises administrative or supervisory authority, or who authorizes the expenditure of state funds;
  12. “Real party in interest” means the person or entity on whose behalf an executive agency lobbyist is acting, if that person or entity is not the employer of the executive agency lobbyist;
  13. “Substantial issue” means contacts which are intended to influence a decision that involves one or more disbursements of state funds in an amount of at least five thousand dollars ($5,000) per year, or any budget provision, administrative regulation or rule, or legislative matter that financially impacts the executive agency lobbyist or his or her employer;
  14. “Placement agent” means an individual or firm who is compensated or hired by an employer or other real party in interest for the purpose of influencing an executive agency decision regarding the investment of the Kentucky Retirement Systems, the County Employees Retirement System, or the Kentucky Teachers’ Retirement System assets; and
  15. “Unregulated placement agent” means a placement agent who is prohibited by federal securities laws and regulations promulgated thereunder from receiving compensation for soliciting a government agency.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 45, effective September 16, 1993; 1996, ch. 172, § 1, effective July 15, 1996; 2000, ch. 417, § 6, effective December 1, 2000; 2012, ch. 75, § 2, effective April 11, 2012; 2013, ch. 106, § 2, effective June 25, 2013; 2019 ch. 74, § 5, effective June 27, 2019; 2020 ch. 79, § 12, effective April 1, 2021; 2020 ch. 127, § 8, effective July 15, 2020.

Legislative Research Commission Notes.

(4/1/2021). This statute was amended by 2020 Ky. Acts chs. 79 and 127, which do not appear to be in conflict and have been codified together.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

Compiler’s Notes.

Section 501(c)(3) of the Internal Revenue Code, referred to in subdivision (2)(b), may be found as 26 USCS § 501(c)(3).

Opinions of Attorney General.

Since Chapter 4 of Acts 1993 (1st Ex. Sess.), contained an emergency clause [§ 92] it became effective as a whole when the Governor tendered the bill, which he had signed, to the Secretary of State on February 18, 1993. However, section 87 (13) of Ch. 4 of Acts 1993 (1st Ex. Sess.) provided that, except as provided in §§ 88, 89, and 90, §§ 1-84 of the Act should become effective two hundred ten (210) days after the effective date of the Act, September 16, 1993; other subsections within § 87 establish a transition schedule with other specific dates calculated from the effective date of the Act. Such schedule is actually a listing of deadlines within which certain actions called for in § 87 of the Act are to be completed. Such schedule is as follows: “within 45 days of the effective date of the act” = on or before April 5, 1993; “within 60 days of the effective date of the act” = on or before April 19, 1993; “within 75 days of the effective date of the act” = on or before May 4, 1993; “within 90 days of the effective date of the act” = on or before May 19, 1993; “within 150 days of the effective date of the act” = on or before July 19, 1993; “within 180 days of the effective date of the act” = on or before August 17, 1993; “two hundred ten (210) days after the effective date of the act” = September 16, 1993. OAG 93-25 .

Research References and Practice Aids

Cross-References.

Legislative lobbying, KRS 6.801 to 6.829 .

Legislator, influencing of state agency or appearing as a paid witness or representing clients before state agency, prohibitions and restrictions, KRS 6.744 .

Kentucky Bench & Bar.

Herrington, Executive Branch Ethics Commission Advisory Opinion 94-4 and Lobbying Registration Requirements Applicable to Attorneys, Vol. 59, No. 1, Winter 1995, Ky. Bench & Bar 22.

11A.206. Requirements for executive agency lobbyists, their employers, and real parties in interest.

  1. An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to register as required under KRS 11A.211 .
  2. An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to keep a receipt or maintain a record that KRS 11A.216 requires the person to keep or maintain.
  3. An executive agency lobbyist, employer, or real party in interest shall not knowingly fail to file a statement that KRS 11A.216 requires the person to file.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 46, effective September 16, 1993; 1996, ch. 172, § 2, effective July 15, 1996.

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.211. Registration statements for executive agency lobbyists, their employers, and real parties in interest — Fee — Trust and agency account for commission operations — Relationship of registration to state contracts.

  1. Each executive agency lobbyist, employer, and real party in interest shall file with the commission within ten (10) days following the engagement of an executive agency lobbyist, an initial registration statement showing all of the following:
    1. The name, business address, and occupation of the executive agency lobbyist;
    2. The name and business address of the employer and of any real party in interest on whose behalf the executive agency lobbyist is acting, if it is different from the employer. However, if a trade association or other charitable or fraternal organization that is exempt from federal income taxation under Section 501(c) of the Internal Revenue Code is the employer, the statement need not list the names and addresses of every member of the association or organization, so long as the association or organization itself is listed;
    3. A brief description of the executive agency decision to which the engagement relates;
    4. The name of the executive agency or agencies to which the engagement relates;
    5. Certification by the employer and executive agency lobbyist that the information contained in the registration statement is complete and accurate;
    6. Compensation paid to, or received by, each executive agency lobbyist, employer, and real party in interest as part of the engagement; and
    7. Certification that the employer and agent have complied with KRS 11A.236 .
  2. In addition to the initial registration statement required by subsection (1) of this section, each executive agency lobbyist, employer, and real party in interest shall file with the commission, not later than the last day of July of each year, an updated registration statement that confirms the continuing existence of each engagement described in an initial registration statement, that lists the specific executive agency decisions the executive agency lobbyist sought to influence under the engagement during the period covered by the updated statement, and the compensation paid to, or received by, each executive agency lobbyist, employer, and real party in interest as part of the engagement, and with it any statement of expenditures required to be filed by KRS 11A.216 and any details of financial transaction required to be filed by KRS 11A.221 .
  3. Compensation paid under subsection (1)(f) of this section shall be reported after it is received by, or paid to, each executive agency lobbyist, employer, and real party in interest as determined by the terms of the engagement, and shall be listed by the amount paid or received, the intervals on which the payment is paid or received, and shall include any other compensation received or paid as part of the engagement.
  4. If an executive agency lobbyist is engaged by more than one (1) employer, the executive agency lobbyist shall file a separate initial and updated registration statement for each engagement and list compensation paid to, or received by each executive agency lobbyist, employer, and real party in interest as part of the engagement. If an employer engages more than one (1) executive agency lobbyist, the employer shall file only one (1) updated registration statement under subsection (2) of this section, which shall contain the information required by subsection (2) of this section regarding all executive agency lobbyists engaged by the employer.
    1. A change in any information required by subsection (1)(a), (b), (c), (d), or (2) of this section shall be reflected in the next updated registration statement filed under subsection (2) of this section. (5) (a) A change in any information required by subsection (1)(a), (b), (c), (d), or (2) of this section shall be reflected in the next updated registration statement filed under subsection (2) of this section.
    2. Within thirty (30) days following the termination of an engagement, the executive agency lobbyist who was employed under the engagement shall file written notice of the termination with the commission.
  5. Each employer of one (1) or more executive agency lobbyists, and each real party in interest, shall pay a registration fee of five hundred dollars ($500) upon the filing of an updated registration statement. All fees collected by the commission under the provisions of this subsection shall be deposited in the State Treasury in a trust and agency fund account to the credit of the commission. These agency funds shall be used to supplement general fund appropriations for the operations of the commission and shall not lapse. No part of the trust and agency fund account shall revert to the general funds of this state.
  6. Upon registration pursuant to this section, an executive agency lobbyist shall be issued a card annually by the commission showing the executive agency lobbyist is registered. The registration card shall be valid from the date of its issuance through the thirty-first day of July of the following year.
  7. The commission shall review each registration statement filed with the commission under this section to determine if the statement contains all of the required information. If the commission determines the registration statement does not contain all of the required information or that an executive agency lobbyist, employer, or real party in interest has failed to file a registration statement, the commission shall send written notification of the deficiency by certified mail to the person who filed the registration statement or to the person who failed to file the registration statement regarding the failure. Any person so notified by the commission shall, not later than fifteen (15) days after receiving the notice, file a registration statement or an amended registration statement that includes all of the required information. If any person who receives a notice under this subsection fails to file a registration statement or an amended registration statement within the fifteen (15) day period, the commission may initiate an investigation of the person’s failure to file. If the commission initiates an investigation pursuant to this section, the commission shall also notify each elected executive official and the secretary of each cabinet listed in KRS 12.250 of the pending investigation.
  8. In the biennial report published under KRS 11A.110(13), the commission shall, in the manner and form the commission determines, include a report containing statistical information on the registration statements filed under this section during the preceding biennium.
  9. If an employer who engages an executive agency lobbyist, or a real party in interest on whose behalf the executive agency lobbyist was engaged is the recipient of a contract, grant, lease, or other financial arrangement pursuant to which funds of the state or of an executive agency are distributed or allocated, the executive agency or any aggrieved party may consider the failure of the real party in interest, the employer, or the executive agency lobbyist to comply with this section as a breach of a material condition of the contract, grant, lease, or other financial arrangement.
  10. Executive agency officials may require certification from any person seeking the award of a contract, grant, lease, or financial arrangement that the person, his or her employer, and any real party in interest are in compliance with this section.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 47, effective September 16, 1993; 1996, ch. 172, § 3, effective July 15, 1996; 2000, ch. 542, § 1, effective July 14, 2000; 2006, ch. 18, § 1, effective July 12, 2006; 2017 ch. 162, § 2, effective June 29, 2017; 2019 ch. 74, § 6, effective June 27, 2019; 2020 ch. 127, § 9, effective July 15, 2020.

Compiler’s Notes.

Section 501(c) of the Internal Revenue Code, referred to in subdivision (1)(b), may be found as 26 USCS § 501(c).

NOTES TO DECISIONS

1.Right to Petition.

The registration, reporting and disclosure provisions of this section is not an impermissible burden on Associated Industries of Kentucky’s freedom of association and right to petition, and the “chilling effect” of these provisions which prohibit anonymous lobbying is minimal in view of the governmental interest of curtailing lobbying abuse, thus they are not unconstitutional. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

Herrington, Executive Branch Ethics Commission Advisory Opinion 94-4 and Lobbying Registration Requirements Applicable to Attorneys, Vol. 59, No. 1, Winter 1995, Ky. Bench & Bar 22.

11A.216. Statements of expenditures.

  1. Each executive agency lobbyist, employer, and real party in interest shall file with the commission, with the updated registration statement required by KRS 11A.211(2), a statement of expenditures as specified in subsections (2) and (3) of this section. An executive agency lobbyist shall file a separate statement of expenditures under this section for each employer engaging him.
    1. In addition to the information required by paragraph (b) of this subsection, a statement filed by an executive agency lobbyist shall show the total amount of expenditures made by the lobbyist during the reporting period covered by the statement by the executive agency lobbyist. (2) (a) In addition to the information required by paragraph (b) of this subsection, a statement filed by an executive agency lobbyist shall show the total amount of expenditures made by the lobbyist during the reporting period covered by the statement by the executive agency lobbyist.
      1. If, during a fiscal year, the real party in interest, the employer or any executive agency lobbyist he engaged made expenditures to or on behalf of a particular elected executive official, the secretary of a cabinet listed in KRS 12.250 , a particular executive agency official, or a particular member of the staff of any of those officials, the real party in interest, employer, or executive agency lobbyist also shall state the name of the official or employee on whose behalf the expenditures were made, the total amount of the expenditures made, a brief description of the expenditures made, and the approximate date the expenditures were made. (b) 1. If, during a fiscal year, the real party in interest, the employer or any executive agency lobbyist he engaged made expenditures to or on behalf of a particular elected executive official, the secretary of a cabinet listed in KRS 12.250 , a particular executive agency official, or a particular member of the staff of any of those officials, the real party in interest, employer, or executive agency lobbyist also shall state the name of the official or employee on whose behalf the expenditures were made, the total amount of the expenditures made, a brief description of the expenditures made, and the approximate date the expenditures were made.
      2. Expenditures shall be reported on the expenditure statement for the reporting period that includes the date on which the expenditure was made.
    1. In addition to the information required by subsection (2)(b) of this section, a statement filed by a real party in interest or an employer shall show the total amount of expenditures during the period covered by the statement. As used in this subsection, “expenditures” does not include the expenses of maintaining office facilities or support services for executive agency lobbyists. (3) (a) In addition to the information required by subsection (2)(b) of this section, a statement filed by a real party in interest or an employer shall show the total amount of expenditures during the period covered by the statement. As used in this subsection, “expenditures” does not include the expenses of maintaining office facilities or support services for executive agency lobbyists.
    2. An employer or real party in interest shall not be required to show any expenditure on a statement filed under this subsection if the expenditure is reported on a statement filed under subsection (2)(a) or (b) of this section by an executive agency lobbyist engaged by the employer.
  2. Any statement required to be filed under this section shall be filed at the times specified in KRS 11A.211 . Each statement shall cover expenditures made during the prior fiscal year.
  3. If it is impractical or impossible for an executive agency lobbyist, employer, or real party in interest to determine exact dollar amounts or values of expenditures, reporting of good faith estimates, based on reasonable accounting procedures, constitutes compliance with this section.
  4. Executive agency lobbyists, employers, and real parties in interest shall retain receipts or maintain records for all expenditures that are required to be reported pursuant to this section. These receipts or records shall be maintained for a period ending on the thirtieth day of June of the second fiscal year after the year in which the expenditure was made.
  5. At least ten (10) days before the date on which the statement is filed, each employer, executive agency lobbyist, or real party in interest who is required to file an expenditure statement under subsection (2)(b) of this section shall deliver a copy of the statement, or the portion showing the expenditure, to the official or employee who is listed in the statement as having received the expenditure or on whose behalf it was made.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 48, effective September 16, 1993; 1996, ch. 172, § 4, effective July 15, 1996; 2000, ch. 542, § 2, effective July 14, 2000.

NOTES TO DECISIONS

1.Right to Petition.

The registration, reporting and disclosure provisions of this section is not an impermissible burden on Associated Industries of Kentucky’s freedom of association and right to petition, and the “chilling effect” of these provisions which prohibit anonymous lobbying is minimal in view of the governmental interest of curtailing lobbying abuse, thus they are not unconstitutional. Associated Indus. v. Commonwealth, 912 S.W.2d 947, 1995 Ky. LEXIS 147 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.221. Statements of financial transactions.

  1. Any executive agency lobbyist who has had any financial transaction with, or for the benefit of, an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211(2). Each statement shall describe each financial transaction that occurred during the prior fiscal year.
  2. Except as provided in subsection (5) of this section, any employer who has had any financial transaction with or for the benefit of an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211 (2). The statement shall be filed at the times specified in KRS 11A.211 . Each statement shall describe each financial transaction that occurred during the prior fiscal year.
  3. Except as provided in subsection (6) of this section, any real party in interest who has had any financial transaction with or for the benefit of any elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials shall describe the details of the transaction, including the name of the official or employee, the purpose and nature of the transaction, and the date it was made or entered into, in a statement filed with the commission with the updated registration statement required by KRS 11A.211 (2). The statement shall be filed at the times specified in KRS 11A.211 . Each statement shall describe each financial transaction that occurred during the prior fiscal year.
  4. At least ten (10) days before the date on which the statement is filed, each employer, executive agency lobbyist, or real party in interest who is required to file a statement describing a financial transaction under this section shall deliver a copy of the statement to the official or employee with whom or for whose benefit the transaction was made.
  5. An employer shall not be required to file any statement under this section or to deliver a copy of the statement to an official or employee with whom or for whose benefit the transaction was made if the financial transaction to which the statement pertains is reported by an executive agency lobbyist engaged by the employer.
  6. A real party in interest shall not be required to file any statement under this section or to deliver a copy of the statement to an official or employee with whom or for whose benefit the transaction was made if the financial transaction to which the statement pertains is reported by an executive agency lobbyist who is acting on behalf of the real party in interest.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 49, effective September 16, 1993; 1996, ch. 172, § 5, effective July 15, 1996; 2000, ch. 542, § 3, effective July 14, 2000.

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.226. Dispute resolution with respect to statements of expenditures and statements of financial transactions.

  1. If a dispute arises between an elected executive official, the secretary of a cabinet listed in KRS 12.250 , an executive agency official, or any member of the staff of any of those officials and a real party in interest, an employer, or an executive agency lobbyist with respect to an expenditure or financial transaction alleged in a statement to be filed under KRS 11A.216 or 11A.221 , the official, employee, real party in interest, employer, or executive agency lobbyist may file a complaint with the commission. The commission shall investigate the complaint.
  2. The complaint shall be filed at least three (3) days prior to the time the statement is required to be filed with the commission. The time for filing a disputed expenditure or financial transaction in any statement of expenditures or the details of a financial transaction shall be extended pending the final decision of the commission. This extension does not extend the time for filing the nondisputed portions of either type of statement. The commission shall notify the parties of its final decision by certified mail. If the commission decides the disputed expenditure or financial transaction should be reported, the employer, a real party in interest, or the executive agency lobbyist shall include the matter in an amended statement and file the amended statement not later than ten (10) days after receiving notice of the decision of the commission by certified mail.
  3. An employer, executive agency lobbyist, or real party in interest who files a false statement of expenditures or details of a financial transaction is liable in a civil action to any official or employee who sustains damage as a result of the filing or publication of the statement.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 50, effective September 16, 1993; 1996, ch. 172, § 6, effective July 15, 1996.

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

11A.231. Activities excepted from KRS 11A.211 and 11A.216.

  1. KRS 11A.211 and 11A.216 do not apply to efforts to influence executive agency decisions or conduct executive agency lobbying activity by any of the following:
    1. Appearances at public hearings of the committees or interim committees of the General Assembly, at court proceedings, at rule-making or adjudication proceedings, or at other public meetings;
    2. News, editorial, and advertising statements published in newspapers, journals, or magazines, or broadcast over radio or television;
    3. The gathering and furnishing of information and news by bona fide reporters, correspondents, or news bureaus to news media described in subsection (1)(b) of this section; or
    4. Publications primarily designed for and distributed to members of associations or charitable or fraternal nonprofit corporations.
  2. Nothing in KRS 11A.201 to 11A.246 requires the reporting of, or prohibits an elected executive official from soliciting or accepting, a contribution from or an expenditure by any person if the contribution or expenditure is reported in accordance with KRS Chapter 121.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 51, effective September 16, 1993; 2005, ch. 105, § 15, effective March 16, 2005.

11A.233. Influencing decision on award of economic incentive package — Disclosure statement by beneficiary.

  1. For purposes of KRS 11A.201 to 11A.246 , the term “executive agency lobbyist” does not include a person acting to promote, oppose, or otherwise influence the outcome of a decision of the Cabinet for Economic Development or any board or authority within or attached to that cabinet relating to the issuance or award of a bond, grant, lease, loan, assessment, incentive, inducement, or tax credit pursuant to KRS 42.4588 , 103.210 , Chapter 154, or Chapter 224A, or otherwise relating to any other component of an economic incentive package.
  2. Notwithstanding subsection (1), before any board or authority within or attached to the Cabinet for Economic Development takes final action on any contract or agreement by which any bond, grant, lease, loan, assessment, incentive, inducement, or tax credit is awarded, the beneficiary of an economic incentive package shall file with the approving board or authority a disclosure statement which shall contain:
    1. The identity of the beneficiary of an economic incentive package and any person employed to act on its behalf in its dealings with the Cabinet for Economic Development or any board or authority within or attached to that cabinet regarding the matters to which the contract or agreement refers; and
    2. The details of any financial transaction as defined in KRS 11A.201(6) (a) between the beneficiary or any other person listed as an employee or agent of the beneficiary as required by paragraph (a) of this subsection and any agent or public servant of the Cabinet for Economic Development, any member of any board or authority within or attached to that cabinet, or any other public servant involved in the negotiation of the economic incentive package.
  3. After final action by the board or authority, the Cabinet for Economic Development shall file the disclosure statement described in subsection (2) of this section with the Executive Branch Ethics Commission, but the cabinet may delete information identifying the beneficiary of the economic-incentive package if the cabinet believes that identification would damage economic development.
  4. No beneficiary of an economic incentive package as referred to in this section shall engage any person to influence decisions of the Cabinet for Economic Development or the approving board or authority for compensation that is contingent in any way on the outcome of the decisions of the cabinet or the approving board or authority regarding contracts or agreements specified in subsection (2) of this section, and no person shall accept any engagement to influence these decisions or conduct lobbying activities related to these decisions for compensation that is contingent in any way on the outcome of the decisions of the cabinet or the approving board or authority regarding these contracts or agreements.
  5. Subsection (4) of this section does not prohibit, and shall not be construed to prohibit, any person from compensating that person’s sales employees pursuant to any incentive compensation plan, such as commission sales, if the incentive compensation plan is the same plan used to compensate similarly-situated sales employees who are not engaged by the beneficiary of an economic incentive package in activities and functions referred to in this section.

History. Enact. Acts 1994, ch. 450, § 37, effective July 15, 1994; 2020 ch. 127, § 10, effective July 15, 2020.

11A.236. Prohibition against lobbying on a contingency basis — Exception for incentive compensation plans and placement agents.

  1. Except as provided in subsection (2) of this section, no person shall engage any persons to influence executive agency decisions or conduct executive agency lobbying activity for compensation that is contingent in any way on the outcome of an executive agency decision, including payment based on the awarding of a contract or payment of a percentage of a government contract awarded, and no person shall accept any engagement to influence executive agency decisions or conduct executive agency lobbying activity for compensation that is contingent in any way on the outcome of an executive agency decision, including payment based on the awarding of a contract or payment of a percentage of a government contract awarded. An employer who pays an executive agency lobbyist based on the awarding of a contract or payment of a percentage of a government contract awarded shall be barred from doing business with the Commonwealth for a period of five (5) years from the date on which such a payment is revealed to the Executive Branch Ethics Commission.
  2. Subsection (1) of this section does not prohibit, and shall not be construed to prohibit:
    1. Any person from compensating his or her sales employees pursuant to an incentive compensation plan, such as commission sales, if the incentive compensation plan is the same plan used to compensate similarly situated sales employees who are not executive agency lobbyists; or
    2. Any person from engaging a placement agent to influence investment decisions of the Kentucky Retirement Systems, County Employees Retirement System, and the Kentucky Teachers’ Retirement System for compensation that is contingent on the outcome of investment decisions by the retirement systems’ boards of trustees. The provisions of this paragraph shall not apply to unregulated placement agents.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 52, effective September 16, 1993; 2012, ch. 75, § 3, effective April 11, 2012; 2019 ch. 74, § 7, effective June 27, 2019; 2020 ch. 79, § 13, effective April 1, 2021.

Legislative Research Commission Notes.

(4/11/2012). The phrase “board of trustees” in subsection (2)(b) of this statute has been changed in codification to “boards of trustees.” This manifest clerical or typographical error has been corrected by the Reviser of Statutes under the authority of KRS 7.136(1).

11A.241. Commission’s duties with respect to executive agency lobbying.

  1. The commission shall keep on file the statements required by KRS 11A.211 , 11A.216 , and 11A.221 . These statements are public records and open to public inspection, and the commission shall computerize them so the information contained in them is readily accessible to the general public. The commission shall provide copies of the statements to the public on request and may charge a reasonable fee not to exceed the cost of copying and delivering the statement.
  2. Not later than the last day of August of each year, the commission shall compile from the registration statements filed with it a complete and updated list of registered executive agency lobbyists and their employers, and real parties in interest and distribute the list to each elected executive branch official and the secretary of each cabinet listed in KRS 12.250 , who shall distribute the list to the appropriate personnel under their jurisdiction. The commission shall provide copies of the list to the public upon request and may charge a reasonable fee not to exceed the cost of copying and delivering the list.
  3. The commission shall maintain a list of all executive agency lobbyists. The commission shall provide copies of the list to the public on request and may charge a reasonable fee not to exceed the cost of copying and delivering the document.
  4. The commission shall prescribe and make available an appropriate form for the filings required by KRS 11A.211 , 11A.216 , and 11A.221 . The form shall contain the following notice in boldface type: “ANY PERSON WHO KNOWINGLY FILES A FALSE STATEMENT IS IN VIOLATION OF STATE LAW AND SUBJECT TO FINES AND OTHER PENALTIES.”
  5. Any rules adopted by the commission to implement KRS 11A.201 to 11A.246 shall be adopted by administrative regulations promulgated in accordance with KRS Chapter 13A.
  6. The commission shall publish a handbook that explains in clear and concise language the provisions of KRS 11A.201 to 11A.246 and make it available free of charge to executive agency lobbyists, employers, real parties in interest, and any other interested persons.

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 53, effective September 16, 1993; 1996, ch. 172, § 7, effective July 15, 1996; 2000, ch. 542, § 4, effective July 14, 2000.

11A.246. Authorization for compliance investigations by Attorney General and his designees.

The Attorney General and any assistant or special counsel designated by him may investigate compliance with KRS 11A.201 to 11A.246 .

History. Enact. Acts 1993 (1st Ex. Sess.), ch. 4, § 54, effective September 16, 1993.

Penalties

11A.990. Penalties — Time limitation on prosecution for violation of KRS 11A.040.

  1. Any person who violates KRS 11A.040 shall be guilty of a Class D felony. In addition:
    1. The judgment of conviction for a violation of KRS 11A.040 (2) shall recite that the offender is disqualified to hold office thereafter; and
    2. Any person who violates KRS 11A.040(1) to (5) shall be judged to have forfeited any employment, or constitutional or statutory office he holds, provisions of KRS Chapter 18A to the contrary notwithstanding.
  2. Any officer, public servant, or candidate required to file a statement of financial disclosure under KRS 11A.050 who does not file the statement by a date specified in that section shall have his salary withheld from the first day of noncompliance until he shall have completed the action required by law. The amount withheld shall be deducted from his overall pay and allowances and shall be recoverable upon the filing of the statement of financial disclosure. The commission may grant a reasonable extension of time for filing a statement of financial disclosure for good cause shown.
  3. Any person who maliciously files with the commission a false charge of misconduct on the part of any public servant or other person shall be fined not to exceed five thousand dollars ($5,000), or imprisoned in a county jail for a term not to exceed one (1) year, or both.
  4. Prosecution for violation of any provision of KRS 11A.040 shall not be commenced after four (4) years have elapsed from the date of the violation. Any executive agency lobbyist, employer, or real party in interest who violates any provision in KRS 11A.206 shall for the first violation be subject to a civil penalty not to exceed five thousand dollars ($5,000). For the second and each subsequent violation, he shall be guilty of a Class D felony.
  5. Any executive agency lobbyist, employer, or real party in interest who fails to file the initial registration statement or updated registration statement required by KRS 11A.211 or 11A.216 , or who fails to remedy a deficiency in any filing in a timely manner, may be fined by the commission an amount not to exceed one hundred dollars ($100) per day, up to a maximum total fine of one thousand dollars ($1,000).
  6. Any executive agency lobbyist, employer, or real party in interest who intentionally fails to register, or who intentionally files an initial registration statement or updated registration statement required by KRS 11A.211 or 11A.216 which he knows to contain false information or to omit required information shall be guilty of a Class D felony.
  7. An executive agency lobbyist, employer, or real party in interest who files a false statement of expenditures or details of a financial transaction under KRS 11A.221 or 11A.226 is liable in a civil action to any official or employee who sustains damage as a result of the filing or publication of the statement.
  8. Violation of KRS 11A.236 is a Class D felony.

History. Enact. Acts 1992, ch. 287, § 15, effective July 14, 1992; 1993 (1st Ex. Sess.), ch. 4, § 55, effective September 16, 1993; 1996, ch. 172, § 8, effective July 15, 1996; 1998, ch. 602, § 4, effective July 15, 1998; 1998, ch. 603, § 3, effective July 15, 1998; 2000, ch. 475, § 8, effective July 14, 2000.

Opinions of Attorney General.

Since interjection of “legislative agent” in the middle of subsection (6) of this section, a statute dealing with executive agency lobbysists, is a palpable mistake, subsection (6) of this section must be read to say “executive agency lobbyist” instead of “legislative agent” and “executive lobbyist” in this section should be read as “executive agency lobbyist.” OAG 94-40 .

Research References and Practice Aids

Kentucky Bench & Bar.

Cowan, The New Age of Ethics in Kentucky Government: What Every Lawyer Should Know, Vol. 58, No. 1, Winter 1994, Ky. Bench & Bar 33.

CHAPTER 12 Administrative Organization

12.010. Definitions.

In this chapter, and throughout the Kentucky Revised Statutes where applicable and appropriate unless the context requires otherwise:

  1. “Organizational unit” means any unit of organization in the executive branch of the state government that is not an administrative body, including but not limited to any agency, program cabinet, department, bureau, division, section or office;
  2. “Department” means that basic unit of administrative organization of state government, by whatever name called, designated by statute or by statutorily authorized executive action as a “department,” such organization to be headed by a commissioner;
  3. “Division” means a major subdivision of a department established by statute or by statutorily authorized administrative action, such to be headed by a director;
  4. “Branch” means a small grouping of logical workforce personnel, such to be headed by a manager;
  5. “Section” means a smaller grouping within a branch, such to be headed by a supervisor;
  6. “Unit” means the smallest grouping of coordinated employees, such to be headed by a leader;
  7. “Office” means a staff support or administrative function and shall be a major subdivision of a program cabinet only, such to be headed by an executive director;
  8. “Administrative body” means any multi-member body in the executive branch of the state government, including but not limited to any board, council, commission, committee, authority or corporation, but does not include “branch,” “section,” “unit” or “office”;
  9. “Program cabinet” means a group of departments, or departments and administrative bodies, designated by statute or statutorily authorized executive action as a “program cabinet.”

History. 4618-69: amend. Acts 1962, ch. 106, Art. I, § 1; 1974, ch. 74, Art. I, § 4; 1982, ch. 393, § 3, effective July 15, 1982; 1982, ch. 447, § 1, effective April 12, 1982.

Legislative Research Commission Notes.

This section was amended by two 1982 Acts which do not appear to be in conflict and have been compiled together.

NOTES TO DECISIONS

Analysis

1.County Boards.

This chapter makes no reference to county boards of education or their officers or members and its provisions were never intended to apply to boards on a county level. Hogan v. Glasscock, 324 S.W.2d 815, 1959 Ky. LEXIS 385 ( Ky. 1959 ).

2.Administrative Boards.

In a declaratory action by unsuccessful nominees from an initial list, KRS 12.070(3) applied to the Governor’s appointment of members of a state university’s board of regents because the phrase “administrative boards and commissions,” while not defined in KRS 12.010 , could be construed pursuant to KRS 446.080 to include governing bodies of state universities. Galloway v. Fletcher, 241 S.W.3d 819, 2007 Ky. App. LEXIS 324 (Ky. Ct. App. 2007).

3.University.

Circuit court erred in concluding that the University of Kentucky was not in the executive branch of state government for purposes of Ky. Rev. Stat. § 45.237 et seq.; Ky. Rev. Stat. Ann. § 164.225 plainly provides that the University is an independent agency and instrumentality of the Commonwealth, and it is attached to the executive branch. Univ. of Ky. v. Moore, 599 S.W.3d 798, 2019 Ky. LEXIS 437 ( Ky. 2019 ).

Cited in:

Walker v. Felmont Oil Corp., 240 F.2d 912, 1957 U.S. App. LEXIS 4842 (6th Cir. 1957); Horn by Horn v. Commonwealth, 916 S.W.2d 173, 1995 Ky. LEXIS 145 ( Ky. 1995 ); Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ); Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ).

Notes to Unpublished Decisions

1.Department of Financial Institutions

Unpublished decision: Where appellants argued that the dismissal of a state department of financial institutions on the ground of governmental immunity was improper because the department was performing the proprietary function of negligently training and/or supervising its employees and authorizing or ratifying the tortious activities of its employees while they were on the job, the appellate court reviewed de novo; the appellate court found that under the test enunciated in Ernst, the department was clearly an arm of the state and its existence was confirmed as an administrative organization in KRS 12.010 . Salt Lick Bancorp v. FDIC, 187 Fed. Appx. 428, 2006 FED App. 0380N, 2006 U.S. App. LEXIS 13645 (6th Cir. Ky. 2006 ).

Opinions of Attorney General.

Since the Governor is defined as a department of state government, he is covered under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The Lieutenant Governor, by virtue of his membership on the Legislative Research Commission, is included under KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The officers and employees of the Governor’s department would be included under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The Kentucky Historical Society constitutes a department of state government. OAG 63-657 .

The Kentucky Trotting Commission and the Kentucky Racing Commission are not technically state agencies as envisioned in KRS Ch. 12. OAG 71-363 .

The office of social security is an office to handle public employees’ social security matters. The definition of office in subsection (7) of this section applies to the office for social security. OAG 82-593 .

Under the literal wording of this section and KRS 12.020 and 45.452 , the 30-day payment rule established in KRS 45.453 applies to the Corrections Cabinet’s payment to the counties of the reimbursement fees occasioned by the detention of convicted felons in county jails, pursuant to KRS 431.215 ; the invoices submitted by such affected counties must be consistent with KRS 431.215 (2). OAG 84-357 .

Neither the provisions of Chapter 12 nor the regulations found at 200 KAR 1:020 apply to the University of Louisville; Chapter 12 and 200 KAR 1:020 apply exclusively to specifically identified state level administrative agencies and officers and the University of Louisville is not one of them. OAG 99-ORD-69.

Research References and Practice Aids

Cross-References.

Administrative regulations, KRS Chapter 13A.

Eligibility of members of boards and commissions to other offices, KRS 61.070 .

Financial administration, KRS Chapters 41 to 48.

Governor, KRS Chapter 11.

Libraries and archives, KRS 171.125 et seq.

Personnel, KRS Chapter 18A.

Records and archives, KRS 171.410 et seq.

Kentucky Law Journal.

Kammerer, Legislative Research and Planning in Kentucky, 36 Ky. L.J. 379 (1948).

12.015. Administrative bodies to be included in department or program cabinet.

Unless specifically provided otherwise, each administrative body established by statute or statutorily authorized executive action shall be included for administrative purposes in an existing department or program cabinet. When an administrative body is established and the law establishing it does not specify the department or program cabinet within which the body is to be included, the Governor shall assign the body to an existing department or program cabinet in accordance with this chapter.

History. Enact. Acts 1962, ch. 106, Art. I, § 2; 1974, ch. 74, Art. I, § 5; 1982, ch. 447, § 4, effective January 1, 1984.

12.020. Enumeration of departments, program cabinets, and administrative bodies.

Departments, program cabinets and their departments, and the respective major administrative bodies that they include are enumerated in this section. It is not intended that this enumeration of administrative bodies be all-inclusive. Every authority, board, bureau, interstate compact, commission, committee, conference, council, office, or any other form of organization shall be included in or attached to the department or program cabinet in which they are included or to which they are attached by statute or statutorily authorized executive order; except in the case of the Personnel Board and where the attached department or administrative body is headed by a constitutionally elected officer, the attachment shall be solely for the purpose of dissemination of information and coordination of activities and shall not include any authority over the functions, personnel, funds, equipment, facilities, or records of the department or administrative body.

  1. Cabinet for General Government-Departments headed by elected officers:
    1. The Governor.
    2. Lieutenant Governor.
    3. Department of State.
      1. Secretary of State.
      2. Board of Elections.
      3. Registry of Election Finance.
    4. Department of Law.
      1. Attorney General.
    5. Department of the Treasury.
      1. Treasurer.
    6. Department of Agriculture.
      1. Commissioner of Agriculture.
      2. Agricultural Development Board.
      3. Kentucky Agricultural Finance Corporation.
    7. Auditor of Public Accounts.
  2. Program cabinets headed by appointed officers:
    1. Justice and Public Safety Cabinet:
      1. Department of Kentucky State Police.
        1. Office of Administrative Services.
          1. Division of Operational Support.
          2. Division of Management Services.
        2. Office of Operations.
          1. Division of West Troops.
          2. Division of East Troops.
          3. Division of Special Enforcement.
          4. Division of Commercial Vehicle Enforcement.
        3. Office of Technical Services.
          1. Division of Forensic Sciences.
          2. Division of Information Technology.
      2. Department of Criminal Justice Training.
      3. Department of Corrections.
      4. Department of Juvenile Justice.
      5. Office of the Secretary.
      6. Office of Drug Control Policy.
      7. Office of Legal Services.
      8. Office of the Kentucky State Medical Examiner.
      9. Parole Board.
      10. Kentucky State Corrections Commission.
      11. Office of Legislative and Intergovernmental Services.
      12. Office of Human Resource Management.
        1. Division of Human Resource Administration.
        2. Division of Employee Management.
      13. Department of Public Advocacy.
      14. Office of Communications.
        1. Information Technology Services Division.
      15. Office of Financial Management Services.
        1. Division of Financial Management.
      16. Grants Management Division.
    2. Education and Workforce Development Cabinet:
      1. Office of the Secretary.
        1. Governor’s Scholars Program.
        2. Governor’s School for Entrepreneurs Program.
        3. Office of the Kentucky Workforce Innovation Board.
        4. Foundation for Adult Education.
        5. Early Childhood Advisory Council.
      2. Office of Legal and Legislative Services.
        1. Client Assistance Program.
      3. Office of Communication.
      4. Office of Administrative Services.
        1. Division of Human Resources.
        2. Division of Operations and Support Services.
        3. Division of Fiscal Management.
      5. Office of Technology Services.
      6. Office of Educational Programs.
      7. Office of the Kentucky Center for Statistics.
      8. Board of the Kentucky Center for Statistics.
      9. Board of Directors for the Center for School Safety.
      10. Department of Education.
        1. Kentucky Board of Education.
        2. Kentucky Technical Education Personnel Board.
        3. Education Professional Standards Board.
      11. Department for Libraries and Archives.
      12. Department of Workforce Investment.
        1. Office of Vocational Rehabilitation.
          1. Division of Kentucky Business Enterprise.
          2. Division of the Carl D. Perkins Vocational Training Center.
          3. Division of Blind Services.
          4. Division of Field Services.
          5. Statewide Council for Vocational Rehabilitation.
        2. Office of Unemployment Insurance.
        3. Office of Employer and Apprenticeship Services.
          1. Division of Apprenticeship.
        4. Career Development Office.
        5. Office of Adult Education.
        6. Unemployment Insurance Commission.
        7. Kentucky Apprenticeship Council.
        8. Division of Technical Assistance.
      13. Foundation for Workforce Development.
      14. Kentucky Workforce Investment Board.
      15. Kentucky Commission on the Deaf and Hard of Hearing.
      16. Kentucky Educational Television.
      17. Kentucky Environmental Education Council.
    3. Energy and Environment Cabinet:
      1. Office of the Secretary.
        1. Office of Legislative and Intergovernmental Affairs.
        2. Office of Legal Services.
          1. Legal Division I.
          2. Legal Division II.
        3. Office of Administrative Hearings.
        4. Office of Communication.
        5. Mine Safety Review Commission.
        6. Office of Kentucky Nature Preserves.
        7. Kentucky Public Service Commission.
      2. Department for Environmental Protection.
        1. Office of the Commissioner.
        2. Division for Air Quality.
        3. Division of Water.
        4. Division of Environmental Program Support.
        5. Division of Waste Management.
        6. Division of Enforcement.
        7. Division of Compliance Assistance.
      3. Department for Natural Resources.
        1. Office of the Commissioner.
        2. Division of Mine Permits.
        3. Division of Mine Reclamation and Enforcement.
        4. Division of Abandoned Mine Lands.
        5. Division of Oil and Gas.
        6. Division of Mine Safety.
        7. Division of Forestry.
        8. Division of Conservation.
        9. Office of the Reclamation Guaranty Fund.
      4. Office of Energy Policy.
        1. Division of Energy Assistance.
      5. Office of Administrative Services.
        1. Division of Human Resources Management.
        2. Division of Financial Management.
        3. Division of Information Services.
    4. Public Protection Cabinet.
      1. Office of the Secretary.
        1. Office of Communications and Public Outreach.
        2. Office of Legal Services.
          1. Insurance Legal Division.
          2. Charitable Gaming Legal Division.
          3. Alcoholic Beverage Control Legal Division.
          4. Housing, Buildings and Construction Legal Division.
          5. Financial Institutions Legal Division.
          6. Professional Licensing Legal Division.
        3. Office of Administrative Hearings.
        4. Office of Administrative Services.
          1. Division of Human Resources.
          2. Division of Fiscal Responsibility.
      2. Office of Claims and Appeals.
        1. Board of Tax Appeals.
        2. Board of Claims.
        3. Crime Victims Compensation Board.
      3. Kentucky Boxing and Wrestling Commission.
      4. Kentucky Horse Racing Commission.
        1. Office of Executive Director.
          1. Division of Pari-mutuel Wagering and Compliance.
          2. Division of Stewards.
          3. Division of Licensing.
          4. Division of Enforcement.
          5. Division of Incentives and Development.
          6. Division of Veterinary Services.
      5. Department of Alcoholic Beverage Control.
        1. Division of Distilled Spirits.
        2. Division of Malt Beverages.
        3. Division of Enforcement.
      6. Department of Charitable Gaming.
        1. Division of Licensing and Compliance.
        2. Division of Enforcement.
      7. Department of Financial Institutions.
        1. Division of Depository Institutions.
        2. Division of Non-Depository Institutions.
        3. Division of Securities.
      8. Department of Housing, Buildings and Construction.
        1. Division of Fire Prevention.
        2. Division of Plumbing.
        3. Division of Heating, Ventilation, and Air Conditioning.
        4. Division of Building Code Enforcement.
      9. Department of Insurance.
        1. Division of Health and Life Insurance and Managed Care.
        2. Division of Property and Casualty Insurance.
        3. Division of Administrative Services.
        4. Division of Financial Standards and Examination.
        5. Division of Licensing.
        6. Division of Insurance Fraud Investigation.
        7. Division of Consumer Protection.
      10. Department of Professional Licensing.
        1. Real Estate Authority.
    5. Labor Cabinet.
      1. Office of the Secretary.
        1. Office of General Counsel.
          1. Workplace Standards Legal Division.
          2. Workers’ Claims Legal Division.
        2. Office of Administrative Services.
          1. Division of Human Resources Management.
          2. Division of Fiscal Management.
          3. Division of Professional Development and Organizational Management.
          4. Division of Information Technology and Support Services.
        3. Office of Inspector General.
      2. Department of Workplace Standards.
        1. Division of Occupational Safety and Health Compliance.
        2. Division of Occupational Safety and Health Education and Training.
        3. Division of Wages and Hours.
      3. Department of Workers’ Claims.
        1. Division of Workers’ Compensation Funds.
        2. Office of Administrative Law Judges.
        3. Division of Claims Processing.
        4. Division of Security and Compliance.
        5. Division of Information Services.
        6. Division of Specialist and Medical Services.
        7. Workers’ Compensation Board.
      4. Workers’ Compensation Funding Commission.
      5. Occupational Safety and Health Standards Board.
      6. State Labor Relations Board.
      7. Employers’ Mutual Insurance Authority.
      8. Kentucky Occupational Safety and Health Review Commission.
      9. Workers’ Compensation Nominating Committee.
    6. Transportation Cabinet:
      1. Department of Highways.
        1. Office of Project Development.
        2. Office of Project Delivery and Preservation.
        3. Office of Highway Safety.
        4. Highway District Offices One through Twelve.
      2. Department of Vehicle Regulation.
      3. Department of Aviation.
      4. Department of Rural and Municipal Aid.
        1. Office of Local Programs.
        2. Office of Rural and Secondary Roads.
      5. Office of the Secretary.
        1. Office of Public Affairs.
        2. Office for Civil Rights and Small Business Development.
        3. Office of Budget and Fiscal Management.
        4. Office of Inspector General.
        5. Secretary’s Office of Safety.
      6. Office of Support Services.
      7. Office of Transportation Delivery.
      8. Office of Audits.
      9. Office of Human Resource Management.
      10. Office of Information Technology.
      11. Office of Legal Services.
    7. Cabinet for Economic Development:
      1. Office of the Secretary.
        1. Office of Legal Services.
        2. Department for Business Development.
        3. Department for Financial Services.
          1. Kentucky Economic Development Finance Authority.
          2. Finance and Personnel Division.
          3. IT and Resource Management Division.
          4. Compliance Division.
          5. Incentive Administration Division.
          6. Bluegrass State Skills Corporation.
        4. Office of Marketing and Public Affairs.
          1. Communications Division.
          2. Graphics Design Division.
        5. Office of Workforce, Community Development, and Research.
        6. Office of Entrepreneurship and Small Business Innovation.
          1. Commission on Small Business Innovation and Advocacy.
    8. Cabinet for Health and Family Services:
      1. Office of the Secretary.
        1. Office of the Ombudsman and Administrative Review.
        2. Office of Public Affairs.
        3. Office of Legal Services.
        4. Office of Inspector General.
        5. Office of Human Resource Management.
        6. Office of Finance and Budget.
        7. Office of Legislative and Regulatory Affairs.
        8. Office of Administrative Services.
        9. Office of Application Technology Services.
      2. Department for Public Health.
      3. Department for Medicaid Services.
      4. Department for Behavioral Health, Developmental and Intellectual Disabilities.
      5. Department for Aging and Independent Living.
      6. Department for Community Based Services.
      7. Department for Income Support.
      8. Department for Family Resource Centers and Volunteer Services.
      9. Office for Children with Special Health Care Needs.
      10. Office of Health Data and Analytics.
    9. Finance and Administration Cabinet:
      1. Office of the Secretary.
      2. Office of the Inspector General.
      3. Office of Legislative and Intergovernmental Affairs.
      4. Office of General Counsel.
      5. Office of the Controller.
      6. Office of Administrative Services.
      7. Office of Policy and Audit.
      8. Department for Facilities and Support Services.
      9. Department of Revenue.
      10. Commonwealth Office of Technology.
      11. State Property and Buildings Commission.
      12. Office of Equal Employment Opportunity and Contract Compliance.
      13. Kentucky Employees Retirement Systems.
      14. Commonwealth Credit Union.
      15. State Investment Commission.
      16. Kentucky Housing Corporation.
      17. Kentucky Local Correctional Facilities Construction Authority.
      18. Kentucky Turnpike Authority.
      19. Historic Properties Advisory Commission.
      20. Kentucky Higher Education Assistance Authority.
      21. Kentucky River Authority.
      22. Kentucky Teachers’ Retirement System Board of Trustees.
      23. Executive Branch Ethics Commission.
    10. Tourism, Arts and Heritage Cabinet:
      1. Kentucky Department of Tourism.
        1. Division of Tourism Services.
        2. Division of Marketing and Administration.
        3. Division of Communications and Promotions.
      2. Kentucky Department of Parks.
        1. Division of Information Technology.
        2. Division of Human Resources.
        3. Division of Financial Operations.
        4. Division of Facilities Management.
        5. Division of Facilities Maintenance.
        6. Division of Customer Services.
        7. Division of Recreation.
        8. Division of Golf Courses.
        9. Division of Food Services.
        10. Division of Rangers.
        11. Division of Resort Parks.
        12. Division of Recreational Parks and Historic Sites.
      3. Department of Fish and Wildlife Resources.
        1. Division of Law Enforcement.
        2. Division of Administrative Services.
        3. Division of Engineering, Infrastructure, and Technology.
        4. Division of Fisheries.
        5. Division of Information and Education.
        6. Division of Wildlife.
        7. Division of Marketing.
      4. Kentucky Horse Park.
        1. Division of Support Services.
        2. Division of Buildings and Grounds.
        3. Division of Operational Services.
      5. Kentucky State Fair Board.
        1. Office of Administrative and Information Technology Services.
        2. Office of Human Resources and Access Control.
        3. Division of Expositions.
        4. Division of Kentucky Exposition Center Operations.
        5. Division of Kentucky International Convention Center.
        6. Division of Public Relations and Media.
        7. Division of Venue Services.
        8. Division of Personnel Management and Staff Development.
        9. Division of Sales.
        10. Division of Security and Traffic Control.
        11. Division of Information Technology.
        12. Division of the Louisville Arena.
        13. Division of Fiscal and Contract Management.
        14. Division of Access Control.
      6. Office of the Secretary.
        1. Office of Finance.
        2. Office of Government Relations and Administration.
      7. Office of Legal Affairs.
      8. Office of Human Resources.
      9. Office of Public Affairs and Constituent Services.
      10. Office of Arts and Cultural Heritage.
      11. Kentucky African-American Heritage Commission.
      12. Kentucky Foundation for the Arts.
      13. Kentucky Humanities Council.
      14. Kentucky Heritage Council.
      15. Kentucky Arts Council.
      16. Kentucky Historical Society.
        1. Division of Museums.
        2. Division of Oral History and Educational Outreach.
        3. Division of Research and Publications.
        4. Division of Administration.
      17. Kentucky Center for the Arts.
        1. Division of Governor’s School for the Arts.
      18. Kentucky Artisans Center at Berea.
      19. Northern Kentucky Convention Center.
      20. Eastern Kentucky Exposition Center.
    11. Personnel Cabinet:
      1. Office of the Secretary.
      2. Department of Human Resources Administration.
      3. Office of Employee Relations.
      4. Kentucky Public Employees Deferred Compensation Authority.
      5. Office of Administrative Services.
      6. Office of Legal Services.
      7. Governmental Services Center.
      8. Department of Employee Insurance.
      9. Office of Diversity, Equality, and Training.
      10. Office of Public Affairs.
  3. Other departments headed by appointed officers:
    1. Council on Postsecondary Education.
    2. Department of Military Affairs.
    3. Department for Local Government.
    4. Kentucky Commission on Human Rights.
    5. Kentucky Commission on Women.
    6. Department of Veterans’ Affairs.
    7. Kentucky Commission on Military Affairs.
    8. Office of Minority Empowerment.
    9. Governor’s Council on Wellness and Physical Activity.
    10. Kentucky Communications Network Authority.

History. 42i-4, 165-45, 938q-3, 1496-2, 4618-70: amend. Acts 1956 (1st Ex. Sess.), ch. 7, Art. I, § 1; 1960, ch. 68, Art. I; 1962, ch. 106, Art. I, § 3; 1964, ch. 115, § 1; 1970, ch. 92, § 3; 1974, ch. 74, Art. I, § 6; 1976, ch. 62, § 6; 1976, ch. 299, § 1; 1976, ch. 326, § 1; 1978, ch. 117, § 15, effective July 1, 1978; 1978, ch. 155, §§ 2, 104, effective June 17, 1978; 1980, ch. 295, § 2, effective July 15, 1980; 1982, ch. 184, § 1, effective July 15, 1982; 1982, ch. 381, § 5, effective July 15, 1982; 1982, ch. 382, § 28, effective July 15, 1982; 1982, ch. 393, § 4, effective July 15, 1982; 1982, ch. 399, § 7, effective July 15, 1982; 1982, ch. 447, § 5, effective April 12, 1982; 1982, ch. 448, § 57, effective July 15, 1982; 1984, ch. 334, § 1, effective July 13, 1984; 1984, ch. 388, § 1, effective July 13, 1984; 1986, ch. 60, § 1, effective July 15, 1986; 1986, ch. 64, § 1, effective July 15, 1986; 1986, ch. 474, § 2, effective July 15, 1986; 1988, ch. 205, § 2, effective July 15, 1988; 1990, ch. 316, § 2, effective July 13, 1990; 1990, ch. 321, § 1, effective July 13, 1990; 1990, ch. 325, § 20, effective July 13, 1990; 1990, ch. 377, § 2, effective July 13, 1990; 1990, ch. 378, § 3, effective July 13, 1990; 1990, ch. 379, § 2, effective July 13, 1990; 1990, ch. 399, § 2, effective July 13, 1990; 1990, ch. 470, § 63, effective July 1, 1990; 1990, ch. 476, Pt. II, § 52, effective July 1, 1991; 1990, ch. 484, § 1, effective July 13, 1990; 1992, ch. 109, § 38, effective March 30, 1992; 1992, ch. 159, § 2, effective July 14, 1992; 1992, ch. 211, § 1, effective July 14, 1992; 1992, ch. 288, § 47, effective July 14, 1992; 1994, ch. 176, § 6, effective July 15, 1994; 1994, ch. 181, § 8, effective April 4, 1994; 1994, ch. 208, § 2, effective July 15, 1994; 1994, ch. 209, § 1, effective July 15, 1994; 1994, ch. 215, § 2, effective July 15, 1994; 1994, ch. 216, § 1, effective July 15, 1994; 1994, ch. 227, § 1, effective July 15, 1994; 1994, ch. 405, § 3, effective July 15, 1994; 1994, ch. 422, § 1, effective April 16, 1994; 1994, ch. 469, § 33, effective July 15, 1994; 1994, ch. 499, § 5, effective July 15, 1994; 1994, ch. 508, § 3, effective July 15, 1994; 1996, ch. 113, § 1, effective July 15, 1996; 1996, ch. 217, § 1, effective July 15, 1996; 1996, ch. 241, § 1, effective July 15, 1996; 1996, ch. 244, § 2, effective July 15, 1996; 1996, ch. 271, § 3, effective July 15, 1996; 1996, ch. 310, § 5, effective July 15, 1996; 1996, ch. 358, § 2, effective July 15, 1996; 1996, ch. 360, § 5, effective July 15, 1996; 1996, ch. 362, § 6, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 28, effective May 30, 1997; 1998, ch. 48, § 2, effective July 15, 1998; 1998, ch. 50, § 1, effective July 15, 1998; 1998, ch. 58, § 1, effective July 15, 1998; 1998, ch. 65, § 1, effective July 15, 1998; 1998, ch. 66, § 1, effective July 15, 1998; 1998, ch. 69, § 1, effective July 15, 1998; 1998, ch. 82, § 1, effective July 15, 1998; 1998, ch. 83, § 1, effective July 15, 1998; 1998, ch. 89, § 2, effective July 15, 1998; 1998, ch. 154, § 2, effective July 15, 1998; 1998, ch. 284, § 2, effective July 15, 1998; 1998, ch. 333, § 1, effective July 15, 1998; 1998, ch. 353, § 5, effective July 15, 1998; 1998, ch. 396, § 2, effective July 15, 1998; 1998, ch. 426, § 61, effective July 15, 1998; 1998, ch. 493, § 9, effective April 10, 1998; 1998, ch. 498, § 9, effective July 15, 1998; 1998, ch. 579, § 1, effective July 15, 1998; 2000, ch. 3, § 2, effective July 14, 2000; 2000, ch. 6, § 1, effective July 14, 2000; 2000, ch. 14, § 1, effective July 14, 2000; 2000, ch. 31, § 1, effective July 14, 2000; 2000, ch. 46, § 3, effective July 14, 2000; 2000, ch. 85, § 1, effective July 14, 2000; 2000, ch. 156, § 1, effective July 14, 2000; 2000, ch. 203, § 5, effective July 14, 2000; 2000, ch. 221, § 2, effective July 14, 2000; 2000, ch. 374, § 17, effective July 14, 2000; 2000, ch. 387, § 3, effective July 14, 2000; 2000, ch. 417, § 7, effective December 1, 2000; 2000, ch. 506, § 10, effective July 14, 2000; 2000, ch. 536, § 10, effective July 14, 2000; 2001, ch. 1, § 9, effective June 21, 2001; 2001, ch. 5, § 2, effective June 21, 2001; 2001, ch. 16, § 1, effective June 21, 2001; 2001, ch. 27, § 7, effective June 21, 2001; 2001, ch. 34, § 6, effective June 21, 2001; 2001, ch. 38, § 1, effective June 21, 2001; 2001, ch. 70, § 1, effective March 15, 2001; 2001, ch. 137, § 2, effective June 21, 2001; 2001, ch. 149, § 13, effective March 20, 2001; 2001, ch. 164, § 1, effective June 21, 2002; 2002, ch. 12, § 5, effective July 15, 2002; 2002, ch. 190, § 1, effective July 15, 2002; 2002, ch. 300, § 1, effective July 15, 2002; 2002, ch. 338, § 48, effective July 15, 2002; 2003, ch. 7, § 1, effective June 24, 2003; 2003, ch. 29, § 4, effective June 24, 2003; 2003, ch. 31, § 1, effective June 24, 2003; 2003, ch. 40, § 1, effective June 24, 2003; 2003, ch. 41, § 1, effective June 24, 2003; 2003, ch. 54, § 2, effective June 24, 2003; 2004, ch. 191, § 1, effective July 13, 2004; 2005, ch. 9, § 1, effective June 20, 2005; 2005, ch. 35, § 2, effective June 20, 2005; 2005, ch. 85, § 1, effective June 20, 2005; 2005, ch. 95, § 7, effective June 20, 2005; 2005, ch. 97, § 1, effective June 20, 2005; 2005, ch. 98, § 1, effective June 20, 2005; 2005, ch. 99, § 7, effective June 20, 2005; 2005, ch. 123, § 2, effective June 20, 2005; 2005, ch. 181, § 1, effective June 20, 2005; 2006, ch. 152, § 2, effective July 12, 2006; 2006, ch. 172, § 2, effective July 12, 2006; 2006, ch. 181, § 1, effective July 12, 2006; 2006, ch. 210, § 1, effective July 12, 2006; 2006, ch. 211, § 3, effective July 12, 2006; 2007, ch. 18, § 1, effective June 26, 2007; 2007, ch. 24, § 2, effective June 26, 2007; 2007, ch. 47, § 6, effective June 26, 2007; 2007, ch. 85, § 7, effective June 26, 2007; 2007 (2nd Ex. Sess.), ch. 1, § 35, effective August 30, 2007; 2009, ch. 11, § 2, effective June 25, 2009; 2009, ch. 12, § 18, effective June 25, 2009; 2009, ch. 13, § 1, effective June 25, 2009; 2009, ch. 14, § 1, effective June 25, 2009; 2009, ch. 15, § 1, effective June 25, 2009; 2009, ch. 16, § 3, effective June 25, 2009; 2009, ch. 75, § 11, effective June 25, 2009; 2010, ch. 24, § 7, effective July 15, 2010; 2010, ch. 65, § 1, effective July 15, 2010; 2010, ch. 117, § 1, effective July 15, 2010; 2012, ch. 10, § 1, effective July 12, 2012; 2012, ch. 71, § 1, effective July 12, 2012; 2012, ch. 146, § 2, effective July 12, 2012; 2012, ch. 158, § 1, effective July 12, 2012; 2013, ch. 15, § 1, effective June 25, 2013; 2013, ch. 18, § 5, effective June 25, 2013; 2013, ch. 59, § 37, effective June 25, 2013; 2013, ch. 72, § 9, effective June 25, 2013; 2013, ch. 78, § 9, effective March 22, 2013; 2013, ch. 90, § 5, effective June 25, 2013; 2014, ch. 14, § 1, effective July 15, 2014; 2014, ch. 50, § 1, effective July 15, 2014; 2014, ch. 89, § 2, effective July 15, 2014; 2015 ch. 87, § 2, effective June 24, 2015; 2016 ch. 150, § 2, effective July 15, 2016; 2016 ch. 32, § 1, effective July 15, 2016; 2019 ch. 90, § 1, effective June 27, 2019; 2019 ch. 146, § 1, effective June 27, 2019; 2019 ch. 154, § 7, effective June 27, 2019; 2019 ch. 173, § 1, effective June 27, 2019; 2020 ch. 9, § 1, effective July 15, 2020; 2021 ch. 12, § 3, effective March 12, 2021; 2021 ch. 24, § 1, effective June 29, 2021; 2021 ch. 26, § 1, effective June 29, 2021; 2021 ch. 82, § 1, effective June 29, 2021; 2021 ch. 99, § 1, effective June 29, 2021; 2021 ch. 156, § 22, effective June 29, 2021; 2021 ch. 185, § 5, effective June 29, 2021; 2021 ch. 186, § 2, effective June 29, 2021.

Compiler’s Notes.

The section appears to incorporate a correction from the Reviser of Statutes in (5)(d)(4).

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 12, 24, 26, 82, 99, 156, 185, and 186, which do not appear to be in conflict and have been codified together.

(7/15/2014). Under the authority of KRS 7.136(1), the Reviser of Statutes has modified the internal numbering system in Units I., II., and III. of this statute to conform to the format used in the Kentucky Revised Statutes. The words in the text and the placement of the entities were not changed.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

NOTES TO DECISIONS

1.Applicability.

This section and KRS 12.210 apply exclusively to expressly specified state level administrative agencies and officers and do not include county boards of education, their members and officers. Hogan v. Glasscock, 324 S.W.2d 815, 1959 Ky. LEXIS 385 ( Ky. 1959 ).

2.Reorganization by Executive Order.

A department headed by a constitutional officer cannot be attached to a cabinet by executive order. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The Department of Agriculture is not a “statutory administrative department” within the meaning of KRS 12.025 (repealed); hence that section is no authority for the transfer of any functions, funds, property or personnel from the Department by executive order. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The Governor has neither the constitutional power nor the statutory authority to effect a reorganization of the Department of Agriculture by transferring various functions, personnel and funds to another executive agency and, among other things, placing it and several other agencies within a newly-created energy and agriculture cabinet. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The powers of transfer given to the Governor by KRS 12.025 (repealed) do not affect the department listed in this section as being headed by elected officers. Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Cited in:

Osborne v. Commonwealth, Dep’t of Public Safety, 353 S.W.2d 373, 1962 Ky. LEXIS 15 ( Ky. 1962 ); Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ); Thompson v. Huecker, 559 S.W.2d 488, 1977 Ky. App. LEXIS 867 (Ky. Ct. App. 1977); Ex parte Farley, 570 S.W.2d 617, 1978 Ky. LEXIS 390 ( Ky. 1978 ).

NOTES TO UNPUBLISHED DECISIONS

1.Termination.

Public Protection Cabinet's decision to terminate the appointment of the Kentucky Horse Racing Commission's (KHRC) Chief State Steward because the Cabinet had statutory authority to perform administrative functions for the KHRC, which included personnel decisions; the Steward's appointment was null and void from the beginning, and thus, the circuit court could not order his employment to be reinstated. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

2.Construction.

Second clause of the statute exists to limit the first clause only when the administrative body is headed by a constitutionally elected officer, or when the administrative body is the Personnel Board; thus, exclusions in the second clause do not apply to the Cabinets that fall under the first clause, and if the Kentucky Horse Racing Commission is the Personnel Board or is headed by a constitutionally elected officer, only then do the exclusions apply. Commonwealth v. Veitch, 2016 Ky. App. LEXIS 122 (Ky. Ct. App. July 15, 2016).

3.Administrative Functions.

Kentucky Horse Racing Commission (KHRC) is an administrative body that falls underneath the Public Protection Cabinet and is neither the Personnel Board nor is it headed by a constitutionally elected officer, and thus, none of the Ky. Rev. Stat. Ann. § 12.020 exclusions applies to it; reading Ky Rev. Stat. Ann. §§ 12.020 , 12.252 , and 230.225 in paria materia to harmonize and give each effect, the Cabinet may perform administrative functions for the KHRC, and they may include personnel decisions. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

Opinions of Attorney General.

Since the Governor is defined as a department of state government, he is covered under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The Lieutenant Governor, by virtue of his membership on the Legislative Research Commission, is included under KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

The officers and employees of the Governor’s department would be included under the terms of KRS 61.092 to 61.096 (see now KRS 45A.330 to 45A.340 ). OAG 60-242 .

State agencies may make payment to the state auditor of the costs of the annual audit or other necessary audit and the auditor may receive such payments, reimbursements and/or inter-accounting to cover the costs of such proper services. OAG 68-348 .

The Kentucky Heritage Commission is a separate administrative body of state government with both policy making and advisory roles in carrying out its duties and functions under KRS 171.381 and should coordinate with other departments which may be expending funds on conservation, archaeological, economic, historic landmarks and other matters related to the commission’s functions and projects and also is advisory to the Governor on executive actions, legislative matters and in passing on the budget of the commission and on the budgets of other departments upon which the commission’s advice might be sought. OAG 75-80 .

The Governor may under KRS 12.025 (repealed) reorganize by executive order the Department of Agriculture, which is administered by a constitutional officer, until the General Assembly reconvenes since the Department of Agriculture is clearly a department for Chapter 12 purposes under this section, since the General Assembly has not specifically exempted a department headed by an elected official from the KRS 12.025 (repealed) reorganization powers of the Governor, as was done with certain other departments, and since the Governor in the absence of the General Assembly can prescribe through executive order the duties and responsibilities of the Commissioner of Agriculture under Ky. Const., § 91 and Ky. Const., § 93; however, the Governor cannot strip a constitutional officer of all duties under KRS 12.025 (repealed) and leave an empty shell for him to administer since the General Assembly could not do this while it was in session. OAG 81-3 .

Under the literal wording of this section and KRS 12.010 and 45.452 , the 30-day payment rule established in KRS 45.453 applies to the Corrections Cabinet’s payment to the counties of the reimbursement fees occasioned by the detention of convicted felons in county jails, pursuant to KRS 431.215 ; the invoices submitted by such affected counties must be consistent with KRS 431.215 (2). OAG 84-357 .

Upon review of KRS 342.215 and of subsection II 11 (f) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Workers’ Compensation Board are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive brand of government; therefore, it would appear that the members of the Workers’ Compensation Board are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature, especially since compensation for such board members is indexed to the salaries of appeals court judges. OAG 90-25 .

Upon review of KRS 346.030 , 64.640 , 44.070 and subdivision II 6. (k) (see now II. 4. (c)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Board of Claims are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Board of Claims are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 346.030 , 64.640 and subdivision II 6. (k) (see now II. 4. (b)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Crime Victims Compensation Board are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Crime Victims Compensation Board are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 131.315(1), 131.320 , and subdivision II 6. (m) (see now II 4. (d)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Board of Tax Appeals are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Board of Tax Appeals are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 439.320(1) and (3), 64.640 , and subdivision II 10. (a) (see now II 4. (c)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Parole Board are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Parole Board are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Upon review of KRS 117.015 and subdivision I 3. (b) (see now II 1. (i)) of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Board of Elections are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Board of Elections are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

The general listing of the Employers’ Mutual Insurance Authority (EMIA) in this section as an agency related to the Labor Cabinet of the Kentucky state government does not supersede the specific terms of KRS 342.803(3), which declare that neither the EMIA nor its liabilities shall constitute a debt or liability of the Commonwealth, or a pledge of the faith and credit of the Commonwealth; consequently, should the EMIA become insolvent the Commonwealth is not obligated for EMIA’s liabilities. OAG 95-37 .

Whether or not the mere listing of an agency in this section renders the Commonwealth liable for the obligations of an agency so listed, is a matter to be determined on a case by case basis, upon evaluation of specific facts. OAG 95-37 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 9, (1) at 855.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, A, 9, (1) at 1292.

Kentucky Law Journal.

Snyder and Irland, The Separation of Governmental Powers Under the Constitution of Kentucky: A Legal and Historical Analysis of L.R.C. v. Brown, 73 Ky. L.J. 165 (1984-85).

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part X, State Agencies, 52 Ky. L.J. 1 (1963).

12.022. Health and welfare agency — Administrator is agent to deal with federal government. [Repealed.]

Compiler’s Notes.

This section (Acts 1962, ch. 106, Art. I, § 4) was repealed by Acts 1970, ch. 225, § 1.

12.023. Organizational units and administrative bodies attached to the Governor’s office.

The following organizational units and administrative bodies shall be attached to the Office of the Governor:

  1. Council on Postsecondary Education;
  2. Department of Military Affairs;
  3. Department for Local Government;
  4. Kentucky Commission on Human Rights;
  5. Kentucky Commission on Women;
  6. Kentucky Commission on Military Affairs;
  7. Office of Minority Empowerment;
    1. The Martin Luther King Commission;
  8. Office of Homeland Security; and
  9. Kentucky Communications Network Authority.

HISTORY: Enact. Acts 1974, ch. 74, Art. I, § 7; 1976, ch. 299, § 2; 1978, ch. 155, §§ 3, 104, effective June 17, 1978; 1980, ch. 295, § 3, effective July 15, 1980; 1982, ch. 393, § 5, effective July 15, 1982; 1982, ch. 447, § 6, effective April 12, 1982; 1984, ch. 334, § 2, effective July 13, 1984; 1986, ch. 331, § 8, effective July 15, 1986; 1996, ch. 113, § 2, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 29, effective May 30, 1997; 1998, ch. 69, § 2, effective July 15, 1998; 1998, ch. 239, § 2, effective July 15, 1998; 1998, ch. 353, § 6, effective July 15, 1998; 1998, ch. 466, § 1, effective July 15, 1998; 2000, ch. 2, § 1, effective July 14, 2000; 2000, ch. 387, § 4, effective July 14, 2000; 2000, ch. 461, § 2, effective July 14, 2000; 2000, ch. 506, § 11, effective July 14, 2000; 2000, ch. 530, § 15, effective April 26, 2000; 2000, ch. 536, § 11, effective July 14, 2000; 2001, ch. 137, § 3, effective June 21, 2001; 2004, ch. 41, § 7, effective July 13, 2004; 2005, ch. 9, § 2, effective June 20, 2005; 2005, ch. 35, § 3, effective June 20, 2005; 2005, ch. 85, § 2, effective June 20, 2005; 2005, ch. 95, § 8, effective June 20, 2005; ch. 99, § 8, effective June 20, 2005; 2006, ch. 172, § 3, effective July 12, 2006; 2006, ch. 193, § 12, effective July 12, 2006; 2006, ch. 211, § 4, effective July 12, 2006; 2007, ch. 47, § 7, effective June 26, 2007; 2007, ch. 85, § 8, effective June 26, 2007; 2007 (2nd Ex. Sess.), ch. 1, § 36, effective August 30, 2007; 2009, ch. 16, § 4, effective June 25, 2009; 2010, ch. 24, § 8, effective July 15, 2010; 2010, ch. 117, § 15, effective July 15, 2010; 2012, ch. 71, § 2, effective July 12, 2012; 2013, ch. 15, § 2, effective June 25, 2013; 2013, ch. 57, § 1, effective June 25, 2013; 2017 ch. 89, § 2, effective June 29, 2017; 2019 ch. 146, § 2, effective June 27, 2019; 2021 ch. 12, § 2, effective March 12, 2021.

Legislative Research Commission Notes.

(7/12/2012). 2012 Ky. Acts ch. 158, sec. 84, instructs the Reviser of Statutes to correct statutory references to agencies and officers affected by the Act, as it confirms the reorganization of the Cabinet for Health and Family Services within the executive branch, including the transfer of the Governor’s Council on Wellness and Physical Activity from the Office of the Governor to the Department for Public Health. Such a correction has been made in this statute.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 9, (1) at 855.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, A, 9, (1) at 1292.

12.025. Governor’s reorganization powers — Personnel board exempt. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. XV; 1962, ch. 106, Art. I, § 5; 1974, ch. 74, Art. I, § 14; 1982, ch. 139, § 1, effective July 15, 1982; 1982, ch. 447, § 22, effective April 12, 1982; 1982, ch. 448, § 58, effective July 15, 1982) was repealed by Acts 1982, ch. 447, § 23, effective January 1, 1984.

12.027. Temporary reorganization orders. [Repealed]

History. Enact. Acts 1962, ch. 106, Art. I, § 7; 1972, ch. 238, § 1; 1980, ch. 188, § 2, effective July 15, 1980; 1982, ch. 447, § 7, effective January 1, 1984; 1984, ch. 306, § 1, effective April 9, 1984; 1992, ch. 105, § 60, effective July 14, 1992; repealed by 2021 ch. 5, § 2, effective February 2, 2021.

12.028. Governor and elected state executive officers to submit proposals for change to General Assembly — Reorganization plans — Legislative monitoring — Lapsed funds.

  1. Recognizing the necessity for grouping related functions of organizational units and administrative bodies in order to promote greater economy, efficiency and improved administration, the Governor, the Kentucky Economic Development Partnership as created in KRS 154.10-010 , and other elected state executive officers may propose to the General Assembly, for its approval, changes in the state government organizational structure which may include the creation, alteration or abolition of any organizational unit or administrative body and the transfer of functions, personnel, funds, equipment, facilities, and records from one (1) organizational unit or administrative body to another.
  2. Any reorganization proposed under subsection (1) of this section shall be set forth in a reorganization plan which shall be filed with the Legislative Research Commission. The plan shall include:
    1. An explanation of each proposed change, including the need for the change;
    2. An estimate of any reduction or increase in expenditures, itemized as far as practicable, which the promulgating officer expects will result from the reorganization;
    3. A description of any improvements in the management, delivery of state services, and efficiency of state government operations which the promulgating officer expects will be realized as a result of the reorganization; and
    4. Specification of the effects of the reorganization on the budget and personnel of each affected organizational unit or administrative body, including but not limited to the amount of funds and the number of employees that will be transferred from one (1) organizational unit or administrative body to another, any reductions in the state workforce resulting from the reorganization, and the methods to be utilized to achieve such reductions.
  3. The Legislative Research Commission or the Legislative Oversight and Investigations Committee may monitor the implementation of any reorganization plan to determine the extent to which the anticipated improvements in economy, efficiency, or administration have been realized as a result of the reorganization and shall report its findings to the General Assembly.
  4. Funds transferred due to reorganization shall be maintained in separately designated accounts. Any excess funds resulting from a reorganization shall lapse to the general fund surplus account.

History. Enact. Acts 1982, ch. 447, § 2, effective January 1, 1984; 1984, ch. 306, § 2, effective April 9, 1984; 1992, ch. 105, § 61, effective July 14, 1992; 2021 ch. 5, § 1, effective February 2, 2021; 2021 ch. 14, § 9, effective March 12, 2021.

Legislative Research Commission Notes.

(3/12/2021). This statute was amended by 2021 Ky. Acts chs. 5 and 14, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

1.Constitutionality.

Once the General Assembly has made a determination that the power to reorganize state government in the interim periods between legislative sessions does exist, and determines that that power is in the hands of the Governor, such interim action is purely an executive function; accordingly, any authority given to the Legislative Research Commission to veto or substantially affect this statutorily instituted executive function is a violation of the separation of powers doctrine. Legislative Research Com. by Prather v. Brown, 664 S.W.2d 907, 1984 Ky. LEXIS 300 ( Ky. 1984 ) (Decided prior to 1984 amendment).

When the General Assembly grants the Governor the power to reorganize certain governmental agencies, it cannot also grant the Legislative Research Commission (LRC) the authority to veto such plans as are promulgated by the Governor; accordingly, the former provisions of subsection (2) of this section giving the LRC such veto authority were unconstitutional. Legislative Research Com. by Prather v. Brown, 664 S.W.2d 907, 1984 Ky. LEXIS 300 ( Ky. 1984 ) (Decided prior to 1984 amendment).

Governor of Kentucky properly issued an executive order, which made several temporary changes to various state education boards, because the boards fell within the ambit of the Governor’s statutory authority to temporarily reorganize boards outside of the legislative session. Furthermore, the Governor’s power did not violate the suspension or the education provisions of the Kentucky Constitution, or the separation of powers doctrine generally and the non-delegation doctrine specifically. Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ).

2.Legislative Confirmation.

Although some of the functions transferred out of the Department of Agriculture by an invalid executive order had originally been placed in the department by similar previous executive orders, this did not mean that those previous orders were also invalid, because those orders had been specifically ratified by the General Assembly. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Though the transfer of an existing, legislatively-created function from one executive agency or department to another is essentially an executive action, and is not an exercise of legislative power by the chief executive, the chief executive does not have the power to do it without legislative sanctions unless it is necessary in order for him to carry out a law or laws that the legislature has created without prescribing in sufficient detail how they are to be executed. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

3.Constitutional State Officers.

Except for the informational duty specified in Ky. Const., § 78, the officers named in Ky. Const., § 91 are not and cannot be placed under the control or supervision of the Governor. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

Whatever powers, duties, personnel, funds or property are given by statute to an officer named in Ky. Const., § 91 they may be removed by statute and may be transferred by executive order if, and only if, such a transfer is authorized by statute. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

4.Department Headed by Constitutional State Officer.

A department headed by a constitutional state officer cannot be attached to a cabinet by executive order. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The Governor has no constitutional or statutory power to transfer powers, duties, personnel, funds or property that have been assigned by the General Assembly to a department headed by an officer named in Ky. Const., § 91. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

The powers of transfer given to the Governor by this section do not affect the departments listed in KRS 12.020 as being headed by elected officers. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

5.Department of Agriculture.

The Governor has neither the constitutional power nor the statutory authority to effect a reorganization of the Department of Agriculture by transferring various functions, personnel and funds to another executive agency and, among other things, placing it and several other agencies within a newly-created energy and agriculture cabinet. (Decided under prior law) Brown v. Barkley, 628 S.W.2d 616, 1982 Ky. LEXIS 232 ( Ky. 1982 ).

6.Mootness.

In a case in which the circuit court sustained the Attorney General's challenge to the Governor's authority under Ky. Rev. Stat. Ann. § 12.028 to abolish and reorganize the University of Louisville Board of Trustees and permanently enjoined the Governor from implementing the Executive Orders issued June 17, 2016, in connection with his effort, the Supreme Court held that intervening statutory law enacted by the General Assembly had rendered moot the legal issues decided by the circuit court. Accordingly, the appeal was dismissed. Bevin v. Beshear, 526 S.W.3d 89, 2017 Ky. LEXIS 435 ( Ky. 2017 ).

Cited in:

Hutsell v. Sayre, 5 F.3d 996, 1993 U.S. App. LEXIS 24888 (6th Cir. 1993).

Opinions of Attorney General.

The reorganization authority must be granted to the Executive Branch of state government and to the Chief Executive Officer, the Governor; under Ky. Const., § 69 the General Assembly cannot create a state executive agency and grant executive reorganization authority to such an agency because supreme executive power must be vested in the Governor. OAG 82-154 .

The provision of Acts 1982, ch. 447, giving the Legislative Research Commission authority to approve or disapprove a temporary reorganization by the Governor (this section) is unconstitutional since the General Assembly’s granting of reorganization authority to the Governor may not be subject to the approval of the Legislative Research Commission; the Legislative Research Commission’s exercise of such veto/approval authority would be tantamount to the General Assembly’s acting when not in session, which is prohibited by the separation of powers doctrine, Ky. Const., §§ 27, 28 and also 36; and, even if an attempt were made to establish the Legislative Research Commission as an executive agency, the General Assembly is prohibited by Ky. Const., § 69 from granting reorganization authority to such agency or any other created state executive agency if that authority is superior to that of the Governor. OAG 82-154 .

To the extent that KRS 156.016, which gives the power of reorganization of the Department of Education to the Commissioner of Education, is considered to conflict with this section, which indicates that only the Governor or another elected state executive officer may file executive orders for reorganization, clearly, KRS 156.010 and 156.016 supersede this section in that KRS 156.010 and 156.016 were enacted into law more recently than this section and more specifically address the reorganization of the Department of Education. OAG 91-66 .

Research References and Practice Aids

Kentucky Law Journal.

Snyder and Irland, The Separation of Governmental Powers Under the Constitution of Kentucky: A Legal and Historical Analysis of L.R.C. v. Brown, 73 Ky. L.J. 165 (1984-85).

12.029. Governor’s advisory committee on reorganization.

The Governor may appoint advisory or study committees to assist and recommend to him on problems concerning the various functions, organizational units and administrative bodies of state government. Members of such committees shall serve without pay, but shall be reimbursed for necessary and actual expenses.

History. Enact. Acts 1982, ch. 447, § 3, effective January 1, 1984.

12.030. Distribution of work within agency or department. [Repealed.]

Compiler’s Notes.

This section (4618-154: amend. Acts 1962, ch. 106, Art. I, § 6) was repealed by Acts 1974, ch. 74, Art. I, § 14.

12.031. Inclusion of osteopaths within references to physicians in executive orders.

Any reference in an executive order to “medical doctor,” “M.D.,” or “physician” shall be deemed to include a doctor of osteopathy or D.O., unless either of those terms is specifically excluded.

History. Enact. Acts 2000, ch. 413, § 1, effective July 14, 2000.

12.035. Agency administrators. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. I, § 9) was repealed by Acts 1974, ch. 74, Art. I, § 14.

12.040. Heads of departments — Appointment of executive directors by Governor.

  1. The heads of departments shall have direction and control of their respective departments, and through their departments shall exercise the powers and perform the duties vested in the departments under their direction and control. Except as otherwise expressly provided by law, the heads of departments shall be appointed by the Governor for terms not exceeding four (4) years on the basis of their merit and fitness to perform the duties of their respective offices.
  2. Each department head shall maintain a pattern of organization capable of receiving the attachment of administrative bodies that have functions related to the general function of his department.
  3. Within the resources of his department, each department head shall provide administrative bodies in his department with such facilities and services as will enable those bodies to carry out the functions with which they are charged.
  4. The heads of all departments shall exercise supervision over the personnel and financial records of their respective departments.
  5. In case of a vacancy or in the absence or disability of the head of a department, the Governor may authorize the head of a division or other administrative officer to act as head of the department.
  6. When required by statute to appoint the head of an office, the Governor shall appoint an executive director for a term not exceeding four (4) years on the basis of merit and fitness to perform the duties of the office.

History. 4618-152, 4618-153: amend. Acts 1946, ch. 27, § 18; 1950, ch. 123, § 29; 1956 (1st Ex. Sess.), ch. 7, Art. I, § 2; 1962, ch. 106, Art. I, § 8; 2009, ch. 13, § 2, effective June 25, 2009.

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Howard v. Denham, 303 Ky. 413 , 197 S.W.2d 907, 1946 Ky. LEXIS 862 ( Ky. 1946 ); Osborne v. Commonwealth, Dep’t of Public Safety, 353 S.W.2d 373, 1962 Ky. LEXIS 15 ( Ky. 1962 ); Commonwealth, Dep’t of Highways v. Salmon Corp., 489 S.W.2d 32, 1972 Ky. LEXIS 25 ( Ky. 1972 ).

Opinions of Attorney General.

The expenses of a potential job applicant should be allowed only in those extraordinary circumstances in which a complicated or difficult job, requiring real academic and work experience, cannot be filled properly and adequately without such extra recruitment consideration. OAG 69-347 .

Since the president and other employees of a university or state college are not appointed directly by the Governor or with the approval of the Governor, these officials, because of the peculiar language found in KRS 61.710 and by referral in this section and KRS 12.050 , are not required to file financial disclosure under the financial disclosure law. OAG 73-242 .

All of the commissioners of the Kentucky Savings Bond Authority, consisting of three ex officio members appointed under this section and four members appointed by the Governor under KRS 12.070 , are required to file in accordance with the financial disclosure act. OAG 73-726 .

Departments and agencies of the central state government can legally pay, out of the current operational account, the travel expenses of out-of-state persons invited to Kentucky for screening employment interviews, involving high level state management or cabinet positions, when the prospective employee will not agree to pay such expenses. OAG 80-37 .

Research References and Practice Aids

Cross-References.

For salaries of heads of constitutional administrative departments and independent agencies, see KRS 64.640 .

Bonds of department heads, amounts and conditions of, KRS 62.160 , KRS 62.180 .

Bonds to be required of employees handling money or property, KRS 62.170 .

Commissioner of fish and wildlife resources, appointment, salary, KRS 64.640 , KRS 150.061 .

Commissioner of alcoholic beverage control, appointment, term, KRS 241.015 .

Executive director of office of mine safety and licensing, KRS 351.060 .

Public Service Commission, commissioner, KRS 278.060 .

Secretary of labor, duties, KRS 336.050 .

12.050. Deputy heads of departments and directors of divisions and institutions.

Unless otherwise provided by law, deputy heads of departments, and directors of divisions and institutions shall be appointed by the heads of the departments and in statutory departments the appointment of deputy heads of departments, and heads of divisions shall be with the prior written approval of the Governor. In departments each division head shall report to the head of the department to which the division is assigned.

History. 4618-154, 4618-155: amend. Acts 1948, ch. 228; 1950, ch. 123, § 29; 1974, ch. 74, Art. I, § 13; 1982, ch. 393, § 6, effective July 15, 1982.

NOTES TO UNPUBLISHED DECISIONS

1.Non-merit Employee.

Kentucky Horse Racing Commission's (KHRC) Chief State Steward was a non-merit employee because he was appointed under the statute; the Steward was not entitled to reinstatement to his non-merit position. Commonwealth v. Veitch, 2016 Ky. App. LEXIS 122 (Ky. Ct. App. July 15, 2016).

Cited in:

Reeves v. Fries, 292 Ky. 450 , 166 S.W.2d 985, 1942 Ky. LEXIS 116 ( Ky. 1942 ); Commonwealth, Dep’t of Highways v. Salmon Corp., 489 S.W.2d 32, 1972 Ky. LEXIS 25 ( Ky. 1972 ).

Opinions of Attorney General.

Since the president and other employes of a university or state college are not appointed directly by the Governor or with the approval of the Governor, these officials, because of the peculiar language found in KRS 61.710 and by referral in KRS 12.040 and this section, are not required to file financial disclosure under the financial disclosure law. OAG 73-242 .

Departments and agencies of the central state government can legally pay, out of the current operational account, the travel expenses of out-of-state persons invited to Kentucky for screening employment interviews, involving high level state management or cabinet positions, when the prospective employee will not agree to pay such expenses. OAG 80-37 .

Research References and Practice Aids

Cross-References.

Assistant treasurer’s salary fixed by treasurer, KRS 41.060 .

Compensation of state officers and employees, KRS 64.640 .

Financial institutions, qualifications and duties of deputy commissioner of, KRS 286.1-025 .

Executive director of office for agricultural marketing and product promotion, KRS 260.020 .

Director of Legislative Research Commission, salary, KRS 7.090 .

Supervisor of apprenticeship and training, appointment, KRS 343.030 .

12.060. Department staffs.

  1. The heads of statutory departments, with the approval of the secretary of personnel, may establish such subordinate positions as may be necessary and make appointments thereto, within the limitations of their appropriations, and removals therefrom. All appointees to such positions shall be under the supervision, direction, and control of the heads of the respective departments and shall perform such duties as the heads of the departments prescribe. The appointment of all employees not otherwise provided for shall be made by the heads of the departments.
  2. The head of any department, with the approval of the secretary of personnel, may abolish unnecessary offices and positions, transfer officers and employees between positions, and change the duties, titles and compensation of existing offices and positions, subject to any provision of law in relation thereto.

History. 4618-150, 4618-155: amend. Acts 1982, ch. 393, § 7, effective July 15, 1982; 1998, ch. 487, § 7, effective July 15, 1998.

NOTES TO DECISIONS

1.Approval of Departmental Actions.

Pursuant to subsection (2) of this section, the Secretary of Finance must approve certain departmental actions; notice to the detached Department of Personnel, formerly a part of the Department of Finance, does not comply. Heaton v. Department of Military Affairs, 684 S.W.2d 286, 1984 Ky. App. LEXIS 609 (Ky. Ct. App. 1984).

Cited in:

Commonwealth, Dep’t of Highways v. Salmon Corp., 489 S.W.2d 32, 1972 Ky. LEXIS 25 ( Ky. 1972 ); Personnel Bd. v. Heck, 725 S.W.2d 13, 1986 Ky. App. LEXIS 1488 (Ky. Ct. App. 1986).

Opinions of Attorney General.

The Personnel Board may promulgate and adopt rules of procedure establishing the hearing examiner system for hearing evidentiary matter in appeals from dismissals and directing the commissioner of personnel, on behalf of the Board, to take such administrative action as may be required to employ a hearing examiner or examiners meeting the qualifications fixed by the Board. OAG 68-411 .

Departments and agencies of the central state government can legally pay, out of the current operational account, the travel expenses of out-of-state persons invited to Kentucky for screening employment interviews, involving high level state management or cabinet positions, when the prospective employee will not agree to pay such expenses. OAG 80-37 .

An agency of state government may compensate its own employee for work done for that agency which is outside of that employee’s usual duties, and outside of the normal work hours under particular circumstances. OAG 91-145 .

If an employee works for a state agency full-time, he may only work for a second state agency, on his own time, inside or outside of the cabinet, upon the recommendation of his appointing authority and approval of the Commissioner of Personnel, and the agency for which the employee performs the secondary duties would be responsible for compensating the employee for those duties. OAG 91-145 .

If an employee works full-time for a department within a particular cabinet, he may obtain dual employment, on his own time, with another department within the same cabinet upon recommendation of the appointing authority and approval of the Commissioner of Personnel, and the agency for which the employee performs the secondary duties would be responsible for compensating the employee for those duties. OAG 91-145 .

Research References and Practice Aids

Cross-References.

Appointment and removal of employees, generally, KRS Chapter 18A.

Bonds to be required of employees handling money or property, KRS 62.170 .

Compensation of state officers and employees, KRS 64.640 .

Department of Corrections to employ on basis of merit only, KRS 196.210 .

Financial institutions examiners, appointment of, KRS 286.1-440 .

Department of Labor, employees, KRS 336.030 .

Department of Military Affairs, appointment and salary of officers and personnel, KRS 36.130 , 37.200 .

Transportation Cabinet, employment of personnel to administer financial responsibility law, KRS 187.300 .

Governor’s Cabinet, employees, KRS 147.120 .

Merit system for public assistance and child welfare personnel, KRS 199.420 .

Secretary of human resources to appoint staff for adoption, child care and placement duties, KRS 199.420 .

State Fair Board, employees and agents, KRS 247.130 .

State police, appointment and qualification of personnel of, civil service for officers, KRS 16.040 , 16.050 , 16.140 .

Unemployment Insurance Commission, employees of, KRS 341.125 .

12.070. Appointments to boards and commissions — Minority representation — Reimbursement for expenses when compensation not provided.

  1. For the purpose of this section, “minority” means American Indian; Alaskan native; African-American; Hispanic, including persons of Mexican, Puerto Rican, Cuban, and Central or South American origin; Pacific islander; or other ethnic group underrepresented on state boards and commissions.
  2. Except as otherwise expressly provided by law, the members of each administrative board or commission shall be citizens of Kentucky appointed by the Governor from the state at large on the basis of their interests in public affairs, their good judgment, and their knowledge and ability in the field of action of the department for which appointed, with a view to providing diversity of interests and points of view in the membership and without regard to their political or religious opinions or affiliations.
  3. Where appointments to administrative boards and commissions are made from lists submitted to him, the Governor may reject the list and require that other lists be submitted. Notwithstanding any provision to the contrary, in the event the current membership of a board or commission reflects a proportion of the minority group less than the proportion of the minority group in the total population of the Commonwealth, then the Governor may appoint a member of the minority group even if the list of nominees for a vacancy does not include a member of the minority group.
  4. Before entering upon the duties of their office, all members of administrative boards and commissions shall take the oath of office prescribed by Section 228 of the Constitution.
  5. When a board, commission, or similar administrative body is established and no provision is made for compensation of members, members shall serve without pay, but may receive reimbursement for their actual and necessary expenses.

History. 4618-120, 4618-156: amend. Acts 1962, ch. 106, Art. I, § 10; 1994, ch. 359, § 1, effective July 15, 1994.

Legislative Research Commission Notes.

Acts, 1976, ch. 206, sec. 1, provides: “Appointments of citizen at large members of boards and commissions covered by Acts 1976, ch. 206, shall be made when a vacancy occurs upon the board or commission. The governor may, in cases where he deems necessary, delay making a citizen at large appointment until a second vacancy occurs on the board or commission or a second vacancy occurs in a particular category of membership, but in no case shall he delay beyond a second vacancy the making of such appointments.”

NOTES TO DECISIONS

1.Applicability.

In a declaratory action by unsuccessful nominees from an initial list, KRS 12.070(3) applied to the Governor’s appointment of members of a state university’s board of regents because the phrase “administrative boards and commissions,” while not defined in KRS 12.010 , could be construed pursuant to KRS 446.080 to include governing bodies of state universities. Galloway v. Fletcher, 241 S.W.3d 819, 2007 Ky. App. LEXIS 324 (Ky. Ct. App. 2007).

2.Construction.

In a declaratory action by unsuccessful nominees from an initial list, although KRS 164.005(5)(a), which specifically applied to the appointment of board of regents members, could be interpreted to require the Governor to make such an appointment from the first list of nominees, such a construction would require the first sentence of KRS 12.070(3) to be given no effect; thus, the Governor properly made an appointment from the third list submitted. Galloway v. Fletcher, 241 S.W.3d 819, 2007 Ky. App. LEXIS 324 (Ky. Ct. App. 2007).

Cited in:

Elrod v. Willis, 305 Ky. 225 , 203 S.W.2d 18, 1947 Ky. LEXIS 778 ( Ky. 1947 ).

Opinions of Attorney General.

All of the commissioners of the Kentucky Savings Bond Authority, consisting of three (3) ex officio members appointed under KRS 12.040 and four (4) members appointed by the Governor under this section, are required to file in accordance with the Financial Disclosure Act. OAG 73-726 .

Research References and Practice Aids

Cross-References.

Bonds of employees of boards and commissions, KRS 62.170 .

Eligibility of members of boards and commissions to other office, KRS 61.070 .

Kentucky Bench & Bar.

Lear and Fleenor, Board and Commission Appointments: Executive Power — With Limits, Vol. 72, No. 4, July 2008, Ky. Bench & Bar 23.

12.080. Administrative rules.

The Governor, with the approval of his executive cabinet, may prescribe such general rules for the conduct of the administrative departments as he deems necessary or expedient to give effect to the provisions of law relating to the administrative organization of state agencies. The head of each department may likewise prescribe such rules as he deems expedient for the proper conduct of the work of the department and for making effective the provisions of law, and not inconsistent therewith or with the general rules prescribed by the Governor.

History. 4618-157: amend. Acts 1974, ch. 74, Art. I, § 8.

Legislative Research Commission Notes.

Acts, 1976, ch. 206, § 1, provides: “Appointments of citizen at large members of boards and commissions covered by Acts 1976, ch. 206, shall be made when a vacancy occurs upon the board or commission. The governor may, in cases where he deems necessary, delay making a citizen at large appointment until a second vacancy occurs on the board or commission or a second vacancy occurs in a particular category of membership, but in no case shall he delay beyond a second vacancy the making of such appointments.”

Opinions of Attorney General.

This section, KRS 350.028 and 350.050 provide ample statutory authority authorizing the Department for Natural Resources and Environmental Protection (now Finance and Administration Cabinet) to impose the requirements of 30 C.F.R. part 705, concerning conflicts of interest, on its employees. OAG 78-335 .

12.090. Cooperation between departments.

Subject to rules prescribed by the secretary of the Finance and Administration Cabinet pursuant to law, any agency shall furnish to any other agency such services, labor and materials, as are requisitioned by the head of the other agency, and as its own facilities provide, through the same procedure and subject to the same measures of audit and control as other proposed expense. The expense shall be billed and charged to the agencies served, by transfers between appropriations. Agencies shall, so far as practicable, cooperate with each other in the use of services, quarters and equipment.

History. 4618-158: amend. Acts 1982, ch. 393, § 8, effective July 15, 1982.

Opinions of Attorney General.

The Kentucky Board of Ophthalmic Dispensers is required to furnish a list of all persons licensed by said Board as requested by the president of the Kentucky Board of Optometric Examiners. OAG 76-384 .

Research References and Practice Aids

Cross-References.

Department of Corrections may contract with other departments for employment of prisoners, KRS 197.120 .

Governor’s Cabinet, cooperation of departments with, KRS 147.070 .

Interstate water sanitation control commissions, state agencies to cooperate with, KRS 224.18-715 .

Kentucky Law Journal.

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

Northern Kentucky Law Review.

Ziegler, The Kentucky Open Records Act: A Preliminary Analysis, 7 N. Ky. L. Rev. 7 (1980).

12.100. Determination of conflicts between agencies.

In all cases where questions arise between agencies as to their respective functions, or where agencies issue conflicting orders or make conflicting rules, the Governor with the advice of the Governor’s Executive Cabinet shall determine the questions, and action shall be taken in accordance with such determination.

History. 4618-159: amend. Acts 1974, ch. 74, Art. I, § 9.

NOTES TO DECISIONS

1.Absence of Conflict.

Governor is without authority to transfer property utilization division from Department of Education to Department of Finance (now Finance and Administration Cabinet) in absence of conflict as to respective functions of two (2) agencies or conflicting orders or conflicting rules. Martin v. Chandler, 318 S.W.2d 40, 1958 Ky. LEXIS 125 ( Ky. 1958 ).

In a dispute over the use of a hearing officer from the Kentucky Office of the Attorney General (OAG), KRS 12.100 did not apply because the opinion of the OAG hearing officer was not an opinion of the OAG; rather, it was a quasi-judicial opinion rendered as part of the Commonwealth of Kentucky, Transportation Cabinet, Department of Vehicle Regulation’s administrative hearing process and was an opinion of the Cabinet. The dispute in this case actually involved a conflict between two statutes; therefore, the conflict did not have to be resolved by the Governor’s office. Commonwealth v. Handi-Van, Inc., 358 S.W.3d 504, 2012 Ky. App. LEXIS 13 (Ky. Ct. App. 2012).

Cited in:

Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ); Hancock v. Terry Elkhorn Mining Co., 503 S.W.2d 710, 1973 Ky. LEXIS 42 ( Ky. 1973 ).

12.110. Annual and biennial reports.

  1. The Governor shall prepare and submit to the Legislative Research Commission annual reports of the finances and operations of the state and such other reports as the General Assembly may prescribe or as the Governor may desire. The head of each statutory department shall make to the Governor an annual report and may at any time be required by the Governor to make any special report concerning the work under his charge, with his observations and recommendations thereon and pertinent statistics concerning the work of the department, each of which the Governor shall transmit to the Legislative Research Commission online, with such comments as the Governor may desire to make. All such annual reports shall observe the fiscal year of the state as the reporting year, and shall be published only to the extent ordered in writing by the Governor in accordance with KRS 57.390 .
  2. Agencies shall file all annual and biennial reports required by law to be made by agencies with the Governor, and a copy thereof in the office of the Secretary of State, which shall be preserved as a public record.

History. 3956b-1, 4618-160: amend. Acts 1980, ch. 44, § 2, effective July 15, 1980; 2011, ch. 42, § 2, effective June 8, 2011.

Research References and Practice Aids

Cross-References.

Auditor to report on state fair fund, KRS 247.190 .

Board of Dentistry, report, KRS 313.020 .

Board of Architects, report, KRS 323.210 .

Budget recommendations, KRS Ch. 48.

Secretary of labor, report, KRS 336.160 .

Commissioner of natural resources, report, KRS 351.160 .

Geological survey, reports of, KRS 151.040 .

Governor may employ auditors, KRS 11.070 , 11.090 , 11.100 , 11.110 .

Governor may require information from executive departments and transmit information to General Assembly, Ky. Const., §§ 78, 79.

Governor’s Cabinet, report, KRS 147.090 .

Insurance companies, report on, KRS 299.120 .

Kentucky Horse Racing Authority, report, KRS 230.270 .

Land patents issued, report on, KRS 56.310 .

Printing of reports, KRS 57.011 .

Psychologists, Board of Examiners of, report, KRS 319.030 .

Schools, report on, KRS 156.250.

Treasurer and auditor, reports on accounts of, Ky. Const., § 53; KRS 43.060 .

Workers’ Compensation Board, annual report to Governor, KRS 342.435 .

12.120. Power to swear and examine witnesses.

The head of each administrative department and any representative authorized by him may administer oaths and examine witnesses under oath relative to any matter properly subject to inquiry, hearing or investigation in the conduct of the work of the department.

History. 4618-162.

Research References and Practice Aids

Cross-References.

Auditor may require information under oath, KRS 43.080 .

Department of Labor may issue subpoenas, KRS 336.060 .

Governor’s employees may require information under oath, KRS 11.100 .

Legislative Research Commission may subpoena and swear witnesses, KRS 7.110 .

Transportation Cabinet may subpoena witnesses and administer oaths, KRS 183.032 .

Unemployment Insurance Commission may administer oaths, KRS 341.200 .

12.130. Systematized plan of filing, bookkeeping and accounting.

The Governor shall cause each agency to keep a carefully systematized and well devised plan of filing, bookkeeping and accounting as prescribed by the Finance and Administration Cabinet.

History. 4618-167: amend. Acts 1974, ch. 74, Art. I, § 10.

Research References and Practice Aids

Cross-References.

Governor may have study or survey of state agencies made, KRS 11.080 to 11.110 .

Unified system of accounts for state, KRS 45.305 .

12.140. Records are public; inspection; certified copies. [Repealed.]

Compiler’s Notes.

This section (4618-161) was repealed by Acts 1958, ch. 49, § 35. For the present law see KRS 171.410 to 171.740 .

12.141. Certified mail, use by state in lieu of registered mail. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 52) was repealed by Acts 1980, ch. 114, § 109 effective July 15, 1980.

12.145. Use of certified or registered mail by state agencies — Methods of delivery for correspondence or notifications.

Notwithstanding any other statute to the contrary, an agency of state government shall use certified mail or registered mail only for correspondence or notifications that the Finance and Administration Cabinet determines, by promulgation of administrative regulations under KRS Chapter 13A, warrant the proof of receipt that those methods of delivery provide. Upon the approval of the Finance and Administrative Cabinet’s administrative regulation, an agency of state government may use any method of governmental, commercial, or electronic delivery for any other correspondence or notification.

History. Enact. Acts 1980, ch. 114, § 1, effective July 15, 1980; 2012, ch. 139, § 1, effective July 12, 2012.

12.150. Department defined. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 106, § 1) was repealed by Acts 1944, ch. 7.

12.160. Administrative departments and agencies may employ attorneys; how employed; compensation. [Repealed.]

Compiler’s Notes.

This section (Enact Acts 1942, ch. 106, § 2) was repealed by Acts 1944, ch. 7.

12.170. Powers and duties of attorneys. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 106, § 3) was repealed by Acts 1944, ch. 7.

12.180. Effect on powers and duties of Attorney General. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 106, § 4) was repealed by Acts 1944, ch. 7.

12.190. Reproduction of records or papers by photographic process; use in evidence; destruction of originals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 97, § 1) was repealed by Acts 1958, ch. 49, § 35. For the present law see KRS 171.410 to 171.740 .

12.195. Destruction or disposal of records; Records Control Board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 205, § 1) was repealed by Acts 1958, ch. 49, § 35. For the present law see KRS 171.670 .

12.200. Definition for KRS 12.210 to 12.230.

The term “department” as used in KRS 12.210 to 12.230 shall be construed to mean and to include each and every executive or administrative department, program cabinet, division, office and independent agency as said terms are defined and set forth in KRS Chapter 12, and shall include any administrative department, program cabinet, division, office and independent agency heretofore or hereafter designated as such by the General Assembly.

History. Enact. Acts 1948, ch. 122, § 1; 1974, ch. 74, Art. I, § 11.

NOTES TO DECISIONS

Cited in:

Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

Opinions of Attorney General.

The Kentucky Historical Society constitutes a department of state government. OAG 63-657 .

Research References and Practice Aids

Kentucky Law Journal.

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

12.210. Power of Governor or state department to employ attorneys — Compensation — Employment by more than one department.

  1. The Governor, or any department with the approval of the Governor, may employ and fix the term of employment and the compensation to be paid to an attorney or attorneys for legal services to be performed for the Governor or for such department. An attorney hired for the collection of revenue owed to the state by a resident shall not be hired by personal service contract. The compensation and expenses of any attorney or attorneys employed under the provisions of this section shall be paid out of the appropriations made to such department as other salaries, compensation and expenses are paid, except when the terms of employment provide that the compensation shall be on a contingent basis, and in such event the attorneys may be paid the amount specified out of the moneys recovered by them or out of the general fund. If the Governor approves the employment, the terms of employment shall be duly entered by executive order upon the executive journal in the Office of the Secretary of State.
  2. An attorney may be employed pursuant to the provisions of subsection (1) of this section to render legal services for one (1) or more departments, boards, program cabinets, offices or commissions.

History. Enact. Acts 1948, ch. 122, § 2; 1960, ch. 68, Art. II, § 4; 1974, ch. 74, Art. I, § 12; 1984, ch. 405, § 1, effective July 13, 1984; 2000, ch. 532, § 7, effective July 14, 2000.

NOTES TO DECISIONS

1.Applicability.

KRS 12.020 and this section apply exclusively to expressly specified state level administrative agencies and officers and do not include county boards of education, their members and officers. Hogan v. Glasscock, 324 S.W.2d 815, 1959 Ky. LEXIS 385 ( Ky. 1959 ).

Even though KRS 150.018 (now repealed) exempts the Department of Fish and Wildlife Resources from operation of KRS 12.025 (now repealed), since KRS 150.021 provides that the Department is a department within KRS Chapter 12 and since KRS 150.018 (now repealed) and 150.021 are not inconsistent this section is applicable to the Department. Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

2.Approval of Governor.

Where approval of Governor to employ attorneys by commissioner of Department of Fish and Wildlife Resources in action brought by two discharged employees seeking reinstatement was neither sought nor obtained such attorneys cannot receive compensation out of public funds. Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

3.Acts of Commission and Commissioners.

The commissioner and the members of the Commission of Fish and Wildlife Resources are the chief officers of the Department of Fish and Wildlife Resources and whatever official action they are authorized to and do take with respect to KRS 12.210 and 18.270 (now repealed) becomes the act of the Department. Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

4.Special Counsel.
5.— Authorization.

A writing signed by the Governor, Attorney General and auditor, authorizing an attorney employed by the auditor to prosecute an action to escheat certain property, was sufficient authorization to sustain action, where defendant did not question authority by motion and affidavit. (Decided under prior law) Chesapeake & O. R. Co. v. Commonwealth, 189 Ky. 465 , 225 S.W. 145, 1920 Ky. LEXIS 452 ( Ky. 1920 ).

6.— Employment.

Where special counsel was hired with consent of the Governor to aid the Attorney General it was a condition precedent to the payment of fees to such counsel that they should have been fixed and agreed upon by the Governor and auditor. (Decided under prior law) Ray v. James, 112 S.W. 641 ( Ky. 1908 ).

Special counsel might have been employed in any action, proceeding, prosecution or matter affecting the interest of the state, or to investigate whether suit should have been brought or defense made by the commonwealth. (Decided under prior law) Commonwealth v. Roberta Coal Co., 186 Ky. 394 , 216 S.W. 584, 1919 Ky. LEXIS 227 ( Ky. 1919 ).

The Governor, when requested by the Attorney General, could have employed special counsel in any action, proceeding, prosecution or matter which affected the interest of the Commonwealth. (Decided under prior law) Gordon v. Morrow, 186 Ky. 713 , 218 S.W. 258, 1920 Ky. LEXIS 35 ( Ky. 1920 ); Commonwealth v. Roberta Coal Co., 186 Ky. 394 , 216 S.W. 584, 1919 Ky. LEXIS 227 ( Ky. 1919 ).

As the Secretary is a member of the executive cabinet, he is authorized and required to assist the Governor in his duties; accordingly, the Governor has the authority to order the Secretary to bring a suit to enforce the laws of Kentucky and the Secretary has the right to retain private counsel to assist him in so doing. Stars Interactive Holdings (IOM) Ltd. v. Commonwealth ex rel. Tilley, 2018 Ky. App. LEXIS 321 (Ky. Ct. App. Dec. 21, 2018).

7.— Discharge.

Where special counsel was employed by the Governor at the request of the Attorney General for the purpose of investigating and collecting inheritance taxes due from a particular estate, the Governor or his successor might have discharged the special counsel at any time, subject to their right for compensation, and where the employment was on a contingent basis recovery would have been allowed on the basis of quantum meruit. (Decided under prior law) Gordon v. Morrow, 186 Ky. 713 , 218 S.W. 258, 1920 Ky. LEXIS 35 ( Ky. 1920 ).

Opinions of Attorney General.

Although the terms of the statute indicate that consultation between the Attorney General and the Governor should precede the Governor’s approval of the employment of an attorney and the contract of employment of the attorney is not binding until approved by the Governor, the Governor’s approval and an executive order authorizing the employment would effect a ratification of the contract regardless of the chronological order in which the selection by the department, consultation with the attorney general and approval by the Governor occurred. OAG 63-140 .

If counsel to represent the Commissioner of Fish and Wildlife Resources before the Personnel Board is employed pursuant to KRS 12.210 , and not supplied by the Attorney General, he will be paid from the funds of the Department of Fish and Wildlife Resources. OAG 63-140 .

The Board of Optometric Examiners may, with the concurrence of the departments of personnel and finance, and with the approval of the Governor, employ an attorney to fill the position of attorney for the board. OAG 69-696 .

Where an employee of the Department of Child Welfare (now Cabinet for Health and Family Services) is involved in criminal charges brought as the result of events which occurred while he was carrying out duties for the Department, the Attorney General could not represent the employee in a criminal defense but the Department’s attorney or special counsel, if such appointment is first approved by the Governor or a prior appointment of special counsel is ratified by the Governor, could do so; but in a civil matter the Attorney General, a departmental attorney, or special counsel may represent him if it is determined in the best interest of the Commonwealth. OAG 73-512 .

It is the duty of the Attorney General to represent state officers or departments in litigation in which the Commonwealth has an interest but it does not give a state officer or employee an enforceable right to representation when he is sued individually unless the Attorney General or the legal counsel of the department believes the state has an interest in the litigation. OAG 73-874 .

The contract for the defense of an employee of the state fire marshal’s office was between the Department of Insurance and the attorney and was entered into under the authority of this section with the approval of the Governor and was therefore legal at its inception and could legally be renewed until the purpose of the contract was accomplished; the fact that the Attorney General decided under KRS 12.211 not to undertake the defense was immaterial as to the validity of the contract. OAG 78-687 .

The Kentucky Development Finance Authority (KDFA), in employing legal services, is bound, as are other state agencies, to follow the usual state procedure as is involved in this section and KRS 41.110 , 41.120 , 45.360(3) (now repealed), and 45.705 to 45.720 (now repealed), and if the general assembly should later intend to remove KDFA from such procedures, it would have to do so by spelling it out in clear and unambiguous language. OAG 80-245 .

State university personal service contracts for legal services are subject to the provisions of this section; before consideration for approval of the contract by the Governor, the contract must be presented to the Attorney General for review, and the term of the contract may not exceed the biennium period in which it is executed. OAG 84-255 .

An arrangement made by a fiscal court with attorneys, pursuant to KRS 134.370 (now repealed), for the collection of taxes, does not make it a contract of employment by the state, even though the secretary of revenue approves the employment as relates to state taxes; thus such county contracts of employment would in no way violate the letter or spirit of KRS 45.717 (now repealed) and subsection (1) of this section. OAG 84-259 .

A state university, when procuring the services of an attorney, must comply with this section by first obtaining the approval of the Attorney General and the Governor; if the attorney is hired on a contract basis, as opposed to an employee basis, then the university must comply with the personal service contract procedures set out in KRS 45A.695 . OAG 92-19 .

Research References and Practice Aids

Cross-References.

Employment of attorneys by:

Adjutant general, KRS 37.310 , 38.240 .

Cabinet for Health and Family Services, KRS 210.330 , 212.270 .

Department of Labor, KRS 336.030 .

Department of Revenue, KRS 134.547 .

Governor, KRS 11.070 .

Teachers’ retirement system, KRS 161.370.

Unemployment insurance commission, 341.570 .

Kentucky Law Journal.

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

12.211. Defense of civil action against state employee by Attorney General.

Upon request of an employee or former employee, the Attorney General may provide for the defense of any civil action brought against such employee in his official or individual capacity, or both, on account of an act or omission made in the scope and course of his employment as an employee of the Commonwealth and any of its agencies, except that neither the state, state employee, nor former state employee shall be subject to an action arising from discretionary acts or decisions pertaining to the design or construction of public highways, bridges, or buildings.

History. Enact. Acts 1976, ch. 362, § 1.

Opinions of Attorney General.

The purpose of the State Employees Defense Act, KRS 12.211 to 12.215 , is to assist the Governor in enlisting competent executives for his administration and to provide a means by which an executive sued for some discretionary act may have a legal defense without expending his personal fortune. OAG 76-565 .

The State Employees Defense Act, KRS 12.211 to 12.215 , does not apply where a child was pushed by an unknown child against the radiator located in the restroom of the Children and Youth Clinic located in the University of Louisville School of Medicine since there was no action against a named state employee and the act does not apply to negligent torts but only to discretionary actions or omissions by a state employee. OAG 76-565 .

The term “act or omission” as used in this section is a term of art which implies a voluntary, willing act as contrasted with carelessness and negligence. OAG 76-565 .

Actions for malpractice, such as suits for injury arising from mechanical or ministerial negligence, are not encompassed within the State Employees Defense Act. OAG 78-31 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

Snell, A Plea for a Comprehensive Liability Statute, 74 Ky. L.J. 521 (1985-86).

12.212. Attorney General may decline to defend when certain circumstances exist.

  1. The Attorney General may decline to provide for the defense of a civil action brought against an employee or former employee if he determines that:
    1. The act or omission was not within the scope and course of his employment as a state employee; or
    2. The employee or former employee acted or failed to act because of actual fraud, corruption, or actual malice on his part; or
    3. Defense of the action by the Commonwealth would create a conflict of interest between the Commonwealth and the employee or former employee; or
    4. Defense of the action would not be in the best interests of the Commonwealth.
  2. The Attorney General may delegate his authority to make these determinations to the chief administrative authority of any agency, institution, board, or commission whose employees are to be defended.

History. Enact. Acts 1976, ch. 362, § 2.

Opinions of Attorney General.

Nothing in 10 KAR 1:010 or this section requires the state to provide for the defense of an employee such as a Property Valuation Administrator. OAG 91-231 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

Snell, A Plea for a Comprehensive Liability Statute, 74 Ky. L.J. 521 (1985-86).

12.213. Governor to provide by regulation the methods for defense of state employees.

The Governor shall provide by regulation for the defense of employees or former employees of the Commonwealth pursuant to KRS 12.211 to 12.215 by one (1) or more of the following methods:

  1. By the Attorney General;
  2. By employing other counsel for this purpose as provided for in KRS 12.210 ;
  3. By authorizing the purchase of insurance which requires that the insurer provide or underwrite the cost of the defense; or
  4. By authorizing defense by counsel assigned to or employed by the department, agency, board, commission, bureau, or authority which employed the person requesting the defense.

History. Enact. Acts 1976, ch. 362, § 3; 2000, ch. 532, § 8, effective July 14, 2000.

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

12.214. Judgments to be paid out of general fund — Settlement of claims. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 362, § 4) was repealed by Acts 1978, ch. 15, § 2, effective June 17, 1978.

12.215. Expenses incurred by Attorney General to be paid out of general fund.

The expenses incurred by the Attorney General in defending state employees and former state employees shall not be charged against the regular budget of the Attorney General but shall be paid by the secretary of the Finance and Administration Cabinet from unappropriated general funds surplus in the State Treasury as a necessary governmental expense on vouchers submitted by the Attorney General and approved by the secretary. The expenses to be so paid include but are not limited to the cost of the time spent by salaried attorneys of the Attorney General’s office, contract attorneys, court reporters, and the cost of trial preparation and investigation.

History. Enact. Acts 1976, ch. 362, § 5.

Research References and Practice Aids

Kentucky Law Journal.

Comments, The Employee Defense Act: Wearing Down Sovereign Immunity, 66 Ky. L.J. 150 (1977-78).

12.220. Authority and duties of employed attorneys — Tax collection — Written opinions.

  1. Any attorney or attorneys employed pursuant to the provisions of KRS 12.210 shall have authority to appear as the attorney for and to represent the department in the trial and argument of any cases and proceedings in any and all courts, and before boards, governmental agencies and tribunals in or out of this Commonwealth whenever such department or any officer or employee thereof is a party in interest or the official rights, powers or duties of the department or of any officer or employee thereof are directly or indirectly affected.
  2. Such attorney or attorneys may institute and prosecute any suits, motions, actions and proceedings necessary to cause the assessment of property, the collection of taxes, and the payment of all claims, accounts, demands and judgments of the Commonwealth, for the assessment or collection of which the department may be charged by law, and to take all necessary steps by suit, motion, action or otherwise to collect or cause to be collected and paid into the State Treasury all such claims, demands, accounts and judgments. Any attorney or attorneys so employed shall attend to any litigation and legal business within and without the state, required of him or them by the terms of his or their employment; and also any litigation or legal business that any officer or employee of such department may have in connection with or growing out of his official duties or the official duties of the department; and he or they, upon the written request of any executive or ministerial officer of the department, shall give such department or officer his written opinion as to the duties of such officer and shall prepare proper drafts of all instruments of writing and perform such other legal services pertaining to the functions of the department as may be provided by the terms of employment.

History. Enact. Acts 1948, ch. 122, § 3; 1976 (Ex. Sess.), ch. 14, § 1, effective January 2, 1978.

Research References and Practice Aids

Cross-References.

Employment of attorneys to assess property and collect taxes, KRS 134.547 .

Kentucky Law Journal.

Note, Constitutionality of the Act Permitting State Departments and Agencies to Employ Attorneys, 31 Ky. L.J. 357 (1943).

12.230. Effect as to Attorney General and assistants.

KRS 15.020 shall remain in full force and effect, except to the extent the same is in conflict with KRS 12.200 to 12.220 and except to the extent therein provided nothing in those sections shall be construed, nor is the same intended to affect the tenure or compensation of any assistant attorney general appointed and serving pursuant to law. The Governor or any department may require the advice or services of the Attorney General and the assistant attorneys general in matters relating to the duties or functions of any such office or department.

History. Enact. Acts 1948, ch. 122, § 4; 1968, ch. 152, § 2.

Research References and Practice Aids

Kentucky Law Journal.

Akers, The Advisory Opinion Function of the Attorney General, 38 Ky. L.J. 561 (1950).

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

12.240. Agreements with agencies of other states — Approval — Limit on expenditures.

  1. The Governor is charged with the conduct of the relations of the Commonwealth with other states and governments. He is empowered to approve agreements between departments or agencies of the Commonwealth, and departments or agencies of other states and governments, for the accomplishment of purposes which are authorized by law to be accomplished in this state by the department or agency entering into the agreement.
  2. No agreement authorized by this section shall involve the expenditure of more than $12,000 in any one (1) year by any one (1) department or agency, except in the case of repairs to interstate bridges. Any such expenditure shall be made from funds already budgeted to the department or agency. Nothing in this section shall be construed to limit rights and powers conferred on any department or agency by existing statutes, or by statutes enacted during the 1950 session of the General Assembly.

History. Enact. Acts 1950, ch. 213; 1960, ch. 91.

Research References and Practice Aids

Kentucky Law Journal.

Ferguson, Interstate Agreements, 39 Ky. L.J. 31 (1950).

12.245. Administrative bodies to issue occupational license, permit, or certificate to members of the United States military, Reserves, or National Guard, veterans, and spouses of members and veterans holding similar license, permit, or certificate from other jurisdictions.

  1. An administrative body that issues a license, permit, certificate, or other document required to operate within a business, profession, or other occupation in the Commonwealth shall issue within thirty (30) days of receipt of a completed application a license, permit, certificate, or other document to a member of the United States military, Reserves, or National Guard, or to his or her spouse, or to a veteran or the spouse of a veteran, who is seeking a license, permit, certificate, or other document and currently holds or recently held equivalent documentation issued by another state, the District of Columbia, or any possession or territory of the United States unless:
    1. The license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States has been expired for more than two (2) years;
    2. The license, permit, certificate, or other documentation is not in good standing;
    3. The holder of the license, permit, certificate, or other document has had the license, permit, certificate, or other document suspended for disciplinary reasons; or
    4. The board can show substantive evidence of significant statutory deficiency in the training, education, or experience of the United States military service member, Reserves or National Guard member, veteran, or spouse, which could cause a health or safety risk to the public.
  2. The United States military service member, Reserves or National Guard member, veteran, or spouse shall submit:
    1. Proof of issuance of a valid license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States that is active or has been expired for less than two (2) years;
    2. Proof that the valid license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States is in good standing or was upon the date of expiration; and
    3. His or her DD-214 form or other proof of active or prior military service with an honorable discharge, discharge under honorable conditions, or a general discharge under honorable conditions.
  3. A United States military service member, Reserves or National Guard member, veteran, or spouse who holds a license, permit, certificate, or other document issued by another state, the District of Columbia, or any possession or territory of the United States who applies for a license, permit, certificate, or other document pursuant to subsection (1) of this section and is denied shall have the right to appeal the decision in accordance with KRS Chapter 13B.

HISTORY: 2018 ch. 58, § 1, effective July 14, 2018; 2019 ch. 113, § 1, effective June 27, 2019.

12.250. Program cabinets.

There are established within state government the following program cabinets:

  1. Justice and Public Safety Cabinet.
  2. Education and Workforce Development Cabinet.
  3. Public Protection Cabinet.
  4. Transportation Cabinet.
  5. Cabinet for Economic Development.
  6. Cabinet for Health and Family Services.
  7. Finance and Administration Cabinet.
  8. Tourism, Arts and Heritage Cabinet.
  9. Personnel Cabinet.
  10. Energy and Environment Cabinet.
  11. Labor Cabinet.

History. Enact. Acts 1974, ch. 74, Art. VII, § 1; 1978, ch. 186, § 20, effective March 29, 1978; 1980, ch. 295, § 4, effective July 15, 1980; 1982, ch. 393, § 9, effective July 15, 1982; 1982, ch. 396, § 2, effective July 15, 1982; 1984, ch. 404, § 7, effective July 13, 1984; 1984, ch. 414, § 2, effective July 13, 1984; 1988, ch. 205, § 3, effective July 15, 1988; 1990, ch. 325, § 21, effective July 13, 1990; 1992, ch. 211, § 4, effective July 14, 1992; 1992, ch. 417, § 1, effective July 14, 1992; 1994, ch. 209, § 2, effective July 15, 1994; 1998, ch. 48, § 3, effective July 15, 1998; 1998, ch. 154, § 3, effective July 15, 1998; 1998, ch. 426, § 62, effective July 15, 1998; 2005, ch. 85, § 3, effective June 20, 2005; 2005, ch. 95, § 9, effective June 20, 2005; 2005, ch. 99, § 9, effective June 20, 2005; 2005, ch. 123, § 3, effective June 20, 2005; 2006, ch. 211, § 5, effective July 12, 2006; 2007, ch. 85, § 9, effective June 26, 2007; 2009, ch. 11, § 3, effective June 25, 2009; 2009, ch. 16, § 5, effective June 25, 2009; 2010, ch. 24, § 9, effective July 15, 2010.

NOTES TO DECISIONS

1.Kentucky Parole Board.

U.S. Const., amend. XI barred a prisoner from asserting actionable 42 USCS § 1983 claims against the Commonwealth of Kentucky or the Kentucky Parole Board; the Commonwealth had not waived its immunity with regard to § 1983 claims asserted against it, and its immunity extended to the Board, which was designated by KRS 12.250 as an organizational unit within the Justice and Public Safety Cabinet of the Commonwealth. Even if sovereign immunity did not apply, the prisoner’s 42 USCS § 1983 claims would fail because neither the Commonwealth nor the Board was a “state actor” for § 1983 purposes. Long v. Ky. State Parole Bd., 2005 U.S. Dist. LEXIS 16997 (W.D. Ky. Aug. 12, 2005).

2.Cabinet for Health And Family Services.

Doctrine of sovereign immunity and the Eleventh Amendment barred a mother’s Fourteenth Amendment claims against Kentucky’s Cabinet for Health and Family Services (CHFS) and the Kentucky Department of Community Based Services (DCBS) because CHFS and DCBS were state entities, pursuant to KRS 12.250(6), and DCBS and CHFS had not waived their sovereign immunity. Carpenter v. Kentucky, 2008 U.S. Dist. LEXIS 95343 (E.D. Ky. Nov. 21, 2008).

12.252. Public Protection Cabinet — Organizational structure — Appointment of cabinet secretary.

  1. There is established within the Public Protection Cabinet a Department of Financial Institutions, a Department of Insurance, a Department of Housing, Buildings and Construction, a Department of Charitable Gaming, a Department of Professional Licensing, and a Department of Alcoholic Beverage Control. Each department shall be headed by a commissioner appointed by the Governor as required by KRS 12.040 and, where appropriate, by KRS 238.510 , 241.015 , and 304.2-020 . Commissioners shall be directly responsible to the secretary and shall perform the functions, powers, and duties provided by law and prescribed by the secretary.
  2. The secretary of the Public Protection Cabinet shall be appointed by the Governor in accordance with KRS 12.255 . The Office of the Secretary shall contain the following entities:
    1. The Office of Communications and Public Outreach, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 ;
    2. The Office of Legal Services, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 and 12.210 ;
    3. The Office of Administrative Hearings, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 and 12.210 ; and
    4. The Office of Administrative Services, which shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050.
  3. There is established within the Public Protection Cabinet the Office of Claims and Appeals pursuant to KRS 49.010 .
  4. The Kentucky Horse Racing Commission is attached to the Public Protection Cabinet for administrative purposes only, except as provided in KRS 131.330 .
  5. There is established within the Public Protection Cabinet the Kentucky Boxing and Wrestling Commission, which shall be headed by an executive director appointed by the secretary with the approval of the Governor as required by KRS 12.050 . The executive director shall be directly responsible to the secretary and shall perform the functions, powers, and duties provided by law and prescribed by the secretary.

History. Enact. Acts 2010, ch. 24, § 6, effective July 15, 2010; 2017 ch. 70, § 21, effective June 29, 2017; 2017 ch. 74, § 53, effective June 29, 2017; 2017 ch. 178, § 8, effective June 29, 2017; 2018 ch. 31, § 2, effective July 14, 2018; 2018 ch. 176, § 2, effective July 14, 2018; 2021 ch. 185, § 6, effective June 29, 2021.

NOTES TO UNPUBLISHED DECISIONS

1.Termination.

Public Protection Cabinet's decision to terminate the appointment of the Kentucky Horse Racing Commission's (KHRC) Chief State Steward because the Cabinet had statutory authority to perform administrative functions for the KHRC, which included personnel decisions; the Steward's appointment was null and void from the beginning, and thus, the circuit court could not order his employment to be reinstated. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

2.Administrative Functions.

Kentucky Horse Racing Commission (KHRC) is an administrative body that falls underneath the Public Protection Cabinet and is neither the Personnel Board nor is it headed by a constitutionally elected officer, and thus, none of the Ky. Rev. Stat. Ann. § 12.020 exclusions applies to it; reading Ky Rev. Stat. Ann. §§ 12.020 , 12.252 , and 230.225 in paria materia to harmonize and give each effect, the Cabinet may perform administrative functions for the KHRC, and they may include personnel decisions. Commonwealth v. Veitch, 2016 Ky. App. Unpub. LEXIS 881 (Ky. Ct. App. July 15, 2016), review denied, ordered not published, 2017 Ky. LEXIS 34 (Ky. Feb. 9, 2017).

12.255. Office of secretary for each program cabinet established.

There is hereby established the office of secretary for each of the program cabinets listed in KRS 12.250 . Each of these program cabinets shall be headed by a secretary appointed by the Governor, each secretary shall be chairman of the related cabinet, and each secretary shall be bonded as required by KRS 62.160 .

History. Enact. Acts 1974, ch. 74, Art. VII, § 2; 1982, ch. 393, § 10, effective July 15, 1982; 1982, ch. 396, § 3, effective July 15, 1982; 1992, ch. 13, § 1, effective July 14, 1992.

12.260. Deputy secretaries in offices of secretary for public protection, for energy and environment, and for labor.

  1. There is hereby established in the Office of the Secretary of the Public Protection Cabinet a deputy secretary, appointed by the secretary pursuant to KRS 12.050 , who shall be responsible for and engaged in operations of the cabinet and any other duties as assigned by the secretary and, in the absence of the secretary, have authority over cabinet affairs.
  2. There is hereby established in the Office of the Secretary of the Energy and Environment Cabinet a deputy secretary, appointed by the secretary pursuant to KRS 12.050 , who shall be responsible for and engaged in operations of the cabinet and any other duties as assigned by the secretary and, in the absence of the secretary, have authority over cabinet affairs.
  3. There is hereby established in the Office of the Secretary of the Labor Cabinet a deputy secretary, appointed by the secretary pursuant to KRS 12.050 , who shall be responsible for and engaged in operations of the cabinet and any other duties as assigned by the secretary and, in the absence of the secretary, have authority over cabinet affairs.

History. Enact. Acts 1974, ch. 74, Art. VII, § 3; 1978, ch. 155, § 4, effective June 17, 1978; 1992, ch. 13, § 2, effective July 14, 1992; 2010, ch. 24, § 10, effective July 15, 2010.

12.265. Composition of cabinets.

The cabinets established in KRS 12.250 shall be composed of departments, boards and commissions as set forth in KRS 12.020 .

History. Enact. Acts 1974, ch. 74, Art. VII, § 4; 1976, ch. 299, § 3; 1978, ch. 155, § 5; 1978, ch. 186, § 21; 1980, ch. 141, § 8, effective July 15, 1980; 1980, ch. 295, § 5, effective July 15, 1980; 1982, ch. 393, § 11, effective July 15, 1982; 1982, ch. 447, § 14, effective April 12, 1982.

Legislative Research Commission Notes.

(1982). This section was amended by two 1982 Acts which do not appear to be in conflict and have been compiled together.

Opinions of Attorney General.

In order to promote greater economy, efficiency and improved administration, the Governor may, by an executive order clearly designating the order as being one relating to reorganization, merge the energy regulatory commission and the utility regulatory commission into one commission. OAG 80-567 .

The owner of interests in thoroughbred horses can hold an owner’s license to race those horses at Kentucky racetracks and at the same time serve as the Secretary of the Cabinet for Public Protection and Regulation, since the state racing commission as a component of the Cabinet pursuant to this section, is an independent agency of the state government which consists of members appointed by the Governor, but does not include the Secretary; accordingly, there would be no conflict of interest. OAG 81-385 .

There would be no conflict of interest where the Secretary of the Cabinet for Public Protection and Regulation, created under this section, also owned interests in buildings covered by various state codes generally supervised by the Department of Housing, Buildings and Construction under KRS 198B.030 or the Board of Housing, Buildings and Construction under KRS 198B.020 . OAG 81-385 .

12.267. Office of developmental planning in department for local government. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 155, § 6, effective June 17, 1978; 1980, ch. 295, § 6, effective July 15, 1980) was repealed by Acts 1982, ch. 396, § 58, effective July 15, 1982.

12.270. Cabinet secretaries — Authority, powers, and duties.

  1. The secretary of each cabinet shall:
    1. Be a member of the Governor’s Cabinet and shall serve as the Governor’s liaison in carrying out the responsibilities for overall direction and coordination of the departments, boards, and commissions included in the related cabinet;
    2. Recommend to the Governor desired reorganization affecting the related cabinet;
    3. Advise the Governor on executive actions, legislative matters, and other steps that may be desirable for better program service;
    4. Evaluate and pass upon all budget requests originated by the departments, boards, and commissions within the related cabinet;
    5. Advise the Governor on the appointment of commissioners and heads of units included in the related cabinet, except for those whose election or selection is otherwise provided for by law.
  2. Each secretary is authorized to accept and expend funds from any source, whether public or private, in support of the duties and responsibilities of the related cabinet.
  3. Each secretary shall have any and all necessary power and authority, subject to appropriate provisions of the statutes, to create such positions and to employ the necessary personnel in such positions to enable the secretary to perform the functions of his office.
  4. Each secretary shall have exclusive control and direction over the administration of the related cabinet programs as required by law.

History. Enact. Acts 1974, ch. 74, Art. VII, § 5; 1992, ch. 13, § 3, effective July 14, 1992.

Opinions of Attorney General.

The authority of a Cabinet Secretary “to accept and expend funds from any source, whether public or private, in support of the duties and responsibilities of the related cabinet” under KRS 12.270(2), is subject to Ky. Const., § 173 and KRS 61.190 (now repealed). OAG 81-385 .

While this section gives a state cabinet secretary “the responsibilities for overall direction and coordination of the departments, boards and commissions included in the related cabinet,” it in no respect makes the secretary, as such, a member of the departments, boards or commissions he heads, nor does it give the secretary voting authority or direct decision-making power over matters to come before such administrative bodies; accordingly, an individual who is a principal shareholder in a Kentucky national bank, who holds interests in restaurants licenses to sell alcoholic beverages, who holds interests in buildings subject to state codes, and who holds a thoroughbred owner’s license for state race tracks, may be appointed and serve as the Secretary of the Cabinet for public protection and regulation, even though administrative entities within that department regulate those activities. OAG 81-385 .

12.275. Judicial advisory council established. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VIII, G, § 1) was repealed by Acts 1980, ch. 295, § 95, effective July 15, 1980.

12.280. Spindletop foundation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VIII, K, § 1; 1978, ch. 155, § 104, effective June 17, 1978) was repealed by Acts 1982, ch. 393, § 51, effective July 15, 1982.

Legislative Research Commission Notes.

This section was amended by 1982 Acts Chapter 396, Section 4 and repealed by 1982 Acts Chapter 393, Section 51. Pursuant to KRS 446.260 , the repeal prevails.

12.290. Accessibility of state government services to deaf or hard-of-hearing persons.

Each department, program cabinet, and administrative body of state government shall promulgate administrative regulations to provide accessibility to all services by persons who are deaf or hard-of-hearing in compliance with federal mandates including 29 U.S.C. sec. 794 , a part of the Rehabilitation Act of 1973, and 42 U.S.C. secs. 12101 et seq., a part of the Americans With Disabilities Act of 1990. The administrative regulations shall require that interpreter services be provided to persons who are deaf or hard-of-hearing, if those persons make a timely request for the services.

History. Enact. Acts 1992, ch. 31, § 1, effective July 14, 1992.

12.295. KRS chapters governing organizational units and administrative bodies.

The following organizational units and administrative bodies shall be governed by their respective substantive chapters as set out below:

  1. Board of Directors for the Center for School Safety under KRS Chapter 158;
  2. Council on Postsecondary Education under KRS Chapter 164;
  3. Department of Education under KRS Chapters 156, 157, 158, 161, 163, and 167;
  4. Education Professional Standards Board under KRS Chapter 161;
  5. Kentucky Board of Education under KRS Chapters 156 and 157;
  6. Kentucky Commission on Deaf and Hard of Hearing under KRS Chapter 163; and
  7. Kentucky Educational Television under KRS Chapter 168.

History. Enact. Acts 2006, ch. 211, § 169, effective July 12, 2006.

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Beshear v. Bevin, 575 S.W.3d 673, 2019 Ky. LEXIS 214 ( Ky. 2019 ).

Substance Abuse Prevention

12.330. Kentucky Agency for Substance Abuse Policy (KY-ASAP) — Organization — Purpose — Members of KY-ASAP Board — Duties of board. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 536, § 25; 2005, ch. 99, § 10) was repealed, reenacted and amended as KRS 15A.340 by Acts 2007, ch. 85, § 10, effective June 26, 2007.

12.332. Duties of KY-ASAP — Authority for administrative regulations — Reports. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 536, § 26; 2005, ch. 99, § 11; 2006, ch. 211, § 6) was repealed and reenacted as KRS 15A.342 by Acts 2007, ch. 85, § 11, effective June 26, 2007.

12.334. County tobacco addiction and alcohol and substance abuse advisory and coordination boards — Role of KY-ASAP — Local long-term community strategy. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 536, § 27; 2005, ch. 99, § 75) was repealed and reenacted as KRS 15A.344 by Acts 2007, ch. 85, § 12, effective June 26, 2007.

12.350. Office of Child Abuse and Domestic Violence Services. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 239, § 1, effective July 15, 1998) was repealed, reenacted and amended as KRS 194A.092 (now repealed) by Acts ch. 99, § 12, effective June 20, 2005.

12.354. Issuance of state professional license or certification to military service member or veteran — Qualification — Guidelines — Limitations.

  1. As used in this section, “administrative body” has the same meaning as in KRS 12.010 .
  2. Each administrative body that issues a license, permit, certificate, or other document that is required to operate within any business, profession, or occupation in the Commonwealth may issue a license, permit, certificate, or other document, or a temporary license, permit, certificate, or other document to a United States military service member or veteran who is seeking a license, permit, certificate, or other document under this section and has:
    1. Separated from the military with an honorable discharge, discharge under honorable conditions, or a general discharge under honorable conditions within two (2) years preceding the date of applying for the license, permit, certificate, or other document;
    2. Received training, education, or experience during active, National Guard, or federal reserve military service to the extent that such training, education, or experience satisfies the requirements established by law and administrative regulations of the respective board for the issuance of any license, permit, certificate, or other document, however styled or denominated, required for the practice of any business, profession, or occupation in the Commonwealth; and
    3. Submitted his or her DD214 form or other proof of satisfactory completion of military training to the administrative body as part of the license or certificate application.
  3. Nothing in subsection (2) of this section shall require an administrative body to issue a license, permit, certificate, or other document if the administrative body determines that the military training or experience does not meet the requirements established by the administrative body for the issuance of a license, permit, certificate, or other document to operate within a business, profession, or occupation in the Commonwealth.
  4. Administrative bodies that receive multiple requests under this section are directed to publish clear guidelines to clarify requirements. These guidelines may be published electronically, in print, or by the promulgation of administrative regulations.
  5. Military training and experience submitted under subsection (2) of this section shall not be used as a substitute or in lieu of:
    1. A postsecondary school degree when a degree is a prerequisite for a license, permit, certificate, or other document; or
    2. A specified examination when passage of an examination is a prerequisite for a license, permit, certificate, or other document.

HISTORY: 2017 ch. 60, § 1, effective June 28, 2017.

Licensure and Certification of Active Duty Military and Spouses

12.355. Renewal of professional license or certification held by active duty member of Armed Forces.

  1. Notwithstanding any other statute to the contrary, any member of the Armed Forces of the United States on active duty who, at the time of activation, was:
    1. A member in good standing with any administrative body of the state; and
    2. Duly licensed or certified to engage in his or her profession or vocation in the Commonwealth;

      shall be kept in good standing by the administrative body with which he or she is licensed or certified.

  2. While a licensee or certificate holder is an active duty member of the Armed Forces of the United States, the license or certificate referenced in subsection (1) of this section shall be renewed without:
    1. The payment of dues or fees;
    2. Obtaining continuing education credits when:
      1. Circumstances associated with military duty prevent obtaining training and a waiver request has been submitted to the appropriate administrative body; or
      2. The active duty military member performs the licensed or certified occupation as part of his or her military duties as annotated in Defense Department form 214 (DD 214); or
    3. Performing any other act typically required for the renewal of the license or certificate.
  3. The license or certificate issued under this section shall be continued as long as the licensee or certificate holder is a member of the Armed Forces of the United States on active duty and for a period of at least six (6) months after discharge from active duty.

History. Enact. Acts 2011, ch. 101, § 2, effective June 8, 2011.

12.357. Issuance of temporary or regular license or certificate to spouse of active duty member of Armed Forces.

  1. Notwithstanding any other statute to the contrary, an administrative body shall issue a temporary or regular license or certificate within thirty (30) days to the spouse of an active duty member of the Armed Forces of the United States if the spouse of the active duty member meets the statutory requirements of the administrative body and applies to the administrative body in a format promulgated in administrative regulation by the administrative body.
  2. An application for temporary or regular licensure of the spouse of an active duty member of the Armed Forces of the United States shall include but not be limited to the following:
    1. Proof that the applicant is married to an active duty member of the Armed Forces of the United States;
    2. Proof that the applicant holds a valid license or certificate for the profession issued by another state, the District of Columbia, or any possession or territory of the United States;
    3. Proof that the applicant’s spouse is assigned to a duty station in this state and that the applicant is also assigned to a duty station in this state pursuant to the spouse’s official active duty military orders; and
    4. An application fee to be established by the administrative body in an amount that is no more than is necessary to offset the cost of issuing the temporary or regular license.
  3. A temporary license issued pursuant to this section shall expire six (6) months after the date of issuance and is not renewable.

History. Enact. Acts 2011, ch. 101, § 3, effective June 8, 2011.

Early Childhood Education and Development

12.400. Legislative intent — Office of early childhood education and development established — Functions — Special assistant. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 385, § 1) was repealed by Acts 1990, ch. 476, Pt. VI, § 16, effective July 13, 1990.

12.401. Office of Early Childhood Development. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 461, § 1, effective July 14, 2000) was repealed by Acts 2006, ch. 211, § 170, effective July 12, 2006.

12.410. Governor’s interagency council on early childhood education and development established — Functions — Members. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 385, § 2) was repealed by Acts 1990, ch. 476, Pt. VI, § 16, effective July 13, 1990.

12.420. Interagency advisory committee established — Members — Meetings — Operating expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 385, § 3) was repealed by Acts 1990, ch. 476, Pt. VI, § 16, effective July 13, 1990.

Persons with Disabilities

12.450. Definition of “disability” for KRS 12.450 to 12.465.

As used in KRS 12.450 to 12.465 , unless the context requires otherwise:

  1. “Disability” means, with respect to an individual:
    1. A physical or mental impairment that substantially limits one (1) or more of the major life activities of the individual;
    2. A record of such an impairment; or
    3. Being regarded as having such an impairment.
  2. Persons with current or past controlled substance abuse or alcohol abuse problems and persons excluded from coverage by the Americans with Disabilities Act of 1990 (Pub. L. No. 101-336) shall be excluded from the definition set out in subsection (1) of this section.

History. Enact. Acts 1996, ch. 336, § 1, effective July 15, 1996.

Compiler’s Notes.

The Americans with Disabilities Act of 1990 (Pub. L. No. 101-336), referred to in subsection (2), may be found as 42 USCS § 12101 et seq.

Section 8 of Acts 1996, ch. 336, read:

“This Act may be cited as the Kentucky Persons With Disabilities on State Agency Boards Act.”

Research References and Practice Aids

Northern Kentucky Law Review.

ADA Amendments Issue: Article: The Positive Impact of the Convention on the Rights of Persons with Disabilities: A Case Study on the South Pacific and Lessons From the U.S. Experience, 37 N. Ky. L. Rev. 363 (2010).

12.455. Legislative findings.

  1. The General Assembly recognizes that many persons with disabilities and their families receive some level of support and services that are funded or administered by state agencies. The support and services are provided to persons with disabilities or their families, if appropriate, either directly or through arrangements with local community-based vendors, organizations, or agencies.
  2. The General Assembly recognizes that persons with disabilities who receive the services and support, directly or indirectly, are often not consulted for their perspectives, nor are their viewpoints sought regarding the efficiency, strengths, or weaknesses of the services and support.
  3. Persons with disabilities and their families face obstacles in the court system through lack of understanding and difficulty of access.
  4. Various agencies in state government promulgate standards that govern the administration or operation of the services and support. Seldom are persons with disabilities or their families involved in the development of standards that directly affect the quality of the services and support that they receive. In addition, there are legislative commissions that serve in an advisory capacity concerning the services provided to persons with disabilities and their families, whose membership does not include persons with disabilities and their families.
  5. It is the finding of the General Assembly that:
    1. Some forms of discrimination against persons with disabilities continue. These persons are a discrete minority who have been faced with restrictions and limitations, subjected to a history of purposeful unequal treatment, and relegated to a position of political powerlessness in our society;
    2. Persons with disabilities and their families have a significant contribution to make in the decision-making processes that shape the support and services they receive through state government;
    3. Persons with disabilities and their families should be provided with meaningful opportunities to contribute their perspectives through their experiences concerning issues relating to services, support, and standards that ultimately affect them;
    4. Services and support should be responsive and sensitive to the cultural, racial, age, language, and gender characteristics of persons with disabilities and their families; and
    5. Meaningful opportunities to contribute their perspectives will help provide adequate information in a manner that facilitates and allows for participation by persons with disabilities and their families.

History. Enact. Acts 1996, ch. 336, § 2, effective July 15, 1996.

12.460. Persons with disabilities or members of their families to be included in membership of boards and committees affecting them — Prohibition against discrimination.

To ensure opportunities for participation by persons with disabilities and their families in the development of policies, support, and services that affect them:

  1. Persons with one (1) or more disabilities, or members of their families, who receive the services and support of an advisory board, committee, commission, task force, or ad hoc committee of any executive cabinet or any of its subdivisions shall be included in the membership of each of these advisory boards, committees, commissions, task forces, or ad hoc committees.
  2. Persons with one (1) or more disabilities, or members of their families, shall be included in the membership of local community-based agency governing boards that receive funds directly or indirectly from any executive cabinet or any of its subdivisions to provide services and support to persons with disabilities and their families.
  3. Persons with one (1) or more disabilities, or members of their families, shall be included in the membership of any advisory committee, board, or commission funded or administered by any executive cabinet or any of its subdivisions whose purpose is to establish criteria for services and support for persons with disabilities, or to develop standards that govern these services and support.
  4. Persons with one (1) or more disabilities shall not be discriminated against and shall be given an equal opportunity for membership on any other advisory board, committee, commission, task force, or ad hoc committee consistent with and to the extent required by the Federal Americans with Disabilities Act;
  5. The requirements of this section and KRS 12.465 shall only apply to an advisory board, committee, commission, task force, or ad hoc committee that is created specifically to develop or oversee policies or programs related to persons living with a disability or their families, except that the provisions of subsection (4) of this section shall apply.

History. Enact. Acts 1996, ch. 336, § 3, effective July 15, 1996; 2001, ch. 164, § 13, effective June 21, 2001.

Compiler’s Notes.

The Federal Americans with Disabilities Act referred to in subsection (4), may be found as 42 USCS § 12101 et seq.

12.461. Employment in state agency decision-making positions and participation in programs consistent with the Federal Americans with Disabilities Act — Disability awareness program.

To ensure that Kentuckians with disabilities and their families enjoy full partnership in all programs, services, and activities throughout the Commonwealth:

  1. Consistent with this subsection, consideration shall be given to persons with one (1) or more disabilities for employment in decision-making positions in every program, cabinet, department, and agency of state government. Persons with one (1) or more disabilities shall not be discriminated against and shall be given an equal opportunity to be employed in decision-making positions in every program, cabinet, department, and agency of state government consistent with and to the extent required by the Federal Americans with Disabilities Act;
  2. Individuals with disabilities shall be given equal opportunity to participate in the programs, services, and activities of state government consistent with and to the extent required by the Federal Americans with Disabilities Act;
  3. If not already a part of staff development training for state government, a program shall be developed within the Personnel Cabinet containing a disability awareness component;
  4. Consistent with this subsection, consideration shall be given to persons with one (1) or more disabilities for employment in decision-making positions in any community-based agency that receives funds from any executive cabinet or any of its subdivisions. Persons with one (1) or more disabilities shall not be discriminated against and shall be given an equal opportunity to be employed in decision-making positions in any community-based agency that receives funds from any executive cabinet or any of its subdivisions consistent with and to the extent required by the Federal Americans with Disabilities Act;
  5. If program evaluation criteria is utilized by any community-based agency that receives funds from any executive cabinet or any of its subdivisions for its programs, services, and activities, the criteria may include in the measures of performance, the number of individuals served by the program, service, or activity;
  6. Individuals with disabilities shall be given equal opportunity to participate in the programs, services, and activities of community-based agencies that receive funds from any executive cabinet or any of its subdivisions consistent with and to the extent required by the Federal Americans with Disabilities Act;
  7. If a community-based agency that receives funds from any executive cabinet or any of its subdivisions engages in staff development and training, that community-based agency shall include a program with a disability awareness component;
  8. If a community-based agency that receives funds from any executive cabinet or any of its subdivisions utilizes program evaluation criteria, those criteria may include in any measures of performance, the number of individuals served by the program, service, or activity.

History. Enact. Acts 2001, ch. 164, § 12, effective June 21, 2001.

Compiler’s Notes.

The Federal Americans with Disabilities Act referred to in subsection (4), may be found as 42 USCS § 12101 et seq.

12.465. Board and committee positions affected.

  1. The requirements of KRS 12.450 to 12.465 shall affect all boards, committees, commissions, task forces, or ad hoc committees created on or after June 21, 2001.
  2. For boards, committees, commissions, task forces, or ad hoc committees in existence prior to June 21, 2001, any vacancy arising on or after June 21, 2001, shall be filled pursuant to KRS 12.460 .

History. Enact. Acts 1996, ch. 336, § 4, effective July 15, 1996; 2001, ch. 164, § 14, effective June 21, 2001.

Faith-Based Initiatives

12.500. Definitions for KRS 12.500 to 12.520.

As used in KRS 12.500 to 12.520 , unless the context otherwise requires:

  1. “Government funding” means financial assistance received by nongovernment entities in the form of federal, state, or local government grants, loans, loan guarantees, property, cooperative agreements, food commodities, direct appropriations, or other assistance. “Government funding” does not include tax credits, deductions, or exemptions.
  2. “Social service program” means a program administered by the federal, state, or local government using government funding to provide social services directed at reducing poverty, improving opportunities for low-income adults or children, self-sufficiency, rehabilitation, or other services directed toward vulnerable citizens. “Social service program” includes but is not limited to:
    1. Adult or child day care;
    2. Adult or child protective services, foster care, or adoption, including programs relating to domestic violence;
    3. Services for adults or children with special needs or disabilities;
    4. Job training and related services, and employment services;
    5. Transportation services;
    6. Food or meal preparation or delivery services relating to soup kitchens or food banks;
    7. Substance use disorder prevention and treatment;
    8. Health support services;
    9. Literacy and educational services, including adult education services;
    10. Crime prevention services and assistance to the victims and family members of criminal offenders; and
    11. Services for housing assistance as provided under local, state, and federal law.

History. Enact. Acts 2005, ch. 137, § 1, effective March 18, 2005; 2019 ch. 128, § 1, effective June 27, 2019.

12.505. Legislative findings for KRS 12.500 to 12.520.

The General Assembly finds and declares that:

  1. Faith-based and community nonprofit organizations are indispensable in meeting the needs of our poor and disadvantaged citizens, and by embracing and partnering with these organizations, the capacity of government to respond to its citizens is strengthened;
  2. Faith-based and community nonprofit organizations should have full opportunity to participate in federal and state government funding for services directed at reducing poverty, improving the lives of low-income and vulnerable adults and children, self-sufficiency, and rehabilitation;
  3. It is necessary to ensure that:
    1. The rights and protections granted by the United States Constitution, the Constitution of Kentucky, and all amendments thereto are respected and preserved by all entities that receive government funding;
    2. Faith-based and community nonprofit organizations have equal opportunity to seek government funding for social service programs and that these social service programs remain separate from other inherently religious activities, including but not limited to worship, religious instruction, and proselytization;
    3. Faith-based and community nonprofit organizations do not discriminate against beneficiaries or potential beneficiaries of government-funded social service programs on any basis prohibited by law, including but not limited to discrimination based on religion, religious practices, or beliefs; and
    4. Faith-based and community nonprofit organizations have the capacity to effectively and efficiently manage government funds for social service programs, to perform program and service evaluations, and to report outcomes similar to any entity that receives government funding; and
  4. Communication, coordination, and technical assistance at the highest level of state government is needed to enhance the opportunities for faith-based and community nonprofit organizations to provide needed social services to our citizens.

History. Enact. Acts 2005, ch. 137, § 2, effective March 18, 2005.

12.510. Office for Faith-Based and Community Nonprofit Social Services established — Mission — Principles — Duties.

  1. The Office for Faith-Based and Community Nonprofit Social Services is established in the Office of the Governor. The office shall be administered by a staff person designated by the Governor and shall have sufficient staff as required to implement the provisions of KRS 12.500 to 12.520 .
  2. The office shall have primary responsibility to establish policies, priorities, and practices in the executive branch to enable and expand social service programs of faith-based and community nonprofit organizations to the extent permitted by law.
  3. The office and all state government agencies that administer social service programs supported by government funding shall adhere to the following principles:
    1. Government funding for social service programs shall be distributed in the most effective and efficient manner possible;
    2. No organization shall be discriminated against on the basis of religion, religious practices, or beliefs in the administration or distribution of government funding for social service programs;
    3. No faith-based or community nonprofit organization providing social service programs in whole or in part with government funding shall discriminate against beneficiaries or potential beneficiaries on the basis of religion, religious practices, beliefs, or refusal to hold a religious belief or to participate in a religious practice, or as otherwise provided by law;
    4. All programs involving government funding to faith-based and nonprofit community organizations for social service programs shall be implemented in accordance with the United States Constitution, the Constitution of Kentucky, and all amendments thereto. Organizations that engage in religious worship, religious instruction, and proselytization that receive government funding for social service programs shall offer those social service programs separately in time and location, and participation in such religious activities by any beneficiary or potential beneficiary of a government-funded social service program shall be strictly voluntary;
    5. Faith-based and nonprofit community organizations that receive government funding may retain their autonomy, expression, or religious character and may continue practicing or expressing religious beliefs. Organizations may use existing facilities, in accordance with paragraph (d) of this subsection, without removing or altering religious icons, art, scripture, or symbols and may retain religious terms in its name and other documents governing the organization. Government funding shall not be used to support inherently religious activities, including but not limited to worship, religious instruction, and proselytizing; and
    6. Faith-based and nonprofit community organizations that receive government funding for social service programs shall comply with the same requirements as any other entity that receives government funding for social service programs is subject to, including but not limited to timely progress and final reports, audits, inspection of premises, recordkeeping and accounting practices, program evaluation, and outcome studies.
  4. The office shall:
    1. Develop and implement policies affecting faith-based and community nonprofit organizations to increase the capacity of those organizations to provide social services through executive action, legislative proposals, administrative regulations, and government and private funding;
    2. Review and coordinate policies affecting the opportunities for government funding for social service programs by faith-based and other community nonprofit organizations throughout all related agencies of state government;
    3. Implement and coordinate public education activities to increase faith-based and community nonprofit social service program initiatives through volunteerism, special projects, pilot or demonstration projects, and public-private partnerships;
    4. Encourage private charitable giving to support faith-based and community nonprofit organizations and social service programs;
    5. Provide information and legal education to state and local public officials and policymakers to improve opportunities for government funding for social service programs by faith-based and community nonprofit organizations;
    6. Provide education, training, and technical assistance to increase the capacity and expertise of faith-based and community nonprofit organizations to effectively manage government-funded social service programs; and
    7. Provide training and technical assistance to enable faith-based and community nonprofit organizations to conduct program evaluation and outcome studies on social services provided with government funding.

History. Enact. Acts 2005, ch. 137, § 3, effective June 20, 2005.

12.515. Agency liaisons — Duties.

  1. The following agencies shall designate a liaison to the Office for Faith-Based and Community Nonprofit Social Services:
    1. The Cabinet for Health and Family Services;
    2. The Department of Workforce Investment;
    3. The Education and Workforce Development Cabinet;
    4. The Department of Agriculture;
    5. The Kentucky Housing Corporation;
    6. The Labor Cabinet; and
    7. The Economic Development Cabinet.
  2. Each agency identified in subsection (1) of this section shall, in cooperation and coordination with the Office for Faith-Based and Community Nonprofit Social Services:
    1. Review and evaluate existing policies that affect government funding opportunities for faith-based and nonprofit community organizations and report to the office, within ninety (90) days of June 20, 2005, actions necessary to implement KRS 12.510 ; and
    2. Amend existing policies and administrative regulations or implement new policies or administrative regulations in accordance with KRS Chapter 13A consistent with the principles established in KRS 12.500 to 12.520 .

History. Enact. Acts 2005, ch. 137, § 4, effective June 20, 2005; 2006, ch. 211, § 7, effective July 12, 2006; 2009, ch. 11, § 4, effective June 25, 2009; 2010, ch. 24, § 11, effective July 15, 2010.

12.520. Construction of KRS 12.500 to 12.520.

  1. Nothing in KRS 12.500 to 12.520 shall be construed to be contrary to state or federal law concerning government funding for faith-based or nonprofit community organizations.
  2. Nothing in KRS 12.500 to 12.520 shall be construed to establish a preference for faith-based or nonprofit organizations in soliciting, evaluating proposals for, or awarding of government contracts, grants, loans, or other funds.

History. Enact. Acts 2005, ch. 137, § 5, effective June 20, 2005.

Wellness and Physical Activity

12.550. Governor’s Council on Wellness and Physical Activity — Membership — Powers and duties — Reports.

  1. The Governor’s Council on Wellness and Physical Activity is hereby established and authorized to operate the Governor’s Wellness and Physical Activity Program, Inc. for the purpose of establishing and implementing a health, wellness, and fitness program for Kentucky and to promote a healthy lifestyle for all citizens of the Commonwealth. The Governor’s Council on Wellness and Physical Activity shall be attached to the Department for Public Health for administrative purposes.
    1. The ex officio members of the Governor’s Council on Wellness and Physical Activity shall be as follows:
      1. The Governor or the Governor’s designee from the executive cabinet;
      2. The secretary of the Cabinet for Health and Family Services or designee;
      3. The secretary of the Personnel Cabinet or designee;
      4. The secretary of the Education and Workforce Development Cabinet;
      5. The Senate co-chair of the Interim Joint Committee on Health and Welfare of the General Assembly; and
      6. The House co-chair of the Interim Joint Committee on Health and Welfare of the General Assembly.
    2. In addition to the ex officio members, the Governor shall appoint five (5) council members to serve three (3) year terms on the Governor’s Council on Wellness and Physical Activity. Members appointed by the Governor may be reappointed by the Governor to serve successive terms. In making appointments, the Governor shall attempt to include individuals from different geographic regions of the Commonwealth of Kentucky. The Governor shall make appointments to fill vacancies as they occur. Each appointment after the initial appointment shall be for a three (3) year term unless the appointment is to fill the unexpired portion of a term.
    3. The Governor or, if so designated by the Governor, the chairman of the council shall have the authority to hire, fire, and manage all personnel of the Governor’s Wellness and Physical Activity Program, Inc., including the executive director.
    4. The council shall administer funds appropriated or gifts, donations, or funds received from any source. The council may expend funds in its discretion to carry out the intent of KRS 12.020 , 12.023 , and 12.550 .
    5. The council shall closely coordinate with the Department for Public Health to establish policies and procedures.
    6. The council shall select from its membership a chairman and any other officers it considers essential. The council may have committees and subcommittees as determined by the council.
    7. The council shall make recommendations to the Governor and secretary of the Cabinet for Health and Family Services.
    8. The council shall meet quarterly or more often as necessary for the conduct of its business. A majority of the members shall constitute a quorum for the transaction of business. Members’ designees shall have voting privileges at committee meetings.
    9. Members of the council shall serve without compensation but shall be reimbursed for their necessary travel expenses actually incurred in the discharge of their duties on the council, subject to Finance and Administration Cabinet administrative regulations.
    10. The council may establish working groups as necessary.
    11. The council shall establish the Governor’s Wellness and Physical Activity Program, Inc. pursuant to the requirements in KRS 12.020 , 12.023 , and 12.550 .
  2. Funds appropriated for purposes of the program shall not lapse at the end of the fiscal year.
    1. The Governor’s Wellness and Physical Activity Program, Inc. shall follow standard accounting practices and shall submit the following financial reports to the Office of the Governor, the Finance and Administration Cabinet, and the Legislative Research Commission: (3) (a) The Governor’s Wellness and Physical Activity Program, Inc. shall follow standard accounting practices and shall submit the following financial reports to the Office of the Governor, the Finance and Administration Cabinet, and the Legislative Research Commission:
      1. Quarterly reports of expenditures of state funds, submitted on or before the thirtieth day after the end of each quarter in the corporation’s fiscal year;
      2. Annual reports of receipts and expenditures for the Governor’s Wellness and Physical Activity Program, Inc., submitted on or before the sixtieth day after the end of the fiscal year of the corporation; and
      3. The report of an annual financial audit conducted by an independent auditor, submitted on or before September 1 of each year.
    2. The Governor’s Wellness and Physical Activity Program, Inc. shall file quarterly reports with the Office of the Governor and the Legislative Research Commission. The report shall include a detail of the operations of the program for the preceding year. The report shall include information concerning the participant demographics, number of incentives distributed, and program outcomes according to such measures of success as the board may adopt.

History. Enact. Acts 2006, ch. 172, § 1, effective July 12, 2006; 2009, ch. 11, § 5, effective June 25, 2009; 2012, ch. 158, § 2, effective July 12, 2012.

CHAPTER 13 Administrative Regulations [Repealed]

13.010. Definitions and construction. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 1) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.020. Regulations of state agencies must be filed to be effective. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 2) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.030. Codification Board created. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 3) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.040. Functions of Codification Board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 4) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.050. Effect to be given publication and filing of regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 5) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.060. Judicial notice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 6) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.070. Existing regulations not effective unless filed. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 7) was repealed by Acts 1952, ch. 63, § 13, effective June 19, 1952.

13.075. Definition of commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 97, § 1) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.080. Definitions and construction. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 1; 1972, ch. 180, § 1; 1974, ch. 73, § 1; 1976, ch. 298, § 1; 1978, ch. 323, § 1; 1982, ch. 294, § 1; 1982, ch. 459, § 2) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.081. Administrative bodies may adopt regulations — Effect — Limitation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956, ch. 97, § 2, para. 1; 1972, ch. 180, § 2) was repealed by Acts 1974, ch. 73, § 7, effective July 1, 1974.

13.082. Uniformity of power to adopt regulations — Repeal of conflicting provisions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 73, § 5) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.083. Definition of “tiering” — Methods of tiering. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 116, § 1) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.084. Refiling of regulations — Rescinding of regulations not refiled. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 73, § 6) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.085. Publication, hearing and review of proposed administrative regulation — Emergency regulation — Requisites of proposal — Public hearing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 2; 1972, ch. 180, § 3; 1974, ch. 73, § 2; 1982, ch. 294, § 2; 1982, ch. 459, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.086. Agencies to submit regulatory impact analyses — Contents — Review by legislative research commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 294, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.087. Administrative regulation review subcommittee — Submission of regulations — Procedure upon objection to regulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 180, § 4; 1974, ch. 73, § 3; 1976, ch. 298, § 2; 1980, ch. 95, § 2; 1982, ch. 459, § 4) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.088. Emergency regulation — Procedure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 459, § 1) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.090. Functions of legislative research commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 3; 1972, ch. 180, § 5) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.092. No regulation to be effective until accepted by legislative research commission — Exception — Effect of holding this provision unconstitutional. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 459, § 5) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.095. Publication and distribution of regulations; revolving fund created. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 4) was repealed by Acts 1956, ch. 97.

13.096. Kentucky administrative regulations service — Administrative register. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 6, § 1; 1972, ch. 180, § 6; 1974, ch. 73, § 4) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.097. Regulations compiler — Certificate — Filing of publication with secretary of state. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 6, § 2; 1974, ch. 370, § 2) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.100. Effect of commission’s file stamp on regulation or publication of regulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 5; 1956 (1st Ex. Sess.), ch. 6, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.102. Administrative publication of informational copies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 47, § 1; repealed and reen. Acts 1966, ch. 255, § 5; 1972, ch. 180, § 7; 1980, ch. 95, § 3) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.105. Judicial notice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 6; 1972, ch. 180, § 8) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984.

13.110. Transfer and filing of regulations filed with Secretary of State. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 7) was repealed by Acts 1954, ch. 49, § 3.

13.115. File of ineffective regulations to be kept. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 8) was repealed by Acts 1982, ch. 459, § 6, effective April 15, 1982 and by Acts 1984, ch. 417, § 36, effective July 13, 1984.

13.120. Statute Revision Commission to draft uniform administrative practice and procedure act. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 9) was repealed by Acts 1954, ch. 49, § 3.

13.125. Notice and hearings on proposed regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 10, effective June 19, 1952) was repealed by Acts 1984, ch. 417, § 36, effective April 13, 1984. For present law see KRS Chapter 13A.

13.130. Employes of Statute Revision Commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 11) was repealed by Acts 1954, ch. 49, § 3.

13.135. Appropriation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 63, § 12) was repealed by Acts 1954, ch. 49, § 3.

13.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 178, § 9) was repealed by Acts 1952, ch. 63, § 13.

CHAPTER 13A Administrative Regulations

13A.010. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Administrative body” means each state board, bureau, cabinet, commission, department, authority, officer, or other entity, except the General Assembly and the Court of Justice, authorized by law to promulgate administrative regulations;
  2. “Administrative regulation” means each statement of general applicability promulgated by an administrative body that implements, interprets, or prescribes law or policy, or describes the organization, procedure, or practice requirements of any administrative body. The term includes an existing administrative regulation, a new administrative regulation, an emergency administrative regulation, an administrative regulation in contemplation of a statute, and the amendment or repeal of an existing administrative regulation, but does not include:
    1. Statements concerning only the internal management of an administrative body and not affecting private rights or procedures available to the public;
    2. Declaratory rulings;
    3. Intradepartmental memoranda not in conflict with KRS 13A.130 ;
    4. Statements relating to acquisition of property for highway purposes and statements relating to the construction or maintenance of highways; or
    5. Rules, regulations, and policies of the governing boards of institutions that make up the postsecondary education system defined in KRS 164.001 pertaining to students attending or applicants to the institutions, to faculty and staff of the respective institutions, or to the control and maintenance of land and buildings occupied by the respective institutions;
  3. “Adopted” means that an administrative regulation has become effective in accordance with the provisions of this chapter;
  4. “Authorizing signature” means the signature of the head of the administrative body authorized by statute to promulgate administrative regulations;
  5. “Commission” means the Legislative Research Commission;
  6. “Effective” means an administrative regulation that has completed the legislative committee review established by KRS 13A.290 , 13A.330 , and 13A.331 ;
  7. “Federal mandate” means any federal constitutional, legislative, or executive law or order that requires or permits any administrative body to engage in regulatory activities that impose compliance standards, reporting requirements, recordkeeping, or similar responsibilities upon entities in the Commonwealth;
  8. “Federal mandate comparison” means a written statement containing the information required by KRS 13A.245 ;
  9. “Filed” or “promulgated” means that an administrative regulation, or other document required to be filed by this chapter, has been submitted to the Commission in accordance with this chapter;
  10. “Last effective date” means the latter of:
    1. The most recent date an ordinary administrative regulation became effective, without including the date a technical amendment was made pursuant to KRS 13A.040(10), 13A.2255(2), or 13A.312 ; or
    2. The date a certification letter was filed with the regulations compiler for that administrative regulation pursuant to KRS 13A.3104(4), if the letter stated that the administrative regulation shall remain in effect without amendment;
  11. “Legislative committee” means an interim joint committee, a House or Senate standing committee, a statutory committee, or a subcommittee of the Legislative Research Commission;
  12. “Local government” means and includes a city, county, urban-county, charter county, consolidated local government, special district, or a quasi-governmental body authorized by the Kentucky Revised Statutes or a local ordinance;
  13. “Proposed administrative regulation” means an administrative regulation that:
    1. Has been filed by an administrative body; and
    2. Has not become effective or been withdrawn;
  14. “Regulatory impact analysis” means a written statement containing the provisions required by KRS 13A.240 ;
  15. “Small business” means a business entity, including its affiliates, that:
    1. Is independently owned and operated; and
      1. Employs fewer than one hundred fifty (150) full-time employees or their equivalent; or (b) 1. Employs fewer than one hundred fifty (150) full-time employees or their equivalent; or
      2. Has gross annual sales of less than six million dollars ($6,000,000);
  16. “Statement of consideration” means the document required by KRS 13A.280 in which the administrative body summarizes the comments received, its responses to those comments, and the action taken, if any, as a result of those comments and responses;
  17. “Subcommittee” means the Administrative Regulation Review Subcommittee of the Legislative Research Commission;
  18. “Tiering” means the tailoring of regulatory requirements to fit the particular circumstances surrounding regulated entities; and
  19. “Written comments” means comments submitted to the administrative body’s contact person identified pursuant to KRS 13A.220(6)(d) via hand delivery, United States mail, e-mail, or facsimile and may include but is not limited to comments submitted internally from within the promulgating administrative body or from another administrative body.

History. Enact. Acts 1984, ch. 417, § 1, effective April 13, 1984; 1986, ch. 89, § 5, effective July 15, 1986; 1990, ch. 516, § 13, effective July 13, 1990; 1994, ch. 410, § 1, effective July 15, 1994; 1996, ch. 180, § 1, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 30, effective May 30, 1997; 1998, ch. 38, § 9, effective July 15, 1998; 2000, ch. 288, § 2, effective July 14, 2000; 2000, ch. 406, § 2, effective July 14, 2000; 2004, ch. 165, § 2, effective July 13, 2004; 2005, ch. 100, § 1, effective June 20, 2005; 2012, ch. 138, § 1, effective July 12, 2012; 2016 ch. 82, § 1, effective July 15, 2016; 2021 ch. 7, § 1, effective February 2, 2021.

NOTES TO DECISIONS

1.Lethal Injection.

Kentucky Department of Corrections was required by Kentucky law to promulgate a regulation as to all portions of the lethal injection protocol, KRS 431.220 , as the “private rights” of those individuals being executed by the Commonwealth were invariably affected by the manner in which the lethal injection was administered; the Department was not prohibited from adopting regulations to implement the death penalty through lethal injection simply because KRS 431.220 contained no express reference to the adoption of regulations. Bowling v. Ky. Dep't of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 ) sub. nom.Commonwealth v. Shepherd, 336 S.W.3d 98, 2011 Ky. LEXIS 31 ( Ky. 2011 ).

Research References and Practice Aids

Cross-References.

Agriculture, Department of, appeal from order revoking or suspending license of frozen food locker plant, KRS 221.040 .

Airport zoning regulations, enforcement of, KRS 183.873 .

Alcoholic beverage administrator, city or county, appeal from to state board, KRS 241.150 , 241.200 .

Alcoholic Beverage Control Board:

Appeal from, KRS 243.560 , 243.590 .

Hearings on appeal to, KRS 243.550 .

Apprenticeship agreements, appeal from order of executive director of Office of Workforce Standards, KRS 343.070 .

Apprenticeship agreements, appeal from order of supervisor to commissioner of Department of Workforce Standards, KRS 343.070 .

Board of Boiler and Pressure Vessel Rules, KRS 236.020 .

Board of chiropractic examiners, appeal from KRS 312.160 .

Board of Claims for damage claims, enforcement and review of decisions of, KRS 44.130 , 44.140 .

Board of equalization, cities of fifth or sixth class, appeal from, KRS 92.530 .

Board of equalization, cities of first class, appeal from, KRS 91.400 .

Board of equalization, cities of second class, appeal from, KRS 92.440 .

Board of tax supervisors, cities of third class, appeal from, to city council and to courts, KRS 92.480 .

Consumer loan companies, denial or revocation of license, appeal from executive director of financial institutions, KRS 286.4-500 .

County board of elections, appeals from, KRS 116.135 .

Drivers’ licenses, denial, suspension or revocation of by Transportation Cabinet, appeal from, KRS 186.580 .

Embalmers and Funeral Directors, state Board of, appeal from KRS 316.155 .

Engineers, professional, state board of registration for, hearing procedure, KRS 322.190 .

Escheated property, appeal by claimant from decision of commissioner of revenue, KRS 393.160 .

Extension, director of, KRS 164.625.

Finance and Administration Cabinet, enforcement of orders, KRS 45.142 .

Gasoline dealer’s license, appeal from revocation by Kentucky Board of Tax Appeals, KRS 138.340 .

Grade crossings, overhead and underpass structures, appeal by railroad from order of Department of Highways concerning, KRS 177.190 , 177.200 .

Hairdressers and cosmetologists, Kentucky board of, appeal from, KRS 317A.070 .

Health, board of for Louisville and Jefferson County, enforcement of orders of, KRS 212.600 .

Insurance, department of, appeals from executive director’s orders or actions, KRS 304.2-370 .

Insurance rates of surety or casualty companies, hearings upon disapproval of filings, KRS 304.13-071 .

Judicial review of board of tax appeals, KRS 131.370 .

Labor, secretary of, enforcement of subpoenas issued by, KRS 336.060 .

Labor, commissioner of, rule as to wages, appeal from, KRS 337.310 .

Librarians, state board for certification of, appeal from, KRS 171.300 .

Livestock sanitary division, appeal from order denying or revoking permit for hatchery or dealer in chicks or eggs, KRS 257.440 .

Medicine, revocation of license to practice, appeal from order of state board of health, KRS 311.595 .

Mine, closed by department of natural resources, petition to reopen, KRS 352.430 .

Motorists’ financial responsibility law, court review of orders under, KRS 187.300 .

Interstate water sanitation control commissions, enforcement of orders, KRS 224.18-715 .

Oil wells, appeal from department of natural resources, KRS 351.040 .

Podiatrist’s license, appeal, KRS 311.490 .

Police and firefighter’s, cities of fourth and fifth class, dismissal or suspension, appeal from city legislative body, KRS 95.766 .

Police and firefighter’s, cities of second and third class, dismissal or suspension, appeal from city legislative body, KRS 95.460 .

Police and firefighter’s pension fund, trustees of cities of third class, regulations not subject to review, KRS 95.540 .

Psychologists, board of examiners of, appeal from revocation or suspension of license by, KRS 319.092 .

Public assistance, appeal to appeal board from decision of hearing officer delay in action on or amount of assistance, KRS 205.231 .

Public Service Commission:

Appeal from, KRS 278.410 to 278.450 .

Enforcement of, KRS 278.390 .

Real estate commission, state, appeal from, KRS 324.200 .

Revenue, department of, equalization of assessments by, appeal from, KRS 133.150 to 133.170 .

Revenue, department of, rulings and findings:

Appeal from to Kentucky board of tax appeals, KRS 131.110 .

Enforcement of, KRS 131.990 .

Revenue, department of, valuation of omitted property by, appeal from, KRS 132.320 .

Road and bridge contracts, eligibility to bid upon, appeal from Department of Highways, KRS 176.170 .

Securities, division of, appeal from, KRS 292.490 .

Soil conservation board of adjustment, appeal from orders of, KRS 262.520 .

Soil conservation district board of supervisors, enforcement of land use regulations, KRS 262.430 , 262.440 , 262.450 .

State Board of Accountancy, appeal from, KRS 325.360 ; enforcement of orders of, KRS 325.400 .

Toll bridges and ferries, intrastate; appeal from order of Department of Highways, KRS 280.110 .

Unemployment Insurance Commission:

Appeal from, KRS 341.450 , 341.460 .

Appeal to from referee, KRS 341.200 .

Enforcement of orders, KRS 341.200 .

Veterinary examiners, state board of, appeal from, KRS 321.360 .

Workers’ Compensation Board:

Appeal from, KRS 342.281 to 342.300 .

Enforcement of orders, KRS 342.305 .

Zoning:

Appeal from board of adjustment, KRS 100.347 .

Appeal to board of adjustment, KRS 100.261 .

Board of adjustment, KRS 100.217 .

Comprehensive plan, KRS 100.183 , 100.187 , 100.191 to 100.197 .

Planning commissions, KRS 100.133 , 100.137 .

Objectives, KRS 100.193 .

Planning units, KRS 100.113 to 100.123 .

Regulations, KRS 100.203 , 100.207 .

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13A.012. Inclusion of osteopaths within references to physicians in administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 413, § 2, effective July 14, 2000) was repealed by Act 2005, ch. 100, § 24, effective June 20, 2005.

13A.015. Notice of intent to promulgate an administrative regulation — Public hearing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 410, § 3, effective July 15, 1994; 1996, ch. 180, § 2, effective July 15, 1996; 1998, ch. 38, § 1, effective July 15, 1998; 2000, ch. 288, § 1, effective July 14, 2000; 2000, ch. 406, § 23, effective July 14, 2000) was repealed by Acts 2003, ch. 89, § 21, effective June 24, 2003.

13A.016. KRS 13A.015 inapplicable to administrative regulation promulgated only for drafting or format requirements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 410, § 2, effective July 15, 1994) was repealed by Acts 2003, ch. 89, § 21, effective June 24, 2003.

13A.017. Consideration of comments from public hearing — Post-hearing filings or notification. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 410, § 4, effective July 15, 1994; 1996, ch. 180, § 3, effective July 15, 1996; 1998, ch. 38, § 2, effective July 15, 1998; 2000, ch. 406, § 3, effective July 14, 2000) was repealed by Acts 2003, ch. 89, § 21, effective June 24, 2003.

13A.020. Administrative Regulation Review Subcommittee — Membership — Meetings — Vote required to act.

  1. There is hereby created a permanent subcommittee of the Legislative Research Commission to be known as the Administrative Regulation Review Subcommittee. The subcommittee shall be composed of eight (8) members appointed as follows: three (3) members of the Senate appointed by the President; one (1) member of the minority party in the Senate appointed by the Minority Floor Leader in the Senate; three (3) members of the House of Representatives appointed by the Speaker of the House of Representatives; and one (1) member of the minority party in the House of Representatives appointed by the Minority Floor Leader in the House of Representatives. The members of the subcommittee shall serve for terms of two (2) years, and the members appointed from each chamber shall elect one (1) member from their chamber to serve as co-chair. Any vacancy that may occur in the membership of the subcommittee shall be filled by the same appointing authority who made the original appointment.
  2. On an alternating basis, each co-chair shall have the first option to set the monthly meeting date. A monthly meeting may be rescheduled by agreement of both co-chairs. The co-chairs shall have joint responsibilities for subcommittee meeting agendas and presiding at subcommittee meetings. The members of the subcommittee shall be compensated for attending meetings, as provided in KRS 7.090(3).
  3. Any professional, clerical, or other employees required by the subcommittee shall be provided in accordance with the provisions of KRS 7.090(4) and (5).
  4. A majority of the entire membership of the Administrative Regulation Review Subcommittee shall constitute a quorum, and all actions of the subcommittee shall be by vote of a majority of its entire membership.

History. Enact. Acts 1984, ch. 417, § 2, effective April 13, 1984; 2003, ch. 185, § 3, effective March 31, 2003; 2016 ch. 82, § 2, effective July 15, 2016.

13A.030. Duties of subcommittee.

  1. The Administrative Regulation Review Subcommittee shall:
    1. Conduct a continuous study as to whether additional legislation or changes in legislation are needed based on various factors, including, but not limited to, review of new, emergency, and existing administrative regulations, the lack of administrative regulations, and the needs of administrative bodies;
    2. Except as provided by KRS 158.6471 and 158.6472, review and comment upon effective administrative regulations pursuant to subsections (2), (3), and (4) of this section or administrative regulations filed with the Commission;
    3. Make recommendations for changes in statutes, new statutes, repeal of statutes affecting administrative regulations or the ability of administrative bodies to promulgate them; and
    4. Conduct such other studies relating to administrative regulations as may be assigned by the Commission.
  2. The subcommittee may make a determination:
    1. That an effective administrative regulation or an administrative regulation filed with the Commission is deficient because it:
      1. Is wrongfully promulgated;
      2. Appears to be in conflict with an existing statute;
      3. Appears to have no statutory authority for its promulgation;
      4. Appears to impose stricter or more burdensome state requirements than required by the federal mandate, without reasonable justification;
      5. Fails to use tiering when tiering is applicable;
      6. Is in excess of the administrative body’s authority;
      7. Appears to impose an unreasonable burden on government or small business, or both;
      8. Is filed as an emergency administrative regulation without adequate justification of the emergency nature of the situation as described in KRS 13A.190(1);
      9. Has not been noticed in conformance with the requirements of KRS 13A.270(3); or
      10. Appears to be deficient in any other manner;
    2. That an administrative regulation is needed to implement an existing statute; or
    3. That an administrative regulation should be amended or repealed.
  3. The subcommittee may review an effective administrative regulation if requested by a member of the subcommittee.
  4. The subcommittee may require any administrative body to submit data and information as required by the subcommittee in the performance of its duties under this chapter, and no administrative body shall fail to provide the information or data required.

History. Enact. Acts 1984, ch. 417, § 3, effective April 13, 1984; 1986, ch. 89, § 6, effective July 15, 1986; 1994, ch. 410, § 5, effective July 15, 1994; 1998, ch. 598, § 7, effective April 14, 1998; 2000, ch. 406, § 4, effective July 14, 2000; 2004, ch. 165, § 3, effective July 13, 2004; 2021 ch. 7, § 2, effective February 2, 2021.

13A.032. Effect of finding of deficiency. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 71, § 7, effective July 15, 1988; 1990, ch. 516, § 14, effective July 13, 1990; 2000, ch. 406, § 5, effective July 14, 2000) was repealed by Acts 2003, ch. 185, § 12, effective March 31, 2003.

13A.040. Administrative regulations compiler — Duties.

The director of the Legislative Research Commission shall appoint an administrative regulations compiler who shall:

  1. Receive administrative regulations, and other documents required to be filed by the provisions of this chapter, tendered for filing;
  2. Stamp administrative regulations tendered for filing with the time and date of receipt;
  3. Provide administrative and support services to the subcommittee;
  4. Maintain a file of administrative regulations and other documents required to be filed by this chapter, for public inspection, with suitable indexes;
  5. Maintain a file of ineffective administrative regulations;
  6. Maintain a file of material incorporated by reference, including superseded or ineffective material incorporated by reference;
  7. Prepare the Kentucky Administrative Regulations Service;
  8. Upon request, certify copies of administrative regulations and other documents that have been filed with the regulations compiler;
  9. Correct errors that do not change the substance of an administrative regulation, including but not limited to typographical errors, errors in format, and grammatical errors;
    1. Change the following items in an administrative regulation in response to a specific written request for a technical amendment submitted by the administrative body if the regulations compiler determines that the requested changes do not affect the substance of the administrative regulation: (10) (a) Change the following items in an administrative regulation in response to a specific written request for a technical amendment submitted by the administrative body if the regulations compiler determines that the requested changes do not affect the substance of the administrative regulation:
      1. The administrative body’s identifying information, including address, phone number, fax number, Web site address, and e-mail address;
      2. Typographical errors, errors in format, and grammatical errors;
      3. Citations to statutes or other administrative regulations if a format change within that statute or administrative regulation has changed the numbering or lettering of parts; or
      4. Other changes in accordance with KRS 13A.312 ; and
    2. Notify the administrative body within thirty (30) business days of receipt of a technical amendment letter the status of the request, including:
      1. Any requested changes that are accepted as technical amendments; and
      2. Any requested changes that are not accepted as technical amendments;
  10. Refuse to accept for filing administrative regulations, and other documents required to be filed by this chapter, that do not conform to the drafting, formatting, or filing requirements established by the provisions of KRS 13A.190(5) to (11), 13A.220 , 13A.222(1), (2), and (3), 13A.230 , and 13A.280 , and notify the administrative body in writing of the reasons for refusing to accept an administrative regulation for filing;
  11. Maintain a list of all administrative regulation numbers and the corresponding last effective date, based on the information included in the history line of each administrative regulation; and
  12. Perform other duties required by the Commission or by a legislative committee.

HISTORY: Enact. Acts 1984, ch. 417, § 4, effective April 13, 1984; 1988, ch. 425, § 4, effective July 15, 1988; 1990, ch. 516, § 15, effective July 13, 1990; 1994, ch. 410, § 6, effective July 15, 1994; 1996, ch. 180, § 4, effective July 15, 1996; 1998, ch. 38, § 3, effective July 15, 1998; 2005, ch. 100, § 2, effective June 20, 2005; 2012, ch. 138, § 2, effective July 12, 2012; 2016 ch. 82, § 3, effective July 15, 2016; 2017 ch. 77, § 2, effective June 29, 2017; 2017 ch. 77, § 2, effective June 29, 2017; 2019 ch. 192, § 3, effective June 27, 2019; 2021 ch. 7, § 3, effective February 2, 2021; 2021 ch. 125, § 2, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 7 and 125, which do not appear to be in conflict and have been codified together.

13A.050. Kentucky Administrative Regulations Service — “Administrative Register of Kentucky” — Publication dates — Certificate of compiler — Fees.

  1. The Legislative Research Commission shall compile, publish, and distribute the administrative regulations filed by administrative bodies. This compilation shall be known as the Kentucky Administrative Regulations Service. The Legislative Research Commission shall maintain the official version of the administrative regulations in an electronic database that shall be made available to the public as provided by KRS 7.500 .
    1. There is hereby created a publication known as “Administrative Register of Kentucky” or “Administrative Register” to be published on a monthly basis by the Legislative Research Commission for the purpose of giving notice of administrative regulations filed in accordance with this chapter. (2) (a) There is hereby created a publication known as “Administrative Register of Kentucky” or “Administrative Register” to be published on a monthly basis by the Legislative Research Commission for the purpose of giving notice of administrative regulations filed in accordance with this chapter.
    2. Every administrative regulation forwarded to the Legislative Research Commission shall have its complete text published in the Administrative Register along with the accompanying statements required by KRS 13A.190 , 13A.210 , 13A.2251(1), 13A.240 , 13A.245 , 13A.250 , and 13A.270 .
    3. Within five (5) workdays of the publication of an administrative regulation in the Administrative Register, an administrative body shall:
      1. Review the text and accompanying statements of the administrative regulation; and
      2. Notify the regulations compiler in writing or by e-mail of errors.
  2. The Administrative Register shall be published the first day of each month and shall include all administrative regulations received by the Legislative Research Commission by 12 noon, eastern time, on the fifteenth day of the preceding month. When the fifteenth day falls on a Saturday, Sunday, or holiday, the deadline is the workday that immediately precedes the Saturday, Sunday, or holiday.
  3. The compiler shall cause to be prepared a certificate to the effect that the text of the administrative regulations as published in this service is correct. One (1) copy of the Kentucky Administrative Regulations Service with the original certificate therein shall be provided to the Office of the Secretary of State.
  4. The Commission shall prescribe reasonable fees for subscription to the Kentucky Administrative Regulations Service and the Administrative Register. All fees paid to the Commission for these publications shall be placed in the State Treasury to the credit of a revolving trust or agency fund account, for use by the Legislative Research Commission in carrying out the provisions of this section.
  5. Copies of administrative regulations or other items required to be filed by this chapter shall be made available to any interested party upon request to the Legislative Research Commission. The Commission may prescribe reasonable fees for duplication services and all fees paid to the Commission for duplication services shall be placed in the State Treasury to the credit of a revolving trust or agency fund account, for use by the Legislative Research Commission in carrying out the provisions of this subsection.

History. Enact. Acts 1984, ch. 417, § 5, effective April 13, 1984; 1994, ch. 410, § 7, effective July 15, 1994; 1996, ch. 180, § 5, effective July 15, 1996; 2003, ch. 89, § 5, effective June 24, 2003; 2005, ch. 100, § 3, effective June 20, 2005; 2012, ch. 138, § 3, effective July 12, 2012; 2016 ch. 82, § 4, effective July 15, 2016.

13A.060. Exclusive publication by Legislative Research Commission — Copies available to members of General Assembly.

  1. No administrative body other than the Legislative Research Commission shall publish administrative regulations unless permission is granted by the Legislative Research Commission and the administrative regulations are enclosed in a booklet or binder on which the words “informational copy” are clearly stamped or printed.
  2. Copies of the Administrative Register and the Kentucky Administrative Regulations Service shall be provided to a member of the General Assembly only upon the request of the member.

History. Enact. Acts 1984, ch. 417, § 6, effective April 13, 1984.

13A.070. Administrative regulations promulgated by Commission — Assistance to administrative bodies.

  1. The Commission may promulgate administrative regulations governing the manner and form in which administrative regulations shall be prepared, to the end that all administrative regulations shall be prepared in a uniform manner.
  2. The Commission shall furnish advice and assistance to all administrative bodies in the preparation of their administrative regulations, and in revising, codifying, and editing existing or new administrative regulations.
  3. An administrative regulation promulgated by the Commission shall be signed by the President of the Senate and the Speaker of the House of Representatives.

History. Enact. Acts 1984, ch. 417, § 7, effective April 13, 1984; 2000, ch. 406, § 6, effective July 14, 2000; 2016 ch. 82, § 5, effective July 15, 2016.

13A.075. Legislative Research Commission may promulgate regulations. [Repealed]

HISTORY: Enact. Acts 1990, ch. 516, § 3, effective July 13, 1990; repealed by 2016 ch. 82, § 36, effective July 15, 2016.

13A.080. Inclusion in Administrative Register of notice of review process and procedures for public comment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 8, effective April 13, 1984; 1994, ch. 410, § 8, effective July 15, 1994; 2003, ch. 89, § 6, effective June 24, 2003) was repealed by Acts 2012, ch. 138, § 16, effective July 12, 2012.

13A.090. Rebuttable presumption of correctness of content of administrative regulations — Judicial notice.

  1. The Commission’s authenticated file stamp upon an administrative regulation or publication of an administrative regulation in the Kentucky Administrative Regulations Service or other publication shall raise a rebuttable presumption that the contents of the administrative regulation are correct.
  2. The courts shall take judicial notice of any administrative regulation duly filed under the provisions of this chapter after the administrative regulation has been adopted.

History. Enact. Acts 1984, ch. 417, § 9, effective April 13, 1984.

NOTES TO DECISIONS

1.Judicial Notice.

Where an administrative regulation of the Department of Public Safety requiring a life preserver to be furnished recited that it was promulgated pursuant to the authority of former KRS 325.320 which concerned itself with partnerships in the public accountant profession, the court would not be required, under former law providing for judicial notice, to take judicial notice of any administrative regulation not filed under the provisions of former law. (Decided under prior law) Christian Appalachian Project, Inc. v. Berry, 487 S.W.2d 951, 1972 Ky. LEXIS 102 ( Ky. 1972 ).

Parole eligibility statistics are not a proper subject for judicial notice, are not admissible mitigating evidence, and do not negate the Commonwealth’s evidence; therefore, the trial court did not err in finding that “the introduction of specific figures and numbers opens the door to evidence that the statute was not set up for.” Abbott v. Commonwealth, 822 S.W.2d 417, 1992 Ky. LEXIS 1 ( Ky. 1992 ).

13A.100. Matters which shall be prescribed by administrative regulation.

Subject to limitations in applicable statutes, any administrative body that is empowered to promulgate administrative regulations shall, by administrative regulation, prescribe, consistent with applicable statutes:

  1. Each statement of general applicability, policy, procedure, memorandum, or other form of action that implements; interprets; prescribes law or policy; describes the organization, procedure, or practice requirements of any administrative body; or affects private rights or procedures available to the public;
  2. The process for application for license, benefits available or other matters for which an application would be appropriate unless such process is prescribed by a statute;
  3. Fees, except for those exempted in paragraphs (a) to (j) of this subsection, to be charged by the administrative body if such fees are authorized by law and are not set by statute:
    1. State park room rates;
    2. Prices for food in restaurants at state facilities;
    3. Prices for goods at gift shops at state facilities;
    4. Prices for groceries and other items sold at state facilities;
    5. Prices charged for state publications;
    6. Prices charged for rides and amusement activities at state facilities;
    7. Admission fees to athletic and entertainment events at state facilities;
    8. Charges for swimming, skiing, horseback riding, and similar recreational activities at state facilities;
    9. Charges for boat and equipment rentals for recreational purposes at state facilities; and
    10. Admission fees charged for seminars and educational courses by state administrative bodies;
  4. The procedures to be utilized by the administrative body in the conduct of hearings by or for the administrative body unless such procedures are prescribed by a statute; and
  5. The disciplinary procedures within the jurisdiction of the administrative body unless such procedures are prescribed by statute.

History. Enact. Acts 1984, ch. 417, § 10, effective April 13, 1984; 1990, ch. 516, § 16, effective July 13, 1990; 2016 ch. 82, § 6, effective July 15, 2016.

Legislative Research Commission Notes.

Acts 1984, ch. 419, effective July 13, 1984, provides:

“Section 1. It is the intent of the General Assembly that the amendment of Section 10 by the Free Conference Committee report to 1984 HB 334 applies only to fees which are governmental in nature charged by state agencies and not to fees and charges which are proprietary in nature.

Section 2. This resolution may be used by a court as an aid in the construction of 1984 HB 334.”

NOTES TO DECISIONS

1.Extent of Power to Adopt Regulations.

Administrative regulations which have been duly adopted and properly filed have the full effect of law; however, the power of an agency to adopt such regulations is limited to a direct implementation of administration of the functions and duties assigned to the administrative body by statute or executive order. (Decided under prior law) Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

Kentucky Department of Corrections was required by Kentucky law to promulgate a regulation as to all portions of the lethal injection protocol, KRS 431.220 , as the “private rights” of those individuals being executed by the Commonwealth were invariably affected by the manner in which the lethal injection was administered; the Department was not prohibited from adopting regulations to implement the death penalty through lethal injection simply because KRS 431.220 contained no express reference to the adoption of regulations. Bowling v. Ky. Dep't of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 ) sub. nom.Commonwealth v. Shepherd, 336 S.W.3d 98, 2011 Ky. LEXIS 31 ( Ky. 2011 ).

Kentucky Public Service Commission (Commission) was entitled to a writ of prohibition as to a trial court hearing an interlocutory appeal of the Commission’s order denying real parties in interest intervention in a rate-making case because (1) the parties had no such right, as the parties could only request intervention, (2) whether to grant intervention was solely within the Commission’s discretion, (3) ordering the Commission to grant intervention interfered with the Commission’s proceedings, exceeded the court’s jurisdiction, and did not meet the collateral order rule, (4) the rule of civil procedure on intervention did not apply, as the Commission’s regulation controlled, and (5) the court had no Declaratory Judgment Act jurisdiction, so the court’s orders were void ab initio. PSC of Ky. v. Shepherd, 2019 Ky. App. LEXIS 31 (Ky. Ct. App. Mar. 6, 2019), rev'd, 2020 Ky. Unpub. LEXIS 37 (Ky. May 28, 2020).

2.Unconstitutional Regulations.

Administrative regulation of the board of chiropractic examiners permitting chiropractors to utilize the services of persons authorized by law to perform analysis of patients by use of radiographs, blood analysis or other methods of examination is an attempt to grant authority which had previously been withheld and goes beyond the powers granted the board and the statutory definition of chiropractic, and, as such, is legislative in nature and in violation of the state Constitution. (Decided under prior law) Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

3.Changing of Statutory Requirement Prohibited.

The Alcoholic Beverage Control Board cannot by the promulgation of a rule add to or take from requirement of statute it is administering. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

4.Statutory Preemption.

Since Alcoholic Beverage Control Board cannot by promulgating a rule add to or take away from a statute it is administering, a regulation prohibiting a licensee in cities of the first and second classes to advertise brand name of a particular beverage upon signs outside of the premises was invalid as it is in conflict with former KRS 244.530 . (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

Alcoholic Beverage Control Board could not adopt regulation prohibiting certain activities on the part of brewers and beer distributors where legislature had enacted statutes prohibiting similar activities on the part of distillers, rectifiers, vintners and retail licensees but had enacted nothing regarding brewers and beer distributors concerning such activities. (Decided under prior law) Oertel Brewing Co. v. Portwood, 320 S.W.2d 317, 1959 Ky. LEXIS 234 ( Ky. 1959 ).

5.Statutory Effect.

Administrative regulations properly adopted and filed have the same effect as statutes or ordinances enacted directly by the legislative body from which the administrative agency derives its authority. (Decided under prior law) Rietze v. Williams, 458 S.W.2d 613, 1970 Ky. LEXIS 179 ( Ky. 1970 ), overruled in part, Ctr. College v. Trzop, 127 S.W.3d 562, 2003 Ky. LEXIS 263 ( Ky. 2003 ), overruled in part, Dutton v. McFarland, 199 S.W.3d 771, 2006 Ky. App. LEXIS 82 (Ky. Ct. App. 2006).

6.Reasonable Relation to Authorized Purpose.

The purpose of regulations issued under the authority of former law was limited to the implementation of the administration of the functions assigned to the agency issuing such regulations and, under former law and § 28 of the Kentucky Constitution, it was beyond the power of the Industrial Safety Board, in promulgating safety standards for the construction industry, to change the settled law of Kentucky by a regulation making the owner of premises liable to an employee of an independent contractor for injuries suffered while working on the premises and equally liable with the contractor for the enforcement of safety standards, since such regulation exceeded the permissible bounds of administrative implementation. (Decided under prior law) Courtney v. Island Creek Coal Co., 474 F.2d 468, 1973 U.S. App. LEXIS 11381 (6th Cir. Ky. 1973 ).

As a general rule administrative agencies are vested with a great deal of discretion in exercising their authority; however, rules and regulations must be reasonably adapted to carry out purpose for which they were authorized to be made. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

The Alcoholic Beverage Control Board regulation prohibiting the use of illuminated advertisement by retail liquor establishment where the illumination is an integral part of the sign was held to be invalid since the illumination of the sign bears little relation to the policing of the sale of malt beverages, for by the time member of public sees sign he has already entered the retail premises assumedly for the purpose of buying beer. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

7.Class Action Testing Validity of Regulation.

Domestic brewers who furnished dispenser with signs and licensed retail beer dispenser who displayed signs were proper parties to class action to test validity of certain regulations of the alcoholic beverages by retail licensees regarding display of signs. (Decided under prior law) Portwood v. Falls City Brewing Co., 318 S.W.2d 535, 1958 Ky. LEXIS 140 ( Ky. 1958 ).

8.Invalid Regulations.

Where it was evident from the record that the sole basis for denial of caretaker benefits was section 4909 of the operation manual of the Bureau of Social Insurance and not a weighing of the need of and resources available to the claimant’s mother including resources available from the claimant, and where section 4909 was not promulgated as required by former KRS 13.085 et seq., it had no effect and therefore could not be used as an independent basis for denying benefits. (Decided under prior law) Vincent v. Conn, 593 S.W.2d 99, 1979 Ky. App. LEXIS 503 (Ky. Ct. App. 1979).

9.Rules of Board of Claims.

The Board of Claims is to prescribe its rules of administrative practice in the form of regulations, but the rules must be promulgated in accordance with law. (Decided under prior law) Department for Human Resources v. Redmon, 599 S.W.2d 474, 1980 Ky. App. LEXIS 322 (Ky. Ct. App. 1980).

10.Explanatory Regulations.

KRS 61.590(3), limiting the time allowed to change a payment option, was not vague or ambiguous; because KRS 61.590(3) was plainly written, an explanatory administrative regulation was unnecessary. A trial court’s judgment affirming a determination that a retiree was not permitted to change his retirement payment option was proper because there was no evidence that the retirement systems was negligent or that information provided to retiree was erroneous. Lawson v. Ky. Ret. Sys., 2007 Ky. App. LEXIS 200 (Ky. Ct. App. July 6, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 507 (Ky. Ct. App. July 6, 2007).

11.State of Emergency.

Ky. Rev. Stat. Ann. ch. 13A does not Limit the Governor’s authority to act Under the Constitution and Ky. Rev. Stat. Ann. ch. 39A in the event of an emergency. Beshear v. Acree, 615 S.W.3d 780, 2020 Ky. LEXIS 405 ( Ky. 2020 ).

Cited in:

GTE v. Revenue Cabinet, 889 S.W.2d 788, 1994 Ky. LEXIS 148 ( Ky. 1994 ); Lawson v. Ky. Ret. Sys., 291 S.W.3d 679, 2009 Ky. LEXIS 82 ( Ky. 2009 ).

Opinions of Attorney General.

Under KRS 61.840 , the Personnel Board is not required to permit television coverage when it is hearing an appeal under KRS 18A.095 as a quasi-judicial body, but may do so if it adopts administrative regulations so permitting and stating restrictions and procedures for such coverage, pursuant to this section. OAG 84-371 .

13A.110. Prescription of forms and tables.

Except as provided in KRS 131.131 , and subject to limitations in applicable statutes, any administrative body that is empowered to promulgate administrative regulations may, consistent with applicable statutes, prescribe forms and tables for use by the administrative body and for the public in dealing with the administrative body unless the content of such form is prescribed by a statute. Forms that are required to be submitted by a regulated entity shall be included in an administrative regulation. Forms and tables that meet the requirements of KRS 13A.2245 may be incorporated by reference.

History. Enact. Acts 1984, ch. 417, § 11, effective April 13, 1984; 1990, ch. 516, § 17, effective July 13, 1990; 2016 ch. 82, § 7, effective July 15, 2016.

13A.120. Promulgation of administrative regulations — Prohibitions concerning promulgations.

    1. An administrative body may promulgate administrative regulations to implement a statute only when the act of the General Assembly creating or amending the statute specifically authorizes the promulgation of administrative regulations or administrative regulations are required by federal law, in which case administrative regulations shall be no more stringent than the federal law or regulations. (1) (a) An administrative body may promulgate administrative regulations to implement a statute only when the act of the General Assembly creating or amending the statute specifically authorizes the promulgation of administrative regulations or administrative regulations are required by federal law, in which case administrative regulations shall be no more stringent than the federal law or regulations.
    2. An administrative body that promulgates an administrative regulation required by federal law or federal regulation shall comply with the provisions of this chapter.
  1. An administrative body shall not promulgate administrative regulations:
    1. When a statute prohibits the administrative body from promulgating administrative regulations;
    2. When the administrative body is not authorized by statute to promulgate administrative regulations;
    3. When a statute prohibits the administrative body from regulation of that particular matter;
    4. When the administrative body is not authorized by statute to regulate that particular matter;
    5. When a statute prescribes the same or similar procedure for the matter regulated;
    6. When a statute sets forth a comprehensive scheme of regulation of the particular matter;
    7. On any matter that is not clearly within the jurisdiction of the administrative body;
    8. On any matter that is beyond the statutory authorization of the administrative body to promulgate administrative regulations or that is not clearly authorized by statute; and
    9. That modify or vitiate a statute or its intent.
  2. If a statute requires an administrative body or official to submit an administrative regulation to an official or administrative body for review or approval prior to filing the administrative regulation with the commission, the administrative body or official shall not file the administrative regulation without first having obtained the review or approval.
  3. Any administrative regulation in violation of this section or the spirit thereof is null, void, and unenforceable.
  4. No administrative body, other than the Court of Justice, shall issue rules.
  5. No administrative body shall issue standards or by any other name issue a document of any type where an administrative regulation is required or authorized by law.

History. Enact. Acts 1984, ch. 417, § 12, effective April 13, 1984; 1986, ch. 499, § 8, effective July 15, 1986; 1990, ch. 516, § 18, effective July 13, 1990; 1994, ch. 410, § 9, effective July 15, 1994; 1996, ch. 180, § 6, effective July 15, 1996; 2016 ch. 82, § 8, effective July 15, 2016.

NOTES TO DECISIONS

1.Parallel Federal Act.

Where a federal act and its regulations provide for a procedure by which an accused strip miner is given a formal hearing, with a full record, rights of examination, cross-examination, subpoenas, etc., and where from this full hearing there is an appeal to an administrative law judge and ultimately to the federal court system, by not providing a similar proceeding, the parallel Kentucky regulations are more stringent than the federal law and regulations, in violation of subsection (1) of this section, thus making former 405 KAR 7:090(4), which provided for a formal hearing only upon prepayment of assessed penalties, null, void and unenforceable. Franklin v. Natural Resources & Environmental Protection Cabinet, 799 S.W.2d 1, 1990 Ky. LEXIS 75 ( Ky. 1990 ).

2.Statute Regulating Same Matter.

KRS Chapter 281A did not set forth a comprehensive scheme of regulating the same matter which was being regulated by an administrative agency in violation of this section, as the administrative regulation was more detailed, comprehensive and pertinent regarding school bus drivers than was the statute, which dealt with commercial driver’s licenses. Cornette v. Commonwealth, 899 S.W.2d 502, 1995 Ky. App. LEXIS 108 (Ky. Ct. App. 1995).

Judgment of the trial court affirming the Secretary of the Commonwealth of Kentucky, Energy and Environment Cabinet’s (Cabinet) imposition of restrictive conditions on all future mining in the area was reversed where 405 KAR 24:030 § 8(3) was contrary to law, KRS 350.610 , and more stringent than the Surface Mining Control and Reclamation Act of 1977, 30 U.S.C.S. § 1201 et seq., thereby rendering it null, void and unenforceable; the Cabinet refused to make a finding of unsuitability yet imposed restrictive conditions consistent with an unsuitability determination. Laurel Mt. Res., LLC v. Commonwealth, 360 S.W.3d 791, 2012 Ky. App. LEXIS 34 (Ky. Ct. App. 2012).

Physician’s discipline based on the suspension of the physician’s license in another state was improper because the regulation applied by the Kentucky Board of Medical Licensure (KBML) invalidly exceeded the KBML’s statutory authority, as the regulation required the KBML to impose the same discipline as that imposed by another state, while the statute granted the KBML discretion to determine the appropriate sanction. Uradu v. Ky. Bd. of Med. Licensure, 2019 Ky. App. LEXIS 24 (Ky. Ct. App. Feb. 22, 2019), review denied, ordered not published, 2019 Ky. LEXIS 275 (Ky. Aug. 21, 2019).

3.Regulations Required.

Kentucky Department of Corrections was required by Kentucky law to promulgate a regulation as to all portions of the lethal injection protocol, KRS 431.220 , as the “private rights” of those individuals being executed by the Commonwealth were invariably affected by the manner in which the lethal injection was administered; the Department was not prohibited from adopting regulations to implement the death penalty through lethal injection simply because KRS 431.220 contained no express reference to the adoption of regulations. Bowling v. Ky. Dep't of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 ) sub. nom.Commonwealth v. Shepherd, 336 S.W.3d 98, 2011 Ky. LEXIS 31 ( Ky. 2011 ).

4.Regulations Not Required.

KRS 13A.120(2)(d) and 17.175(6) did not require the Department of Juvenile Justice to promulgate any administrative regulations to include procedures for collection of DNA samples and the usage and integrity of the DNA database system. Instead, the Secretary of Justice was required to notify the Kentucky Reviser of Statutes of the date on which statutory sections were implemented under former KRS 17.177(3) (now repealed). Petitioner F v. Brown, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. Feb. 22, 2008, sub. op., 2008 Ky. App. Unpub. LEXIS 532 (Ky. Ct. App. Feb. 22, 2008).

Opinions of Attorney General.

Neither the personnel commissioner nor the personnel board has authority to promulgate a regulation concerning nepotism. Likewise, in the absence of specific statutory authority given to a specific individual agency, such agency could not promulgate such a regulation nor adopt a policy regulating the subject under the prohibition of this section and KRS 13A.130 . OAG 88-15 .

The definition in 201 KAR 23:130(1) (now (2)), which limited the interpretation of philanthropic and nonprofit field service offices to only those agencies which operate on a national or regional basis, went beyond the statutory authority granted to the Board of Examiners of Social Work by the General Assembly. OAG 88-56 .

To the extent that former 903 KAR 5:130 Section 2(5)(b) may be interpreted or applied to modify the time for securing judicial relief in the circuit court pursuant to KRS 341.450 then the regulation is null, void, and unenforceable. OAG 90-84 .

While certain statutes exist that set residency or voting eligibility requirements for law enforcement officers, none exists for conservation officers, and without statutory authority, the Department of Fish and Wildlife Resources may not impose a residency requirement by policy. OAG 91-172 .

Research References and Practice Aids

Northern Kentucky Law Review.

Perkins, Petroleum Storage Regulation in Kentucky, 22 N. Ky. L. Rev. 59 (1995).

Elliot, Kentucky’s Environmental Self-Audit Privilege: State Protection Or Increased Federal Scrutiny?, 23 N. Ky. L. Rev. 1 (1995).

13A.125. Restrictions on filing subsequent proposed administrative regulation with same number and title.

Prior to the effective date of a proposed administrative regulation, an administrative body shall not file a subsequent proposed administrative regulation with the same number or title unless:

  1. The proposed administrative regulation already filed is withdrawn in accordance with KRS 13A.310 ; and
  2. A subsequent proposed administrative regulation is filed in accordance with KRS 13A.220 .

History. Enact. Acts 1990, ch. 516, § 2, effective July 13, 1990; 2003, ch. 89, § 7, effective June 24, 2003; 2016 ch. 82, § 9, effective July 15, 2016.

13A.130. Matters prohibited as subject of internal policy, memorandum, or other form of action.

  1. An administrative body shall not by internal policy, memorandum, or other form of action:
    1. Modify a statute or administrative regulation;
    2. Expand upon or limit a statute or administrative regulation; or
    3. Except as authorized by the Constitution of the United States, the Constitution of Kentucky, or a statute, expand or limit a right guaranteed by the Constitution of the United States, the Constitution of Kentucky, a statute, or an administrative regulation.
  2. Any administrative body memorandum, internal policy, or other form of action violative of this section or the spirit thereof is null, void, and unenforceable.
  3. This section shall not be construed to prohibit an administrative body issuing an opinion or administrative decision that is authorized by statute.

History. Enact. Acts 1984, ch. 417, § 13, effective April 13, 1984; 2016 ch. 82, § 10, effective July 15, 2016.

NOTES TO DECISIONS

1.Purpose.

This was simply a statute designed to enable the board to establish rules of procedure, not to publish regulations; therefore, minimum standards of practice adopted internally were not authorized by statute and could not be used as a basis to suspend surveyor. Kerr v. Kentucky State Bd. of Registration for Professional Engineers & Land Surveyors, 797 S.W.2d 714, 1990 Ky. App. LEXIS 155 (Ky. Ct. App. 1990).

A warden’s memorandum to staff and inmates clarifying that canteen receipts for perishable items were to be retained for 60 days in order to avoid confiscation thereof was a reasonable “housekeeping” measure that did not alter the policies collected under 501 KAR 6:020, did not violate KRS 13A.130 , and complied with both statutory and administrative law; the memorandum was reasonably related to penological objectives of minimizing hoarding, bartering, and gambling and was within the Department of Corrections authority pursuant to KRS 196.030(1)(a). Vestal v. Motley, 2007 Ky. App. LEXIS 286 (Ky. Ct. App. Aug. 17, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 161 (Ky. Ct. App. Aug. 17, 2007).

2.Construction With Other Law.

The Transportation Cabinet’s Form TC94-30 regarding parental consent, made to further enforcement of KRS 159.051, and issued by memorandum, is not impermissible legislating in violation of KRS 13A.130 . Codell v. D.F., 2001 Ky. App. LEXIS 71 (Ky. Ct. App. June 22, 2001).

3.Reliance on Established Practice.

Although this section prohibits an administrative body from modifying an administrative regulation by internal policy or another form of action, where the owner of a retail package liquor license had placed strong reliance on the ABC Board’s interpretation of its own regulation, and had followed the established ABC Board practice of filing dormancy extension requests to keep his license in dormant status, it would be unfair and unjust to overrule the ABC Board’s decision and rule that the owner had no license to transfer. Hagan v. Farris, 807 S.W.2d 488, 1991 Ky. LEXIS 37 ( Ky. 1991 ).

Even though Kentucky did not recognize promises made by administrative agencies under KRS 13A.130 , the Environmental Protection Agency (EPA) was entitled to rely on a commitment letter issued by the state cabinet because the focus was not on the state regulation itself pertaining to antidegradation rules but rather the process that the EPA used to approve the regulations. The EPA used the letter as an interpretation of the cabinet to help its understanding in conducting its approval process, which was not an arbitrary and capricious action. Ky. Waterways Alliance v. Johnson, 426 F. Supp. 2d 612, 2006 U.S. Dist. LEXIS 15689 (W.D. Ky. 2006 ).

4.Internal Policy Void.

Kentucky Department of Housing, Buildings and Construction’s (DHBC) internal policy was null and void because the DHBC’s internal policy was to effectively presume that no one applying for a master plumber’s license had any kind of criminal conviction, the DHBC ignored the requirement that the DHBC first make a determination that the convicted felon had been successfully rehabilitated, and an administrative agency could not have by its own internal policy or other form of action limited the effect of a statute. Fisher v. Commonwealth, 403 S.W.3d 69, 2013 Ky. App. LEXIS 88 (Ky. Ct. App. 2013).

5.Parole.

Kentucky Parole Board acted within its authority and within the bounds of its discretionary powers when it denied defendant’s request for parole and ordered him to serve out the remainder of his sentence, as the Board’s actions did not violate the Separation of Powers under Ky. Const. §§ 27 and 28 because the power to grant parole was a purely executive function pursuant to KRS 13A.130 . Simmons v. Commonwealth, 232 S.W.3d 531, 2007 Ky. App. LEXIS 292 (Ky. Ct. App. 2007).

Cited in:

Commonwealth Educ. & Humanities Cabinet Dep’t of Educ. v. Gobert, 979 S.W.2d 922, 1998 Ky. App. LEXIS 121 (Ky. Ct. App. 1998); Commonwealth v. EPI Corp., — S.W.3d —, 2006 Ky. App. LEXIS 114 (Ky. Ct. App. 2006); Commonwealth v. Sierra Club, — S.W.3d —, 2008 Ky. App. LEXIS 312 (Ky. Ct. App. 2008); Commonwealth v. McDonald, 304 S.W.3d 62, 2009 Ky. App. LEXIS 50 (Ky. Ct. App. 2009); Sullivan Univ. Sys. v. Commonwealth, — S.W.3d —, 2012 Ky. App. LEXIS 155 (Ky. Ct. App. 2012).

Opinions of Attorney General.

Neither the personnel commissioner nor the personnel board has authority to promulgate a regulation concerning nepotism. Likewise, in the absence of specific statutory authority given to a specific individual agency, such agency could not promulgate such a regulation nor adopt a policy regulating the subject under the prohibition of KRS 13A.120 and this section. OAG 88-15 .

13A.140. Administrative regulations presumed valid — Promulgating administrative body to bear burden of proof in court challenge. [Repealed]

HISTORY: Enact. Acts 1984, ch. 417, § 14, effective April 13, 1984; repealed by 2016 ch. 82, § 36, effective July 15, 2016.

13A.150. Specified time for filing.

  1. When any section of this chapter requires that an action be taken at a specified date with regard to filing of items to the Commission and the section does not specify a time deadline, they shall be filed on or before 12 noon, eastern time, on the specified date.
  2. When any section of this chapter requires that an action be taken at a specified date and the specified date falls on a Saturday, Sunday, or holiday, the action shall be taken on or before 12 noon, eastern time, on the working day immediately preceding the Saturday, Sunday, or holiday unless the statute specifies a different deadline.
  3. When any section of this chapter requires that a meeting be held on or before a specified date and the specified date falls on a Saturday, Sunday, or holiday, the meeting shall be held on or before close of business on the working day immediately following the Saturday, Sunday, or holiday.

History. Enact. Acts 1984, ch. 417, § 15, effective April 13, 1984; 1988, ch. 425, § 5, effective July 15, 1988; 1990, ch. 516, § 19, effective July 13, 1990; 2005, ch. 100, § 4, effective June 20, 2005.

13A.160. Notice of hearing to compiler when hearing is required before filing of administrative regulations — Publication. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 16, effective April 13, 1984) was repealed by Acts 2012, ch. 138, § 16, effective July 12, 2012.

13A.170. Methods of promulgating administrative regulations.

Three (3) methods of promulgating administrative regulations are authorized:

  1. An ordinary administrative regulation;
  2. An emergency administrative regulation; and
  3. An administrative regulation in contemplation of a statute.

History. Enact. Acts 1984, ch. 417, § 17, effective April 13, 1984.

13A.180. Ordinary administrative regulation defined.

An ordinary administrative regulation is one that is promulgated in the normal manner by an administrative body and that does not require that it be placed in effect immediately.

History. Enact. Acts 1984, ch. 417, § 18, effective April 13, 1984; 2016 ch. 82, § 11, effective July 15, 2016.

13A.190. Emergency administrative regulations.

  1. An emergency administrative regulation is an administrative regulation that:
    1. An administrative body can clearly demonstrate, through documentary evidence submitted with the filing of the emergency administrative regulation, must be placed into effect immediately in order to:
      1. Meet an imminent threat to public health, safety, welfare, or the environment;
      2. Prevent an imminent loss of federal or state funds;
      3. Meet an imminent deadline for the promulgation of an administrative regulation that is established by state statute or federal law; or
      4. Comply with an executive order issued under KRS Chapter 39A; and
      1. Is temporary in nature and will expire as provided in this section; or (b) 1. Is temporary in nature and will expire as provided in this section; or
      2. Is temporary in nature and will be replaced by an ordinary administrative regulation as provided in this section.

        For the purposes of this section, “imminent” means within two hundred seventy (270) days of the filing of the emergency administrative regulation.

  2. An agency’s finding of an emergency pursuant to this section shall not be based on the agency’s failure to timely process and file administrative regulations through the ordinary administrative regulation process.
  3. An emergency administrative regulation:
    1. Shall become effective and shall be considered as adopted upon filing;
    2. Shall be published in the Administrative Register in accordance with the publication deadline established in KRS 13A.050(3);
    3. Shall be subject to the public comment provisions established in KRS 13A.270 and 13A.280 ;
      1. May be reviewed at a subsequent meeting of a legislative committee after the filing of the emergency administrative regulation; and (d) 1. May be reviewed at a subsequent meeting of a legislative committee after the filing of the emergency administrative regulation; and
      2. May, by a vote of the majority of the legislative committee’s membership as established by KRS 13A.020(4) and 13A.290(9), be found to be deficient, and the deficiency shall be reported to the Governor pursuant to KRS 13A.330(2); and
    4. May be amended:
      1. By the promulgating administrative body after receiving public comments as established in KRS 13A.280 . The amended after comments version shall:
        1. Become effective upon filing; and
        2. Not require a statement of emergency; or
      2. At a legislative committee meeting as established in KRS 13A.320 . The amendment shall be approved as established by KRS 13A.020(4) and KRS 13A.290(9). The amended version shall become effective upon adjournment of the meeting following the procedures established in KRS 13A.331 .
    1. Except as provided by paragraph (b) of this subsection, emergency administrative regulations shall expire two hundred seventy (270) days after the date of filing or when the same matter filed as an ordinary administrative regulation filed for review is adopted, whichever occurs first. (4) (a) Except as provided by paragraph (b) of this subsection, emergency administrative regulations shall expire two hundred seventy (270) days after the date of filing or when the same matter filed as an ordinary administrative regulation filed for review is adopted, whichever occurs first.
    2. If an administrative body extends the time for filing a statement of consideration for an ordinary administrative regulation as provided by KRS 13A.280(2)(b), an emergency administrative regulation shall remain in effect for two hundred seventy (270) days after the date of filing plus the number of days extended under the provisions of KRS 13A.280(2)(b) or when the same matter filed as an ordinary administrative regulation filed for review is adopted, whichever occurs first.
    3. Filing an emergency amended after comments administrative regulation shall not affect the expiration of an emergency regulation as established in paragraphs (a) and (b) of this subsection.
  4. Except as established in subsection (6) of this section, an emergency administrative regulation with the same number or title or governing the same subject matter shall not be filed for a period of two hundred seventy (270) days after it has been initially filed.
  5. If an emergency administrative regulation with the same number or title or governing the same subject matter as an emergency administrative regulation filed within the previous two hundred seventy (270) days is filed, it shall contain a detailed explanation of the manner in which it differs from the previously filed emergency administrative regulation. The detailed explanation shall be included in the statement of emergency required by subsection (7) of this section.
  6. Each emergency administrative regulation shall contain a statement of:
    1. The nature of the emergency;
    2. The reasons why an ordinary administrative regulation is not sufficient;
    3. Whether or not the emergency administrative regulation will be replaced by an ordinary administrative regulation;
    4. If the emergency administrative regulation will be replaced by an ordinary administrative regulation, the following statement: “The ordinary administrative regulation (is or is not) identical to this emergency administrative regulation.”;
    5. If the emergency administrative regulation will not be replaced by an ordinary administrative regulation, the reasons therefor; and
    6. If applicable, the explanation required by subsection (6) of this section.
    1. An administrative body shall attach the: (8) (a) An administrative body shall attach the:
      1. Statement of emergency required by subsection (7) of this section to the front of the original and each copy of a proposed emergency administrative regulation;
      2. Public hearing and public comment period information required by KRS 13A.270(2), regulatory impact analysis, tiering statement, federal mandate comparison, fiscal note, summary of material incorporated by reference if applicable, and other forms or documents required by the provisions of this chapter to the back of the emergency administrative regulation; and
      3. Documentary evidence submitted justifying the finding of an emergency in accordance with subsection (1) of this section to the back of the emergency regulation if it is:
        1. No more than four (4) pages in length; and
        2. Typewritten on white paper, size eight and one-half (8-1/2) by eleven (11) inches, and single-sided.

          Larger volumes of documentary evidence shall be filed in a separate binder or on a CD-ROM or DVD disc.

    2. An administrative body shall file with the regulations compiler:
      1. The original and five (5) copies of the emergency administrative regulation; and
      2. At the same time as, or prior to, filing the paper version, an electronic version of the emergency administrative regulation and the attachments required by paragraph (a) of this subsection saved as a single document for each emergency administrative regulation in an electronic format approved by the regulations compiler.
    3. The original and four (4) copies of each emergency administrative regulation shall be stapled in the top left corner. The fifth copy of each emergency administrative regulation shall not be stapled. The original and the five (5) copies of each emergency administrative regulation shall be grouped together.
  7. The statement of emergency shall have a two (2) inch top margin. The number of the emergency administrative regulation shall be typed directly below the heading “Statement of Emergency.” The number of the emergency administrative regulation shall be the same number as the ordinary administrative regulation followed by an “E.”
  8. Each executive department emergency administrative regulation shall be signed by the head of the administrative body and countersigned by the Governor prior to filing with the Commission. These signatures shall be on the statement of emergency attached to the front of the emergency administrative regulation.
  9. If an emergency administrative regulation will be replaced by an ordinary administrative regulation, the ordinary administrative regulation shall be filed at the same time as the emergency administrative regulation that it will replace.
  10. If an ordinary administrative regulation that was filed to replace an emergency administrative regulation is withdrawn:
    1. The emergency administrative regulation shall expire on the date the ordinary administrative regulation is withdrawn; and
    2. The administrative body shall inform the regulations compiler of the reasons for withdrawal in writing.
    1. If an emergency administrative regulation that was intended to be replaced by an ordinary administrative regulation is withdrawn, the emergency administrative regulation shall expire on the date it is withdrawn. (13) (a) If an emergency administrative regulation that was intended to be replaced by an ordinary administrative regulation is withdrawn, the emergency administrative regulation shall expire on the date it is withdrawn.
    2. If an emergency administrative regulation has been withdrawn, the ordinary administrative regulation that was filed with it shall not expire unless the administrative body informs the regulations compiler that the ordinary administrative regulation is also withdrawn.
    3. If an emergency administrative regulation is withdrawn, the administrative body shall inform the regulations compiler of the reasons for withdrawal in writing.
  11. The administrative regulations compiler shall notify all legislative committees of the number, title, and subject matter of all emergency administrative regulations and shall forward any additional information filed about the emergency administrative regulation requested by a legislative committee.

History. Enact. Acts 1984, ch. 417, § 19, effective April 13, 1984; 1988, ch. 71, § 1, effective July 15, 1988; 1988, ch. 425, § 6, effective July 15, 1988; 1990, ch. 516, § 20, effective July 13, 1990; 1994, ch. 410, § 10, effective July 15, 1994; 1996, ch. 180, § 7, effective July 15, 1996; 2000, ch. 406, § 7, effective July 14, 2000; 2003, ch. 89, § 8, effective June 24, 2003; 2005, ch. 100, § 5, effective June 20, 2005; 2016 ch. 82, § 12, effective July 15, 2016; 2021 ch. 7, § 4, effective February 2, 2021.

13A.200. Administrative regulation in contemplation of a statute — Procedure.

An administrative regulation in contemplation of a statute provides a means whereby an administrative body may promulgate and file an administrative regulation following the enactment of a statute authorizing or directing its promulgation by the General Assembly and its approval by the Governor or its becoming law without signature but before the effective date subject to the following:

  1. The administrative regulation may be filed any time after signature by the Governor or upon the act becoming law without the Governor’s signature but prior to the act’s effective date;
  2. The administrative regulation may be reviewed, hearings held, and all other steps taken with regard thereto, except for adoption, prior to the effective date of the statute that authorized or directed its issuance;
  3. All dates and other procedures that apply to an ordinary administrative regulation shall apply to an administrative regulation in contemplation of a statute; and
  4. An administrative regulation in contemplation of a statute shall in all other respects be considered as an ordinary administrative regulation.

History. Enact. Acts 1984, ch. 417, § 20, effective April 13, 1984; 1994, ch. 410, § 11, effective July 15, 1994; 2016 ch. 82, § 13, effective July 15, 2016.

13A.210. Tiering of administrative regulations.

  1. When promulgating administrative regulations and reviewing existing ones, administrative bodies shall, whenever possible, tier their administrative regulations to reduce disproportionate impacts on certain classes of regulated entities, including government or small business, or both, and to avoid regulating entities that do not contribute significantly to the problem the administrative regulation was designed to address. The tiers, however, shall be based upon reasonable criteria and uniformly applied to an entire class. Administrative bodies shall use any number of tiers that will solve most efficiently and effectively the problem the administrative regulation addresses. A written statement shall be submitted to the Legislative Research Commission explaining why tiering was or was not used.
  2. Administrative bodies may use, but shall not be limited to, the following methods of tiering administrative regulations:
    1. Reduce or modify substantive regulatory requirements;
    2. Eliminate some requirements entirely;
    3. Simplify and reduce reporting and recordkeeping requirements;
    4. Provide exemptions from reporting and recordkeeping requirements;
    5. Reduce the frequency of inspections;
    6. Provide exemptions from inspections and other compliance activities;
    7. Delay compliance timetables;
    8. Reduce, modify, or waive fines or other penalties for noncompliance; and
    9. Address and alleviate special problems of individuals and small businesses in complying with an administrative regulation.
  3. When tiering regulatory requirements, administrative bodies may use, but shall not be limited to, size and nonsize variables. Size variables include number of citizens, number of employees, level of operating revenues, level of assets, and market shares. Nonsize variables include degree of risk posed to humans, technological and economic ability to comply, geographic locations, and level of federal funding.
  4. When modifying tiers, administrative bodies shall monitor, but shall not be limited to, the following variables:
    1. Changing demographic characteristics;
    2. Changes in the composition of the workforce;
    3. Changes in the inflation rate requiring revisions of dollar-denominated tiers;
    4. Changes in market concentration and segmentation;
    5. Advances in technology; and
    6. Changes in legislation.

History. Enact. Acts 1984, ch. 417, § 21, effective April 13, 1984; 1990, ch. 516, § 21, effective July 13, 1990; 2003, ch. 89, § 9, effective June 24, 2003; 2004, ch. 165, § 4, effective July 13, 2004.

13A.215. Use of administrative regulation management application — Paper-based filing requirements — Notification to the regulations compiler.

  1. An administrative body may use an administrative regulation management application developed and maintained by the Legislative Research Commission, if available, to satisfy the following requirements of this chapter:
    1. Paper-based filing requirements; and
    2. Notifications to the regulations compiler.
  2. If the filing and notification requirements of this chapter are not available in the administrative regulation management application, the administrative body shall use the paper-based process established by this chapter.
  3. Paper-based shall include any procedure in this chapter that requires an administrative body to file or submit a hard copy to the compiler.

HISTORY: 2021 ch. 125, § 1, effective June 29, 2021.

13A.220. Compliance with KRS 13A.222 and 13A.224 required — Filing with compiler — Format.

All administrative regulations shall comply with the provisions of KRS 13A.222 and 13A.224 .

    1. An administrative body shall file with the regulations compiler: (1) (a) An administrative body shall file with the regulations compiler:
      1. The original and five (5) copies of an administrative regulation; and
      2. At the same time as, or prior to, filing the paper version, an electronic version of the administrative regulation and required attachments saved as a single document for each administrative regulation in an electronic format approved by the regulations compiler.
    2. If there are differences between the paper copy and the electronic version of an administrative regulation filed with the regulations compiler, the electronic version shall be the controlling version.
  1. The original and four (4) copies of each administrative regulation shall be stapled in the top left corner. The fifth copy of each administrative regulation shall not be stapled. The original and the five (5) copies of each administrative regulation shall be grouped together.
  2. An amendment to an administrative regulation shall not be made on a copy of the administrative regulation reproduced from the Kentucky Administrative Regulations Service or the Administrative Register. It shall be a typed original in the format specified in subsection (4) of this section.
  3. The format of an administrative regulation shall be as follows:
    1. An administrative regulation shall be typewritten on white paper, size eight and one-half (8-1/2) by eleven (11) inches and shall be double-spaced through the last line of the body of the administrative regulation. The first page shall have a two (2) inch top margin. The administrative regulation shall be typed in a twelve (12) point font approved by the regulations compiler. The lines on each page shall be numbered, with each page starting with line number one (1). Pages of an administrative regulation and documents attached to the administrative regulation shall be numbered sequentially. Page numbers shall be centered in the bottom margin of each page. Copies of the administrative regulation may be mechanically reproduced;
    2. The regulations compiler shall place a stamp indicating the date and time of receipt of the administrative regulation in the two (2) inch margin on the first page;
    3. The cabinet, department, and division of the administrative body shall be listed on separate double-spaced lines two (2) inches from the top in the upper left hand corner of the first page. This shall be followed on the next double- spaced line by “(New Administrative Regulation),” “(Amendment),” “(Amended After Comments),” “(Repealer),” “(New Emergency Administrative Regulation),” “(Emergency Amendment),” “(Emergency Amended After Comments),” or “(Emergency Repealer),” whichever is applicable;
    4. The notation shall be followed by the number and title of the administrative regulation on the next double-spaced line. The promulgating administrative body shall contact the regulations compiler prior to filing to obtain an administrative regulation number for a new administrative regulation;
    5. On the next double-spaced line following the number and title of an administrative regulation, after the words “RELATES TO:,” the administrative body shall list all statutes and other enactments, including any branch budget bills or executive orders, to which the administrative regulation relates or which shall be affected by the administrative regulation. After the words “STATUTORY AUTHORITY:” the administrative body shall list the specific statutes and other enactments, where applicable, authorizing the promulgation of the administrative regulation. Federal statutes and regulations shall be cited in the “RELATES TO:” and “STATUTORY AUTHORITY:” sections as provided by KRS 13A.222(4)(n) and (o); and
    6. Following the citations provided for in paragraph (e) of this subsection, and following the words “NECESSITY, FUNCTION, AND CONFORMITY:” the administrative body shall include a brief statement setting forth the necessity for promulgating the administrative regulation, a summary of the functions intended to be implemented by the administrative regulation, and, if applicable, the statement required by KRS 13A.245(2)(b).
  4. The numbering within the body of an administrative regulation shall be the responsibility of the promulgating body, subject to the authority of the regulations compiler to divide or renumber an administrative regulation. The following format shall be used by the administrative body in the numbering of each administrative regulation. Each section shall begin with the word “Section” followed by an Arabic number, and titles of sections shall be initially capitalized. Subsections shall be designated by an Arabic number in parentheses. Paragraphs shall be designated by lower case letters of the alphabet in parentheses (e.g., (a), (b), (c), etc.). Subparagraphs shall be designated by an Arabic number followed by a period (e.g., 1., 2., etc.). Clauses shall be designated by lower case letters of the alphabet followed by a period (e.g., a., b., c., etc.). Subclauses shall be designated by lower case Roman numerals in parentheses (e.g., (i), (ii), (iii), etc.). A section shall not be divided into subsections, paragraphs, subparagraphs, clauses, or subclauses if there is only one (1) item in that level of division.
  5. After the complete text of an administrative regulation, on the following page, the administrative body shall include the following information:
    1. If the provisions of KRS 13A.120(3) are applicable, a statement that the official or the head of the administrative body has reviewed or approved the administrative regulation; the signature of such official or head; and the date on which such review or approval occurred;
    2. The authorizing signature of the administrative body promulgating the administrative regulation, and the date on which the administrative body approved the promulgation;
    3. Information relating to public hearings and the public comment period required by KRS 13A.270 ; and
    4. The name, position, mailing address, telephone number, e-mail address, and facsimile number of the contact person of the administrative body. The contact person shall be the person authorized by the head of an administrative body to:
      1. Receive information relating to issues raised by the public or by a legislative committee prior to a public meeting of the legislative committee;
      2. Negotiate changes in language with a legislative committee in order to resolve such issues; and
      3. Answer questions relating to the administrative regulation.
  6. The format for signatures required by subsection (6)(a) and (b) of this section shall be as follows:
    1. The signature shall be placed on a signature line; and
    2. The name and title of the person signing shall be typed immediately beneath the signature line.
  7. An administrative body shall prominently display on its Web site:
    1. A notice that an administrative regulation has been filed with the Commission;
    2. A summary of the administrative regulation including:
      1. The number of the administrative regulation;
      2. The title of the administrative regulation; and
      3. Any changes made if it is an existing administrative regulation;
    3. Information on how to access the administrative regulation on the Commission’s Web site; and
    4. The dates of the public comment period and the place, time, and date of the scheduled public hearing as well as the manner in which interested parties shall submit:
      1. Notification of attending the public hearing; and
      2. Written comments.
    1. A letter of request, notification, or withdrawal required to be filed with the regulations compiler pursuant to this chapter may be filed electronically if the letter: (9) (a) A letter of request, notification, or withdrawal required to be filed with the regulations compiler pursuant to this chapter may be filed electronically if the letter:
      1. Is on the administrative body’s official letterhead; and
      2. Contains the signature of a representative of that administrative body.
    2. Paragraph (a) of this subsection shall not apply to the letters required by KRS 13A.320(2)(b) for amendments at a legislative committee meeting.

History. Enact. Acts 1984, ch. 417, § 22, effective April 13, 1984; 1988, ch. 425, § 7, effective July 15, 1988; 1990, ch. 516, § 22, effective July 13, 1990; 1994, ch. 387, § 13, effective July 15, 1994; 1994, ch. 410, § 12, effective July 15, 1994; 1996, ch. 180, § 8, effective July 15, 1996; 1996, ch. 330, § 1, effective July 15, 1996; 1998, ch. 38, § 4, effective July 15, 1998; 2000, ch. 406, § 8, effective July 14, 2000; 2003, ch. 89, § 10, effective June 24, 2003; 2005, ch. 100, § 6, effective June 20, 2005; 2012, ch. 138, § 4, effective July 12, 2012; 2016 ch. 82, § 14, effective July 15, 2016; 2021 ch. 7, § 5, effective February 2, 2021.

NOTES TO DECISIONS

1.Filing of Regulation.

Where Alcoholic Beverage Control Board entered order on December 27th increasing number of retail package liquor licenses for Franklin County by one and at the same time granted applicant a retail package liquor license, such license was void as the order increasing the number of licenses did not become effective until the original and two copies of the order were filed in the Secretary of State’s office which filing was not done until January 7th. (Decided under prior law) Shearer v. Dailey, 312 Ky. 226 , 226 S.W.2d 955, 1950 Ky. LEXIS 624 ( Ky. 1950 ).

13A.221. Division of subject matter of administrative regulation.

  1. An administrative body shall divide the general subject matter of administrative regulations it promulgates into topics. A separate administrative regulation shall be promulgated for each topic.
  2. An administrative body shall not incorporate all material relating to a general subject matter in one (1) administrative regulation. Material incorporated by reference shall be incorporated by reference in the administrative regulation governing the specific topic to which the material relates.
  3. When an administrative regulation is promulgated, the administrative body shall review the administrative regulation, whether it is new or amended, in its entirety for compliance with the requirements of KRS Chapter 13A and current law governing the subject matter of the administrative regulation.

History. Enact. Acts 1990, ch. 516, § 12, effective July 13, 1990; 2000, ch. 406, § 9, effective July 14, 2000; 2016 ch. 82, § 15, effective July 15, 2016.

13A.222. Drafting rules.

  1. In a new administrative regulation, there shall be no underlining or bracketing.
  2. In an amendment to an administrative regulation, the new words shall precede the deleted words. The administrative body shall:
    1. Underline all new words; and
    2. Place the deleted words in brackets and strike through these words.
    1. An administrative regulation shall not be amended by reference to a section only. An amendment shall contain the full text of the existing administrative regulation being amended. All changes made to the text of the existing administrative regulation shall be marked as required by subsection (2) of this section. (3) (a) An administrative regulation shall not be amended by reference to a section only. An amendment shall contain the full text of the existing administrative regulation being amended. All changes made to the text of the existing administrative regulation shall be marked as required by subsection (2) of this section.
    2. A section of an administrative regulation shall not be reserved for future use.
  3. In drafting administrative regulations, the administrative body shall comply with the following requirements:
    1. The administrative body shall use plain and unambiguous words that are easily understood by laymen. The administrative body shall avoid ambiguous, indefinite, or superfluous words and phrases;
    2. A duty, obligation, or prohibition shall be expressed by “shall” or “shall not.” “Should,” “could,” or “must” shall not be used. The future tense shall not be expressed by the word “shall.” A discretionary power shall be expressed by “may”;
    3. The words “said,” “aforesaid,” “hereinabove,” “hereinafter,” “beforementioned,” “whatsoever,” or similar words of reference or emphasis shall not be used. Where an article may be used, the administrative body shall not use the word “such.” It shall not use the expression “and/or” and shall not separate alternatives with a slash. It shall not use contractions. When a number of items are all mandatory, the word “and” shall be used. When all of a number of items are not mandatory, the word “or” shall be used;
    4. Certain words are defined in the Kentucky Revised Statutes. Where applicable, these definitions shall be used. Definitions appearing in the Kentucky Revised Statutes shall not be duplicated in a proposed administrative regulation. A reference shall be made to the chapters and sections of the Kentucky Revised Statutes in which the definitions appear. The format for this reference shall be: “(“Defined term”) is defined by KRS (specific citation).”;
      1. If definitions are used, they shall be placed in alphabetical order in the first section of an administrative regulation or in a separate administrative regulation. (e) 1. If definitions are used, they shall be placed in alphabetical order in the first section of an administrative regulation or in a separate administrative regulation.
        1. If definitions are placed in the first section of an administrative regulation, the definitions shall govern only the terms in that administrative regulation. 2. a. If definitions are placed in the first section of an administrative regulation, the definitions shall govern only the terms in that administrative regulation.
        2. The section shall be titled “Definition.” or “Definitions.”
        3. A definition shall not be included in a definitions section if the defined term is not used in that administrative regulation or the material incorporated by reference in that administrative regulation.
        1. If definitions are placed in a separate administrative regulation, that administrative regulation shall be the first administrative regulation of the specific chapter of the Kentucky Administrative Regulations Service to which the definitions apply. 3. a. If definitions are placed in a separate administrative regulation, that administrative regulation shall be the first administrative regulation of the specific chapter of the Kentucky Administrative Regulations Service to which the definitions apply.
        2. The title of the administrative regulation shall contain the number of the chapter of the Kentucky Administrative Regulations Service to which the definitions apply and shall be in the format: “Definitions for (title number) KAR Chapter (chapter number).”
        3. A definition shall not be included in a definitions administrative regulation if the defined term is not used in an administrative regulation in that specific chapter or the material incorporated by reference in an administrative regulation in that chapter.
      2. In the text of an administrative regulation, the word defined in the definitions section, rather than the definition, shall be used.
      3. Definitions shall be used only:
        1. When a word is used in a sense other than its dictionary meaning, or is used in the sense of one of several dictionary meanings;
        2. To avoid repetition of a phrase; or
        3. To limit or extend the provisions of an administrative regulation.
      4. Definitions shall not establish requirements or standards;
    5. If a word has the same meaning as a phrase, the word shall be used;
    6. The present tense and the indicative mood shall be used. Conditions precedent shall be stated in the perfect tense if their happening is required to be completed;
    7. The same arrangement and form of expression shall be used throughout an administrative regulation, unless the meaning requires variations;
    8. If” or “except” shall be used rather than “provided that” or “provided, however.” “If” shall be used to express conditions, rather than the words “when” or “where”;
    9. A word importing the masculine gender may extend to females. A word importing the singular number may extend to several persons or things;
    10. Any reference in an administrative regulation to “medical doctor,” “M.D.,” or “physician” shall be deemed to include a doctor of osteopathy or D.O., unless either of those terms is specifically excluded;
    11. An administrative body shall use the phrases specified in this subsection:
      1. Unless the authority for an administrative regulation is an appropriation provision that is not codified in the Kentucky Revised Statutes, the specific chapter and section number of the Kentucky Revised Statutes authorizing the promulgation of an administrative regulation shall be cited. (m) 1. Unless the authority for an administrative regulation is an appropriation provision that is not codified in the Kentucky Revised Statutes, the specific chapter and section number of the Kentucky Revised Statutes authorizing the promulgation of an administrative regulation shall be cited.
        1. If an act has not been codified in the Kentucky Revised Statutes at the time an administrative regulation is promulgated, or if the authority is any branch budget bill, the citation shall be as follows: “(year) Ky. Acts ch. (chapter number), sec. (section number).” When an act has been codified, the administrative body shall notify the regulations compiler of the proper citation in writing. Upon receipt of the written notice, the regulations compiler shall correct the citation. 2. a. If an act has not been codified in the Kentucky Revised Statutes at the time an administrative regulation is promulgated, or if the authority is any branch budget bill, the citation shall be as follows: “(year) Ky. Acts ch. (chapter number), sec. (section number).” When an act has been codified, the administrative body shall notify the regulations compiler of the proper citation in writing. Upon receipt of the written notice, the regulations compiler shall correct the citation.
        2. For acts of extraordinary sessions, the citation shall be as follows: “(year) (Extra. Sess.) Ky. Acts ch. (chapter number), sec. (section number).” If there is more than one (1) extraordinary session of the General Assembly in the year, the citation shall specify the specific extraordinary session, as follows: “(year) (2d Extra. Sess.) Ky. Acts ch. (chapter number), sec. (section number).”
      2. When an act has been codified, the administrative body shall notify the regulations compiler of the proper citation of the Kentucky Revised Statutes in writing. Upon receipt of the written notice, the regulations compiler shall correct the citation.
      3. If the statutory authority is an appropriation act, the citation shall be as follows: “(year) Ky. Acts ch. (chapter number), Part (part and subpart numbers).”
      4. If the authority is an executive order, the citation shall be as follows: “EO (year executive order issued)-(number of executive order);
    12. If the statutory authority is a federal statute, the citation shall be the:
      1. United States Code (U.S.C.), if it has been codified; or
      2. Public Law (Pub. L.) and official session laws, if it has not been codified;
      1. If the statutory authority is a federal regulation codified in the Code of Federal Regulations, the citation shall include the title, part, and section number, as follows: “(title number) C.F.R. (part and section number).” (o) 1. If the statutory authority is a federal regulation codified in the Code of Federal Regulations, the citation shall include the title, part, and section number, as follows: “(title number) C.F.R. (part and section number).”
        1. If the statutory authority is a federal regulation that has not been codified in the Code of Federal Regulations, the citation shall be to the Federal Register, as follows: “(volume number) Fed. Reg. (page number) (effective date of the federal regulation) (section of Code of Federal Regulations in which it will be codified).” 2. a. If the statutory authority is a federal regulation that has not been codified in the Code of Federal Regulations, the citation shall be to the Federal Register, as follows: “(volume number) Fed. Reg. (page number) (effective date of the federal regulation) (section of Code of Federal Regulations in which it will be codified).”
        2. When the federal regulation is codified, the citation shall be amended to read as provided by subparagraph 1. of this paragraph.
        1. If the statutory authority is a federal regulation that has been amended, and the amendment is not reflected in the current issue date of the volume of the Code of Federal Regulations in which the federal regulation is codified, the citation shall be to the Federal Register as follows: “(federal regulation that has been amended), (volume number) Fed. Reg. (page number) (effective date of the amendment).” 3. a. If the statutory authority is a federal regulation that has been amended, and the amendment is not reflected in the current issue date of the volume of the Code of Federal Regulations in which the federal regulation is codified, the citation shall be to the Federal Register as follows: “(federal regulation that has been amended), (volume number) Fed. Reg. (page number) (effective date of the amendment).”
        2. When the amendment is codified in the appropriate volume of the Code of Federal Regulations, the citation shall be amended to read as provided by subparagraph 1. of this paragraph;
    13. Citations of items in the “RELATES TO” paragraph of an administrative regulation shall comply with paragraphs (m), (n), and (o) of this subsection; and
    14. An administrative regulation may cite the popular name of a federal or state law if the first usage of the popular name in that administrative regulation is accompanied by the citation required by this subsection.

Do Not Use: Use: And/or “and” for a conjunctive “or” for a disjunctive Any and all either word As provided in this administrative regulation —— And the same hereby is is Either directly or indirectly —— Except where otherwise provided State specific exemption. Final and conclusive final Full force and effect force or effect In the event that; In case if Including but not limited to State the specific items to be included. Is authorized; Is empowered may Is defined and shall be construed to mean means Is hereby required to shall It shall be lawful may Latin words Do not use unless medical or scientific terminology. However, “et seq.” may be used for citations. Null and void and of no effect void Order and direct either word Provision of law law Until such time as until Whenever if;

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History. Enact. Acts 1988, ch. 425, §§ 1, 2, effective July 15, 1988; 1990, ch. 516, § 23, effective July 13, 1990; 1994, ch. 387, § 14, effective July 15, 1994; 1994, ch. 410, § 13, effective July 15, 1994; 1996, ch. 180, § 9, effective July 15, 1996; 2000, ch. 406, § 10, effective July 14, 2000; 2005, ch. 100, § 7, effective June 20, 2005; 2011, ch. 73, § 1, effective June 8, 2011; 2012, ch. 138, § 5, effective July 12, 2012; 2016 ch. 82, § 16, effective July 15, 2016.

NOTES TO DECISIONS

Cited in:

AK Steel Corp. v. Commonwealth, 87 S.W.3d 15, 2002 Ky. App. LEXIS 1921 (Ky. Ct. App. 2002).

13A.224. General requirements for incorporation by reference.

No material shall be incorporated by reference unless:

  1. The material incorporated by reference relates only to the specific subject matter governed by an administrative regulation;
  2. The material has been reviewed in detail by the administrative body;
  3. No state statute or federal law prescribes the same or similar procedure, or sets forth a comprehensive scheme of regulation of the subject matter; and
  4. Its incorporation is necessary in order to:
    1. Implement, interpret, or prescribe law or policy authorized or required by statute; or
    2. Establish or describe the organization, procedure, or practice requirements authorized or required by statute.

History. Enact. Acts 1988, ch. 425, § 3, effective July 15, 1988; 1990, ch. 516, § 24, effective July 13, 1990; 2016 ch. 82, § 17, effective July 15, 2016.

13A.2245. Incorporation of code or uniform standard by reference.

  1. An administrative body may incorporate by reference a code or uniform standard if a federal or state statute:
    1. Requires or authorizes an administrative body to implement, or a regulated entity to comply with, the provisions of that code or uniform standard; and
    2. Does not set forth the code or uniform standard, or a comprehensive scheme of regulation.
  2. If a code or uniform standard is changed by the administrative body, the administrative body shall:
    1. Clearly state the provisions in the body of the administrative regulation that are different than those included in the code or uniform standard; and
    2. File with the regulations compiler a:
      1. Copy of the code or uniform standard;
      2. Summary listing the pages upon which changes have been made; and
      3. Detailed summary of the changes and their effect.

        The summaries shall be attached to the back of the proposed administrative regulation.

  3. If a federal regulation requires an administrative body to adopt, develop, or implement material of a scientific or technical nature that does not lend itself to the format requirements of KRS Chapter 13A, the administrative body may incorporate the material by reference in an administrative regulation as provided by KRS 13A.2251 and 13A.2255 .

History. Enact. Acts 1990, ch. 516, § 6, effective July 13, 1990; 2000, ch. 406, § 11, effective July 14, 2000; 2005, ch. 100, § 8, effective June 20, 2005; 2012, ch. 138, § 6, effective July 12, 2012.

13A.2251. Information required in administrative regulation when incorporating material by reference.

  1. An administrative body shall incorporate material by reference in the last section of an administrative regulation. This section shall include:
    1. The title of the material incorporated by reference placed in quotation marks, followed by the edition date of the material;
    2. Information on how the material may be obtained; and
    3. A statement that the material is available for public inspection and copying, subject to copyright law, at the main, regional, or branch offices of the administrative body, and the address and office hours of each. Following the required statement, the administrative body shall include information that states the administrative body’s Web site address or telephone number or that provides contact information for other sources that may have the material available to the public.
  2. The section incorporating material by reference shall be titled “Incorporation by Reference”.
    1. If only one (1) item is incorporated by reference, the first subsection of the section incorporating material by reference shall contain the following statement: “(name and edition date of material incorporated) is incorporated by reference.”
    2. If more than one (1) item is incorporated by reference, the first subsection of the section incorporating material by reference shall contain the following statement: “The following material is incorporated by reference: (a) (name and edition date of first item incorporated); and (b) (name and edition date of second item incorporated).”
    3. The second subsection of the section incorporating material by reference shall include the following statement: “This material may be inspected, copied, or obtained, subject to applicable copyright law, at (name of administrative body, full address), Monday through Friday, (state the regular office hours).”
  3. A summary of the incorporated material, in detail sufficient to identify the subject matter to which it pertains, shall be attached to an administrative regulation that incorporates material by reference. This summary shall include:
    1. Relevant programs, statutes, funds, rights, duties, and procedures affected by the material and the manner in which they are affected;
    2. A citation of the specific state or federal statutes or regulations authorizing or requiring the procedure or policy found in the material incorporated by reference; and
    3. The total number of pages incorporated by reference.
      1. One (1) copy of the material incorporated by reference shall be filed with the regulations compiler when the administrative regulation is filed. (4) (a) 1. One (1) copy of the material incorporated by reference shall be filed with the regulations compiler when the administrative regulation is filed.
      2. For material incorporated by reference that was developed by the promulgating administrative body:
        1. The material incorporated by reference shall be prominently displayed on the administrative body’s Web site; and
        2. The Uniform Resource Locator (URL) of the address where the material may be directly viewed on the agency’s Web site shall be included in the body of the administrative regulation.
      3. For materials incorporated by reference that are subject to a valid copyright owned by a third party not controlled by the promulgating administrative body, the material shall be referenced by providing sufficient information to assist in locating the material from the third party.
    1. Material incorporated by reference shall be placed in a binder, attached to the back of the administrative regulation, or filed on a CD-ROM or DVD.
      1. If the material is placed in a binder, the administrative body shall indicate, on the front binder cover and on the first page of the material incorporated by reference, the:
        1. Number of the administrative regulation to which the material incorporated by reference pertains;
        2. Date on which it is filed; and
        3. Citation of each item that is included in the binder.
      2. The material incorporated by reference may be attached to the back of the administrative regulation if it is:
        1. No more than four (4) pages in length; and
        2. Typewritten on white paper, size eight and one-half (8 1/2) by eleven (11) inches, and single-sided.
      3. The material incorporated by reference may be filed on a CD-ROM or DVD disc if the material is saved in Adobe Portable Document Format (PDF). The administrative body shall indicate on the disc and the disc’s storage case the:
        1. Number of the administrative regulation to which the material incorporated by reference pertains;
        2. Date on which it is filed; and
        3. Citation of each item that is included on the disc.
    2. If the same material is incorporated by reference in more than one (1) administrative regulation, an administrative body may file one (1) copy of the material in a binder or on a CD-ROM or DVD disc. The numbers of the administrative regulations in which the material is incorporated by reference shall be indicated with the other information as required by paragraph (b) of this subsection.

History. Enact. Acts 1990, ch. 516, § 7, effective July 13, 1990; 1994, ch. 410, § 14, effective July 15, 1994; 1996, ch. 180, § 10, effective July 15, 1996; 1998, ch. 38, § 5, effective July 15, 1998; 2000, ch. 406, § 12, effective July 14, 2000; 2005, ch. 100, § 9, effective June 20, 2005; 2016 ch. 82, § 18, effective July 15, 2016; 2021 ch. 7, § 6, effective February 2, 2021.

13A.2255. Amendment of material previously incorporated by reference.

  1. When an administrative body amends material that had been previously incorporated by reference, the amendment shall be accomplished by submission of:
    1. An amendment to the administrative regulation with a new edition date for the material incorporated by reference. The amendment shall be filed in accordance with:
      1. KRS 13A.220 to initiate a change in an existing administrative regulation;
      2. KRS 13A.280 to amend a proposed administrative regulation as a result of the hearing or written comments received; or
      3. KRS 13A.320 to amend a proposed administrative regulation at a legislative committee meeting;
      1. An entire new document in which the amendments have been made but are not reflected in the manner specified in KRS 13A.222(2). (b) 1. An entire new document in which the amendments have been made but are not reflected in the manner specified in KRS 13A.222(2).
      2. If the new document has been developed by the promulgating administrative body, the entire document shall be displayed prominently on the administrative body’s Web site and the Uniform Resource Locator (URL) of the address where the material may be directly viewed on the agency’s Web site shall be included in the body of the administrative regulation.
      3. If any materials incorporated by reference are subject to a valid copyright owned by a third party not controlled by the promulgating administrative body, the material shall be referenced by providing sufficient information to assist in locating the material from the third party;
    2. A detailed summary of the changes and their effect. This summary shall:
        1. Describe changes that are being made in the material incorporated by reference, in sufficient detail that a person reading the summary will know the differences between the material previously incorporated by reference and the new material; or 1. a. Describe changes that are being made in the material incorporated by reference, in sufficient detail that a person reading the summary will know the differences between the material previously incorporated by reference and the new material; or
        2. List each change in the manner required by KRS 13A.320 (2)(c) and (d); and
      1. Be attached to the back of the administrative regulation or, if part of an amendment pursuant to KRS 13A.320, to the amendment submitted for the legislative committee meeting; and
    3. The page or pages of any document developed by the promulgating administrative body in which changes have been made, with the changes accomplished in the manner specified in KRS 13A.222(2). Notwithstanding KRS 13A.040(6), the regulations compiler shall not be required to keep these marked copies once the administrative regulation has been adopted or withdrawn.
    1. If the changes to the material incorporated by reference are technical in nature and authorized by KRS 13A.040(10) or 13A.312 , the administrative body may submit to the regulations compiler a copy of the revised material incorporated by reference and a detailed letter explaining what changes are made and the reason for the changes. (2) (a) If the changes to the material incorporated by reference are technical in nature and authorized by KRS 13A.040(10) or 13A.312 , the administrative body may submit to the regulations compiler a copy of the revised material incorporated by reference and a detailed letter explaining what changes are made and the reason for the changes.
    2. If the regulations compiler determines that the requested change does not affect the substance of the material incorporated by reference and that the change is authorized by KRS 13A.040(10) or 13A.312, the edition date stated in the administrative regulation shall be changed to match the edition date on the revised material and the history line of that administrative regulation shall note that a technical amendment was made.
    3. If the requested change affects the substance of the material incorporated by reference or is not authorized by KRS 13A.040(10) or 13A.312, the administrative body shall comply with subsection (1) of this section.

History. Enact. Acts 1990, ch. 516, § 8, effective July 13, 1990; 1994, ch. 410, § 15, effective July 15, 1994; 2000, ch. 406, § 13, effective July 14, 2000; 2005, ch. 100, § 10, effective June 20, 2005; 2012, ch. 138, § 7, effective July 12, 2012; 2016 ch. 82, § 19, effective July 15, 2016; 2021 ch. 7, § 7, effective February 2, 2021.

13A.2261. Federal statutes and regulations not to be incorporated by reference.

Federal statutes and regulations shall not be incorporated by reference. If applicable, they shall be cited in the “RELATES TO” and “STATUTORY AUTHORITY” references in a proposed administrative regulation.

History. Enact. Acts 1990, ch. 516, § 9, effective July 13, 1990; 2005, ch. 100, § 11, effective June 20, 2005.

13A.2264. Incorporation by reference of federal regulation — Prohibitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 516, § 10, effective July 13, 1990; 1998, ch. 38, § 11, effective July 15, 1998) was repealed by Act 2005, ch. 100, § 24, effective June 20, 2005.

13A.2267. Certain federal regulations prohibited from incorporation — Procedure for submission of federal regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 516, § 11, effective July 13, 1990; 1998, ch. 38, § 12, effective July 15, 1998) was repealed by Act 2005, ch. 100, § 24, effective June 20, 2005.

13A.230. Other material to be filed with and e-mailed to compiler.

  1. The administrative body shall attach the following forms to the back of the original and each copy of an administrative regulation:
    1. Regulatory impact analysis as required by KRS 13A.240 ;
    2. Tiering statement as required by KRS 13A.210 ;
    3. Fiscal note as required by KRS 13A.250 ;
    4. Federal mandate comparison, if applicable, as required by KRS 13A.245 ; and
    5. The summaries provided for in KRS 13A.2245 , 13A.2251 , or 13A.2255 , if applicable.
  2. The forms required by subsection (1) of this section shall be obtained from the regulations compiler.
  3. The electronic version of an administrative regulation and the attachments required by subsection (1) of this section shall be sent by e-mail to the regulations compiler in a single document at the same time as, or prior to, filing the paper version in accordance with KRS 13A.190 , 13A.220 , or 13A.280 in an electronic format approved by the regulations compiler.

History. Enact. Acts 1984, ch. 417, § 23, effective April 13, 1984; 1986, ch. 89, § 7, effective July 15, 1986; 1988, ch. 425, § 8, effective July 15, 1988; 1990, ch. 516, § 25, effective July 13, 1990; 1994, ch. 410, § 16, effective July 15, 1994; 2003, ch. 89, § 11, effective June 24, 2003; 2005, ch. 100, § 12, effective June 20, 2005; 2012, ch. 138, § 8, effective July 12, 2012; 2016 ch. 82, § 20, effective July 15, 2016.

13A.240. Regulatory impact analysis.

  1. Every administrative body shall prepare and submit to the Legislative Research Commission an original and five (5) duplicate copies of a regulatory impact analysis for every administrative regulation when it is filed with the Commission. The regulatory impact analysis shall include the following information:
    1. The number of the administrative regulation;
    2. The name, e-mail address, and telephone number of the contact person of the administrative body identified pursuant to KRS 13A.220(6)(d), and, if applicable, the name, e-mail address, and telephone number of an alternate person to be contacted with specific questions about the regulatory impact analysis;
    3. A brief narrative summary of:
      1. What the administrative regulation does;
      2. The necessity of the administrative regulation;
      3. How the administrative regulation conforms to the content of the authorizing statutes; and
      4. How the administrative regulation currently assists or will assist in the effective administration of the statutes;
    4. If this is an amendment to an existing administrative regulation, a brief narrative summary of:
      1. How the amendment will change the existing administrative regulation;
      2. The necessity of the amendment to the administrative regulation;
      3. How the amendment conforms to the content of the authorizing statutes; and
      4. How the amendment to the administrative regulation will assist in the effective administration of the statutes;
    5. The type and number of individuals, businesses, organizations, or state and local governments affected by the administrative regulation;
    6. An analysis of how the entities referenced in paragraph (e) of this subsection will be impacted by either the implementation of this administrative regulation, if new, or by the change if it is an amendment to an existing administrative regulation. The analysis shall include but not be limited to:
      1. A detailed explanation of the actions the entities referenced in paragraph (e) of this subsection will be required to undertake in order to comply with the proposed administrative regulation;
      2. An estimate of the costs imposed on entities referenced in paragraph (e) of this subsection in order to comply with the proposed administrative regulation; and
      3. The benefits that may accrue to the entities referenced in paragraph (e) of this subsection as a result of compliance;
    7. An estimate of how much it will cost the administrative body to implement this administrative regulation, both initially and on a continuing basis;
    8. The source of the funding to be used for the implementation and enforcement of the administrative regulation;
    9. An assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation or amendment to an existing administrative regulation;
    10. A statement as to whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees; and
    11. The tiering statement required by KRS 13A.210 .
  2. The Legislative Research Commission shall review all regulatory impact analyses submitted by all administrative bodies, and may require any administrative body to submit background data upon which the information required by subsection (1) of this section is based, and an explanation of how the data was gathered.

History. Enact. Acts 1984, ch. 417, § 24, effective April 13, 1984; 1994, ch. 410, § 17, effective July 15, 1994; 2000, ch. 406, § 14, effective July 14, 2000; 2005, ch. 100, § 13, effective June 20, 2005; 2006, ch. 166, § 1, effective July 12, 2006; 2016 ch. 82, § 21, effective July 15, 2016.

13A.245. Agencies to prepare a federal mandate analysis comparing proposed state regulatory standards to federal standards — Relationship between state administrative regulation and federal law or regulation governing a subject matter.

    1. When promulgating administrative regulations and amending existing administrative regulations in response to a federal mandate, an administrative body shall compare its proposed compliance standards with any minimum or uniform standards suggested or contained in the federal mandate. (1) (a) When promulgating administrative regulations and amending existing administrative regulations in response to a federal mandate, an administrative body shall compare its proposed compliance standards with any minimum or uniform standards suggested or contained in the federal mandate.
    2. Such a comparison shall include, in detail, a written determination by the administrative body on whether the proposed state administrative regulation will impose stricter requirements or other responsibilities on the regulated entities than those required by the federal mandate.
    3. If the administrative body determines that the proposed state administrative regulation imposes additional requirements or responsibilities on the regulated entities than is required by the federal mandate, the administrative body shall include in its comparison analysis a written statement justifying the imposition of stricter standards, requirements, or responsibilities.
    1. Except as provided by paragraph (b) of this subsection, an administrative regulation shall conform to a federal law or regulation governing a subject matter if an administrative body is: (2) (a) Except as provided by paragraph (b) of this subsection, an administrative regulation shall conform to a federal law or regulation governing a subject matter if an administrative body is:
      1. Not required by federal law or regulation to promulgate an administrative regulation to comply with a federal law or regulation governing the subject matter; and
      2. Required or authorized by state law to promulgate an administrative regulation governing the subject matter.
    2. If the administrative regulation is more stringent than or otherwise differs from the federal law or regulation governing the subject matter, the administrative body shall state in detail in the “NECESSITY, FUNCTION, AND CONFORMITY” paragraph of the administrative regulation the manner in which it is more stringent than or otherwise differs from the federal law or regulation, and the reasons therefor.

History. Enact. Acts 1986, ch. 89, § 8, effective July 15, 1986; 1996, ch. 330, § 2, effective July 15, 1996.

13A.250. Consideration of costs to local and state government — Fiscal note.

  1. An administrative body that promulgates an administrative regulation shall consider the cost that the administrative regulation may cause state or local government to incur. The cost analysis shall include the projected cost or cost savings to the Commonwealth of Kentucky and each of its affected agencies, and the projected cost or cost savings to affected local governments, including cities, counties, fire departments, and school districts. Agencies affected by the administrative regulation may submit comments in accordance with KRS 13A.270(1) to the promulgating administrative body or to a legislative committee reviewing the administrative regulation.
  2. Each administrative body that promulgates an administrative regulation shall prepare and submit with the administrative regulation a fiscal note. The fiscal note shall state:
    1. The number of the administrative regulation;
    2. The name, e-mail address, and telephone number of the contact person of the administrative body identified pursuant to KRS 13A.220(6)(d), and, if applicable, the name, e-mail address, and telephone number of an alternate person to be contacted with specific questions about the fiscal note;
    3. The unit, part, or division of state or local government the administrative regulation will affect;
    4. In detail, the aspect or service of state or local government to which the administrative regulation relates, including identification of the applicable state or federal statute or regulation that mandates the aspect or service or authorizes the action taken by the administrative regulation; and
    5. The estimated effect of the administrative regulation on the expenditures and revenues of a state or local government agency for the first full year the administrative regulation will be in effect. If specific dollar estimates cannot be determined, the administrative body shall provide a brief narrative to explain the fiscal impact of the administrative regulation.
  3. Any administrative body may request the advice and assistance of the Commission in the preparation of the fiscal note.

History. Enact. Acts 1984, ch. 417, § 25, effective April 13, 1984; 1994, ch. 410, § 18, effective July 15, 1994; 2003, ch. 89, § 12, effective June 24, 2003; 2006, ch. 166, § 2, effective July 12, 2006; 2006, ch. 197, § 1, effective July 12, 2006; 2012, ch. 138, § 9, effective July 12, 2012; 2016 ch. 82, § 22, effective July 15, 2016; 2021 ch. 7, § 8, effective February 2, 2021.

13A.255. Notice of ordinary administrative regulation proposing to establish or increase fees.

  1. Within five (5) working days of the filing of an ordinary administrative regulation that proposes to establish or increase fees, except those fees exempted by KRS 13A.100(3), an administrative body shall mail or e-mail a notice containing the information required by subsection (2) of this section, to each state association, organization, or other body representing a person or entity affected by the administrative regulation.
  2. The notice shall include the following information:
    1. The name of the administrative body that filed the proposed administrative regulation;
    2. A statement that the administrative body has promulgated an administrative regulation that establishes or increases fees;
    3. A summary of the administrative regulation that includes:
      1. The amount of each fee being established;
      2. The amount of any increases to any fees previously established; and
      3. The necessity for the establishment or increase in the fees;
    4. A statement that a person or entity may contact the administrative body for additional information;
    5. The time, date, and place of the scheduled public hearing;
    6. The deadline for submitting written comments as established in KRS 13A.270(1)(c); and
    7. The name, mailing address, e-mail address, and telephone number of the contact person for the administrative body identified pursuant to KRS 13A.220(6)(d).

History. Enact. Acts 2000, ch. 406, § 1, effective July 14, 2000; 2005, ch. 100, § 14, effective June 20, 2005; 2012, ch. 138, § 10, effective July 12, 2012; 2016 ch. 82, § 23, effective July 15, 2016.

13A.260. Assignment of proposed administrative regulation to a subcommittee for review and consideration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 26, effective April 13, 1984) was repealed by Acts 1988, ch. 71, § 11, effective March 16, 1988.

13A.270. Public hearing and comments — Notice — Communication by e-mail regarding administrative regulations — When notification of regulations compiler required.

    1. In addition to the public comment period required by paragraph (c) of this subsection, following publication in the Administrative Register of the text of an administrative regulation, the administrative body shall, unless authorized to cancel the hearing pursuant to subsection (7) of this section, hold a hearing, open to the public, on the administrative regulation. (1) (a) In addition to the public comment period required by paragraph (c) of this subsection, following publication in the Administrative Register of the text of an administrative regulation, the administrative body shall, unless authorized to cancel the hearing pursuant to subsection (7) of this section, hold a hearing, open to the public, on the administrative regulation.
    2. The public hearing for an:
      1. Ordinary administrative regulation shall not be held before the twenty-first day or after the last workday of the month following the month in which the administrative regulation is published in the Administrative Register; or
      2. Emergency administrative regulation shall not be held before the twenty-first day or after the last workday of the month in which the administrative regulation is published in the Administrative Register.

        Nothing in this paragraph shall preclude the administrative body from holding additional public hearings in addition to the hearing mandated in subparagraph 1. or 2. of this paragraph.

    3. The administrative body shall accept written comments regarding the administrative regulation during the comment period. The comment period shall begin on the date the administrative regulation is filed with the regulations compiler and:
      1. For an ordinary administrative regulation, shall run until 11:59 p.m. on the last day of the calendar month following the month in which the administrative regulation was published in the Administrative Register; or
      2. For an emergency administrative regulation, shall run until 11:59 p.m. on the last day of the calendar month in which the administrative regulation is published in the Administrative Register.
  1. Each administrative regulation shall state:
    1. The place, time, and date of the scheduled public hearing;
    2. The manner in which interested persons shall submit their:
      1. Notification of attending the public hearing; and
      2. Written comments;
    3. That notification of attending the public hearing shall be transmitted to the administrative body no later than five (5) workdays prior to the date of the scheduled public hearing;
    4. The deadline for submitting written comments regarding the administrative regulation in accordance with subsection (1)(c) of this section; and
    5. The name, position, mailing address, e-mail address, and telephone and facsimile numbers of the person to whom a notification and written comments shall be transmitted.
    1. A person who wishes to be notified that an administrative body has filed an administrative regulation shall: (3) (a) A person who wishes to be notified that an administrative body has filed an administrative regulation shall:
      1. Contact the administrative body by telephone or written letter to request that the administrative body send the information required by paragraph (c) or (d) of this subsection to the person; or
      2. Complete an electronic registration form located on a centralized state government Web site developed and maintained by the Commonwealth Office of Technology.
    2. A registration submitted pursuant to paragraph (a) of this subsection shall:
      1. Indicate whether the person wishes to receive notification regarding:
        1. All administrative regulations promulgated by an administrative body; or
        2. Each administrative regulation that relates to a specified subject area. The subject areas shall be provided by the administrative bodies and shall be listed on the centralized state government Web site in alphabetical order;
      2. Include a request for the person to provide an e-mail address in order to receive regulatory information electronically;
      3. Be valid for a period of four (4) years from the date the registration is submitted, or until the person submits a written request to be removed from the notification list, whichever occurs first; and
      4. Be transmitted to the promulgating administrative body, if the registration was made through the centralized state government Web site. The collected e-mail addresses shall be used solely for the purposes of this subsection and shall not be sold, transferred, or otherwise made available to third parties, other than the promulgating administrative body.
    3. A copy of the administrative regulation as filed, and all attachments required by KRS 13A.230(1), shall be e-mailed:
      1. To every person who has:
        1. Registered pursuant to paragraph (a) of this subsection; and
        2. Provided an e-mail address as part of the registration request;
      2. Within five (5) working days after the date the administrative regulation is filed with the Commission; and
      3. With a request from the administrative body that affected individuals, businesses, or other entities submit written comments that identify the anticipated effects of the proposed administrative regulation.
    4. Within five (5) working days after the date the administrative regulation is filed with the Commission, the administrative body shall mail the following information to every person who has registered pursuant to paragraph (a) of this subsection but did not provide an e-mail address:
      1. A cover letter from the administrative body requesting that affected individuals, businesses, or other entities submit written comments that identify the anticipated effects of the proposed administrative regulation;
      2. A copy of the regulatory impact analysis required by KRS 13A.240 completed in detail sufficient to put the individual on notice as to the specific contents of the administrative regulation, including all proposed amendments to the administrative regulation; and
      3. A statement that a copy of the administrative regulation may be obtained from the Commission’s Web site, which can be accessed on-line through public libraries or any computer with Internet access. The Commission’s Web site address shall be included in the statement.
    5. An administrative body shall not be required to send a copy of an administrative regulation that was amended after comments in accordance with KRS 13A.280 to persons who have registered pursuant to paragraph (a) of this subsection, unless the person requested a copy pursuant to KRS 13A.280 (8).
    1. If small business may be impacted by an administrative regulation, the administrative body shall e-mail a copy of the administrative regulation as filed, and all attachments required by KRS 13A.230(1), to the chief executive officer of the Commission on Small Business Innovation and Advocacy within one (1) working day after the date the administrative regulation is filed with the Commission. (4) (a) If small business may be impacted by an administrative regulation, the administrative body shall e-mail a copy of the administrative regulation as filed, and all attachments required by KRS 13A.230(1), to the chief executive officer of the Commission on Small Business Innovation and Advocacy within one (1) working day after the date the administrative regulation is filed with the Commission.
    2. The e-mail shall include a request from the administrative body that the Commission on Small Business Innovation and Advocacy review the administrative regulation in accordance with KRS 11.202(1)(e) and submit its report or comments in accordance with the deadline established in subsection (1)(c) of this section. A copy of the report shall be filed with the regulations compiler.
    3. An administrative body shall not be required to send a copy of an administrative regulation that was amended after comments in accordance with KRS 13A.280 to the Commission on Small Business Innovation and Advocacy, unless its chief executive officer requested a copy pursuant to KRS 13A.280 (8).
    1. If a local government may be impacted by an administrative regulation, the administrative body shall send, by e-mail if the local government has an e- mail address, a copy of the administrative regulation as filed and all attachments required by KRS 13A.230(1) to each local government in the state within one (1) working day after the date the administrative regulation is filed with the Commission. If the local government does not have an e-mail address, the material shall not be sent. (5) (a) If a local government may be impacted by an administrative regulation, the administrative body shall send, by e-mail if the local government has an e- mail address, a copy of the administrative regulation as filed and all attachments required by KRS 13A.230(1) to each local government in the state within one (1) working day after the date the administrative regulation is filed with the Commission. If the local government does not have an e-mail address, the material shall not be sent.
    2. The e-mail shall include a request from the administrative body that the local government review the administrative regulation in the same manner as would the Commission on Small Business Innovation and Advocacy under KRS 11.202(1)(e), and submit its report or comments in accordance with the deadline established in subsection (1)(c) of this section. A copy of the report or comments shall be filed with the regulations compiler.
    3. An administrative body shall not be required to send a copy of an administrative regulation that was amended after comments in accordance with KRS 13A.280 to a local government, unless its contact person requested a copy pursuant to KRS 13A.280 (8).
  2. Persons desiring to be heard at the hearing shall notify the administrative body in writing as to their desire to appear and testify at the hearing not less than five (5) workdays before the scheduled date of the hearing.
  3. The administrative body shall immediately notify the regulations compiler by letter if:
    1. No written notice of intent to attend the public hearing is received by the administrative body at least five (5) workdays before the scheduled hearing, and it chooses to cancel the public hearing; and
    2. No written comments have been received by the close of the last day of the public comment period.
      1. Upon receipt from interested persons of their intent to attend a public hearing, the administrative body shall notify the regulations compiler by letter that the public hearing shall be held. (8) (a) 1. Upon receipt from interested persons of their intent to attend a public hearing, the administrative body shall notify the regulations compiler by letter that the public hearing shall be held.
      2. If the public hearing is held but no comments are received during the hearing, the administrative body shall notify the regulations compiler by letter that the public hearing was held and that no comments were received.
    1. Upon receipt of written comments, the administrative body shall notify the regulations compiler by letter that written comments have been received.
  4. If the notifications required by subsections (7) and (8) of this section are not received by the regulations compiler by close of business on the second workday of the calendar month following the end of the public comment period, the administrative regulation shall be deferred to the next regularly scheduled meeting of the subcommittee.
  5. The notifications required by subsections (7) and (8) of this section shall be made by letter. The letter may be sent by e-mail if the administrative body uses an electronic signature and letterhead for the e-mailed document.
  6. Every hearing shall be conducted in such a manner as to guarantee each person who wishes to offer comment a fair and reasonable opportunity to do so, whether or not such person has given the notice contemplated by subsection (6) of this section. No transcript need be taken of the hearing, unless a written request for a transcript is made, in which case the person requesting the transcript shall have the responsibility of paying for same. A recording may be made in lieu of a transcript under the same terms and conditions as a transcript. This section shall not preclude an administrative body from making a transcript or making a recording if it so desires.
  7. Nothing in this section shall be construed as requiring a separate hearing on each administrative regulation. Administrative regulations may be grouped at the convenience of the administrative body for purposes of hearings required by this section.

History. Enact. Acts 1984, ch. 417, § 27, effective April 13, 1984; 1988, ch. 425; § 9, effective July 15, 1988; 1994, ch. 410, § 19, effective July 15, 1994; 1996, ch. 180, § 11, effective July 15, 1996; 2003, ch. 89, § 13, effective June 24, 2003; 2004, ch. 165, § 5, effective July 13, 2004; 2005, ch. 100, § 15, effective June 20, 2005; 2006, ch. 166, § 3, effective July 12, 2006; 2012, ch. 138, § 11, effective July 12, 2012; 2016 ch. 82, § 24, effective July 15, 2016; 2021 ch. 7, § 9, effective February 2, 2021; 2021 ch. 185, § 98, effective June 29, 2021.

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

(7/13/2004). In subsection (1)(a) of this statute, a reference to “subsection (5) of this section” has been changed to read “subsection (7) of this section.” When the statute was amended in 2004 Ky. Acts ch. 165, sec. 5, the subsections were renumbered, but the reference to subsection (5) was not changed to conform. The Reviser of Statutes has made the conforming change under the authority of KRS 7.136 .

13A.280. Statement of consideration — Amendment — Format — Information required — Publication.

  1. Following the last day of the comment period, the administrative body shall give consideration to all comments received at the public hearing and all written comments received during the comment period, including any report filed by the Commission on Small Business Innovation and Advocacy in accordance with KRS 11.202(1)(e) and 13A.270(4), or by a local government in accordance with KRS 11.202(1)(e) and 13A.270(5).
    1. Except as provided in paragraph (b) of this subsection, the administrative body shall file with the commission on or before 12 noon, eastern time, on the fifteenth day of the calendar month following the end of the public comment period the statement of consideration relating to the administrative regulation and, if applicable, the amended after comments version. (2) (a) Except as provided in paragraph (b) of this subsection, the administrative body shall file with the commission on or before 12 noon, eastern time, on the fifteenth day of the calendar month following the end of the public comment period the statement of consideration relating to the administrative regulation and, if applicable, the amended after comments version.
    2. If the administrative body has received a significant number of public comments:
      1. It may extend the time for filing the statement of consideration for an ordinary administrative regulation and, if applicable, the amended after comments version by notifying the regulations compiler in writing on or before 12 noon, eastern time, on the fifteenth day of the calendar month following the end of the public comment period; and
      2. The administrative body shall file the statement of consideration for an ordinary administrative regulation and, if applicable, the amended after comments version, with the Commission on or before 12 noon, eastern time, no later than the fifteenth day of the second calendar month following the end of the public comment period.
    1. If the administrative regulation is amended as a result of the hearing or written comments received, the administrative body shall forward the items specified in this paragraph to the regulations compiler by 12 noon, eastern time, on the applicable deadline specified in subsection (2) of this section: (3) (a) If the administrative regulation is amended as a result of the hearing or written comments received, the administrative body shall forward the items specified in this paragraph to the regulations compiler by 12 noon, eastern time, on the applicable deadline specified in subsection (2) of this section:
      1. The original and five (5) copies of the administrative regulation indicating any amendments resulting from comments received at the public hearing and during the comment period. The amendments shall be indicated in:
        1. The original wording for an ordinary administrative regulation; or
        2. The wording of an emergency administrative regulation as amended, for an emergency administrative regulation that was amended at a legislative committee meeting pursuant to KRS 13A.190(3);
      2. The original and five (5) copies of the statement of consideration as required by subsection (2) of this section, attached to the back of the original and each copy of the administrative regulation; and
      3. The regulatory impact analysis, tiering statement, federal mandate comparison, or fiscal note on local government. These documents shall reflect changes resulting from amendments made after the public hearing.
    2. The original and four (4) copies of the amended after comments version, the statement of consideration, and the attachments required by paragraph (a)3. of this subsection shall be stapled in the top left corner. The fifth copy shall not be stapled.
    3. At the same time as, or prior to, filing the paper version, the administrative body shall file an electronic version of the amended after comments version, the statement of consideration, and the required attachments saved as a single document for each amended after comments administrative regulation in an electronic format approved by the regulations compiler.
    1. If the administrative regulation is not amended as a result of the public hearing, or written comments received, the administrative body shall file the original and five (5) copies of the statement of consideration with the regulations compiler by 12 noon, eastern time, on the deadline established in subsection (2) of this section. The original and four (4) copies of the statement of consideration shall be stapled in the top left corner. The fifth copy of each statement of consideration shall not be stapled. (4) (a) If the administrative regulation is not amended as a result of the public hearing, or written comments received, the administrative body shall file the original and five (5) copies of the statement of consideration with the regulations compiler by 12 noon, eastern time, on the deadline established in subsection (2) of this section. The original and four (4) copies of the statement of consideration shall be stapled in the top left corner. The fifth copy of each statement of consideration shall not be stapled.
    2. If the statement of consideration covers multiple administrative regulations, as authorized by subsection (6)(g)1. of this section, the administrative body shall file with the regulations compiler:
      1. The original and five (5) copies of the statement of consideration as required by paragraph (a) of this subsection; and
      2. Two (2) additional unstapled copies of the statement of consideration for each additional administrative regulation included in the group of administrative regulations.
    3. At the same time as, or prior to, filing the paper version, the administrative body shall file an electronic version of the statement of consideration saved as a single document for each statement of consideration in an electronic format approved by the regulations compiler.
  2. If comments are received either at the public hearing or during the public comment period, the administrative regulation shall be deferred to the next regularly scheduled meeting of the subcommittee following the month in which the statement of consideration is due.
  3. The format for the statement of consideration shall be as follows:
    1. The statement shall be typewritten on white paper, size eight and one-half (8- 1/2) by eleven (11) inches. Copies of the statement may be mechanically reproduced;
    2. The first page of the statement of consideration shall have a two (2) inch top margin;
    3. The heading of the statement shall consist of the words “STATEMENT OF CONSIDERATION RELATING TO” followed by the number of the administrative regulation that was the subject of the public hearing and comment period and the name of the promulgating administrative body. The heading shall be centered. This shall be followed by the words “Not Amended After Comments,” “Emergency Not Amended After Comments,” “Amended After Comments,” or “Emergency Amended After Comments,” whichever is applicable;
    4. If a hearing has been held or written comments received, the heading is to be followed by:
      1. A statement setting out the date, time and place of the hearing, if the hearing was held;
      2. A list of those persons who attended the hearing or who submitted comments and the organization, agency, or other entity represented, if applicable; and
      3. The name and title of the representative of the promulgating administrative body;
    5. Following the general information, the promulgating administrative body shall summarize the comments received at the public hearing and during the comment period and the response of the promulgating administrative body. Each subject commented upon shall be summarized in a separate numbered paragraph. Each numbered paragraph shall contain two (2) subsections:
      1. Subsection (a) shall be labeled “Comment,” shall identify the name of the person, and the organization represented if applicable, who made the comment, and shall contain a summary of the comment; and
      2. Subsection (b) shall be labeled “Response” and shall contain the response to the comment by the promulgating administrative body;
    6. Following the summary and comments, the promulgating administrative body shall:
      1. Summarize the statement and the action taken by the administrative body as a result of comments received at the public hearing and during the comment period; and
      2. If amended after the comment period, list the changes made to the administrative regulation in the format prescribed by KRS 13A.320(2)(c) and (d); and
      1. If administrative regulations were considered as a group at a public hearing, one (1) statement of consideration may include the group of administrative regulations. If a comment relates to one (1) or more of the administrative regulations in the group, the summary of the comment and response shall specify each administrative regulation to which it applies. (g) 1. If administrative regulations were considered as a group at a public hearing, one (1) statement of consideration may include the group of administrative regulations. If a comment relates to one (1) or more of the administrative regulations in the group, the summary of the comment and response shall specify each administrative regulation to which it applies.
      2. Emergency administrative regulations shall be in a separate statement of consideration from ordinary administrative regulations.
  4. If the administrative regulation is amended pursuant to subsection (3) of this section, the full text of the administrative regulation shall be published in the Administrative Register. The changes made to the administrative regulation shall be typed in bold and made in the format prescribed by KRS 13A.222(2). The administrative regulation shall be reviewed by the Administrative Regulation Review Subcommittee after such publication.
  5. If requested, copies of the statement of consideration and, if applicable, the amended after comments version of the administrative regulation shall be made available by the promulgating administrative body to persons attending the hearing or submitting comments or who specifically request a copy from the administrative body.

History. Enact. Acts 1984, ch. 417, § 28, effective April 13, 1984; 1988, ch. 425, § 10, effective July 15, 1988; 1990, ch. 516, § 26, effective July 13, 1990; 1994, ch. 410, § 20, effective July 15, 1994; 1996, ch. 180, § 12, effective July 15, 1996; 1998, ch. 38, § 6, effective July 15, 1998; 2000, ch. 406, § 15, effective July 14, 2000; 2003, ch. 89, § 14, effective June 24, 2003; 2004, ch. 165, § 6, effective July 13, 2004; 2005, ch. 100, § 16, effective June 20, 2005; 2012, ch. 138, § 12, effective July 12, 2012; 2016 ch. 82, § 25, effective July 15, 2016; 2019 ch. 192, § 6, effective June 27, 2019; 2021 ch. 7, § 10, effective February 2, 2021; 2021 ch. 185, § 99, effective June 29, 2021.

Opinions of Attorney General.

The Environmental Quality Commission could amend a regulation at an Administrative Review Subcommittee meeting without filing a revised statement of consideration and publishing such changes pursuant to this section where the amendments were subsequently published in the administrative register; the changes in the regulation complied with KRS 13A.320 and were properly amended. OAG 87-6 .

13A.290. Review by Administrative Regulation Review Subcommittee — Review by legislative committee.

    1. Except as provided by KRS 158.6471 and 158.6472, the Administrative Regulation Review Subcommittee shall meet monthly to review administrative regulations prior to close of business on the fifteenth day of the calendar month. (1) (a) Except as provided by KRS 158.6471 and 158.6472, the Administrative Regulation Review Subcommittee shall meet monthly to review administrative regulations prior to close of business on the fifteenth day of the calendar month.
    2. The agenda shall:
      1. Include each administrative regulation that completed the public comment process;
      2. Include each administrative regulation for which a statement of consideration was received on or before 12 noon, eastern time, on the fifteenth day of the prior calendar month;
      3. Include each effective administrative regulation that the subcommittee has decided to review;
      4. Include each administrative regulation that was deferred from the prior month’s meeting of the subcommittee; and
      5. Not include an administrative regulation that is deferred, withdrawn, expired, or automatically taken off the agenda under the provisions of this chapter.
    3. Review of an administrative regulation shall include the entire administrative regulation and all attachments filed with the administrative regulation. The review of amendments to existing administrative regulations shall not be limited to only the changes proposed by the promulgating administrative body.
  1. The meetings shall be open to the public.
  2. Public notice of the time, date, and place of the Administrative Regulation Review Subcommittee meeting shall be given in the Administrative Register.
    1. A representative of the administrative body for an administrative regulation under consideration shall be present to explain the administrative regulation and to answer questions thereon. (4) (a) A representative of the administrative body for an administrative regulation under consideration shall be present to explain the administrative regulation and to answer questions thereon.
    2. If a representative of the administrative body with authority to amend a filed administrative regulation is not present at the subcommittee meeting, the administrative regulation shall be deferred to the next regularly scheduled meeting of the subcommittee.
    3. If a representative of an administrative body for an effective administrative regulation fails to appear before the subcommittee, the subcommittee may:
      1. Defer the administrative regulation to the next regularly scheduled meeting of the subcommittee; or
      2. Make a determination pursuant to KRS 13A.030(2), (3), and (4) or 13A.190(3).
  3. Following the meeting and before the next regularly scheduled meeting of the Commission, the Administrative Regulation Review Subcommittee shall forward to the Commission its findings, recommendations, or other comments it deems appropriate in writing. The Administrative Regulation Review Subcommittee shall also forward to the Commission its findings, recommendations, or other comments it deems appropriate on an effective administrative regulation it has reviewed. The Administrative Regulation Review Subcommittee’s findings shall be published in the Administrative Register.
    1. After review by the Administrative Regulation Review Subcommittee, the Commission shall, on the first Wednesday of the following month, or if the first Wednesday is a legal holiday, the next workday of the month, assign a filed administrative regulation to a legislative committeewith subject matter jurisdiction. (6) (a) After review by the Administrative Regulation Review Subcommittee, the Commission shall, on the first Wednesday of the following month, or if the first Wednesday is a legal holiday, the next workday of the month, assign a filed administrative regulation to a legislative committeewith subject matter jurisdiction.
    2. Upon notification of the assignment by the Commission, the legislative committee to which the administrative regulation is assigned shall notify the regulations compiler:
      1. Of the date, time, and place of the meeting at which it will consider the administrative regulation; or
      2. That it will not meet to consider the administrative regulation.
    1. Within ninety (90) days of the assignment, the legislative committee may hold a public meeting during which the administrative regulation shall be reviewed. (7) (a) Within ninety (90) days of the assignment, the legislative committee may hold a public meeting during which the administrative regulation shall be reviewed.
    2. If the ninetieth day of the assignment falls on a Saturday, Sunday, or holiday, the deadline for review shall be the workday following the Saturday, Sunday, or holiday.
      1. If the administrative regulation is assigned to an interim joint committee and a session of the General Assembly begins during the review period, the assignment shall transfer to the Senate and House standing committees with subject matter jurisdiction. (c) 1. If the administrative regulation is assigned to an interim joint committee and a session of the General Assembly begins during the review period, the assignment shall transfer to the Senate and House standing committees with subject matter jurisdiction.
      2. If the administrative regulation is assigned to Senate and House standing committees and a session of the General Assembly adjourns sine die during the review period, the assignment shall transfer to the interim joint committee with subject matter jurisdiction.
      3. An administrative regulation may be transferred more than one (1) time under this paragraph. A transfer shall not extend the review period established by this subsection.
    3. Notice of the time, date, and place of the meeting shall be placed in the legislative calendar.
  4. Except as provided in subsection (9) of this section, a legislative committee shall be empowered to make the same determinations and to exercise the same authority as the Administrative Regulation Review Subcommittee.
    1. This subsection shall apply to administrative regulations filed with the Commission. (9) (a) This subsection shall apply to administrative regulations filed with the Commission.
    2. A majority of the entire membership of the legislative committee shall constitute a quorum for purposes of reviewing administrative regulations.
    3. In order to amend an administrative regulation pursuant to KRS 13A.320 , defer an administrative regulation pursuant to KRS 13A.300 , or find an administrative regulation deficient pursuant to KRS 13A.030(2), (3), or (4), or 13A.190(3), the motion to amend, defer, or find deficient shall be approved by a majority of the entire membership of the legislative committee. Additionally, during a session of the General Assembly, standing committees of the Senate and House of Representatives shall agree in order to amend an administrative regulation, defer an administrative regulation, or find an administrative regulation deficient by:
      1. Meeting separately; or
      2. Meeting jointly. If the standing committees meet jointly, it shall require a majority vote of Senate members voting and a majority of House members voting, as well as the majority vote of the entire membership of the standing committees meeting jointly, in order to take action on the administrative regulation.
    1. The quorum requirements of subsection (9)(b) of this section shall apply to an effective administrative regulation under review by a legislative committee. (10) (a) The quorum requirements of subsection (9)(b) of this section shall apply to an effective administrative regulation under review by a legislative committee.
    2. A motion to find an effective administrative regulation deficient shall be approved by:
      1. A majority of the entire membership of the Administrative Regulation Review Subcommittee; or
      2. A legislative committee in accordance with subsection (9)(c) of this section.
    1. Upon adjournment of the meeting at which a legislative committee has considered an administrative regulation pursuant to subsection (7) or (10) of this section, the legislative committee shall inform the regulations compiler of its findings, recommendations, or other action taken on the administrative regulation. (11) (a) Upon adjournment of the meeting at which a legislative committee has considered an administrative regulation pursuant to subsection (7) or (10) of this section, the legislative committee shall inform the regulations compiler of its findings, recommendations, or other action taken on the administrative regulation.
    2. Following the meeting and before the next regularly scheduled meeting of the Commission, the legislative committee shall forward to the Commission its findings, recommendations, or other comments it deems appropriate in writing. The legislative committee’s findings shall be published in the Administrative Register.

History. Enact. Acts 1984, ch. 417, § 29, effective April 13, 1984; 1988, ch. 71, § 2, effective July 15, 1988; 1988, ch. 425, § 11, effective July 15, 1988; 1990, ch. 516, § 27, effective July 13, 1990; 1994, ch. 410, § 21, effective July 15, 1994; 1996, ch. 180, § 13, effective July 15, 1996; 1998, ch. 598, § 8, effective April 14, 1998; 2000, ch. 406, § 16, effective July 14, 2000; 2003, ch. 89, § 15, effective June 24, 2003; 2005, ch. 100, § 17, effective June 20, 2005; 2016 ch. 82, § 26, effective July 15, 2016; 2019 ch. 192, § 7, effective June 27, 2019; 2021 ch. 7, § 11, effective February 2, 2021.

13A.300. Request by promulgating administrative body to defer consideration of administrative regulation — Consideration of deferred administrative regulation — Limitation on number of deferrals — Failure of representative of administrative body to appear before legislative committee.

  1. The administrative body that promulgated an administrative regulation may request that consideration of the administrative regulation be deferred by a legislative committee.
  2. The deferral of an administrative regulation scheduled for review by the Administrative Regulation Review Subcommittee shall be governed by KRS 13A.020(4) and the following:
    1. A request for deferral of an ordinary administrative regulation filed with the Commission shall be automatically granted if:
      1. The administrative body submits a written letter to the regulations compiler; and
      2. The letter is received prior to the subcommittee meeting;
    2. A request for deferral of an effective administrative regulation or an emergency administrative regulation may be granted if:
      1. The administrative body submits a written letter to the regulations compiler;
      2. The letter is received prior to the subcommittee meeting; and
      3. Approved by the co-chairs of the Administrative Regulation Review Subcommittee;
    3. A request for deferral may be granted at the discretion of the subcommittee if the request is made by the administrative body orally at a meeting of the subcommittee;
    4. The subcommittee may request that consideration of an administrative regulation be deferred by the promulgating administrative body. Upon receipt of the request, the promulgating administrative body may agree to defer consideration of the administrative regulation;
    5. Except as provided in paragraph (f) of this subsection, an administrative regulation that has been deferred shall be placed on the agenda of the next scheduled meeting of the subcommittee. If it is an administrative regulation filed with the Commission, the subcommittee shall consider the administrative regulation as if it had met all other requirements of filing. Repromulgation shall not be required in those cases; and
    6. An administrative regulation shall not be deferred under this subsection more than twelve (12) times.
    1. The deferral of a filed ordinary administrative regulation referred to a second legislative committee or committees pursuant to KRS 13A.290(6) and (7) shall be governed by this subsection and the voting requirements of KRS 13A.290(9). (3) (a) The deferral of a filed ordinary administrative regulation referred to a second legislative committee or committees pursuant to KRS 13A.290(6) and (7) shall be governed by this subsection and the voting requirements of KRS 13A.290(9).
      1. A request for deferral shall be automatically granted if: (b) 1. A request for deferral shall be automatically granted if:
        1. The administrative body submits a written letter to the regulations compiler; and
        2. The letter is received prior to the legislative committee meeting;
      2. A request for deferral may be granted at the discretion of the second legislative committee if the request is made by the administrative body orally at a meeting of the legislative committee; and
      3. The legislative committee may request that consideration of an administrative regulation be deferred by the promulgating administrative body. Upon receipt of the request, the promulgating administrative body may agree to defer consideration of the administrative regulation.
      1. An administrative regulation that is deferred may be placed on a subsequent agenda of the legislative committee or committees within the review period. (c) 1. An administrative regulation that is deferred may be placed on a subsequent agenda of the legislative committee or committees within the review period.
      2. If a filed ordinary administrative regulation that has been deferred is not placed on a subsequent agenda within the review period, the administrative regulation shall take effect at the expiration of the review period.
    1. The deferral of an effective administrative regulation or an emergency administrative regulation under review by a legislative committee shall be governed by this subsection and the voting requirements of KRS 13A.290(9). (4) (a) The deferral of an effective administrative regulation or an emergency administrative regulation under review by a legislative committee shall be governed by this subsection and the voting requirements of KRS 13A.290(9).
    2. A request for deferral may be granted if:
      1. The administrative body submits a written letter to the regulations compiler;
      2. The letter is received prior to the legislative committee meeting; and
      3. Approved by the presiding chair or chairs.
    3. A request for deferral may be granted at the discretion of the legislative committee if the request is made by the administrative body orally at a meeting of the legislative committee.
    4. The legislative committee may request that consideration of an administrative regulation be deferred by the administrative body. Upon receipt of the request, the administrative body may agree to defer consideration of the administrative regulation.
    5. An administrative regulation that is deferred may be placed on a subsequent agenda of the legislative committee.
  3. Except as provided by KRS 13A.290(4), if a representative of an administrative body whose administrative regulation is scheduled for review fails to appear before a legislative committee, the legislative committee in conformance with KRS 13A.290(9) may:
    1. Defer the administrative regulation to the next regularly scheduled meeting of the legislative committee; or
    2. Make a determination pursuant to KRS 13A.030(2) or 13A.190(3).

History. Enact. Acts 1984, ch. 417, § 30, effective April 13, 1984; 1988, ch. 71, § 3, effective March 16, 1988; 1988, ch. 425, § 13, effective July 15, 1988; 1990, ch. 516, § 28, effective July 13, 1990; 1994, ch. 410, § 22, effective July 15, 1994; 1996, ch. 180, § 14, effective July 15, 1996; 2000, ch. 406, § 17, effective July 14, 2000; 2003, ch. 89, § 16, effective June 24, 2003; 2005, ch. 100, § 18, effective June 20, 2005; 2012, ch. 138, § 13, effective July 12, 2012; 2016 ch. 82, § 27, effective July 15, 2016; 2019 ch. 192, § 8, effective June 27, 2019; 2021 ch. 7, § 12, effective February 2, 2021.

Legislative Research Commission Notes.

(2/2/2021). In codification, a correction has been made to subsection (5)(b) of this statute. 2021 Senate Bill 2, Section 12, which amended this statute, contained a reference in subsection (5)(b) to “Section 4(2) of this Act,” which would have been codified as “KRS 13A.190(2).” However, it is clear from the context and from consultation with the drafter that the reference was intended to read “Section 4(3) of this Act,” which would be codified as “KRS 13A.190(3).” Under the authority of KRS 7.136 , the Reviser of Statutes has corrected this reference.

(6/27/2019). Under the authority of KRS 7.136(1), the Reviser of Statutes has modified the internal numbering of this statute from the way it appeared in 2019 Ky. Acts ch. 192, sec. 8.

(7/15/2016). During codification of 2016 Ky. Acts ch. 82, sec. 27, the Reviser of Statutes corrected a manifest clerical or typographical error in references in subsection (3)(c) and (d) of this statute to “subsection (6)(b)1.” and “subsection (6)(b)2.”, respectively, of Section 26 of that Act, which was KRS 13A.290 . The correct references should have been to “subsection (6)(a)1.” and “subsection (6)(a)2.”, respectively, of KRS 13A.290 and are reflected that way in this statute.

13A.310. Repeal or permissive withdrawal of administrative regulation.

  1. Except as provided in KRS 13A.3102 and 13A.3104 , an ordinary administrative regulation, once adopted, cannot be withdrawn but shall be repealed if it is desired that it no longer be effective.
  2. Except as provided in KRS 13A.3102 and 13A.3104 , an ordinary administrative regulation, once adopted, cannot be suspended but shall be repealed if it is desired to suspend its effect.
    1. An ordinary administrative regulation shall be repealed only by the promulgation of an administrative regulation that: (3) (a) An ordinary administrative regulation shall be repealed only by the promulgation of an administrative regulation that:
      1. Is titled “Repeal of (state number of administrative regulation to be repealed)”;
      2. Contains the reasons for repeal in the “NECESSITY, FUNCTION, AND CONFORMITY” paragraph;
      3. Includes in the body of the administrative regulation, a citation to the number and title of the administrative regulation or regulations being repealed; and
      4. Meets the filing and formatting requirements of KRS 13A.220 .
      1. Except as provided in subparagraph 2. of this paragraph, on the effective date of an administrative regulation that repeals an administrative regulation, determined in accordance with KRS 13A.330 or 13A.331 , the regulations compiler shall delete the repealed administrative regulation and the repealing administrative regulation from the Kentucky Administrative Regulations Service. (b) 1. Except as provided in subparagraph 2. of this paragraph, on the effective date of an administrative regulation that repeals an administrative regulation, determined in accordance with KRS 13A.330 or 13A.331 , the regulations compiler shall delete the repealed administrative regulation and the repealing administrative regulation from the Kentucky Administrative Regulations Service.
      2. If the repealing administrative regulation specifies an effective date that is after the administrative regulation would become effective pursuant to KRS 13A.330 or 13A.331, the specified effective date shall be considered the effective date of the repealing administrative regulation. On the specified effective date, the regulations compiler shall delete the repealed administrative regulation and the repealing administrative regulation from the Kentucky Administrative Regulations Service.
    2. An administrative body may repeal more than one (1) administrative regulation in an administrative regulation promulgated pursuant to paragraph (a) of this subsection if the administrative regulations being repealed are contained in the same chapter of the Kentucky Administrative Regulations Service.
    1. An ordinary administrative regulation may be withdrawn by the promulgating administrative body at any time prior to its adoption. (4) (a) An ordinary administrative regulation may be withdrawn by the promulgating administrative body at any time prior to its adoption.
    2. An ordinary administrative regulation that has been found deficient may be withdrawn by the promulgating administrative body or by the Governor at any time prior to its adoption.
    3. Once an ordinary administrative regulation is withdrawn, it shall not be reinstated, except by repromulgation as a totally new matter.
    1. An emergency administrative regulation may be withdrawn by the promulgating administrative body at any time prior to its expiration. (5) (a) An emergency administrative regulation may be withdrawn by the promulgating administrative body at any time prior to its expiration.
    2. An emergency administrative regulation that has been found deficient may be withdrawn by the promulgating administrative body or by the Governor at any time prior to its expiration.
  3. If an administrative regulation is withdrawn, the administrative body or the Governor shall inform the regulations compiler of the reasons for withdrawal in writing.

History. Enact. Acts 1984, ch. 417, § 31, effective April 13, 1984; 1988, ch. 71, § 4, effective July 15, 1988; 1990, ch. 516, § 29, effective July 13, 1990; 1994, ch. 410, § 23, effective July 15, 1994; 1996, ch. 180, § 15, effective July 15, 1996; 1998, ch. 38, § 7, effective July 15, 1998; 2000, ch. 406, § 18, effective July 14, 2000; 2005, ch. 100, § 19, effective June 20, 2005; 2016 ch. 82, § 28, effective July 15, 2016; 2017 ch. 77, § 3, effective June 29, 2017; 2019 ch. 192, § 9, effective June 27, 2019; 2021 ch. 7, § 13, effective February 2, 2021.

13A.3102. Expiration of administrative regulations.

  1. An ordinary administrative regulation with a last effective date on or after March 1, 2013, shall expire seven (7) years after its last effective date, except as provided by the certification process in KRS 13A.3104 .
  2. An ordinary administrative regulation with a last effective date before March 1, 2013, shall expire on March 1, 2020, except as provided by the certification process in KRS 13A.3104 .
  3. For all administrative regulations that expire under this section or KRS 13A.3104 , the regulations compiler shall:
    1. Delete them from the Kentucky Administrative Regulations Service;
    2. Add them to the list of ineffective administrative regulations; and
    3. Beginning on September 1, 2020, and at least once every six (6) months thereafter, publish a list of administrative regulations that have expired since the most recent previous list was published under this paragraph.
  4. Within three (3) months of June 27, 2019, and at least once every six (6) months thereafter, the regulations compiler shall publish a list of existing administrative regulations and their corresponding last effective dates.

HISTORY: 2017 ch. 77, § 4, effective June 29, 2017; 2019 ch. 192, § 10, effective June 27, 2019.

13A.3104. Certification process for avoiding expiration of administrative regulations — When regulations expire.

  1. If an administrative body does not want an administrative regulation to expire under KRS 13A.3102 , the administrative body shall, in the twelve (12) months prior to the expiration date:
    1. Review the administrative regulation in its entirety for compliance with current law governing the subject matter of the administrative regulation;
    2. File a certification letter with the regulations compiler stating whether the administrative regulation:
      1. Shall be amended because it is not in compliance with current governing law or otherwise needs amendment;
      2. Shall remain in effect without amendment because it is in compliance with current governing law; or
      3. Is in need of amendment and a proposed amendment has already been filed; and
    3. Not be required to consider KRS Chapter 13A drafting and formatting requirements as part of its review.
  2. The certification letter shall be on the administrative body’s official letterhead, in the format prescribed by the regulations compiler, and include the following information:
    1. The name of the administrative body;
    2. The number of the administrative regulation;
    3. The title of the administrative regulation;
    4. The statement required by subsection (1)(b) of this section;
    5. A brief statement in support of the decision; and
    6. The authorizing signature of the administrative body.
    1. If the certification letter was filed pursuant to subsection (1)(b)1. of this section, stating that the administrative regulation shall be amended, the administrative body shall file an amendment to the administrative regulation in accordance with KRS Chapter 13A within eighteen (18) months of the date the certification letter was filed. (3) (a) If the certification letter was filed pursuant to subsection (1)(b)1. of this section, stating that the administrative regulation shall be amended, the administrative body shall file an amendment to the administrative regulation in accordance with KRS Chapter 13A within eighteen (18) months of the date the certification letter was filed.
    2. If the amendment was filed in accordance with paragraph (a) of this subsection:
      1. The administrative regulation shall not expire if the amendment is continuing through the administrative regulations process; or
      2. The administrative regulation shall expire on the date the amendment is withdrawn or otherwise ceases going through the administrative regulations process.
    3. Once the amendment is effective, the regulations compiler shall update the last effective date for that administrative regulation to reflect the amendment’s effective date.
    4. If the amendment was not filed in accordance with paragraph (a) of this subsection, the administrative regulation shall expire at the end of the eighteen (18) month period.
  3. If the certification letter was filed pursuant to subsection (1)(b)2. of this section, stating that the administrative regulation shall remain in effect without amendment, the regulations compiler shall:
    1. Update the administrative regulation’s history line to state that a certification letter was received; and
    2. Change the last effective date of the administrative regulation to the date the certification letter was received.
    1. If the certification letter was filed pursuant to subsection (1)(b)3. of this section, stating that a proposed amendment has already been filed: (5) (a) If the certification letter was filed pursuant to subsection (1)(b)3. of this section, stating that a proposed amendment has already been filed:
      1. The administrative regulation shall not expire if the amendment is continuing through the administrative regulations process; or
      2. The administrative regulation shall expire on the date the amendment is withdrawn or otherwise ceases going through the administrative regulations process.
    2. Once the amendment is effective, the regulations compiler shall update the last effective date for that administrative regulation to reflect the amendment’s effective date.
  4. If filed by the deadline established in KRS 13A.050(3), the regulations compiler shall publish in the Administrative Register of Kentucky each certification letter received:
    1. In summary format; or
    2. In its entirety.

HISTORY: 2017 ch. 77, § 5, effective June 29, 2017; 2019 ch. 192, § 11, effective June 27, 2019; 2021 ch. 125, § 3, effective June 29, 2021.

13A.312. Actions required when authority over a subject matter is transferred to another administrative body or name of administrative body is changed — Return of administrative regulations to previous form if General Assembly does not confirm or codify executive order.

  1. If authority over a subject matter is transferred to another administrative body or if the name of an administrative body is changed by statute or by executive order during the interim between regular sessions of the General Assembly, the administrative regulations of that administrative body in effect on the effective date of the statutory change or the executive order shall remain in effect as they exist until the administrative body that has been granted authority over the subject matter amends or repeals the administrative regulations pursuant to KRS Chapter 13A.
  2. After receipt of a written request, submitted pursuant to subsection (3) of this section, to make changes to an administrative regulation pursuant to the statutory change or executive order, the regulations compiler shall alter the administrative regulations referenced in subsection (1) of this section to:
    1. Change the name of the administrative body pursuant to the provisions of the statute or executive order; and
    2. Make any other technical changes necessary to carry out the provisions of the statute or executive order.
  3. The administrative body that has been granted statutory authority over the subject matter shall provide to the regulations compiler in writing:
    1. A listing of the administrative regulations that require any changes; and
    2. The specific names, terms, or other information to be changed with those changes properly referenced.
  4. The administrative body that has been granted statutory authority over the subject matter shall submit new forms to replace forms previously incorporated by reference in an administrative regulation if the only changes on the form are the name and mailing address of the administrative body. If there are additional changes to a form incorporated by reference, the administrative body shall promulgate an amendment to the existing administrative regulation and make the changes to the material incorporated by reference in accordance with KRS 13A.2255 .
  5. If an administrative body is abolished by statute or executive order and the authority over its subject matter is not transferred to another administrative body, the Governor, or the secretary of the cabinet to which the administrative body was attached, shall promulgate an administrative regulation to repeal the existing administrative regulations that were promulgated by the abolished administrative body. The repeal shall be accomplished as provided by KRS 13A.310 .
  6. If an executive order transfers authority over a subject matter to another administrative body or changes the name of an administrative body during the interim between regular sessions of the General Assembly, and the General Assembly does not codify or confirm the executive order during the next regular session, any and all administrative regulations promulgated to implement the unconfirmed executive order shall be returned to their previous form by the administrative body using the promulgation procedures established by KRS Chapter 13A, including but not limited to:
    1. Withdrawal of a proposed administrative regulation;
    2. Amendment or repeal of an existing administrative regulation;
    3. Promulgation of a new administrative regulation; or
    4. Submission of technical changes in the manner established by subsections (3) and (4) of this section.

History. Enact. Acts 1996, ch. 180, § 20, effective July 15, 1996; 2004, ch. 141, § 4, effective July 13, 2004; 2016 ch. 82, § 29, effective July 15, 2016; 2021 ch. 7, § 14, effective February 2, 2021.

13A.315. Expiration and withdrawal of administrative regulation prior to review by legislative committee — Effect of noncompliance with chapter — Withdrawal of deficient administrative regulation upon Governor’s notification.

  1. An administrative regulation shall expire and shall not be reviewed by a legislative committee if:
    1. It has not been reviewed or approved by the official or administrative body with authority to review or approve;
    2. The statement of consideration and, if applicable, the amended after comments version are not filed on or before a deadline specified by this chapter;
    3. The administrative body has failed to comply with the provisions of this chapter governing the filing of administrative regulations, the public hearing and public comment period, or the statement of consideration; or
    4. The administrative regulation is deferred pursuant to KRS 13A.300(2) more than twelve (12) times.
    1. An administrative regulation that has been found deficient by a legislative committee shall be withdrawn immediately if, pursuant to KRS 13A.330 , the Governor has determined that it shall be withdrawn. (2) (a) An administrative regulation that has been found deficient by a legislative committee shall be withdrawn immediately if, pursuant to KRS 13A.330 , the Governor has determined that it shall be withdrawn.
    2. The Governor shall notify the regulations compiler in writing and by telephone that he or she has determined that the administrative regulation found deficient shall be withdrawn.
    3. The written withdrawal of an administrative regulation governed by the provisions of this subsection shall be made in a letter to the regulations compiler in the following format: “Pursuant to KRS 13A.330, I have determined that (administrative regulation number and title) shall be (withdrawn, or withdrawn and amended to conform to the finding of deficiency, as applicable). The administrative regulation, (administrative regulation number and title), is hereby withdrawn.”
    4. An administrative regulation governed by the provisions of this subsection shall be considered withdrawn upon receipt by the regulations compiler of the written withdrawal.

History. Enact. Acts 1990, ch. 516, § 1, effective July 13, 1990; 1994, ch. 410, § 24, effective July 15, 1994; 1998, ch. 350, § 1, effective July 15, 1998; 2000, ch. 406, § 24, effective July 14, 2000; 2005, ch. 100, § 20, effective June 20, 2005; 2012, ch. 138, § 14, effective July 12, 2012; 2016 ch. 82, § 30, effective July 15, 2016; 2019 ch. 192, § 12, effective June 27, 2019; 2021 ch. 7, § 15, effective February 2, 2021.

13A.320. Amendment of administrative regulation during meeting of legislative committee or public meeting — Format.

    1. An administrative body may amend an administrative regulation at a legislative committee meeting with the consent of the legislative committee. A legislative committee may amend an administrative regulation at a legislative committee meeting with the consent of the administrative body. (1) (a) An administrative body may amend an administrative regulation at a legislative committee meeting with the consent of the legislative committee. A legislative committee may amend an administrative regulation at a legislative committee meeting with the consent of the administrative body.
    2. An administrative regulation shall not be amended at a public meeting of a legislative committee unless the amendment concerns an issue that was related to the administrative regulation filed with the Legislative Research Commission and was:
      1. Considered at the public hearing;
      2. Raised pursuant to a comment received by the administrative body at the public hearing or during the public comment period pursuant to KRS 13A.280(1); or
      3. Raised during the legislative committee meeting.
    3. Nothing in this chapter shall be construed to require the administrative regulation’s resubmission or refiling or other action. The administrative regulation may be adopted as amended.
    4. Following approval of an amendment to an administrative regulation at a legislative committee meeting, the administrative regulation as amended shall be published in the Administrative Register, unless all amendments to the administrative regulation that were made at the meeting of the legislative committee:
      1. Relate only to the formatting and drafting requirements of KRS 13A.220(5) and 13A.222(4)(b), (c), (i), (j), and (l); and
      2. Do not alter the intent, meaning, conditions, standards, or other requirements of the administrative regulation.
    5. If the amendments to an administrative regulation made at a meeting of a legislative committee meet the exception requirements of paragraph (d) of this subsection, the regulations compiler shall publish a notice in the Administrative Register that the administrative regulation was amended at a legislative committee meeting only to comply with the formatting and drafting requirements of this chapter.
  1. When an administrative body intends to amend an administrative regulation at a meeting of a legislative committee, the following requirements shall be met:
    1. Amendments offered by the administrative body prior to a legislative committee meeting shall be approved by the head of the administrative body.
    2. Amendments shall be contained in a letter to the legislative committee. The letter shall:
      1. Identify the administrative body;
      2. State the number and title of the administrative regulation;
      3. Be dated;
      4. Be filed with the regulations compiler at least three (3) workdays prior to the meeting of the legislative committee if the amendments are initiated by the administrative body; and
      5. Comply with the format requirements in paragraphs (c) and (d) of this subsection if the amendments are initiated by the administrative body.
    3. On separate lines, the amendment shall be identified by the number of the:
      1. Page;
      2. Section, subsection, paragraph, subparagraph, clause, or subclause, as appropriate; and
      3. Line.
      1. If a word or phrase, whether or not underlined, is to be deleted, the amendment shall identify the word or phrase to be deleted and state that it is to be deleted. If a word or phrase is to be replaced by another word or phrase, the amendment shall specify the word or phrase that is to be deleted and shall specify the word or phrase that is to be inserted in lieu thereof. (d) 1. If a word or phrase, whether or not underlined, is to be deleted, the amendment shall identify the word or phrase to be deleted and state that it is to be deleted. If a word or phrase is to be replaced by another word or phrase, the amendment shall specify the word or phrase that is to be deleted and shall specify the word or phrase that is to be inserted in lieu thereof.
      2. If new language is to be inserted, the amendment shall state that it is to be inserted, and the new language shall be underlined.
      3. If the amendment consists of no more than four (4) words, the words shall be placed between quotation marks. If the amendment consists of more than four (4) words, the amendment shall be indented and not placed between quotation marks.
      4. If a section, subsection, paragraph, subparagraph, clause, or subclause is to be deleted in its entirety, the amendment shall identify it and state that it is deleted in its entirety, whether or not it contains underlined or bracketed language.
  2. If an amendment is drafted by legislative committee staff on behalf of a legislative committee, the amendment shall be made:
    1. In the format required by subsection (2)(c) and (d) of this section; or
    2. By substituting the complete text of the administrative regulation, with the proposed changes made to the administrative regulation typed in bold, italicized, and in the format prescribed by KRS 13A.222(2).
  3. An amendment to an administrative regulation may be made orally at a legislative committee meeting if the requirements of subsection (1)(a) of this section are met.
  4. Except for an amendment made orally pursuant to subsection (4) of this section:
    1. For a meeting of the Administrative Regulation Review Subcommittee, an administrative body shall submit twenty (20) copies of an amendment to an administrative regulation to the regulations compiler prior to the Administrative Regulation Review Subcommittee meeting at which the amendment will be considered and, if applicable, in accordance with the deadline established in subsection (2)(b)4. of this section; or
    2. For a meeting of a legislative committee other than the Administrative Regulation Review Subcommittee, an administrative body shall contact the regulations compiler prior to the legislative committee meeting at which the amendment will be considered to find out the number of copies needed for that specific legislative committee.The original amendment and the specified number of copies shall be submitted to the regulations compiler prior to the legislative committee meeting at which the amendment will be considered and, if applicable, in accordance with the deadline established in subsection (2)(b)4. of this section.

History. Enact. Acts 1984, ch. 417, § 32, effective April 13, 1984; 1988, ch. 71, § 5, effective July 15, 1988; 1988, ch. 425, § 12, effective July 15, 1988; 1990, ch. 516, § 30, effective July 13, 1990; 1994, ch. 410, § 25, effective July 15, 1994; 1996, ch. 180, § 16, effective July 15, 1996; 1998, ch. 38, § 10, effective July 15, 1998; 2003, ch. 89, § 17, effective June 24, 2003; 2005, ch. 100, § 21, effective June 20, 2005; 2012, ch. 138, § 15, effective July 12, 2012; 2016 ch. 82, § 31, effective July 15, 2016; 2021 ch. 7, § 16, effective February 2, 2021.

Opinions of Attorney General.

The Environmental Quality Commission could amend a regulation at an Administrative Review Subcommittee meeting without filing a revised statement of consideration and publishing such changes pursuant to KRS 13A.280 where the amendments were subsequently published in the administrative register; the changes in the regulation complied with this section and were properly amended. OAG 87-6 .

13A.330. Notification of finding of deficiency — Governor’s determination after finding of deficiency.

    1. If a filed ordinary administrative regulation has been found deficient, the legislative committee shall transmit to the Governor and the regulations compiler: (1) (a) If a filed ordinary administrative regulation has been found deficient, the legislative committee shall transmit to the Governor and the regulations compiler:
      1. A copy of the finding of deficiency and other relevant findings, recommendations, or comments; and
      2. A request that the Governor determine whether the administrative regulation shall:
        1. Be withdrawn;
        2. Be amended at a legislative committee meeting pursuant to KRS 13A.320 to conform to the finding of deficiency; or
        3. Become effective pursuant to the provisions of this section notwithstanding the finding of deficiency.
    2. The Governor shall transmit his or her determination to the Commission and the regulations compiler.
    3. A filed ordinary administrative regulation that has been found deficient shall be considered as adopted and become effective after:
        1. The review period established in this chapter has been completed; and 1. a. The review period established in this chapter has been completed; and
        2. The regulations compiler has received the Governor’s determination that the administrative regulation shall become effective pursuant to the provisions of this section notwithstanding the finding of deficiency; or
      1. The legislative committee that found the filed administrative regulation deficient subsequently determines that it is not deficient in accordance with KRS 13A.335 , provided that this determination was made prior to receipt by the regulations compiler of the Governor’s determination.
    1. If an emergency administrative regulation has been found deficient, the legislative committee finding it deficient shall transmit to the Governor and the regulations compiler: (2) (a) If an emergency administrative regulation has been found deficient, the legislative committee finding it deficient shall transmit to the Governor and the regulations compiler:
      1. A copy of the finding of deficiency and other relevant findings, recommendations, or comments; and
      2. A request that the Governor determine whether the emergency administrative regulation shall:
        1. Be withdrawn;
        2. Be amended at a legislative committee meeting pursuant to KRS 13A.320 to conform to the finding of deficiency; or
        3. Remain effective as established in KRS 13A.190(4) notwithstanding the finding of deficiency.
    2. The Governor shall transmit his or her determination to the Commission and the regulations compiler.
    3. The legislative committee that found the emergency administrative regulation deficient may subsequently determine that it is not deficient in accordance with KRS 13A.335 .
  1. If an effective ordinary administrative regulation has been found deficient by a legislative committee, the legislative committee shall transmit to the Governor a copy of its finding of deficiency and other findings, recommendations, or comments it deems appropriate.

History. Enact. Acts 1984, ch. 417, § 33, effective April 13, 1984; 1988, ch. 71, § 6, effective July 15, 1988; 1990, ch. 516, § 31, effective July 13, 1990; 1994, ch. 410, § 26, effective July 15, 1994; 1996, ch. 180, § 17, effective July 15, 1996; 1996, ch. 269, § 1, effective July 15, 1996; 1998, ch. 38, § 8, effective July 15, 1998; 1998, ch. 350, § 2, effective July 15, 1998; 2000, ch. 406, § 19, effective July 14, 2000; 2005, ch. 100, § 22, effective June 20, 2005; 2019 ch. 192, § 13, effective June 27, 2019; 2021 ch. 7, § 17, effective February 2, 2021.

13A.331. Adoption and effective date of ordinary administrative regulation that has been referred to a legislative committee.

A filed ordinary administrative regulation that has not been deferred or found deficient and has been referred by the Commission to a legislative committee shall be considered as adopted and shall become effective:

  1. Upon adjournment of a meeting of a legislative committee other than the subcommittee if:
    1. The administrative regulation was on the meeting agenda; and
    2. A quorum was present;
  2. Upon adjournment of a meeting of a House or Senate standing committee if:
    1. The administrative regulation was on its meeting agenda;
    2. A quorum was present; and
    3. The administrative regulation has previously been on a meeting agenda of the other standing committee when a quorum was present; or
  3. At the expiration of the review period established in KRS 13A.290(7), if within the review period a legislative committee has failed to meet or failed to place a filed administrative regulation on a meeting agenda.

History. Enact. Acts 2000, ch. 406, § 22, effective July 14, 2000; 2019 ch. 192, § 14, effective June 27, 2019; 2021 ch. 7, § 18, effective February 2, 2021.

13A.333. Expiration of deficient regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 516, § 4, effective July 13, 1990; 1996, ch. 180, § 18, effective July 15, 1996; 2000, ch. 406, § 20, effective July 14, 2000) was repealed by Acts 2003, ch. 185, § 12, effective March 31, 2003.

13A.335. Reasons administrative regulation found deficient shall not be considered deficient — Notice.

    1. A filed administrative regulation found deficient by a legislative committee shall not be considered deficient if: (1) (a) A filed administrative regulation found deficient by a legislative committee shall not be considered deficient if:
      1. A subsequent amendment of that administrative regulation is filed with the Commission by the administrative body;
      2. The legislative committee that found the administrative regulation deficient approves a motion that the subsequent amendment corrects the deficiency; and
      3. Any legislative committee that reviews the administrative regulation under the provisions of KRS Chapter 13A finds that the administrative regulation is not deficient.
    2. A filed administrative regulation found deficient by the Administrative Regulation Review Subcommittee shall not be considered deficient if:
      1. The administrative regulation is amended to correct the deficiency at a meeting of the legislative committee to which it was assigned by the Commission;
      2. That legislative committee does not determine that the administrative regulation is deficient for any other reason; and
      3. The Administrative Regulation Review Subcommittee approves a motion that the deficiency has been corrected and that the administrative regulation should not be considered deficient.
    3. A filed administrative regulation found deficient by a legislative committee with subject matter jurisdiction shall not be considered deficient if the legislative committee:
      1. Reconsiders the administrative regulation and its finding of deficiency; and
      2. Approves a motion that the administrative regulation is not deficient.
    4. If an amendment to an effective administrative regulation is going through the KRS Chapter 13A promulgation process and is found deficient by a legislative committee, the administrative regulation shall not be considered deficient if the:
      1. Administrative regulation was found deficient due to the amendment;
      2. Promulgating administrative body has withdrawn the proposed amendment of the existing administrative regulation; and
      3. Regulations compiler has not received the Governor’s determination pursuant to KRS 13A.330 .
  1. If an effective administrative regulation is found deficient by a legislative committee, the administrative regulation shall not be considered deficient if the subcommittee:
    1. Reconsiders the administrative regulation and its finding of deficiency; and
    2. Approves a motion that the administrative regulation is not deficient.
    1. If an administrative regulation has been found deficient by a legislative committee, the regulations compiler shall add the following notice to the administrative regulation: “This administrative regulation was found deficient by the [name of legislative committee ] on [date].” This notice shall be the last section of the administrative regulation. (3) (a) If an administrative regulation has been found deficient by a legislative committee, the regulations compiler shall add the following notice to the administrative regulation: “This administrative regulation was found deficient by the [name of legislative committee ] on [date].” This notice shall be the last section of the administrative regulation.
    2. If an administrative regulation has been found deficient by a legislative committee, subsequent amendments of that administrative regulation filed with the Commission shall contain the notice provided in paragraph (a) of this subsection.
    3. If an administrative regulation that has been found deficient by a legislative committee has subsequently been determined not to be deficient under the provisions of this section, the regulations compiler shall delete the notice required by paragraph (a) of this subsection.

History. Enact. Acts 1990, ch. 516, § 5, effective July 13, 1990; 1996, ch. 180, § 19, effective July 15, 1996; 1998, ch. 350, § 3, effective July 15, 1998; 2000, ch. 406, § 21, effective July 14, 2000; 2005, ch. 100, § 23, effective June 20, 2005; 2019 ch. 192, § 15, effective June 27, 2019; 2021 ch. 7, § 19, effective February 2, 2021.

13A.336. Annual report on administrative regulations found deficient — Contents.

    1. After the last regularly scheduled meeting of the Administrative Regulation Review Subcommittee in a calendar year, but by the thirty-first day of December of that calendar year, the staff of the Administrative Regulation Review Subcommittee shall submit a report to the co-chairs of that subcommittee regarding administrative regulations that were found deficient by any legislative committee of the Commission during that calendar year. (1) (a) After the last regularly scheduled meeting of the Administrative Regulation Review Subcommittee in a calendar year, but by the thirty-first day of December of that calendar year, the staff of the Administrative Regulation Review Subcommittee shall submit a report to the co-chairs of that subcommittee regarding administrative regulations that were found deficient by any legislative committee of the Commission during that calendar year.
    2. The report in paragraph (a) of this subsection shall contain:
      1. Effective administrative regulations that were found deficient; and
      2. Administrative regulations filed with the Commission that were found deficient.
  1. The report shall not contain any administrative regulation that was found deficient and:
    1. Has been withdrawn; or
    2. Is no longer considered deficient under KRS 13A.335 .
  2. The report shall contain at least the following information for each administrative regulation in the report:
    1. Administrative regulation number and title;
    2. Name of the promulgating agency;
    3. Date of deficiency determination;
    4. Name of the legislative committee that made the deficiency determination;
    5. Effective date, if it is in effect;
    6. The finding of deficiency and any other findings, recommendations, or comments sent to the Governor; and
    7. If applicable under KRS 13A.330 , the Governor’s determination regarding the deficiency, if received by the Commission.
  3. The first page of the report required by subsection (1) of this section shall contain the following text, in fourteen (14) point font or larger:

    “To ratify the deficiency findings listed in this report, a co-chair or other legislator may request that Legislative Research Commission staff prepare a bill:

    1. Declaring that one (1) or more administrative regulations listed in the report shall be void; or
    2. Amending the relevant subject matter statutes in conformity with the findings of deficiency.”

HISTORY: 2019 ch. 192, § 1, effective June 27, 2019; 2021 ch. 7, § 20, effective February 2, 2021.

13A.337. Legislative finding — Certain administrative regulations void — Prohibition against promulgating substantially similar regulations — Judicial review.

  1. The General Assembly finds that certain administrative regulations, as evidenced by the records of the Legislative Research Commission, including but not limited to the Kentucky Administrative Regulations Service and the Administrative Register of Kentucky, were found deficient on or after July 15, 1988, and either expired prior to or upon adjournment of the 2001 General Assembly, or were scheduled to expire upon adjournment of the 2002 Regular Session of the General Assembly, under the provisions of KRS Chapter 13A as existing before the issuance of the Opinion and Order of the Franklin Circuit Court in Patton v. Sherman et al., Civil Action No. 01-CI-00660, entered January 11, 2002.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative regulations identified in subsection (1) of this section shall be null, void, and unenforceable, as follows:
    1. Those administrative regulations identified in subsection (1) of this section which expired prior to or upon adjournment of the 2001 Regular Session of the General Assembly under the provisions of KRS Chapter 13A existing before the issuance of the court order referenced in subsection (1) of this section shall be null, void, and unenforceable as of their recorded date of expiration, according to the records of the Legislative Research Commission. Administrative bodies and regulated persons and entities have relied on the assumption that these administrative regulations have previously expired; therefore, this subsection shall have the retroactive effect necessary to implement its provisions; and
    2. Those administrative regulations identified in subsection (1) of this section due to expire upon adjournment of the 2002 Regular Session of the General Assembly, under the provisions of KRS Chapter 13A existing before the issuance of the court order referenced in subsection (1) of this section, shall be null, void, and unenforceable on March 27, 2002.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, an administrative body shall be prohibited from promulgating an administrative regulation that is identical to or substantially the same as any administrative regulation identified in subsection (1) of this section for a period beginning on January 11, 2002, and concluding upon adjournment of the 2003 Regular Session of the General Assembly. This subsection shall have the retroactive effect necessary to implement its provisions.
  4. The Legislative Research Commission may file an action in the Franklin Circuit Court for judicial review to determine if any administrative regulation is lawfully promulgated in accordance with the laws and Constitution of the Commonwealth of Kentucky.

History. Enact. Acts 2002, ch. 76, § 1, effective March 27, 2002.

13A.338. Legislative finding — Certain administrative regulations void — Prohibition against promulgating substantially similar regulations within specified time.

  1. The General Assembly finds that certain administrative regulations as evidenced by the records of the Legislative Research Commission, including but not limited to the Kentucky Administrative Regulations Service and the Administrative Register of Kentucky, were found deficient but became effective notwithstanding the finding of deficiency, pursuant to KRS 13A.330 , on or after March 27, 2002, and before March 16, 2004.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, each administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of March 16, 2004.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, any of the administrative regulations referenced in subsection (1) of this section for a period beginning on March 16, 2004, and concluding on June 1, 2005.
  4. A list of the administrative regulations referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

History. Enact. Acts 2004, ch. 11, § 1, effective March 16, 2004; 2021 ch. 7, § 21, effective February 2, 2021.

13A.339. Unenforceability of certain administrative regulations that became effective notwithstanding finding of deficiency.

  1. The General Assembly finds that certain administrative regulations as evidenced by the records of the Legislative Research Commission, including but not limited to the Kentucky Administrative Regulations Service and the Administrative Register of Kentucky, were found deficient but became effective notwithstanding the finding of deficiency, pursuant to KRS 13A.330 , on or after April 15, 2020, and before January 5, 2021, and were found deficient pursuant to KRS 13A.336 including:
    1. 803 KAR 2:180, Labor Cabinet, Department of Workplace Standards, Recordkeeping, reporting, statistics;
    2. 921 KAR 3:025, Cabinet for Health and Family Services, Department for Community Based Services, Technical requirements; and
    3. 921 KAR 3:025E, Cabinet for Health and Family Services, Department for Community Based Services, Technical requirements, emergency.
  2. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, each administrative regulation referenced in subsection (1) of this section shall be null, void, and unenforceable as of June 29, 2021.
  3. Contrary provisions of any section of the Kentucky Revised Statutes notwithstanding, the administrative body shall be prohibited from promulgating an administrative regulation that is identical to, or substantially the same as, any of the administrative regulations referenced in subsection (1) of this section for a period beginning on March 30, 2021, and concluding on June 1, 2022.
  4. A list of the administrative regulations referenced in subsection (1) of this section shall be available to the public, in the office of the Legislative Research Commission’s regulations compiler.

HISTORY: 2021 ch. 165, § 1, effective June 29, 2021.

13A.340. Notification of administrative regulations filed prior to July 14, 1984, which are to remain in effect — Procedure — Repeal of administrative regulations for which no notice is received by July 1, 1985. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 417, § 34, effective April 13, 1984) was repealed by Acts 1990, ch. 516, § 32, effective July 13, 1990.

13A.345. Expiration of administrative regulations — Enactment of regulations into statute. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 499, § 9, effective July 15, 1986) was repealed by Acts 1988, ch. 71, § 11, effective March 16, 1988.

13A.346. Quadrennial review of administrative regulations by LRC subcommittee — Schedule. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 71, § 8, effective July 15, 1988) was repealed by Acts 1994, ch. 37, § 1, effective July 15, 1994.

13A.347. Assignment by LRC to subcommittee — Public meeting — Reports required — Expiration of administrative regulations — Enactment into statute — Prohibition concerning promulgation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 71, § 9, effective July 15, 1988) was repealed by Acts 1994, ch. 37, § 1, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). Under KRS 446.260 , the repeal of this section in 1994 Ky. Acts ch. 37 prevails over its amendment in 1994 Ky. Acts ch. 486.

13A.350. Application of chapter.

  1. The provisions of this chapter shall apply to all grants of authority to promulgate administrative regulations and no administrative regulation shall be promulgated or adopted unless in conformity with the provisions of this chapter.
  2. The provisions of this chapter shall apply to all other acts passed by the 1984 Session of the General Assembly.
  3. Any grant of authority for an administrative body to promulgate rules or standards is repealed, unless authorized by this chapter.
  4. Any grant of authority for an administrative body to promulgate administrative regulations which is in conflict with the provisions of this chapter shall be repealed to the extent that it conflicts with the provisions of this chapter, regardless of whether the grant of authority is broader than that contained in this chapter.
  5. Any existing statute and any act passed by the 1984 Session of the General Assembly which is in conflict with the provisions of this chapter is repealed to the extent of the conflict.

History. Enact. Acts 1984, ch. 417, § 35, effective April 13, 1984.

CHAPTER 13B Administrative Hearings

13B.005. Short title for KRS 13B.005 to 13B.170.

KRS 13B.005 to 13B.170 shall be named the Albert Jones Act of 1994.

History. Enact. Acts 1994, ch. 382, § 21, effective July 15, 1994.

NOTES TO DECISIONS

1.Discretion.

Hearing officer pursuant to KRS 13B.005 et seq. had considerable discretion in admitting and excluding evidence, and, thus, a reviewing court would only reverse the hearing officers evidentiary rulings for an abuse of discretion. In a case involving the tenured teacher’s termination of employment for having sexual contact with two students, the hearing officer was authorized to deny the tenured teacher’s request to exclude evidence that the tenured teacher had been acquitted of criminal charges involving one of the students, as that evidence was both irrelevant and was excludable under KRE. 403 as potentially confusing to the administrative tribunal because the criminal trial had a different burden of proof than the administrative proceeding. Drummond v. Todd County Bd. of Educ., 349 S.W.3d 316, 2011 Ky. App. LEXIS 155 (Ky. Ct. App. 2011).

2.Hospital Disciplinary Proceedings.

In a case where a physician alleged that his administrative due process rights had been violated in relation to the termination of staff privileges, a hospital did not expressly or implicitly function as a state agency; therefore, the hospital's internal disciplinary proceedings were not subject to the requirements of this chapter. Sara v. St. Joseph Healthcare Sys., 480 S.W.3d 286, 2015 Ky. App. LEXIS 176 (Ky. Ct. App. 2015).

Research References and Practice Aids

Kentucky Bench & Bar.

Mooney, 13B Administrative Hearings — New Kid on the Block, Vol. 68, No. 2, Mar. 2004, Ky. Bench & Bar 13.

Dolan, Medicaid Administrative Hearings: Understanding Medicaid, Community Services and the Hearing Process, Vol. 68, No. 2, Mar. 2004, Ky. Bench & Bar 27.

13B.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Administrative agency” or “agency” means each state board, bureau, cabinet, commission, department, authority, officer, or other entity in the executive branch of state government authorized by law to conduct administrative hearings.
  2. “Administrative hearing” or “hearing” means any type of formal adjudicatory proceeding conducted by an agency as required or permitted by statute or regulation to adjudicate the legal rights, duties, privileges, or immunities of a named person.
  3. “Party” means:
    1. The named person whose legal rights, duties, privileges, or immunities are being adjudicated in the administrative hearing;
    2. Any other person who is duly granted intervention in an administrative hearing; and
    3. Any agency named as a party to the adjudicatory proceeding or entitled or permitted by the law being enforced to participate fully in the administrative hearing.
  4. “Agency head” means the individual or collegial body in an agency that is responsible for entry of a final order.
  5. “Recommended order” means the whole or part of a preliminary hearing report to an agency head for the disposition of an administrative hearing.
  6. “Final order” means the whole or part of the final disposition of an administrative hearing, whenever made effective by an agency head, whether affirmative, negative, injunctive, declaratory, agreed, or imperative in form.
  7. “Hearing officer” means the individual, duly qualified and employed pursuant to this chapter, assigned by an agency head as presiding officer for an administrative hearing or the presiding member of the agency head.
  8. “Division” means the Division of Administrative Hearings in the Office of the Attorney General created pursuant to KRS 15.111 .

History. Enact. Acts 1994, ch. 382, § 1, effective July 15, 1996; 1996, ch. 318, § 1, effective July 15, 1996.

NOTES TO DECISIONS

1.Applicability.

Even if the provisions of KRS 13B.140(1) and 13B.010(1) were applicable to the actions of a county board of education, the board waived any jurisdictional defect by not objecting until after the Circuit Court and the Court of Appeals decided the issues regarding a student’s expulsion pursuant to KRS 158.150. M.K.J. v. Bourbon County Bd. of Educ., 2008 Ky. App. LEXIS 286 (Ky. Ct. App. Aug. 29, 2008).

In a case where a physician alleged that his administrative due process rights had been violated in relation to the termination of staff privileges, a hospital did not expressly or implicitly function as a state agency; therefore, the hospital's internal disciplinary proceedings were not subject to the requirements of this chapter. Sara v. St. Joseph Healthcare Sys., 480 S.W.3d 286, 2015 Ky. App. LEXIS 176 (Ky. Ct. App. 2015).

2.“Final Order.”

Where the Kentucky Alcoholic Beverage Control Board made a legal determination that it lacked jurisdiction to hear a liquor store owner’s appeal of a city administrator’s issuance of a liquor license to an applicant and dismissed the appeal, although no evidentiary hearing was held, the Board’s order was a final order for purposes of KRS 13B.010(6). Bev. Warehouse, Inc. v. Commonwealth, 382 S.W.3d 34, 2011 Ky. App. LEXIS 211 (Ky. Ct. App. 2011).

Horse-racing stewards’ decision to disqualify a horse was not a final order of an agency, and thus, it was not subject to judicial review because the process that the stewards undertook to make their decision was not an “administrative hearing,” as that term was used in the statutory definition of “final order of an agency,” and the stewards’ call was not a “final order” as it was not “made effective by an agency head,” as was necessary to issue a final administrative order. West v. Ky. Horse Racing Comm'n, 972 F.3d 881, 2020 FED App. 284P, 2020 U.S. App. LEXIS 27522 (6th Cir. Ky. 2020 ).

Cited in:

Commonwealth v. Handi-Van, Inc., 358 S.W.3d 504, 2012 Ky. App. LEXIS 13 (Ky. Ct. App. 2012).

13B.020. Application of chapter — Exemptions.

  1. The provisions of this chapter shall apply to all administrative hearings conducted by an agency, with the exception of those specifically exempted under this section. The provisions of this chapter shall supersede any other provisions of the Kentucky Revised Statutes and administrative regulations, unless exempted under this section, to the extent these other provisions are duplicative or in conflict. This chapter creates only procedural rights and shall not be construed to confer upon any person a right to hearing not expressly provided by law.
  2. The provisions of this chapter shall not apply to:
    1. Investigations, hearings to determine probable cause, or any other type of information gathering or fact finding activities;
    2. Public hearings required in KRS Chapter 13A for the promulgation of administrative regulations;
    3. Any other public hearing conducted by an administrative agency which is nonadjudicatory in nature and the primary purpose of which is to seek public input on public policy making;
    4. Military adjudicatory proceedings conducted in accordance with KRS Chapter 35;
    5. Administrative hearings conducted by the legislative and judicial branches of state government;
    6. Administrative hearings conducted by any city, county, urban-county, charter county, or special district contained in KRS Chapters 65 to 109, or any other unit of local government operating strictly in a local jurisdictional capacity;
    7. Informal hearings which are part of a multilevel hearing process that affords an administrative hearing at some point in the hearing process if the procedures for informal hearings are approved and promulgated in accordance with subsections (4) and (5) of this section;
    8. Limited exemptions granted for specific hearing provisions and denoted by reference in the text of the applicable statutes or administrative regulations;
    9. Administrative hearings exempted pursuant to subsection (3) of this section;
    10. Administrative hearings exempted, in whole or in part, pursuant to subsections (4) and (5) of this section; and
    11. Any administrative hearing which was commenced but not completed prior to July 15, 1996.
  3. The following administrative hearings are exempt from application of this chapter in compliance with 1994 Ky. Acts ch. 382, sec. 19:
    1. Finance and Administration Cabinet
      1. Higher Education Assistance Authority
        1. Wage garnishment hearings conducted under authority of 20 U.S.C. sec. 1095 a and 34 C.F.R. sec. 682.410
        2. Offset hearings conducted under authority of 31 U.S.C. sec. 3720 A and sec. 3716, and 34 C.F.R. sec. 30.33
      2. Department of Revenue
        1. Any licensing and bond revocation hearings conducted under the authority of KRS 138.210 to 138.448 and 234.310 to 234.440
        2. Any license revocation hearings under KRS 131.630 and 138.130 to 138.205
    2. Cabinet for Health and Family Services
      1. Office of the Inspector General
        1. Certificate-of-need hearings and licensure conducted under authority of KRS Chapter 216B
        2. Licensure revocation hearings conducted under authority of KRS Chapter 216B
      2. Department for Community Based Services
        1. Supervised placement revocation hearings conducted under authority of KRS Chapter 630
      3. Department for Income Support
        1. Disability determination hearings conducted under authority of 20 C.F.R. sec. 404
      4. Department for Medicaid Services
        1. Administrative appeal hearings following an external independent third-party review of a Medicaid managed care organization’s final decision that denies, in whole or in part, a health care service to an enrollee or a claim for reimbursement to the provider for a health care service rendered by the provider to an enrollee of the Medicaid managed care organization, conducted under authority of KRS 205.646
    3. Justice and Public Safety Cabinet
      1. Department of Kentucky State Police
        1. Kentucky State Police Trial Board disciplinary hearings conducted under authority of KRS Chapter 16
      2. Department of Corrections
        1. Parole Board hearings conducted under authority of KRS Chapter 439
        2. Prison adjustment committee hearings conducted under authority of KRS Chapter 197
        3. Prison grievance committee hearings conducted under authority of KRS Chapters 196 and 197
      3. Department of Juvenile Justice
        1. Supervised placement revocation hearings conducted under KRS Chapter 635
    4. Energy and Environment Cabinet
      1. Department for Natural Resources
        1. Surface mining hearings conducted under authority of KRS Chapter 350
        2. Oil and gas hearings conducted under the authority of KRS Chapter 353, except for those conducted by the Kentucky Oil and Gas Conservation Commission pursuant to KRS 353.500 to 353.720
        3. Explosives and blasting hearings conducted under the authority of KRS 351.315 to 351.375
      2. Department for Environmental Protection
        1. Wild River hearings conducted under authority of KRS Chapter 146
        2. Water resources hearings conducted under authority of KRS Chapter 151
        3. Water plant operator and water well driller hearings conducted under authority of KRS Chapter 223
        4. Environmental protection hearings conducted under authority of KRS Chapter 224
        5. Petroleum Storage Tank Environmental Assurance Fund hearings under authority of KRS Chapter 224
      3. Public Service Commission
        1. Utility hearings conducted under authority of KRS Chapters 74, 278, and 279
    5. Labor Cabinet
      1. Department of Workers’ Claims
        1. Workers’ compensation hearings conducted under authority of KRS Chapter 342
      2. Kentucky Occupational Safety and Health Review Commission
        1. Occupational safety and health hearings conducted under authority of KRS Chapter 338
    6. Public Protection Cabinet
      1. Board of Claims
        1. Liability hearings conducted under authority of KRS 49.020(5) and 49.040 to 49.180
    7. Education and Workforce Development Cabinet
      1. Unemployment Insurance hearings conducted under authority of KRS Chapter 341
    8. Secretary of State
      1. Registry of Election Finance
        1. Campaign finance hearings conducted under authority of KRS Chapter 121
    9. State universities and colleges
      1. Student suspension and expulsion hearings conducted under authority of KRS Chapter 164
      2. University presidents and faculty removal hearings conducted under authority of KRS Chapter 164
      3. Campus residency hearings conducted under authority of KRS Chapter 164
      4. Family Education Rights to Privacy Act hearings conducted under authority of 20 U.S.C. sec. 1232 and 34 C.F.R. sec. 99
      5. Federal Health Care Quality Improvement Act of 1986 hearings conducted under authority of 42 U.S.C. sec. 11101 to 11115 and KRS Chapter 311.
  4. Any administrative hearing, or portion thereof, may be certified as exempt by the Attorney General based on the following criteria:
    1. The provisions of this chapter conflict with any provision of federal law or regulation with which the agency must comply, or with any federal law or regulation with which the agency must comply to permit the agency or persons within the Commonwealth to receive federal tax benefits or federal funds or other benefits;
    2. Conformity with the requirement of this chapter from which exemption is sought would be so unreasonable or so impractical as to deny due process because of undue delay in the conduct of administrative hearings; or
    3. The hearing procedures represent informal proceedings which are the preliminary stages or the review stages of a multilevel hearing process, if the provisions of this chapter or the provisions of a substantially equivalent hearing procedure exempted under subsection (3) of this section are applied at some level within the multilevel process.
  5. The Attorney General shall not exempt an agency from any requirement of this chapter until the agency establishes alternative procedures by administrative regulation which, insofar as practical, shall be consistent with the intent and purpose of this chapter. When regulations for alternative procedures are submitted to the Administrative Regulation Review Subcommittee, they shall be accompanied by the request for exemption and the approval of exemption from the Attorney General. The decision of the Attorney General, whether affirmative or negative, shall be subject to judicial review in the Franklin Circuit Court within thirty (30) days of the date of issuance. The court shall not overturn a decision of the Attorney General unless the decision was arbitrary or capricious or contrary to law.
  6. Except to the extent precluded by another provision of law, a person may waive any procedural right conferred upon that person by this chapter.
  7. The provisions of KRS 13B.030(2)(b) shall not apply to administrative hearings held under KRS 11A.100 or 18A.095 .

History. Enact. Acts 1994, ch. 382, § 2, effective July 15, 1996; 1996, ch. 318, § 2, effective July 15, 1996; 1998, ch. 426, § 63, effective July 15, 1998; 1998, ch. 538, § 12, effective April 13, 1998; 2000, ch. 14, § 2, effective July 14, 2000; 2005, ch. 99, § 13, effective June 20, 2005; 2005, ch. 123, § 8, effective June 20, 2005; 2006, ch. 211, § 8, effective July 12, 2006; 2007, ch. 85, § 13, effective June 26, 2007; 2009, ch. 11, § 6, effective June 25, 2009; 2010, ch. 24, § 12, effective July 15, 2010; 2012, ch. 158, § 3, effective July 12, 2012; 2016 ch. 55, § 2, effective April 8, 2016; 2017 ch. 74, § 54, effective June 29, 2017; 2018 ch. 72, § 1, effective July 14, 2018; 2018 ch. 85, § 1, effective July 14, 2018; 2018 ch. 94, § 1; 2018 ch. 188, § 2, effective July 14, 2018; 2019 ch. 90, § 2, effective June 27, 2019; 2021 ch. 185, § 7, effective June 29, 2021.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 426 and 538. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 538, which was a nonrevisory Act, prevails under KRS 7.136(3).

NOTES TO DECISIONS

1.Interpretation.

KRS 13B.020 contemplates a possible legal impasse by providing that KRS ch. 13B supersedes all other relevant statutes unless exempted. KRS 281.640 enjoys no such exemption, and, therefore, its provision must yield to KRS 13B.030 , which allows a Kentucky Office of the Attorney General hearing officer to preside over a hearing from the Commonwealth of Kentucky, Transportation Cabinet, Department of Vehicle Regulation. Commonwealth v. Handi-Van, Inc., 358 S.W.3d 504, 2012 Ky. App. LEXIS 13 (Ky. Ct. App. 2012).

2.Application.

In a case where a physician alleged that his administrative due process rights had been violated in relation to the termination of staff privileges, a hospital did not expressly or implicitly function as a state agency; therefore, the hospital's internal disciplinary proceedings were not subject to the requirements of this chapter. Sara v. St. Joseph Healthcare Sys., 480 S.W.3d 286, 2015 Ky. App. LEXIS 176 (Ky. Ct. App. 2015).

Clearly, the State Evaluation Appeals Panel (SEAP) is a review panel possessing very limited statutorily defined functions, and no provision exists for a hearing officer, the presentation or cross-examination of witnesses or any of the traditional hallmarks of an administrative hearing. The SEAP merely reviews the actions of the LEAP to determine compliance with an approved evaluation plan and thereby provide accountability and encouragement for local districts to implement appropriate evaluation plans. The SEAP is not empowered to reinstate a teacher to a prior position or provide any other remedy apart from setting aside a defective evaluation. Therefore, the SEAP does not conduct administrative hearings and actions of the SEAP do not come within the purview of Ky. Rev. Stat. Ann. ch. 13B. Geron v. Jefferson Cty. Bd. of Educ., 2018 Ky. App. LEXIS 232 (Ky. Ct. App. Aug. 31, 2018).

3.Fact-finding investigation exception.

Circuit court properly upheld the Kentucky State Police Commissioner's transfer of a trooper from injured to limited duty status because the Commissioner was expressly authorized to do so based on "medical reports" and the Commissioner's decision was not subject to the due process requirements mentioned in the statute at issue inasmuch as it fell squarely within the fact-finding investigation exception. Wasson v. Ky. State Police, 542 S.W.3d 300, 2018 Ky. App. LEXIS 77 (Ky. Ct. App. 2018).

Cited in:

Kipling v. City of White Plains, 80 S.W.3d 776, 2001 Ky. App. LEXIS 1167 (Ky. Ct. App. 2001); Geupel Constr. Co. v. Commonwealth Transp. Cabinet, 136 S.W.3d 43, 2003 Ky. App. LEXIS 39 (Ky. Ct. App. 2003).

Abul-Ela v. Ky. Bd. of Med. Licensure, 217 S.W.3d 246, 2006 Ky. App. LEXIS 361 (Ky. Ct. App. 2006).

NOTES TO UNPUBLISHED DECISIONS

1.Application.

Unpublished decision: Prisoner disciplinary proceedings are exempt from the statutory scheme, but logic dictates that the concept apply in a similar fashion to prison disciplinary matters, for if ever there is a circumstance upon which the burden to create and maintain the record should fall upon the agency, it is this. Lawless v. Conover, 2016 Ky. App. Unpub. LEXIS 885 (Ky. Ct. App. May 20, 2016), superseded, 540 S.W.3d 766, 2017 Ky. LEXIS 451 ( Ky. 2017 ).

13B.030. Powers of agency head — Hearing officers.

  1. An agency head may exercise all powers conferred on an agency relating to the conduct of administrative hearings, and he may delegate conferred powers to a hearing officer or a member of a collegial body that serves as an agency head, or he may delegate conferred powers to a hearing officer to conduct an administrative hearing before a hearing panel, reserving the authority to render a recommended order to that panel. An agency head may not, however, delegate the power to issue a final order unless specifically authorized by statute, or unless disqualified in accordance with KRS 13B.040(2).
    1. In securing hearing officers as necessary to conduct administrative hearings under the jurisdiction of the agency, an agency may: (2) (a) In securing hearing officers as necessary to conduct administrative hearings under the jurisdiction of the agency, an agency may:
      1. Employ hearing officers;
      2. Contract with another agency for hearing officers; or
      3. Contract with private attorneys through personal service contract.
    2. An agency may secure hearing officers pursuant to subsection (2)(a)3. of this section only if the Attorney General has first determined that the Attorney General’s Office cannot provide the needed hearing officers to the agency. If the Attorney General determines that the Attorney General’s Office can provide the needed hearing officers to the agency, the agency shall use the hearing officers provided by the Attorney General’s Office. The expenses incurred by the Attorney General’s Office in providing the hearing officers to the agency shall be paid to the Attorney General’s Office by the agency in the following manner:
      1. The amount to be paid by the agency to the Attorney General’s Office shall be established by vouchers submitted by the Attorney General’s Office to the agency which shall be promptly paid by the agency, at the beginning of, at the end of, or at any time during the provision of the hearing officers by the Attorney General’s Office.
      2. The expenses to be paid to the Attorney General’s Office shall be calculated according to the amount of time spent by the salaried hearing officers of the Attorney General’s Office in providing the services. The charge for time spent shall not exceed twenty-five percent (25%) more than the amount allowed for a sole practitioner under personal service contract. The Attorney General may require payment in advance of the provision of the requested services based on his calculation of the amount of time that will be spent by the salaried hearing officers of the Attorney General’s Office in providing the services. The agency shall be reimbursed for any overpayment at the conclusion of the provision of services by the Attorney General’s Office.
  2. A hearing officer shall possess and meet qualifications as the Personnel Cabinet and the employing agency, with the advice of the division, may find necessary to assure competency in the conduct of an administrative hearing. The qualifications in this subsection shall not, however, apply to a member of a board, commission, or other collegial body who may serve as a hearing officer in his capacity as a member of the collegial body.
  3. All hearing officers, including members of collegial bodies who serve as hearing officers, shall receive training necessary to prepare them to conduct a competent administrative hearing. The training shall pertain to the conduct of administrative hearings generally and to the applications of the provisions of this chapter, specifically. The division shall establish by administrative regulation minimum standards concerning the length of training, course content, and instructor qualifications. Required training shall not exceed eighteen (18) classroom hours for initial training and six (6) classroom hours per year for continuing training. Actual training may be conducted by an agency or any other organization, if the training program offered has been approved by the division as meeting minimum standards.

History. Enact. Acts 1994, ch. 382, § 3, effective July 15, 1996; 1996, ch. 318, § 3, effective July 15, 1996; 1998, ch. 154, § 4, effective July 15, 1998.

NOTES TO DECISIONS

1.Proper Hearing Officer.

KRS 13B.020 contemplates a possible legal impasse by providing that KRS ch. 13B supersedes all other relevant statutes unless exempted. KRS 281.640 enjoys no such exemption, and, therefore, its provision must yield to KRS 13B.030 , which allows a Kentucky Office of the Attorney General hearing officer to preside over a hearing from the Commonwealth of Kentucky, Transportation Cabinet, Department of Vehicle Regulation. Commonwealth v. Handi-Van, Inc., 358 S.W.3d 504, 2012 Ky. App. LEXIS 13 (Ky. Ct. App. 2012).

2.Recusal not Warranted.

Physician's argument that a hearing officer should have recused himself from a revocation proceeding was rejected where the hearing officer had not participated in any of the proceedings or investigations prior to overseeing the administrative hearing, the physician had not articulated how the hearing officer was biased against him, the hearing officer had not pecuniary interest in the proceeding's outcome, and the statutory scheme did not require the hearing officer to have a medical background or medical training in order to qualify as a hearing officer. Moses v. Ky. Bd. of Med. Licensure, 2016 Ky. App. LEXIS 13 (Ky. Ct. App. Feb. 12, 2016), review denied, ordered not published, 2016 Ky. LEXIS 474 (Ky. Sept. 15, 2016).

3.Bias.

There was no evidence of a hearing officer’s existing bias because there was no evidence placed in the record by the employee that the hearing officer’s former employment prejudiced her in favor of the county board of education; nor did the teacher allege that the hearing officer failed to receive the proper training. Alvey v. Davis, 583 S.W.3d 20, 2019 Ky. App. LEXIS 127 (Ky. Ct. App. 2019).

Cited in:

Herndon v. Herndon, 139 S.W.3d 822, 2004 Ky. LEXIS 88 ( Ky. 2004 ).

Opinions of Attorney General.

State Board of Registration for Professional Engineers and Land Surveyors does not have authority under KRS 322.200 to delegate to a hearing officer the authority to conduct hearings. The statutory authority to delegate the power to preside over a hearing to a hearing officer set forth in KRS 13B.030(1) will take effect in 1996. After the effective date of Chapter 13B, the Board will have the authority to delegate the power to preside over disciplinary hearings to a hearing officer. OAG 94-68 .

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

Northern Kentucky Law Review.

Administrative Adjudication in Kentucky: Ethics and Unauthorized Practice Considerations, 29 N. Ky. L. Rev. 359 (2002).

Administrative Adjudication in Kentucky: Ethics and Unauthorized Practice Considerations, 29 N. Ky. L. Rev. 359 (2002).

13B.040. Qualifications of hearing officer.

  1. A person who has served as an investigator or prosecutor in an administrative hearing or in its preadjudicative stage shall not serve as hearing officer or assist or advise a hearing officer in the same proceeding. This shall not be construed as preventing a person who has participated as a hearing officer in a determination of probable cause or other equivalent preliminary determination from serving as a hearing officer in the same proceeding.
    1. A hearing officer, agency head, or member of an agency head who is serving as a hearing officer shall voluntarily disqualify himself and withdraw from any case in which he cannot afford a fair and impartial hearing or consideration. Any party may request the disqualification of a hearing officer, agency head, or member of the agency head by filing an affidavit, upon discovery of facts establishing grounds for a disqualification, stating the particular grounds upon which he claims that a fair and impartial hearing cannot be accorded. A request for the disqualification of a hearing officer shall be answered by the agency head within sixty (60) days of its filing. The request for disqualification and the disposition of the request shall be a part of the official record of the proceeding. Requests for disqualification of a hearing officer shall be determined by the agency head. Requests for disqualification of a hearing officer who is a member of the agency head shall be determined by the majority of the remaining members of the agency head. (2) (a) A hearing officer, agency head, or member of an agency head who is serving as a hearing officer shall voluntarily disqualify himself and withdraw from any case in which he cannot afford a fair and impartial hearing or consideration. Any party may request the disqualification of a hearing officer, agency head, or member of the agency head by filing an affidavit, upon discovery of facts establishing grounds for a disqualification, stating the particular grounds upon which he claims that a fair and impartial hearing cannot be accorded. A request for the disqualification of a hearing officer shall be answered by the agency head within sixty (60) days of its filing. The request for disqualification and the disposition of the request shall be a part of the official record of the proceeding. Requests for disqualification of a hearing officer shall be determined by the agency head. Requests for disqualification of a hearing officer who is a member of the agency head shall be determined by the majority of the remaining members of the agency head.
    2. Grounds for disqualification of a hearing officer shall include, but shall not be limited to, the following:
      1. Serving as an investigator or prosecutor in the proceeding or the preadjudicative stages of the proceeding;
      2. Participating in an ex parte communication which would prejudice the proceedings;
      3. Having a pecuniary interest in the outcome of the proceeding; or
      4. Having a personal bias toward any party to a proceeding which would cause a prejudgment on the outcome of the proceeding.

History. Enact. Acts 1994, ch. 382, § 4, effective July 15, 1996; 1996, ch. 318, § 4, effective July 15, 1996; 1998, ch. 279, § 1, effective July 15, 1998.

NOTES TO DECISIONS

1.Recusal not Warranted.

Physician's argument that a hearing officer should have recused himself from a revocation proceeding was rejected where the hearing officer had not participated in any of the proceedings or investigations prior to overseeing the administrative hearing, the physician had not articulated how the hearing officer was biased against him, the hearing officer had not pecuniary interest in the proceeding's outcome, and the statutory scheme did not require the hearing officer to have a medical background or medical training in order to qualify as a hearing officer. Moses v. Ky. Bd. of Med. Licensure, 2016 Ky. App. LEXIS 13 (Ky. Ct. App. Feb. 12, 2016), review denied, ordered not published, 2016 Ky. LEXIS 474 (Ky. Sept. 15, 2016).

2.Bias.

There was no evidence of a hearing officer’s existing bias because there was no evidence placed in the record by the employee that the hearing officer’s former employment prejudiced her in favor of the county board of education; none of the reasons for and procedure for disqualification of a hearing officer could be found. Alvey v. Davis, 583 S.W.3d 20, 2019 Ky. App. LEXIS 127 (Ky. Ct. App. 2019).

Cited in:

Louisville/Jefferson County Metro Gov’t v. TDC Group, LLC, 283 S.W.3d 657, 2009 Ky. LEXIS 28 ( Ky. 2009 ).

Research References and Practice Aids

Northern Kentucky Law Review.

Administrative Adjudication in Kentucky: Ethics and Unauthorized Practice Considerations, 29 N. Ky. L. Rev. 359 (2002).

Administrative Adjudication in Kentucky: Ethics and Unauthorized Practice Considerations, 29 N. Ky. L. Rev. 359 (2002).

13B.050. Notice of administrative hearing.

  1. In any administrative hearing, the agency shall conduct the hearing as soon as practicable and shall give notice of the hearing to the parties not less than twenty (20) days in advance of the date set for the hearing, unless otherwise required by federal law. An agency shall make reasonable effort to schedule a hearing on a date that is convenient to the parties involved.
  2. The notice required by subsection (1) of this section shall be served on the parties by certified mail, return receipt requested, sent to the last known address of the parties, or by personal service, with the exception of notices of Personnel Board hearings and all board orders which may be served by first-class mail. Service by certified mail shall be complete upon the date on which the agency receives the return receipt or the returned notice.
  3. The notice required by this section shall be in plain language and shall include:
    1. A statement of the date, time, place, and nature of the hearing;
    2. The name, official title, and mailing address of the hearing officer;
    3. The names, official titles, mailing addresses, and, if available, telephone numbers of all parties to the hearing, including the counsel or representative of the agency;
    4. A statement of the factual basis for the agency action along with a statement of issues involved, in sufficient detail to give the parties reasonable opportunity to prepare evidence and argument;
    5. A reference to the specific statutes and administrative regulations which relate to the issues involved and the procedure to be followed in the hearing;
    6. A statement advising the person of his right to legal counsel;
    7. A statement of the parties’ right to examine, at least five (5) days prior to the hearing, a list of witnesses the parties expect to call at the hearing, any evidence to be used at the hearing and any exculpatory information in the agency’s possession; and
    8. A statement advising that any party who fails to attend or participate as required at any stage of the administrative hearing process may be held in default under this chapter.
  4. If an agency decides not to conduct an administrative hearing in response to a petition, the agency shall notify the petitioner of its decision in writing, with a brief statement of the agency’s reasons and any administrative review available to the petitioner.
  5. Subsections (1), (2), and (3) of this section shall not apply to notices issued under KRS 11A.080(4)(b) when a party fails to file an answer or otherwise fails to participate.

HISTORY: Enact. Acts 1994, ch. 382, § 5, effective July 15, 1996; 1996, ch. 318, § 5, effective July 15, 1996; 1998, ch. 425, § 1, effective July 15, 1998; 2018 ch. 188, § 3, effective July 14, 2018.

NOTES TO DECISIONS

1.Substantial Evidence.

Energy and environment cabinet secretary’s finding that farmers were the individuals with primary responsibility for farms’ day to-day operations was supported by substantial evidence; as there was much factual dispute and evidence presented, the trial court had to determine if the decision of the Energy and environment cabinet secretary was supported by substantial evidence, the trial court issued an opinion that was contrary to this standard, and the court disagreed with the trial court’s holding in this regard. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

As substantial evidence supported the energy and environment cabinet secretary’s finding that farmers were the individuals with primary responsibility for farms’ day-today operations, reversal would have only been proper if the secretary incorrectly applied the law to the facts, but the court did not find that to be the case; the trial court imposed its own interpretation of the law instead of deferring to the cabinet’s interpretation, the secretary’s interpretation was reasonable and entitled to deference, and reversal of the trial court’s decision was proper. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Mere fact that the legislature declined to adopt administrative regulations imposing per se integrator liability cannot in and of itself be interpreted to mean that an individual who is primarily responsible, as that term is defined by Kentucky law, cannot be required to sign as a co-permittee, if in fact such a finding is supported by substantial evidence. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Permits issues to farmers were no-discharge permits, and the energy and environment cabinet secretary’s ruling on the issue was supported by substantial evidence and otherwise proper; the trial court found that permits ran afoul of KRS 224.10-100 (5), (19), but the court could not agree with the trial court’s finding that the statutes at issue required permit conditions that related to pathogens, and as the cabinet decided not to exercise its special condition authority, the court found no reason to disturb this. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Energy and environment cabinet’s special condition authority was properly exercised and the secretary’s decision was supported by substantial evidence, as experts were consulted, setbacks that were established were rationally related to the permit operations, and the setbacks were made according to the best professional judgment of the cabinet. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Trial court substituted its own preferred interpretation over that of the energy and environment cabinet secretary, even though the agency’s interpretation was both reasonable and supported by substantial evidence; the court reversed. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

5.Deference.

Commonwealth of Kentucky, Energy and Environment Cabinet is required to impose a special permit condition only when, in the Cabinet’s best professional judgment, a special permit condition was “necessary” to implement 401 Ky. Admin. Regs. 63:020, and the Cabinet’s authority in this regard is highly discretionary, and, thus, entitled to great deference. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

8.Arbitrary review.

Court believes the authority of the Commonwealth of Kentucky, Energy and Environment Cabinet to exercise its special condition authority to be almost entirely discretionary and, thus, not appropriately disturbed absent an action on the part of the Cabinet that is clearly arbitrary, and that was not the case here. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13B.060. Petition for intervention.

  1. The hearing officer shall grant a petition for intervention if:
    1. The petitioner has a statutory right to initiate the proceeding in which he wishes to intervene; or
    2. The petitioner has an interest which is or may be adversely affected by the outcome of the proceeding.
  2. The hearing officer may grant intervention after consideration of the following factors and a determination that intervention is in the interests of justice:
    1. The nature of the issues;
    2. The adequacy of representation of the petitioner’s interest which is provided by the existing parties to the proceeding;
    3. The ability of the petitioner to present relevant evidence and argument; and
    4. The effect of intervention on the agency’s ability to implement its statutory mandate.
  3. Unless otherwise required by federal law, a petition for intervention shall be filed and copies mailed to all parties named in the notice of the hearing, at least fourteen (14) days before the hearing. The parties to the hearing shall have seven (7) days within which to file any response they may have to the petition to intervene. If a petitioner qualifies for intervention under subsection (2) of this section, the hearing officer may impose conditions upon the intervenor’s participation in the proceedings, either at the time that intervention is granted or at any subsequent time. Conditions may include:
    1. Limiting the intervenor’s participation to designated issues in which the intervenor has a particular interest demonstrated by the petition;
    2. Limiting the intervenor’s use of discovery, cross-examination, and other procedures so as to promote the orderly and prompt conduct of the proceedings; and
    3. Requiring two (2) or more intervenors to combine their presentations of evidence and argument, cross-examination, discovery, and other participation in the proceedings.
  4. The hearing officer, at least three (3) days before the hearing, shall issue an order granting or denying each pending petition for intervention, specifying any conditions, and briefly stating the reasons for the order. The hearing officer shall promptly give notice of an order granting, denying, or modifying intervention to the petitioner for intervention and to all parties.

History. Enact. Acts 1994, ch. 382, § 6, effective July 15, 1996; 1996, ch. 318, § 6, effective July 15, 1996.

13B.070. Prehearing conference — Mediation and informal settlement procedures.

  1. A hearing officer may convene and conduct a prehearing conference upon reasonable notice to all parties to explore jurisdictional matters, mediation and settlement possibilities, preparation of stipulations, clarification of issues, rulings on witnesses, taking of evidence, issuance of subpoenas and orders, and other matters that will promote the orderly and prompt conduct of the hearing.
  2. Upon conclusion of a prehearing conference, the hearing officer shall issue a prehearing order incorporating all matters determined at the prehearing conference. If a prehearing conference is not held, the hearing officer may issue a prehearing order, based on the pleadings, to regulate the conduct of the hearing.
  3. Except to the extent precluded by another provision of law, mediation or informal settlement of matters that may make unnecessary more elaborate proceedings under this chapter is encouraged. Agencies that employ informal settlement procedures shall establish by administrative regulation the specific procedures to be used. This subsection shall not be construed, however, as requiring any party to settle a matter pursuant to informal procedures when the right to an administrative hearing is conferred.

History. Enact. Acts 1994, ch. 382, § 7, effective July 15, 1996; 1996, ch. 318, § 7, effective July 15, 1996; 1998, ch. 261, § 1, effective July 15, 1998.

13B.080. Conduct of hearing.

  1. A hearing officer shall preside over the conduct of an administrative hearing and shall regulate the course of the proceedings in a manner which will promote the orderly and prompt conduct of the hearing. When a prehearing order has been issued, the hearing officer shall regulate the hearing in conformity with the prehearing order.
  2. The hearing officer, at appropriate stages of the proceedings, shall give all parties full opportunity to file pleadings, motions, objections, and offers of settlement. The hearing officer, at appropriate stages of the proceedings, may give all parties full opportunity to file briefs, proposed findings of fact and conclusions of law, and proposed recommended or final orders. The original of all filings shall be mailed to the agency, and copies of any filed item shall be served on all parties and the hearing officer by mail or any other means permitted by law or prescribed by agency administrative regulation. The agency shall when it is received stamp the time and date upon a document.
  3. The hearing officer may issue subpoenas and discovery orders when requested by a party or on his own volition. When a subpoena is disobeyed, any party may apply to the Circuit Court of the judicial circuit in which the administrative hearing is held for an order requiring obedience. Failure to comply with an order of the court shall be cause for punishment as a contempt of the court.
  4. To the extent necessary for the full disclosure of all relevant facts and issues, the hearing officer shall afford all parties the opportunity to respond, present evidence and argument, conduct cross-examination, and submit rebuttal evidence, except as restricted by limited grant of intervention or a prehearing order.
  5. Any party to an administrative hearing may participate in person or be represented by counsel. In informal proceedings, a party may be represented by other professionals if appropriate and if permitted by the agency by administrative regulation.
  6. If a party properly served under KRS 13B.050 fails to attend or participate in a prehearing conference, hearing, or other stage of the administrative hearing process, or fails to comply with the orders of a hearing officer, the hearing officer may adjourn the proceedings and issue a default order granting or denying relief as appropriate, or may conduct the proceedings without the participation of the defaulting party, having due regard for the interests of justice and the orderly and prompt conduct of the proceedings. A default order shall be considered a recommended order and shall be processed as provided in KRS 13B.110 .
  7. A hearing officer may conduct all or part of an administrative hearing, or a prehearing conference, by telephone, television, or other electronic means, if each party to the hearing has an opportunity to hear, and, if technically feasible, to see the entire proceeding as it occurs, and if each party agrees.
  8. An administrative hearing shall be open to the public unless specifically closed pursuant to a provision of law. If an administrative hearing is conducted by telephone, television, or other electronic means, and is not closed, public access shall be satisfied by giving the public an opportunity, at reasonable times, to hear or inspect the agency’s record.

History. Enact. Acts 1994, ch. 382, § 8, effective July 15, 1996; 1996, ch. 318, § 8, effective July 15, 1996.

NOTES TO DECISIONS

1.Discretion of Court.

Teacher’s motion to reconsider denial of his request to reverse the administrative order of his termination was denied because KRS 13B.080 allowed state court judges to limit nature and scope of administrative hearings and KRS 13B.150 allowed a reviewing court to reverse a final order in part and remand for further proceedings. Furthermore, CR 60.02 did not apply to administrative proceedings. Dixon v. Clem, 419 F. Supp. 2d 947, 2006 U.S. Dist. LEXIS 10890 (E.D. Ky. 2006 ).

2.Discretion of Hearing Officer.

Parties in an administrative hearing regarding the termination of tenured teacher’s employment for having sexual contact with two students did not have an unlimited right to present evidence, but, under KRS 13B.080 , had the right to present evidence to the extent necessary to fully disclose all relevant facts and issues, subject to the discretion of the hearing officer. The tenured teacher under that standard was permitted to present the tenured teacher’s case and was not permitted certain requested telephonic testimony, as the Board that was opposing the tenured teacher did not agree to such testimony and, under KRS 13B.080 (7) both parties had to agree for such evidence to be presented. Drummond v. Todd County Bd. of Educ., 349 S.W.3d 316, 2011 Ky. App. LEXIS 155 (Ky. Ct. App. 2011).

Cited in:

Geupel Constr. Co. v. Commonwealth Transp. Cabinet, 136 S.W.3d 43, 2003 Ky. App. LEXIS 39 (Ky. Ct. App. 2003).

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13B.090. Findings of fact — Evidence — Recording of hearing — Burdens of proof.

  1. In an administrative hearing, findings of fact shall be based exclusively on the evidence on the record. The hearing officer shall exclude evidence that is irrelevant, immaterial, unduly repetitious, or excludable on constitutional or statutory grounds or on the basis of evidentiary privilege recognized in the courts of this Commonwealth. Hearsay evidence may be admissible, if it is the type of evidence that reasonable and prudent persons would rely on in their daily affairs, but it shall not be sufficient in itself to support an agency’s findings of facts unless it would be admissible over objections in civil actions.
  2. All testimony shall be made under oath or affirmation. Any part of the evidence may be received in written form if doing so will expedite the hearing without substantial prejudice to the interests of any party. The hearing officer may make a recommended order in an administrative hearing submitted in written form if the hearing officer determines there are no genuine issues of material fact in dispute and judgment is appropriate as a matter of law.
  3. Any party shall have the right to inspect, at least five (5) days prior to the hearing, a list of all witnesses every other party expects to call at the hearing, and the available documentary or tangible evidence relating to an administrative hearing either in person or by counsel. Copies of documentary evidence may be obtained upon the payment of a fee, except documents protected from disclosure by state or federal law. Nothing in this section shall be construed as giving a party the right to examine or copy the personal notes, observations, or conclusions of the agency staff, unless exculpatory in nature, nor shall it be construed as allowing access to the work product of counsel for the agency. Conditions for examining and copying agency records, fees to be charged, and other matters pertaining to access to these records shall be governed by KRS 61.870 to 61.884 . To the extent required by due process, the hearing officer may order the inspection of any records excluded from the application of KRS 61.870 to 61.884 under KRS 61.878 that relate to an act, transaction, or event that is a subject of the hearing, and may order their inclusion in the record under seal.
  4. Objections to evidentiary offers may be made by any party and shall be noted in the record.
  5. The hearing officer may take official notice of facts which are not in dispute, or of generally-recognized technical or scientific facts within the agency’s specialized knowledge. The hearing officer shall notify all parties, either before or during the hearing, or in preliminary reports or otherwise, of any facts so noticed and their source. All parties shall be given an opportunity to contest facts officially noticed.
  6. The agency shall cause all testimony, motions, and objections in a hearing to be accurately and completely recorded. Any person, upon request, may receive a copy of the recording or a copy of the transcript, if the hearing has been transcribed, at the discretion of the agency, unless the hearing is closed by law. The agency may prepare a transcript of a hearing or a portion of a hearing upon request but the party making the request shall be responsible for the transcription costs. The form of all requests and fees charged shall be consistent with KRS 61.870 to 61.884 .
  7. In all administrative hearings, unless otherwise provided by statute or federal law, the party proposing the agency take action or grant a benefit has the burden to show the propriety of the agency action or entitlement to the benefit sought. The agency has the burden to show the propriety of a penalty imposed or the removal of a benefit previously granted. The party asserting an affirmative defense has the burden to establish that defense. The party with the burden of proof on any issue has the burden of going forward and the ultimate burden of persuasion as to that issue. The ultimate burden of persuasion in all administrative hearings is met by a preponderance of evidence in the record, except when a higher standard of proof is required by law. Failure to meet the burden of proof is grounds for a recommended order from the hearing officer.

HISTORY: Enact. Acts 1994, ch. 382, § 9, effective July 15, 1996; 1996, ch. 318, § 9, effective July 15, 1996; 2018 ch. 188, § 4, effective July 14, 2018.

NOTES TO DECISIONS

1.In General.

Consideration of three chapters from a medical textbook offered by the Kentucky Retirement System was proper as: (1) the disability claimant had ample opportunity to submit rebuttal evidence prior to the closing of the file, (2) KRS 13B.090(2) permitted the submission of evidence in written form, and (3) KRS 13B.090(1) permitted the admission of hearsay evidence. McManus v. Ky. Ret. Sys., 124 S.W.3d 454, 2003 Ky. App. LEXIS 339 (Ky. Ct. App. 2003).

Hearing officer did not improperly assign a disability claimant a burden to prove that the causation of his disability was other than his pre-existing diabetes as KRS 61.665 did not allocate the burden of proof, but specified that hearings were to be conducted in accordance with KRS ch. 13B, which in KRS 13B.090 placed the burden of proof on the claimant. McManus v. Ky. Ret. Sys., 124 S.W.3d 454, 2003 Ky. App. LEXIS 339 (Ky. Ct. App. 2003).

Hearing officer improperly delegated his authority when he adopted almost verbatim the proposed findings of fact and conclusions of law of the Kentucky Cabinet of Health and Family Services in a Medicaid recoupment appeal. Although the hearing officer was not subject to CR 52.01, the same basic principle applied that it was inappropriate for an administrative hearing officers to delegate such an important part of his authority to a party in a matter before him. Commonwealth v. EPI Corp., 2006 Ky. App. LEXIS 114 (Ky. Ct. App. Apr. 14, 2006), aff'd, 2008 Ky. Unpub. LEXIS 33 (Ky. Dec. 18, 2008).

Where the Kentucky Retirement System denied a county employee’s application for disability retirement benefits, reversal was warranted because it was unclear from the record when the statements of the government’s physicians were submitted and if the employee was given the statutory right to inspect and respond to them. Claxon v. Ky. Ret. Sys., 2008 Ky. App. LEXIS 25 (Ky. Ct. App. Feb. 1, 2008).

2.Burden of Proof.
810 KAR 1:018, § 3(3)(a) creates a presumption a trainer has to rebut, and does not change the burden of proof in 810 KAR 1:018, § 3(3), or even KRS 13B.090(7); the trainer responsibility rule was valid, and where the trainer did not show that he was not negligent and that he exercised a high degree of care in safeguarding a horse from tampering, his suspension was proper even though it was the owner who placed a banned drug in the horse’s feed, and not the trainer, who had no knowledge of the owner’s actions. Deaton v. Ky. Horse Racing Auth., 172 S.W.3d 803, 2004 Ky. App. LEXIS 348 (Ky. Ct. App. 2004).

Fire district chiefs had the burden of proving that they were entitled to time-and-a-half overtime pay pursuant to KRS 337.285 because proof that a claimant was an employee was part of their prima facie case for entitlement to overtime pay, not an affirmative defense for which the city employer bore the burden of proof. City of Louisville, Div. of Fire v. Fire Serv. Managers Ass'n by & Through Kaelin, 212 S.W.3d 89, 2006 Ky. LEXIS 296 ( Ky. 2006 ).

Trial court had to determine whether the combined effects of the employee’s impairments rendered him unable to return to his former position or like positions, and the appellate court found that KRS 61.600(3)(d) referred to medically and psychiatrically diagnosable maladies only; a claimant bore the burden to come forward with some evidence that his condition did not preexist his service with the Commonwealth, and upon such a threshold showing, the burden of going forward shifted back to the Kentucky Retirement Systems, and smoking could not be considered a preexisting condition. West v. Ky. Ret. Sys., 2010 Ky. App. LEXIS 97 (Ky. Ct. App. May 28, 2010).

Under KRS 61.600 , a claimant bears the burden to come forward with some evidence that his condition did not preexist his service with the Commonwealth, and, upon such a threshold showing, the burden of going forward shifts back to the retirement systems. While the ultimate burden of persuasion is not moved from the party upon which it was originally cast (the claimant), the systems must come forward with some evidence in rebuttal where a claimant makes a threshold showing that his or her condition was not preexisting, and, while the fact-finder is free to accept or reject any evidence it chooses, it is not free to reject uncontested evidence; therefore, the fact-finder was not free to reject the unrebutted testimony of a doctor relating to the fact that it was highly unlikely that an employee had experienced chronic obstructive pulmonary disease on the year of his re-employment, despite his smoking. West v. Ky. Ret. Sys., 2011 Ky. App. LEXIS 125 (Ky. Ct. App. July 15, 2011).

Under KRS 13B.090(7), a claimant bore the burden of proof in demonstrating that she was entitled to disability retirement benefits. Ky. Ret. Sys. v. Lowe, 343 S.W.3d 642, 2011 Ky. App. LEXIS 162 (Ky. Ct. App. 2011).

Employee had to satisfy his burden of proving that his COPD did not pre-exist his membership in the Kentucky Retirement Systems, KRS 13B.090 , 61.600 , and the hearing officer’s conclusion that the employee’s COPD was a pre-existing condition was reasonable; the hearing officer did not consider the combined effect of the employee’s impairments and addressed all medical records presented. Ky. Ret. Sys. v. West, 413 S.W.3d 578, 2013 Ky. LEXIS 374 ( Ky. 2013 ).

Circuit court properly affirmed the Kentucky Retirement Systems' Board of Trustees' denial of a former employee's application for disability retirement benefits because the employee's argument on appeal impermissibly shifted her burden of proof to the Board, the persuasive effect of the evidence submitted by the employee was undermined by a doctor's independent psychological examination of the employee, which suggested that she might be feigning or malingering her symptoms, and there was a lack of objective medical evidence to support that any of her conditions were disabling. Bartrum v. Ky. Ret. Sys., 2017 Ky. App. LEXIS 17 (Ky. Ct. App. Jan. 20, 2017, sub. op., 2017 Ky. App. Unpub. LEXIS 956 (Ky. Ct. App. Jan. 20, 2017).

Cabinet had the burden to show it was entitled to recoupment as the language of 907 Ky. Admin. Regs. 1:671, § 9(14), and Ky. Rev. Stat. Ann. § 13B.090(7) was clear and unambiguous, and subject to only one reasonable interpretation, i.e., that the agency had the burden of proof to recover benefits paid, even when subject to an audit. Commonwealth v. Loving Care, Inc., 590 S.W.3d 824, 2019 Ky. App. LEXIS 202 (Ky. Ct. App. 2019).

Department for Community Based Services, Cabinet for Health and Family Services failed to prove its allegation of neglect by appellee by showing that it was more likely than not that appellee failed to provide a child adequate supervision necessary for the child’s well-being in the afterschool program as the only evidence presented by the Cabinet that the boys touched each other sexually was unreliable and inconsistent hearsay; and no witness testified that the touching was ever reported to appellee. Dep't for Cmty. Based Servs., Cabinet for Health & Family Servs. v. Baker, 613 S.W.3d 1, 2020 Ky. LEXIS 459 ( Ky. 2020 ).

Circuit court erred ruling that the Kentucky Retirement Systems bore the burden of proof, as it had to be borne by the county sheriff’s office, the employer; the assessment of actuarial costs to the the sheriff’s office was not properly characterized as a penalty because the assessment was not a punishment for any wrong, breach, violation of law, or some other general infringement. Ky. Ret. Sys. v. Jefferson Cty. Sheriff's Office, 2021 Ky. LEXIS 157 (Ky. June 17, 2021).

3.Procedure.

A trial court could not make a determination that equitable estoppel applied while reviewing the Board’s decision about whether the retiree’s benefits were properly reduced. The hearing officer had to make such a finding in the first instance, pursuant to KRS 13B.090(1) and KRS 13B.110(1), which the Board was then to review pursuant to KRS 13B.120(2) and (3), followed by the trial court’s review and, then, review by the appellate court under KRS 13B.150(2). Bd. of Trs. v. Grant, 257 S.W.3d 591, 2008 Ky. App. LEXIS 194 (Ky. Ct. App. 2008).

Court of appeals erred in affirming the denial of disability retirement benefits because the hearing officer’s original recommendation correctly found the post-employment medical proof, alone, established the employee’s disabling Hereditary Hemorrhagic Telangiectasia remained asymptomatic and reasonably undiscoverable; the employee’s affidavit and testimony, along with a reasoned reading of his medical records, was sufficient to allow the hearing officer to make an informed determination. Elder v. Ky. Ret. Sys., 617 S.W.3d 310, 2020 Ky. LEXIS 291 ( Ky. 2020 ).

Opinions of Attorney General.

Data maintained under the Kentucky All Schedules Prescription Electronic Reporting (“KASPER”) system cannot be informally disclosed by the Board of Medical Licensure to a licensee under investigation or charged with misconduct, nor provided through formal discovery, nor introduced into evidence in a Board of Medical Licensure hearing, without a court order. OAG 2005-07 .

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13B.100. Prohibited communications.

  1. Unless required for the disposition of ex parte matters specifically authorized by statute, a hearing officer shall not communicate off the record with any party to the hearing or any other person who has a direct or indirect interest in the outcome of the hearing, concerning any substantive issue, while the proceeding is pending.
  2. The prohibition stated in subsection (1) shall not apply to:
    1. Communication with other agency staff, if the communication is not an ex parte communication received by staff; and
    2. Communication among members of a collegial body or panel which by law is serving as a hearing officer.
  3. If an ex parte communication occurs, the hearing officer shall note the occurrence for the record, and he shall place in the record a copy of the communication, if it was written, or a memorandum of the substance of the communication, if it was oral.

History. Enact. Acts 1994, ch. 382, § 10, effective July 15, 1996.

13B.110. Recommended order.

  1. Except when a shorter time period is provided by law, the hearing officer shall complete and submit to the agency head, no later than sixty (60) days after receiving a copy of the official record of the proceeding, a written recommended order which shall include his findings of fact, conclusion of law, and recommended disposition of the hearing, including recommended penalties, if any. The recommended order shall also include a statement advising parties fully of their exception and appeal rights.
  2. If an extension of time is needed by the hearing officer to complete and submit his recommended order to the agency head, the hearing officer shall show good cause to the agency head, in writing, and based upon substantial proof, that an extension of time is needed.
  3. If the agency head, after a showing of good cause, grants the hearing officer an extension of time:
    1. The extension shall not exceed thirty (30) days from the date the extension was granted;
    2. The statement granting the extension shall be included in the record of the hearing; and
    3. Notice of the extension shall be sent to all parties.
  4. A copy of the hearing officer’s recommended order shall also be sent to each party in the hearing and each party shall have fifteen (15) days from the date the recommended order is mailed within which to file exceptions to the recommendations with the agency head. Transmittal of a recommended order may be sent by regular mail to the last known address of the party.
  5. The provisions of this section shall not apply in an administrative hearing where the hearing officer conducts the hearing in the presence of the agency head who renders a decision without the recommendation of the hearing officer.

History. Enact. Acts 1994, ch. 382, § 11, effective July 15, 1996; 1996, ch. 318, § 10, effective July 15, 1996.

NOTES TO DECISIONS

1.Service of Notice.

Service of notice upon a party’s counsel complies with the mandate of subsection (4) of this section. Flint v. Executive Branch Ethics Comm'n, 981 S.W.2d 132, 1998 Ky. App. LEXIS 131 (Ky. Ct. App. 1998).

2.Exhaustion of Remedies.

The filing of exceptions under a Chapter 13B administrative proceeding is not a prerequisite to obtaining administrative review of a hearing officer’s recommended order. When a party fails to file exceptions, the issues the party can raise on judicial review under KRS 13B.140 are limited to those findings and conclusions contained in the agency head’s final order that differ from those contained in the hearing officer’s recommended order. Rapier v. Philpot, 130 S.W.3d 560, 2004 Ky. LEXIS 3 ( Ky. 2004 ).

3.Timeliness of Order.

Hearing officer clearly failed to comply with the timeliness requirement of KRS 13B.110(3) when he took more than eight months to render a recommended order after the submission for decision of a Medicaid recoupment appeal. Commonwealth v. EPI Corp., 2006 Ky. App. LEXIS 114 (Ky. Ct. App. Apr. 14, 2006), aff'd, 2008 Ky. Unpub. LEXIS 33 (Ky. Dec. 18, 2008).

4.Timeliness of Exceptions.

The language contained in KRS 13B.110(4) is unequivocal and requires that exceptions be filed within fifteen (15) days from the date the recommended order is mailed. The substantial compliance doctrine under CR 73.02 is not applicable to extend the time, nor is CR 6.05 applicable to agency proceedings. Commonwealth v. Copper Care, Inc., 2008 Ky. App. LEXIS 136 (Ky. Ct. App. May 2, 2008).

A trial court could not make a determination that equitable estoppel applied while reviewing the Board’s decision about whether the retiree’s benefits were properly reduced. The hearing officer had to make such a finding in the first instance, pursuant to KRS 13B.090(1) and KRS 13B110(1), which the Board was then to review pursuant to KRS 13B.120(2) and (3), followed by the trial court’s review and, then, review by the appellate court under KRS 13B.150(2). Bd. of Trs. v. Grant, 257 S.W.3d 591, 2008 Ky. App. LEXIS 194 (Ky. Ct. App. 2008).

5.Requirements.

Hearing officer erred in failing to recommend a specific penalty for the physician where the legislative history indicated that Ky. Rev. Stat. Ann. § 13B.110(1) required the inclusion of a recommended penalty. Strauss v. Ky. Bd. of Med. Licensure, 2017 Ky. App. LEXIS 175 (Ky. Ct. App. May 12, 2017).

Ky. Rev. Stat. Ann. § 13B.110(1) allows a hearing officer to recommend a penalty but it does not require him or her to do so. Ky. Bd. of Med. Licensure v. Strauss, 558 S.W.3d 443, 2018 Ky. LEXIS 273 ( Ky. 2018 ), cert. denied, 139 S. Ct. 1354, 203 L. Ed. 2d 590, 2019 U.S. LEXIS 1747 (U.S. 2019).

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13B.120. Final order.

  1. In making the final order, the agency head shall consider the record including the recommended order and any exceptions duly filed to a recommended order.
  2. The agency head may accept the recommended order of the hearing officer and adopt it as the agency’s final order, or it may reject or modify, in whole or in part, the recommended order, or it may remand the matter, in whole or in part, to the hearing officer for further proceedings as appropriate.
  3. The final order in an administrative hearing shall be in writing and stated in the record. If the final order differs from the recommended order, it shall include separate statements of findings of fact and conclusions of law. The final order shall also include the effective date of the order and a statement advising parties fully of available appeal rights.
  4. Except as otherwise required by federal law, the agency head shall render a final order in an administrative hearing within ninety (90) days after:
    1. The receipt of the official record of the hearing in which there was no hearing officer submitting a recommended order under KRS 13B.110 ; or
    2. The hearing officer submits a recommended order to the agency head, unless the matter is remanded to the hearing officer for further proceedings.
  5. Unless waived by the party, a copy of the final order shall be transmitted to each party or to his attorney of record in the same manner as provided in KRS 13B.050 .
  6. This section shall not apply to disposition pursuant to KRS 13B.070(3).
  7. If, pursuant to statute, an agency may review the final order of another agency, the review is deemed to be a continuous proceeding as if before a single agency. The final order of the first agency is treated as a recommended order and the second agency functions as though it were reviewing a recommended order in accordance with this section.

History. Enact. Acts 1994, ch. 382, § 12, effective July 15, 1996; 1996, ch. 318, § 11, effective July 15, 1996.

NOTES TO DECISIONS

1.Exhaustion of Remedies.

The filing of exceptions under a Chapter 13B administrative proceeding is not a prerequisite to obtaining administrative review of a hearing officer’s recommended order. When a party fails to file exceptions, the issues the party can raise on judicial review under KRS 13B.140 are limited to those findings and conclusions contained in the agency head’s final order that differ from those contained in the hearing officer’s recommended order. Rapier v. Philpot, 130 S.W.3d 560, 2004 Ky. LEXIS 3 ( Ky. 2004 ).

2.Procedure.

A trial court could not make a determination that equitable estoppel applied while reviewing the Board’s decision about whether the retiree’s benefits were properly reduced. The hearing officer had to make such a finding in the first instance, pursuant to KRS 13B.090(1) and KRS 13B110(1), which the Board was then to review pursuant to KRS 13B.120(2) and (3), followed by the trial court’s review and, then, review by the appellate court under KRS 13B.150(2). Bd. of Trs. v. Grant, 257 S.W.3d 591, 2008 Ky. App. LEXIS 194 (Ky. Ct. App. 2008).

Circuit court properly set aside a final order by the secretary of the Cabinet for Health and Family Service because the Cabinet acted in excess of its statutory authority by freezing a mental health provider's reimbursement rates for seven years without reference to its actual costs and failed to set forth sufficient findings to explain the deviation from the hearing officer's recommended findings concerning the amount which the provider was owed. Commonwealth v. RiverValley Behavioral Health, 465 S.W.3d 460, 2014 Ky. App. LEXIS 148 (Ky. Ct. App. 2014).

Under Ky. Rev. Stat. Ann. § 13B.120 , the Kentucky Board of Medical Licensure is to consider the record, including the hearing officer's recommended order, any witness or expert testimony, exceptions filed by the parties, and the original grievances initiating the investigation, and determine whether substantial evidence supports revoking a physician's medical license. Moses v. Ky. Bd. of Med. Licensure, 2016 Ky. App. LEXIS 13 (Ky. Ct. App. Feb. 12, 2016), review denied, ordered not published, 2016 Ky. LEXIS 474 (Ky. Sept. 15, 2016).

Physician's argument that the Kentucky Board of Medical Licensure did not consider the record in revoking his license was rejected where he had not articulated how any evidence in the record contradicted the hearing officer's findings or the evidence presented at the administrative hearing. Moses v. Ky. Bd. of Med. Licensure, 2016 Ky. App. LEXIS 13 (Ky. Ct. App. Feb. 12, 2016), review denied, ordered not published, 2016 Ky. LEXIS 474 (Ky. Sept. 15, 2016).

Kentucky Board of Medical Licensure violated Ky. Rev. Stat. Ann. § 13B.120(1) in imposing a probationary period on a physician where the statute required the Board to review, at a minimum, the hearing officer's recommended order, the exceptions filed by the parties, and the evidence relied on by the hearing officer, and the Board had failed to review or consider the record before making its final order. Strauss v. Ky. Bd. of Med. Licensure, 2017 Ky. App. LEXIS 175 (Ky. Ct. App. May 12, 2017).

Ky. Rev. Stat. Ann. § 13B.120(1) requires the Kentucky Board of Medical Licensure to consider the record, including the recommended order and exceptions, but it does not require the Board to review the proceedings in their entirety before issuing a final order. Ky. Bd. of Med. Licensure v. Strauss, 558 S.W.3d 443, 2018 Ky. LEXIS 273 ( Ky. 2018 ), cert. denied, 139 S. Ct. 1354, 203 L. Ed. 2d 590, 2019 U.S. LEXIS 1747 (U.S. 2019).

Plain reading of the statute simply does not support the proposition that the Kentucky Board of Medical Licensure must review the entire hearing and exhibits. Instead, it requires the Board to think carefully and to take into account the record including the recommended order and the exceptions, leaving to the Board the discretion as to what other parts of the record, if any, need to be examined. Ky. Bd. of Med. Licensure v. Strauss, 558 S.W.3d 443, 2018 Ky. LEXIS 273 ( Ky. 2018 ), cert. denied, 139 S. Ct. 1354, 203 L. Ed. 2d 590, 2019 U.S. LEXIS 1747 (U.S. 2019).

3.Notice of Rights.

Reversal was required where intermediate court’s decision rested on premise that the agency’s final order failed to advise claimant of his right to file exceptions. Neither logic nor the applicable statute, KRS 13B.120(3), required the final order to advise parties to a recommended order of their right to file exceptions. Furthermore, the hearing officer’s recommended order in the case fully complied with the requirements of KRS 13B.110(1).Rapier v. Philpot, 130 S.W.3d 560, 2004 Ky. LEXIS 3 ( Ky. 2004 ).

4.Construction.

Plain meaning of Ky. Rev. Stat. Ann. § 13B.120(1) indicates that the legislature intended for the Kentucky Board of Medical Licensure to consider the record, including the hearing officer's recommended order; any testimony presented by witnesses or experts, as well as the exceptions filed by the parties and the original grievances which initiated the investigation; and make a determination as to whether substantial evidence supports revoking a physician's medical license. Strauss v. Ky. Bd. of Med. Licensure, 2017 Ky. App. LEXIS 175 (Ky. Ct. App. May 12, 2017).

Ky. Rev. Stat. Ann. § 13B.120(1) requires the Kentucky Board of Medical Licensure to review, at a minimum, the hearing officer's recommended order, the exceptions filed by the parties, and the evidence relied on by the hearing officer. Strauss v. Ky. Bd. of Med. Licensure, 2017 Ky. App. LEXIS 175 (Ky. Ct. App. May 12, 2017).

Cited in:

Herndon v. Herndon, 139 S.W.3d 822, 2004 Ky. LEXIS 88 ( Ky. 2004 ); N. Ky. Mental Health-Mental Retardation Reg'l Bd. v. Commonwealth, 538 S.W.3d 298, 2017 Ky. App. LEXIS 54 (Ky. Ct. App. 2017).

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13B.125. Emergency action — Hearing — Appeal.

  1. An agency may take emergency action affecting the legal rights, duties, privileges or immunities of named persons without a hearing only if duly authorized by statute to so act. If an agency takes emergency action, the agency shall conduct an emergency hearing in accordance with the provisions of this section.
  2. An agency head or an official of an agency duly authorized by law to summarily act in emergency situations may issue an emergency order to stop, prevent, or avoid an immediate danger to the public health, safety, or welfare. The emergency order shall contain findings of fact and conclusions of law upon which the agency bases the emergency order. The agency shall give notice of the emergency order to all affected parties as is practicable under the circumstances, and notice shall be served in the same manner as provided in KRS 13B.050(2). The emergency order is effective when received by the affected party or his representative.
  3. Any person required to comply with an emergency order issued under subsection (2) of this section may request an emergency hearing to determine the propriety of the order. The agency shall conduct an emergency hearing within ten (10) working days of the request for hearing. The agency shall give all affected parties reasonable notice of the hearing and to the extent practicable shall conduct the hearing in conformity with this chapter. The hearing on the emergency order may be conducted by a hearing officer qualified in accordance with KRS 13B.040 . Within five (5) working days of completion of the hearing, the agency or hearing officer shall render a written decision affirming, modifying, or revoking the emergency order. The emergency order shall be affirmed if there is substantial evidence of a violation of law which constitutes an immediate danger to the public health, safety, or welfare.
  4. The decision rendered under subsection (3) of this section shall be a final order of the agency on the matter, and any party aggrieved by the decision may appeal to Circuit Court in the same manner as provided in KRS 13B.140 .

History. Enact. Acts 1996, ch. 318, § 12, effective July 15, 1996.

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13B.130. Official record of hearing.

In each administrative hearing, an agency shall keep an official record of the proceedings which shall consist of:

  1. All notices, pleadings, motions, and intermediate rulings;
  2. Any prehearing orders;
  3. Evidence received and considered;
  4. A statement of matters officially noticed;
  5. Proffers of proof and objections and rulings thereon;
  6. Proposed findings, requested orders, and exemptions;
  7. A copy of the recommended order, exceptions filed to the recommended order, and a copy of the final order;
  8. All requests by the hearing officer for an extension of time, and the response of the agency head;
  9. Ex parte communications placed upon the record by the hearing officer; and
  10. A recording or transcript of the proceedings.

History. Enact. Acts 1994, ch. 382, § 13, effective July 15, 1996.

NOTES TO DECISIONS

Cited in:

Commonwealth Ex Rel. Office of Fin. Insts. v. Home Fed. Savs. & Loan Ass’n, — S.W.3d —, 2008 Ky. App. LEXIS 343 (Ky. Ct. App. 2008).

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

13B.140. Judicial review of final order.

  1. Except as provided in KRS 452.005 , all final orders of an agency shall be subject to judicial review in accordance with the provisions of this chapter. A party shall institute an appeal by filing a petition in the Circuit Court of venue, as provided in the agency’s enabling statutes, within thirty (30) days after the final order of the agency is mailed or delivered by personal service. If venue for appeal is not stated in the enabling statutes, a party may appeal to Franklin Circuit Court or the Circuit Court of the county in which the appealing party resides or operates a place of business. Copies of the petition shall be served by the petitioner upon the agency and all parties of record. The petition shall include the names and addresses of all parties to the proceeding and the agency involved, and a statement of the grounds on which the review is requested. The petition shall be accompanied by a copy of the final order.
  2. A party may file a petition for judicial review only after the party has exhausted all administrative remedies available within the agency whose action is being challenged, and within any other agency authorized to exercise administrative review.
  3. Within twenty (20) days after the service of the petition, or within further time allowed by the court, the agency shall transmit to the reviewing court the original or a certified copy of the official record of the proceeding under review. By stipulation of all parties to the review proceedings, the record may be shortened. The court may require or permit subsequent correction or additions to the official record. If the court requests a transcript of proceedings that have not been transcribed, the cost of the transcription shall be paid by the party initiating the appeal, unless otherwise agreed to by all parties.
  4. A petition for judicial review shall not automatically stay a final order pending the outcome of the review, unless:
    1. An automatic stay is provided by statute upon appeal or at any point in the administrative proceedings;
    2. A stay is permitted by the agency and granted upon request; or
    3. A stay is ordered by the Circuit Court of jurisdiction upon petition.

History. Enact. Acts 1994, ch. 382, § 14, effective July 15, 1996; 1996, ch. 318, § 13, effective July 15, 1996; 2021 ch. 2, § 2, effective February 2, 2021.

NOTES TO DECISIONS

1.Applicability.

While procedurally the right to appellate review pursuant to KRS 13B.140 of a non-licensee who had been aggrieved by the imposition of administrative fines is plausible, it is more likely that the Legislature confined the right to appellate review to those situations pertaining to the refusal, revocation, or suspension of licenses simply because it did not envision persons not licensed, not applicants for licenses, or aggrieved by the issuance or non-issuance of licenses, to be within the scope of the Alcoholic Beverage Control Board’s jurisdictional reach. Ky. Licensed Bev. Ass'n v. Louisville-Jefferson County Metro Gov't, 127 S.W.3d 647, 2004 Ky. LEXIS 39 ( Ky. 2004 ).

Policy of the Supreme Court of Kentucky was not to contest the propriety of legislation in the area of governance of the Kentucky Administrative Office of the Courts (AOC) to which the court could have acceded through a wholesome comity; pursuant to KRS 13B.140 , an appeal of an AOC personnel action was properly filed in the Circuit Court. Jones v. Commonwealth, 171 S.W.3d 53, 2005 Ky. LEXIS 233 ( Ky. 2005 ).

Circuit Court erred in granting summary judgment against a golf cart manufacturer and a taxpayer on standing grounds, as the manufacturer, as a disappointed bid contractor, had standing to challenge the State of Kentucky Finance and Administration Cabinet’s decision awarding a government contract to a competitive bidder on the grounds that it was arbitrary and capricious; further, the taxpayer had standing to challenge a bid contract award where there was proof of arbitrariness or capriciousness, and under the general rule that taxpayers had standing to sue where they have suffered a distinct injury. Yamaha Motor Mfg. Corp. of Am. v. Commonwealth, 2005 Ky. App. LEXIS 239 (Ky. Ct. App. Nov. 10, 2005).

Since KRS 103.195 et seq., creating the Kentucky Private Activity Bond Allocation Committee, does not provide either for administrative review or for an appeal from Committee rulings, the general administrative appeal statute, KRS 13B.140 , governs, and that statute imposes a 30-day limitations period for appeals to a court from final administrative rulings. Bear Creek Capital, LLC v. Toebben, Ltd., 2007 Ky. App. LEXIS 135 (Ky. Ct. App. May 4, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 309 (Ky. Ct. App. May 4, 2007).

Even if the provisions of KRS 13B.140(1) and 13B.010(1) were applicable to the actions of a county board of education, the board waived any jurisdictional defect by not objecting until after the Circuit Court and the Court of Appeals decided the issues regarding a student’s expulsion pursuant to KRS 158.150. M.K.J. v. Bourbon County Bd. of Educ., 2008 Ky. App. LEXIS 286 (Ky. Ct. App. Aug. 29, 2008).

While a circuit court lacked jurisdiction to review the authority of the Chief Justice of the Supreme Court of Kentucky to perform certain administrative actions, it had jurisdiction to review Administrative Office of the Courts personnel actions, whether ordered by the Chief Justice directly or by delegation, to the extent permitted by KRS 13B.140 . Travis v. Admin. Office of the Courts, 2011 Ky. App. LEXIS 163 (Ky. Ct. App. Sept. 23, 2011), review denied, ordered not published, 2012 Ky. LEXIS 428 (Ky. May 16, 2012).

2.Exhaustion of Remedies.

Because the former deputy liquidator did not exhaust the administrative remedies, the trial court lacked jurisdiction to grant summary judgment. Exec. Branch Ethics Comm'n v. Stephens, 92 S.W.3d 69, 2002 Ky. LEXIS 200 ( Ky. 2002 ).

Corporation appealing from unfavorable ruling in the Kentucky Board of Tax Appeals complied with the requirements of KRS 13B.140(1) by naming the board in its petition and serving the board with a copy of its petition when the corporation appealed to the Circuit Court. Revenue Cabinet v. LWD, Inc., 2002 Ky. App. LEXIS 503 (Ky. Ct. App. Mar. 15, 2002), aff'd, 136 S.W.3d 472, 2004 Ky. LEXIS 145 ( Ky. 2004 ).

Retiree’s declaratory judgment action was dismissed because the highest court held that the retiree was required by KRS 61.645 to exhaust KRS ch. 13B administrative remedies before she could appeal a final order of the Kentucky Employees Retirement Systems based upon the constitutionality of 105 KAR 1:210 that a hearing officer had held was to be applied or based upon her argument that § 1:210 as it was going to be applied was in conflict with KRS 61.665(2)(e). Ky. Ret. Sys. v. Lewis, 163 S.W.3d 1, 2005 Ky. LEXIS 85 ( Ky. 2005 ).

Because it was apparent that a party was challenging the facial constitutionality of a regulation, the party’s failure to exhaust administrative remedies did not bar it from seeking judicial review. St. Luke Hosps., Inc. v. Commonwealth, 254 S.W.3d 830, 2008 Ky. App. LEXIS 146 (Ky. Ct. App. 2008).

Although the adult citizen sought a declaration pursuant to KRS 418.040 that the statutes and regulations allowing the adult citizen to be investigated based an unidentified hotline caller’s claim that the adult citizen had sexually abused a minor were unconstitutional, and assertions that the statutes and regulations were unconstitutional could avoid the normal KRS 13B.140(2) exhaustion-of-administrative remedies requirement, that did not mean the adult citizen’s contention was ripe for review. Indeed, the state supreme court found that in its discretion pursuant to KRS 418.065 it could find that review of the trial and appellate court’s judgment finding the statutes and regulations were constitutional were not ripe for review and order further proceedings, as the administrative proceedings had not even been concluded. W.B. v. Commonwealth, 388 S.W.3d 108, 2012 Ky. LEXIS 200 ( Ky. 2012 ).

3.Petition Requirements.

Trial court properly denied the Kentucky Revenue Cabinet’s motion to dismiss the corporations’ appeal of the Kentucky Board of Tax Appeals’ denial of an occasional sale exemption to their leasing activities, for the alleged failure to name an indispensable party; the corporations’ petition of appeal named the Board twice, and included the Board’s address, which strictly complied with KRS 13B.140(1), and a copy of the petition was served on the Board. LWD Equip., Inc. v. Revenue Cabinet, 136 S.W.3d 472, 2004 Ky. LEXIS 145 ( Ky. 2004 ).

The Full Faith and Credit Doctrine of 28 USCS § 1738 precluded plaintiff’s Title VII claims against the Cabinet for Health and Family Services based on the doctrine of res judicata because plaintiff had previously raised the same issues against the Cabinet in state court and the claims were dismissed based on her failure to comply with the time requirements of KRS 13B.140 . Njoku v. Kentucky, 2007 U.S. Dist. LEXIS 30215 (E.D. Ky. Apr. 24, 2007).

Trial court did not err in dismissing the agency review on the grounds that the applicant who filed an appeal of the Cabinet’s hiring decision to the personnel board was not served with process as required by KRS 13B.140(1), and the trial court did not find that the applicant’s counsel waived personal service on the applicant’s behalf; the trial court did not make any findings on the issue of waiver of service of process but limited its findings to the applicant’s personal service and omitted address. Transp. Cabinet v. Caudill, 278 S.W.3d 643, 2009 Ky. App. LEXIS 32 (Ky. Ct. App. 2009), limited, Almcare v. Commonwealth, 2020 Ky. App. Unpub. LEXIS 776 (Ky. Ct. App. Dec. 4, 2020).

Trial court did not err in dismissing the review of the agency’s appeal on the grounds that the applicant who filed an appeal of the Cabinet’s hiring decision was not served with process as required by KRS 13B.140(1); the applicant did not take affirmative steps to subject himself to the trial court’s jurisdiction; the notice of affidavit and affidavit were filed by the applicant’s counsel and indicated that he did not waive or accept service on the applicant’s behalf. Transp. Cabinet v. Caudill, 278 S.W.3d 643, 2009 Ky. App. LEXIS 32 (Ky. Ct. App. 2009), limited, Almcare v. Commonwealth, 2020 Ky. App. Unpub. LEXIS 776 (Ky. Ct. App. Dec. 4, 2020).

Although the failure to list an address of a party of record on a petition was not necessarily fatal, because the applicant who challenged the Kentucky Transportation Cabinet’s appointment of a private sector employee as superintendent with the Cabinet was never personally served, even after the error was discovered, the failure to serve the applicant the petition was fatal to the appeal. Transp. Cabinet v. Caudill, 278 S.W.3d 643, 2009 Ky. App. LEXIS 32 (Ky. Ct. App. 2009), limited, Almcare v. Commonwealth, 2020 Ky. App. Unpub. LEXIS 776 (Ky. Ct. App. Dec. 4, 2020).

Even though the statute does not mention summonses, the summons requirement set forth in the civil rules is not inconsistent with the statutory procedures and is required to commence an action in the circuit court. Ky. Horse Racing Comm'n v. Motion, 592 S.W.3d 739, 2019 Ky. App. LEXIS 49 (Ky. Ct. App. 2019).

4.Venue.

County where one of an operator’s long-term care facilities was located was the proper venue in an appeal by the Kentucky Cabinet for Health and Family Services from a judgment against it in a Medicaid recoupment proceeding because the Cabinet’s enabling statutes did not contain a statement regarding venue and because, absent compelling or unusual circumstances, a court is duty bound to hear cases within its vested jurisdiction. Commonwealth v. EPI Corp., 2006 Ky. App. LEXIS 114 (Ky. Ct. App. Apr. 14, 2006), aff'd, 2008 Ky. Unpub. LEXIS 33 (Ky. Dec. 18, 2008).

5.Timely Filing.

A retiree’s appeal was not untimely on the ground that although the deadline for filing the appeal fell on a legal holiday under KRS 2.110 (1), the Circuit Court remained open on that day; the retiree was entitled to the extra day to file since Columbus Day was a legal holiday pursuant to KRS 2.110 . When the deadline for filing a legal document falls on a “legal holiday” as designated by KRS 2.110, but the courthouse remains open that day, the petitioner receives an extra day to file, even though the courthouse remains open on a legal holiday. Wilkins v. Ky. Ret. Sys. Bd. of Trs., 276 S.W.3d 812, 2009 Ky. LEXIS 13 ( Ky. 2009 ).

Circuit court had jurisdiction to hear an appeal by a horse trainer and owner (the appellees) because they filed their petition for appeal before the 30-day deadline and, even though they did not serve a summons on the Attorney General, they commenced the action in good faith, there was no evidence of deceit, and when the Kentucky Horse Racing Commission moved to dismiss the appeal, the appellees corrected the error within 14 days. Ky. Horse Racing Comm'n v. Motion, 2018 Ky. App. LEXIS 314 (Ky. Ct. App. Dec. 21, 2018).

Circuit court correctly allowed a case to proceed because the case was commenced in good faith since a trainer and an owner gave copies of their appeal to the Attorney General and to agents of the Kentucky Horse Racing Commission within the 30-day timeframe and had summonses issued; they intended to properly commence the action and believed a summons was not necessary, and that belief was reasonable based on the wording of the statute and the lack of published case law on the issue. Ky. Horse Racing Comm'n v. Motion, 592 S.W.3d 739, 2019 Ky. App. LEXIS 49 (Ky. Ct. App. 2019).

6.Administrative Record.

The personnel board’s failure to send the original or a copy of the administrative record to the trial court did not necessitate the reversal of the trial court’s order; because the Board’s failure to send the complete administrative record to the trial court did not prejudice the Cabinet’s case, the error was harmless. Transp. Cabinet v. Caudill, 278 S.W.3d 643, 2009 Ky. App. LEXIS 32 (Ky. Ct. App. 2009), limited, Almcare v. Commonwealth, 2020 Ky. App. Unpub. LEXIS 776 (Ky. Ct. App. Dec. 4, 2020).

Cited in:

Frito-Lay v. United States EEOC, 964 F. Supp. 236, 1997 U.S. Dist. LEXIS 6754 (W.D. Ky. 1997 ); Geupel Constr. Co. v. Commonwealth Transp. Cabinet, 136 S.W.3d 43, 2003 Ky. App. LEXIS 39 (Ky. Ct. App. 2003); Herndon v. Herndon, 139 S.W.3d 822, 2004 Ky. LEXIS 88 ( Ky. 2004 ); Popplewell’s Alligator Dock No. 1, Inc. v. Revenue Cabinet, 133 S.W.3d 456, 2004 Ky. LEXIS 92 ( Ky. 2004 ); Behanan v. Cobb, 2007 Ky. App. LEXIS 37 (Ky. Ct. App. 2007); Perkins v. Cabinet for Health & Family Servs., — S.W.3d —, 2007 Ky. App. LEXIS 192 (Ky. Ct. App. 2007); Gallien v. Ky. Bd. of Med. Licensure, 336 S.W.3d 924, 2011 Ky. App. LEXIS 54 (Ky. Ct. App. 2011).

NOTES TO UNPUBLISHED DECISIONS

1.Petition Requirements.

Unpublished decision: Circuit Court erred in denying the Cabinet for Health and Family Services' motion to dismiss a Medicaid enrollee's appeal for lack of standing because the enrollee's authorized agents also proceeded on behalf of a hospital, the exhibits attached to the petition provided enough information to comply with the statutory requirements, and the Cabinet's sovereign immunity was waived by the Medical Service Provider Agreement between the Cabinet and the managed care organization and the statute for contract actions against the Commonwealth. Commonwealth v. Sexton, 2016 Ky. App. LEXIS 151 (Ky. Ct. App. Sept. 2, 2016, sub. op., 2016 Ky. App. Unpub. LEXIS 888 (Ky. Ct. App. Sept. 2, 2016).

Research References and Practice Aids

Kentucky Bench & Bar.

Overstreet, Preclusive Effect of Administrative Agency Determinations in Subsequent Court Proceedings, Vol. 68, No. 2, Mar. 2004, Ky. Bench & Bar 19.

Northern Kentucky Law Review.

Tapp and Tincher, Of Innocents and Offenders: A Survey of Children’s Law in Kentucky, 30 N. Ky. L. Rev. 131 (2003).

13B.150. Conduct of judicial review.

  1. Except as provided in KRS 452.005 , review of a final order shall be conducted by the court without a jury and shall be confined to the record, unless there is fraud or misconduct involving a party engaged in administration of this chapter. The court, upon request, may hear oral argument and receive written briefs. Challenges to the constitutionality of a final order shall be reviewed in accordance with KRS 452.005 .
  2. The court shall not substitute its judgment for that of the agency as to the weight of the evidence on questions of fact. The court may affirm the final order or it may reverse the final order, in whole or in part, and remand the case for further proceedings if it finds the agency’s final order is:
    1. In violation of constitutional or statutory provisions;
    2. In excess of the statutory authority of the agency;
    3. Without support of substantial evidence on the whole record;
    4. Arbitrary, capricious, or characterized by abuse of discretion;
    5. Based on an ex parte communication which substantially prejudiced the rights of any party and likely affected the outcome of the hearing;
    6. Prejudiced by a failure of the person conducting a proceeding to be disqualified pursuant to KRS 13B.040(2); or
    7. Deficient as otherwise provided by law.

History. Enact. Acts 1994, ch. 382, § 15, effective July 15, 1996; 2021 ch. 2, § 3, effective February 2, 2021.

NOTES TO DECISIONS

1.Substantial Evidence.

Kentucky Horse Racing Authority (KHRA) did not act arbitrarily in denying an applicant’s request for a horse racing license where: (1) the proposed track could have a detrimental impact on Kentucky Off-Track Betting System sites, (2) an ad hoc committee of the KHRA found that four tracks had failed, one was in financial trouble, and one project had been approved but was never completed, and (3) while the applicant presented corporate disclosure forms that included supporting data and expert analysis concerning the costs and feasibility of the project, those who spoke in opposition to the application were not required to submit like evidence. S. Bluegrass Racing,LLC. v. Ky. Horse Racing Auth., 136 S.W.3d 49, 2004 Ky. App. LEXIS 141 (Ky. Ct. App. 2004).

Determination rendered by the Kentucky Retirement System that an employee’s purchase of non-qualified service time had to be based on the full actuarial cost as determined by the system was correct; but, it both factually and legally erred in basing the purchase cost upon a full-time annual salary when the employee was employed as a permanent part-time, and not a full-time, employee. Ky. Ret. Sys. v. Heavrin, 172 S.W.3d 808, 2005 Ky. App. LEXIS 24 (Ky. Ct. App. 2005).

Because there was no evidence that a church intended to use its property for investment purposes or to construct anything other than a church, a Kentucky Board of Tax Appeals order denying tax exempt status to a portion of the property was without substantial evidence on the whole record. St. Andrew Orthodox Church, Inc. v. Thompson, 2007 Ky. App. LEXIS 260 (Ky. Ct. App. Aug. 10, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 523 (Ky. Ct. App. Aug. 10, 2007).

Substantial evidence supported the determination of the Kentucky Board of Tax Appeals that parts and supplies provided by a taxpayer to customers under maintenance agreements for office equipment constituted a retail sale pursuant to KRS 139.100 (now repealed) and KRS 139.120(1) (now repealed), such that sales tax was to be charged to the customers under KRS 139.200 rather than having a use tax charged to the taxpayer under former KRS 139.190 . Fin. & Admin. Cabinet v. Duplicator Sales & Serv., 2007 Ky. App. LEXIS 287 (Ky. Ct. App. Aug. 17, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 478 (Ky. Ct. App. Aug. 17, 2007).

The Kentucky Alcoholic Beverage Control Board did not abuse its discretion in granting a retail drink license to a business by interpreting former KRS 241.075 as meaning that the required measurement under the statute must be via the shortest route of ordinary pedestrian travel that was both lawful and safe. Louisville/Jefferson County Metro Gov't v. TDC Group, LLC, 283 S.W.3d 657, 2009 Ky. LEXIS 28 ( Ky. 2009 ).

Energy and environment cabinet secretary’s finding that farmers were the individuals with primary responsibility for farms’ day-to-day operations was supported by substantial evidence; as there was much factual dispute and evidence presented, the trial court had to determine if the decision of the Energy and environment cabinet secretary was supported by substantial evidence, the trial court issued an opinion that was contrary to this standard, and the court disagreed with the trial court’s holding in this regard. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

As substantial evidence supported the energy and environment cabinet secretary’s finding that farmers were the individuals with primary responsibility for farms’ day-to-day operations, reversal would have only been proper if the secretary incorrectly applied the law to the facts, but the court did not find that to be the case; the trial court imposed its own interpretation of the law instead of deferring to the cabinet’s interpretation, the secretary’s interpretation was reasonable and entitled to deference, and reversal of the trial court’s decision was proper. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Mere fact that the legislature declined to adopt administrative regulations imposing per se integrator liability cannot in and of itself be interpreted to mean that an individual who is primarily responsible, as that term is defined by Kentucky law, cannot be required to sign as a co-permittee, if in fact such a finding is supported by substantial evidence. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Permits issues to farmers were no-discharge permits, and the energy and environment cabinet secretary’s ruling on the issue was supported by substantial evidence and otherwise proper; the trial court found that permits ran afoul of KRS 224.10-100 (5), (19), but the court could not agree with the trial court’s finding that the statutes at issue required permit conditions that related to pathogens, and as the cabinet decided not to exercise its special condition authority, the court found no reason to disturb this. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Energy and environment cabinet’s special condition authority was properly exercised and the secretary’s decision was supported by substantial evidence, as experts were consulted, setbacks that were established were rationally related to the permit operations, and the setbacks were made according to the best professional judgment of the cabinet. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Trial court substituted its own preferred interpretation over that of the energy and environment cabinet secretary, even though the agency’s interpretation was both reasonable and supported by substantial evidence; the court reversed. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Court applied the standards of review, including substantial evidence under KRS 13B.150(2), to the issues raised by the parties. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

Finding that appellants were the ones with primary responsibility for farm day-to-day operations was supported by substantial evidence, and the secretary’s interpretation of the regulation was reasonable and required to be afforded deference; as the trial court imposed its own interpretation of the law instead of deferring to the cabinet’s interpretation, reversal of the trial court was appropriate. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

As there was much factual dispute and much evidence presented, it was the trial court’s duty to determine if the secretary’s opinion was supported by substantial evidence, and the court disagreed with the finding that another farm had primary responsibility. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

Mere fact that the legislature declined to adopt administrative regulations imposing per se integrator liability cannot in and of itself be interpreted to mean that an individual who is primarily responsible, as that term is defined by Kentucky law, cannot be required to sign as a co-permittee, if in fact such a finding is supported by substantial evidence. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

Permits were no-discharge permits, and thus a discharge could not be assumed, the secretary’s rulings was supported by substantial evidence, and the court found no reason to disturb the decision of the Kentucky Energy and Environment Cabinet Division of Water not to exercise its special condition authority. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

Special condition authority of the Kentucky Energy and Environment Cabinet Division of Water is entirely discretionary, that authority was properly exercised in this case, and the secretary’s decision was supported by substantial evidence, as experts were consulted, and the setbacks established were rationally related to permit operations. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

Substantial evidence supported the Kentucky Retirement Systems Board of Trustee’s decision denying the former employee’s application for disability benefits because two physicians, a vocational consultant, and an exercise physiologist provided credible and convincing evidence that the employee was capable of performing medium-duty work, and the employee’s proof and his physicians’ evidence was not so compelling that no reasonable person could fail to be persuaded by it. Ky. Ret. Sys. v. Ashcraft, 559 S.W.3d 812, 2018 Ky. LEXIS 442 ( Ky. 2018 ).

Even in those cases where the applicant has failed to meet his or her burden of proof, a reviewing court should first consider whether substantial evidence supports the Kentucky Retirement Systems’ Board of Trustee’s decision; if there is not substantial evidence, reversal is appropriate. If there is substantial evidence, the court must further consider whether the applicant’s proof was so compelling that no reasonable person could have failed to be persuaded. Ky. Ret. Sys. v. Ashcraft, 559 S.W.3d 812, 2018 Ky. LEXIS 442 ( Ky. 2018 ).

2.Review Proper.

Kentucky Horse Racing Authority (KHRA) disqualifed a harness horse as the winner of two (2) races due to the presence of flunixin in its urine. The Circuit Court properly affirmed this decision because (1) the KHRA’s finding was not arbitrary and capricious, as it was supported by substantial evidence; (2) it was unnecessary to establish a perfect chain of custody and the evidence showed there was no tampering with the urine samples; (3) the “trainer responsibility rule” (811 KAR 1:090) was constitutional; (4) there was no double jeopardy violation, since the action was civil in nature; (5) 811 KAR 1:090, § 4(1), which outlawed flunixin for harness horses but not thoroughbreds, did not violate equal protection principles. Allen v. Ky. Horse Racing Auth., 136 S.W.3d 54, 2004 Ky. App. LEXIS 138 (Ky. Ct. App. 2004).

Psychologist had no support for his contention that the court erred by failing to conduct a jury trial in regard to the psychologist’s challenge of his license suspension as a judicial review of an administrative proceeding did not involve the fact finding function which was an inherent function of an initial administrative or trial court proceeding. Maggard v. Commonwealth, 2005 Ky. App. LEXIS 245 (Ky. Ct. App. Nov. 18, 2005).

Teacher’s motion to reconsider denial of his request to reverse the administrative order of his termination was denied because KRS 13B.080 allowed state court judges to limit nature and scope of administrative hearings and KRS 13B.150 allowed a reviewing court to reverse a final order in part and remand for further proceedings. Furthermore, CR 60.02 did not apply to administrative proceedings. Dixon v. Clem, 419 F. Supp. 2d 947, 2006 U.S. Dist. LEXIS 10890 (E.D. Ky. 2006 ).

Circuit Court acted within its appropriate role as a reviewing court in reversing in part the decision of the Kentucky Board of Tax Appeals (KBTA) as the Circuit Court placed a different interpretation on the constitutional provision at issue, which was permitted under KRS 13B.150(2)(a). Additionally, the trial court held that the KBTA’s decision was without support of substantial evidence on the whole record, which was permitted under § 13B.150(2)(c). Freeman v. St. Andrew Orthodox Church, Inc., 294 S.W.3d 425, 2009 Ky. LEXIS 92 ( Ky. 2009 ).

3.Procedure.

While a psychologist was not entitled to a jury trial on his claims of fraud and misconduct by the Kentucky State Board of Examiners of Psychology under KRS 13B.150(1) in proceedings that resulted in the suspension of his license, he was entitled to discovery on those claims as the particularity requirement in CR 9.02 did not apply on judicial review of an administrative action. Maggard v. Commonwealth, 282 S.W.3d 301, 2008 Ky. LEXIS 237 ( Ky. 2008 ).

A trial court could not make a determination that equitable estoppel applied while reviewing the Board’s decision about whether the retiree’s benefits were properly reduced. The hearing officer had to make such a finding in the first instance, pursuant to KRS 13B.090(1) and KRS 13B.110(1), which the Board was then to review pursuant to KRS 13B.120(2) and (3), followed by the trial court’s review and, then, review by the appellate court under KRS 13B.150(2). Bd. of Trs. v. Grant, 257 S.W.3d 591, 2008 Ky. App. LEXIS 194 (Ky. Ct. App. 2008).

Kentucky Court of Appeals erred in determining that the opinions of treating physicians were entitled to more weight than the opinions of non-examining physicians; pursuant to KRS 13B.150(2), the Court of Appeals was without authority to adopt and apply the treating physician rule in an administrative hearing regarding disability retirement benefits. Ky. Ret. Sys. v. Bowens, 281 S.W.3d 776, 2009 Ky. LEXIS 49 ( Ky. 2009 ).

Under the McManus standard, a court cannot substitute its judgment on those contested issues of fact but if the appealing party has not met his burden of proof with the fact-finder, the court can properly, indeed must, consider whether that party’s proof was so compelling that no reasonable person could have failed to be persuaded. If this high standard is met, so is this section which allows for reversal when a final order is arbitrary, capricious, or characterized by an abuse of discretion. Ky. Ret. Sys. v. Ashcraft, 559 S.W.3d 812, 2018 Ky. LEXIS 442 ( Ky. 2018 ).

4.Credibility Determinations.

The Circuit Court erred in holding that the possible drug use and psychological history of the complainant, who alleged sexual misconduct against the doctor, created a substantial question as to her credibility and erred in disregarding, under KRS 13B.150(2), the hearing officer’s credibility determination. The mere fact that a complainant may have been using prescription medication at the time of the incident did not amount to a substantial possibility of the doctor winning on the merits, as required under Kentucky law. Norsworthy v. Ky. Bd. of Med. Licensure, 330 S.W.3d 58, 2009 Ky. LEXIS 94 ( Ky. 2009 ).

5.Deference.

Commonwealth of Kentucky, Energy and Environment Cabinet is required to impose a special permit condition only when, in the Cabinet’s best professional judgment, a special permit condition was “necessary” to implement 401 Ky. Admin. Regs. 63:020, and the Cabinet’s authority in this regard is highly discretionary, and, thus, entitled to great deference. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Authority of Kentucky Energy and Environment Cabinet Division of Water to impose special permit conditions is highly discretionary and, thus, entitled to great deference. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

Circuit court had to exercise its authority to review the Tribunal’s order and to reject it if, among other things, its decision was in violation of constitutional or statutory provisions, KRS 13B.150(2)(a), including an improper application of the statutory term “conduct unbecoming a teacher;” an additional adjudicative hearing was not appropriate or necessary as there was nothing for the Tribunal to adjudicate. Bd. of Educ. v. Hurley-Richards, 396 S.W.3d 879, 2013 Ky. LEXIS 88 ( Ky. 2013 ).

McManus standard to review the denial of a disability retirement application met statutory standards because (1) the standard first decided if substantial evidence supported the denial, and, if so, whether the applicant’s evidence was so compelling that no reasonable person could fail to be persuaded, and (2) it was inappropriate to re-apply the preponderance standard on judicial review, given the deference to which an administrative determination was entitled. Bradley v. Ky. Ret. Sys., 567 S.W.3d 114, 2018 Ky. LEXIS 446 ( Ky. 2018 ).

6.Arbitrary Review.

Court believes the authority of the Commonwealth of Kentucky, Energy and Environment Cabinet to exercise its special condition authority to be almost entirely discretionary and, thus, not appropriately disturbed absent an action on the part of the Cabinet that is clearly arbitrary, and that was not the case here. Commonwealth v. Sharp, 2012 Ky. App. LEXIS 189 (Ky. Ct. App. May 25, 2012).

Court believes the authority of the Kentucky Energy and Environment Cabinet Division of Water to exercise its special condition authority under 401 KAR 5:005 to be almost entirely discretionary and, thus, not appropriately disturbed absent an action on the part of the Cabinet that is clearly arbitrary, and that was not the case here. Adams v. Sharp, 2012 Ky. App. LEXIS 190 (Ky. Ct. App. May 25, 2012).

Circuit court's order affirming the start date for the claimant's Medicaid benefits was reversed where the Cabinet for Health and Family Services conceded that it failed to acknowledge her appeal in writing, the claimant had no opportunity to file a brief or submit new and additional proof, and thus, a reversal was warranted under Ky. Rev. Stat. Ann. § 13B.150(2)(a). Marcum v. Cabinet for Health & Family Servs., 496 S.W.3d 480, 2016 Ky. App. LEXIS 123 (Ky. Ct. App. 2016).

7.Fraud.

This section does not create an express or overwhelmingly implied waiver of sovereign immunity for fraud claims, nor does it allow a party to separately recover damages for fraud. Therefore, in an action relating to Medicaid reimbursement, this section allowed a hospital to present evidence of extrinsic fraud as part of its statutory appeal from a final order from the Kentucky Cabinet for Health and Family Services, but the hospital could not have asserted an independent claim for damages arising out of that alleged fraud. Commonwealth v. Samaritan Alliance, LLC, 439 S.W.3d 757, 2014 Ky. App. LEXIS 27 (Ky. Ct. App. 2014).

Cited in:

GTE South, Inc. v. Commonwealth, 2004 Ky. App. LEXIS 86 (Ky. Ct. App. 2004); LWD Equip., Inc. v. Revenue Cabinet, 136 S.W.3d 472, 2004 Ky. LEXIS 145 ( Ky. 2004 ); Revenue Cabinet v. Babcock & Wilcox Co., 203 S.W.3d 149, 2005 Ky. App. LEXIS 258 (Ky. Ct. App. 2005); Astro, Inc. v. Envtl. & Pub. Prot. Cabinet, 2007 Ky. App. LEXIS 175 (Ky. Ct. App. 2007); Monumental Life Ins. Co. v. Dep’t of Revenue, 294 S.W.3d 10, 2008 Ky. App. LEXIS 207 (Ky. Ct. App. 2008); West v. Ky. Ret. Sys., — S.W.3d —, 2010 Ky. App. LEXIS 97 (Ky. Ct. App. 2010); West v. Ky. Ret. Sys., — S.W.3d —, 2011 Ky. App. LEXIS 125 (Ky. Ct. App. 2011); Estate of McVey v. Dep’t of Revenue, Fin. & Admin. Cabinet, — S.W.3d —, 2013 Ky. App. LEXIS 171 (Ky. Ct. App. 2013); Dep't of Revenue, Fin. & Admin. Cabinet v. Shinin' B Trailer Sales, LLC, 2015 Ky. App. LEXIS 131 (Sept. 4, 2015); Ky. Ret. Sys. v. Stephens, 2015 Ky. App. LEXIS 144 (Oct. 9, 2015); Mike v. Dep't of Educ., 529 S.W.3d 781, 2017 Ky. App. LEXIS 44 (Ky. Ct. App. 2017); N. Ky. Mental Health-Mental Retardation Reg'l Bd. v. Commonwealth, 538 S.W.3d 298, 2017 Ky. App. LEXIS 54 (Ky. Ct. App. 2017); Lexington-Fayette Urban County Human Rights Comm'n v. Hands on Originals, 592 S.W.3d 291, 2019 Ky. LEXIS 431 ( Ky. 2019 ).

13B.160. Judicial appeal.

Any aggrieved party may appeal any final judgment of the Circuit Court under this chapter to the Court of Appeals in accordance with the Kentucky Rules of Civil Procedure.

History. Enact. Acts 1994, ch. 382, § 16, effective July 15, 1996.

NOTES TO DECISIONS

1.Tax Appeals.

Any decision rendered pursuant to KRS 131.370(1) is subject to direct review by the Court of Appeals under KRS 13B.160 . GTE South, Inc. v. Commonwealth, 2004 Ky. App. LEXIS 86 (Ky. Ct. App. 2004), rehearing denied, 2004 Ky. App. LEXIS 180 (Ky. Ct. App. 2004), rev’d, Revenue Cabinet v. GTE South, Inc., 238 S.W.3d 655, 2007 Ky. LEXIS 160 ( Ky. 2007 ) (on other grounds).

13B.170. Administrative regulations.

  1. An agency shall have authority to promulgate administrative regulations that are necessary to carry out the provisions of this chapter.
  2. Nothing in this chapter shall be construed to prohibit an agency from enacting administrative hearing procedures by administrative regulations which are supplemental to the provisions of this chapter.

History. Enact. Acts 1994, ch. 382, § 17, effective July 15, 1996.

CHAPTER 14 Department of State

14.010. Head of department.

The head of the Department of State is the Secretary of State. He shall reside at the seat of government.

History. 4542, 4618-73.

NOTES TO DECISIONS

1.De Jure Officer.

A clerk appointed by a Secretary of State who holds a certificate of election is not a de facto but a de jure officer. Hemphill v. Coulter, 67 S.W. 3, 23 Ky. L. Rptr. 2387 (1902).

Research References and Practice Aids

Cross-References.

Bond of Secretary of State, KRS 62.160 , 62.180 , 62.200 .

Books, Secretary of State entitled to receive:

Acts of General Assembly, KRS 57.300 .

Journals, house and senate, KRS 57.310 .

Constitution, proposed amendments to, Secretary of State to have published, Ky. Const., § 257; KRS 118.415 .

Corporations, duties of Secretary of State as to, KRS Chapter 271B.

Election, Ky. Const., §§ 91, 95.

Elections, duties of Secretary of State as to, KRS Chapters 116 to 121.

Governor, when Secretary of State to perform duties of, Ky. Const., § 87.

Hospital, medical-surgical, dental and health service corporations, nonprofit, issue certificate of incorporation to, KRS 304.32-050 .

Land office, functions in relation to, KRS 56.230 , KRS 56.260 to 56.280 , KRS 56.300 to 56.320 .

Nonresident motorists, service on Secretary of State as agent of, KRS 188.020 .

Notaries public, appointment by Secretary of State, KRS 423.010 .

Property for taxation, act classifying, referendum on, duties of Secretary of State, KRS 132.100 to 132.120 .

Qualifications, Ky. Const., § 91.

Reelection, ineligibility of Secretary of State for, Ky. Const., § 93.

Salary of Secretary of State, KRS 64.480 .

Sanitary districts, establishment of, duties of Secretary of State, KRS 220.110 .

Soil conservation districts, discontinuance of, duties of Secretary of State, KRS 262.530 to 262.580 .

Soil conservation districts, establishment of, duties of Secretary of State, KRS 262.170 .

Uniform Commercial Code, secured transactions, duties of Secretary of State, KRS 355.9-519 et seq.

14.020. Assistant secretary of state.

  1. The Secretary of State, with the approval of the Governor, may appoint an assistant secretary of state, and, with the approval of the Governor, may dismiss him at any time. The assistant, in the absence or disability of the Secretary of State, may do the business of his office in his name.
  2. Before acting under his appointment, the assistant shall take the constitutional oath.
  3. The Secretary of State shall be responsible for the acts of the assistant.

History. 4541, 4541a.

NOTES TO DECISIONS

1.Acting for Secretary of State.

When the assistant Secretary of State acts in the capacity of the Secretary of State, the latter is presumed to be indisposed or absent. Commonwealth v. Ginn, 111 Ky. 110 , 63 S.W. 467, 23 Ky. L. Rptr. 521 , 1901 Ky. LEXIS 191 ( Ky. 1901 ); Commonwealth v. Ginn & Co., 120 Ky. 83 , 85 S.W. 688, 27 Ky. L. Rptr. 486 , 1905 Ky. LEXIS 72 ( Ky. 1905 ).

The assistant Secretary of State could act for the Secretary, when he was an ex officio member of the state Board of Education, in the matter of accepting the bond of a schoolbook publisher. Commonwealth v. Ginn, 111 Ky. 110 , 63 S.W. 467, 23 Ky. L. Rptr. 521 , 1901 Ky. LEXIS 191 ( Ky. 1901 ); Commonwealth v. Ginn & Co., 120 Ky. 83 , 85 S.W. 688, 27 Ky. L. Rptr. 486 , 1905 Ky. LEXIS 72 ( Ky. 1905 ).

Opinions of Attorney General.

Following the death of the Secretary of State, the newly appointed Secretary of State is entitled to appoint an Assistant Secretary of State, with the approval of the Governor. OAG 70-674 .

Research References and Practice Aids

Cross-References.

Constitutional oath, Ky. Const., § 228.

14.025. Offices within Department of State — Duties.

  1. The Department of State shall be divided into three (3) offices, each headed by an executive director appointed by the Secretary of State pursuant to KRS 12.050 .
  2. The Office of Administration shall be responsible for fiscal and personnel matters, public documents, legal affairs, and special projects and commissions.
  3. The Office of Business Services:
    1. Shall be responsible for all functions of the department relating to business filings, including business entity filings and filings under the Uniform Commercial Code, business records, trademarks and service mark registration, notary appointments, and apostilles; and
    2. May promulgate administrative regulations in accordance with KRS Chapter 13A in furtherance of its responsibilities.
  4. The Office of Elections shall be responsible for assisting the Secretary of State in his or her duties as the chief election official of Kentucky and shall be responsible for candidate filings and collection of filing fees.

History. Enact. Acts 1982, ch. 379, § 1, effective April 9, 1982; 2011, ch. 29, § 2, effective June 8, 2011; 2021 ch. 185, § 1, effective June 29, 2021.

14.030. Commonwealth seal, custody of — Seal of Secretary of State.

The Secretary of State shall keep the seal of the Commonwealth, and a seal of office with the following device: The American eagle, in the center, surrounded by the words “Commonwealth of Kentucky, Office of the Secretary of State.”

History. 4537.

Opinions of Attorney General.

The Secretary of State should refuse to give permission to an association to reproduce the design of the seal of the Commonwealth in a decal to be used on trailers and cars. No official approval should be given. OAG 70-192 .

14.040. Official acts, how attested.

The Secretary of State shall attest the official acts of the Governor under the seal of the Commonwealth. He shall attest his own official acts under his official seal, and may also use the seal of the Commonwealth to attest any certificate by either himself or the Governor in cases where the seal of the Commonwealth is required to entitle the certificate or anything certified by it to be admitted to record or used as evidence or otherwise in any other state; but where the seal of the Secretary of State is required, the use of the seal of the Commonwealth shall not dispense with that requirement.

History. 4538.

Opinions of Attorney General.

The Secretary of State should refuse to give permission to an association to reproduce the design of the seal of the Commonwealth in a decal to be used on trailers and cars. No official approval should be given. OAG 70-192 .

14.050. Custody of public records.

  1. The Secretary of State shall have custody of the books, records, deeds, maps and papers belonging to or deposited in his office, and shall arrange and preserve them.
  2. When a certified copy of a record in the office of the Secretary of State is presented as evidence in any court of this state, by mailing under seal to the clerk of the Circuit Court in the county where it is to be used, it shall be prima facie evidence of the contents of the record, and the personal presence of the Secretary of State as a witness is not necessary.

History. 4545: amend. Acts 1962, ch. 210, § 1.

NOTES TO DECISIONS

1.Certification.

Under this section the Secretary of State can only certify copies of records; he cannot certify to any fact not shown on such records. Commonwealth v. O'Bryan, Utley & Co., 153 Ky. 406 , 155 S.W. 1126, 1913 Ky. LEXIS 851 ( Ky. 1913 ).

2.Evidence.

Copy of statement as to persons on whom process can be served which has been forwarded to office of Secretary of State as required and filed therein is sufficient evidence of incorporation. International Harvester Co. v. Commonwealth, 144 Ky. 403 , 138 S.W. 248, 1911 Ky. LEXIS 607 ( Ky. 1911 ).

Opinions of Attorney General.

The payment of the filing fee is a condition precedent for filing documents with the Secretary of State, and the Secretary of State may void the filing and return a document after it has been received, stamped, and filed, where the check for payment of that fee has been dishonored. OAG 89-94 .

Research References and Practice Aids

Cross-References.

Papers and documents to be filed with Secretary of State:

Articles of incorporation, KRS 271B.2-020 .

Auditor, inventory of books, furniture and stationery in office, KRS 43.040 .

Bonds of state officers and employes, KRS 62.200 .

Classification of property for taxation, petition for referendum on, KRS 132.100 .

Commissioner of foreign deeds, affidavit of, KRS 423.070 .

Cooperative livestock protective associations, articles of, KRS 272.410 .

County bonds, decision as to approval under county debt act, KRS 66.310 .

Foreign corporations, KRS 14A.9-010 to 14A.9-090 .

Judgment establishing or dissolving charter of city, KRS 81.060 .

Mine inspector, district, oath and certificate, KRS 351.090 .

Peace officer, record in proceedings to remove, KRS 63.100 , 63.110 .

Public record, certified copy of, effect as evidence, KRE Rule 902.

Public Service Commission, record in proceedings to remove, KRS 278.070 .

Railroad leases and operation contracts, KRS 277.110 .

Reorganization orders, KRS 12.027 .

Revised Statutes, certified copy of, KRS 7.120 .

Sanitary districts, establishment of, certificate of commissioner, KRS 220.110 .

Soil conservation districts, establishment of, application and statement, KRS 262.160 .

Soil conservation districts, discontinuance of, application and certificate, KRS 262.560 .

State lands and buildings, records relating to, KRS 56.020 to 56.050 .

Survey, plat and certificate of, and copy of court order, KRS 56.230 .

Trademarks and service marks, KRS 365.561 to 365.613.

Treasurer, inventory of books, stationery and furniture in office, KRS 41.330 .

Photographic reproductions of state records, use in evidence, KRS 171.660 .

State lands and buildings, custody of records relating to, KRS 56.020 , 56.040 , 56.050 .

Surveyor, records of, to restore when lost, KRS 73.150 , 73.160 .

14.060. Duty when judge removed from office.

When a judge is removed from office by impeachment or address, the Secretary of State shall so notify in writing the clerk of the court of which he was judge. The notice shall be filed by the clerk in his office, and the order of removal shall be recorded in the Office of the Secretary of State.

History. 4546.

14.070. Unfinished business of General Assembly.

The Secretary of State, at the close of each session of the General Assembly, shall inspect the papers and documents which remain with the unfinished business, and carefully file in his office such as he considers worthy of preservation, with proper labels designating the session to which they belong.

History. 4544.

14.080. Interest paid on state bonds.

The Secretary of State shall each month receive from the secretary of the Finance and Administration Cabinet a report of the interest paid on state bonds, and to whom and when paid, and shall record the report in a well-bound book, and carefully file and preserve it. He shall report to each General Assembly, within the first two (2) weeks of its session, the amount of each monthly payment so reported.

History. 4547.

14.090. Fees.

  1. The Secretary of State shall charge and collect for the state the following fees:
  2. No fee shall be collected for affixing the state seal to a commission issued to any public officer other than commissioner of foreign deeds or notary public, or to a grant, or to a pardon of a felony.

For issuing commission with seal of Commonwealth attached and all necessary forms to a commissioner of foreign deeds $5.00 For issuing remission or respite $2.00 For affixing seal of Commonwealth to all attestations and certificates or furnishing a certified copy of any document by the Secretary of State (per page) $0.50 and for the certificate and affixing the seal thereto $5.00 For each warrant of arrest $2.00

Click to view

History. 1748, 4539, 4543: amend. Acts 1986, ch. 18, § 93, effective July 15, 1986; 1988, ch. 85, § 1, effective July 15, 1988.

Legislative Research Commission Notes.

The fee in this section for each filing with the secretary of state required by KRS 355.9-401 has been raised from $3.00 to $8.00 to conform with the amendment to KRS 355.9-401 in 1986 Acts, ch. 204, § 8.

Opinions of Attorney General.

The payment of the filing fee is a condition precedent for filing documents with the Secretary of State, and the Secretary of State may void the filing and return a document after it has been received, stamped, and filed, where the check for payment of that fee has been dishonored. OAG 89-94 .

Research References and Practice Aids

Cross-References.

Cooperative company, fee for filing declaration of, KRS 272.040 .

Cooperative livestock protective association, fee for filing articles and amendments, KRS 272.400 , 272.410 .

Cooperative marketing association, fee for filing articles or amendments, KRS 272.141 .

Corporations, filing fees, KRS 271B.1-220 .

Land office, fees for duties relating to, KRS 56.300 .

Rural electric cooperative corporations, no fee for affixing seal of commonwealth to articles, KRS 279.190 .

Uniform Commercial Code, secured transactions, filing office fees, KRS 355.9-525.

14.100. Record of fees collected — Reports.

  1. The Secretary of State shall, in a separate book, keep accurate and itemized account of all fees received by him.
  2. He shall report to each session of the General Assembly the amount received in licenses, fees and penalties from corporations and the amount expended by him on account of his duties relating to corporations.

History. 878, 4548.

Research References and Practice Aids

Cross-References.

Fees to be paid into treasury promptly, KRS 41.070 .

14.105. Acceptance of electronic signatures.

  1. The Secretary of State may accept electronic signatures to meet the filing requirements for a:
    1. Corporation as required in KRS Chapter 271B;
    2. Nonprofit corporation as required in KRS Chapter 273;
    3. Professional service corporation as required in KRS Chapter 274;
    4. Limited liability company as required in KRS Chapter 275;
    5. Partnership as required in KRS Chapter 362;
    6. Partnership as required in Subchapter 1 of KRS Chapter 362;
    7. Limited partnership as required in Subchapter 2 of KRS Chapter 362;
    8. Cooperative corporations and associations as required in KRS Chapter 272 or 272A;
    9. Business trust as required in KRS Chapter 386 or a statutory trust under KRS Chapter 386A;
    10. Rural electric and rural telephone cooperative corporation as required in KRS Chapter 279;
    11. Unincorporated nonprofit association as required in KRS Chapter 273A;
    12. Assumed name filing under KRS Chapter 365; and
    13. Filings under KRS Chapter 14A.
  2. The electronic signature shall satisfy the requirements set forth in KRS 369.101 to 369.120.

HISTORY: Enact. Acts 2004, ch. 136, § 1, effective July 13, 2004; 2007, ch. 137, § 41, effective June 26, 2007; repealed and reenact., Acts 2010, ch. 51, § 41, effective July 15, 2010; 2011, ch. 29, § 3, effective June 8, 2011; 2012, ch. 160, § 133, effective July 12, 2012; 2015 ch. 34, § 1, effective June 24, 2015.

Legislative Research Commission Notes.

(7/15/2010). 2010 Ky. Acts ch. 51, sec. 183, provides, “The specific textual provisions of Sections 1 to 178 of this Act which reflect amendments made to those sections by 2007 Ky. Acts ch. 137 shall be deemed effective as of June 26, 2007, and those provisions are hereby made expressly retroactive to that date, with the remainder of the text of those sections being unaffected by the provisions of this section.”

Research References and Practice Aids

Kentucky Bench & Bar.

Rutledge, Recent Amendments to Kentucky Business Entity Laws, Vol. 71, No. 5, Sept. 2007, Ky. Bench & Bar 25.

Kentucky Law Journal.

Rutledge, The 2007 Amendments to the Kentucky Business Entity Statutes, 97 Ky. L.J. 229 (2008).

14.110. Compensation of Secretary of State and Assistant. [Repealed.]

Compiler’s Notes.

This section (878, 4540, 4541a: amend. Acts 1946, ch. 29, § 1, effective June 19, 1946) was repealed by Acts 1950, ch. 123, § 29. For present law see KRS 64.480 and 64.640 .

14.120. Clerical services.

Within the limits of the appropriation of his department, the Secretary of State may employ as many clerks as he deems necessary for the proper performance of his official duties.

History. 878.

14.130. Bond of Secretary of State. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1944, ch. 46, § 1, effective June 13, 1944) was repealed by Acts 1946, ch. 27, § 20. For present law see KRS 62.160 , 62.180 , 62.200 .

14.140. Trust fund to establish, operate, and maintain procedures required by KRS Chapter 275 and KRS 362.555 to 362.605 — Expiration of section on July 15, 1996. [Expired]

  1. There is hereby established a trust fund in the Treasury of the Commonwealth for use by the Secretary of State. The Secretary of State shall use the trust fund solely to establish, operate, and maintain procedures required by KRS Chapter 275 and KRS 362.555 to 362.605. The Secretary of State may request, and the request shall be honored, that the funds be invested and reinvested to establish, operate, and maintain procedures required by KRS Chapter 275 and KRS 362.555 to 362.605.
  2. The trust fund shall be credited with fees generated pursuant to KRS 275.055 and 362.555(3) as well as income from the investment and reinvestment of funds in the trust fund.
  3. The provisions of this section shall expire two (2) years from July 15, 1994. At that time, funds remaining in the trust fund shall revert to the general fund.

History. Enact. Acts 1994, ch. 389, § 108, effective July 15, 1994.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 16, (1) at 857.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, A, 15, (1) at 1295.

14.150. Kentucky Lien Information System. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 542, § 1, effective July 15, 1998) was repealed by Acts 2001, ch. 119, § 17, effective July 1, 2001.

14.210. Division of Business and Professional Regulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. XI, § 1) was repealed by Acts 1962, ch. 106, Art. V, § 11, effective July 1, 1962.

14.220. Functions of division. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. XI, § 2) was repealed by Acts 1962, ch. 106, Art. V, § 11, effective July 1, 1962.

14.230. Transfer of funds and facilities to division. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. XI, § 3) was repealed by Acts 1962, ch. 106, Art. V, § 11, effective July 1, 1962.

14.250. One-stop business portal — Advisory committee — Assessment, recommendations, and duties.

  1. The Secretary of State, Finance and Administration Cabinet, the Cabinet for Economic Development, and the Commonwealth Office of Technology shall jointly establish a one-stop electronic business portal that shall serve as a single, unified entry point for business owners to access and complete initial and ongoing state services and requirements in relation to the creation or ongoing operation of a business located in the Commonwealth of Kentucky. The agencies identified in this subsection shall coordinate, manage, and implement the portal based on the results of an assessment conducted by the One-Stop Business Portal Advisory Committee under subsection (3) of this section.
  2. The One-Stop Business Portal Advisory Committee is hereby established to provide guidance in the creation and implementation of the one-stop business portal. The committee shall consist of the Secretary of State, the secretary of the Governor’s Executive Cabinet, the secretary of the Economic Development Cabinet or his or her designee, the secretary of the Finance and Administration Cabinet or his or her designee, the secretary of the Education and Workforce Development Cabinet or his or her designee, the secretary of the Public Protection Cabinet or his or her designee, the secretary of the Transportation Cabinet or his or her designee, the secretary of the Tourism, Arts and Heritage Cabinet or his or her designee, and the secretary of the Energy and Environment Cabinet or his or her designee. The Governor may appoint other members to the committee at his or her discretion. The committee shall be co-chaired by the Secretary of State and the secretary of the Governor’s Executive Cabinet.
  3. The One-Stop Business Portal Advisory Committee shall prepare an assessment detailing recommendations for the creation, ongoing operation, and management of the one-stop business portal, to be presented to the Governor, the Secretary of State, and the Legislative Research Commission by December 31, 2011. This assessment shall include the following:
    1. An estimate of the costs for full implementation of the portal, including those associated with technology, maintenance, sharing agency data, information security, and other start-up costs;
    2. An estimate of the costs of establishing and maintaining a call center staffed with persons trained to answer questions and help businesses obtain information and services, along with a recommendation as to where the call center should be located and the number of staff necessary to operate it;
    3. Recommendations on the location, design, and functionality of the portal;
    4. Recommendations as to the roles of the state agencies identified in subsection (1) of this section regarding the day-to-day operational management of the portal;
    5. Recommendations on the time line for developing and testing the portal;
    6. Identification of any statutory or regulatory changes that need to be made to existing law to effectuate the portal’s functionality;
    7. Identification of other state agencies that possess business-related functions and content so that those functions can be added to the portal;
    8. Identification of any impediments posed by federal law and recommended ways to address the impediment;
    9. A comprehensive analysis of the processes of all state agencies, with a view toward streamlining and reducing the paperwork necessary for businesses to interact with each agency; and
    10. Recommendations on the scope of services to be provided by the portal. At a minimum, services shall include:
      1. Application and renewal of business-related licenses and fees incident to the start-up and operation of a business;
      2. Electronic payment of taxes and related costs imposed by state law incident to the operation of a business;
      3. Filing of documents and papers imposed by state law associated with the operation of a business; and
      4. Creation of individual electronic accounts for each business which allows the business to monitor its filings, payments, and other business-compliance activities.
  4. The One-Stop Business Portal Advisory Committee shall:
    1. Ensure that the portal has a Web site and the ability to process new business registrations as handled by the Secretary of State’s Office, and will be in a testing phase for the Department of Revenue’s tax registration application by December 31, 2012; and
    2. Ensure that subsequent and additional online business applications maintained by the Commonwealth shall be evaluated and prioritized.

History. Enact. Acts 2011, ch. 75, § 1, effective March 16, 2011.

Legislative Research Commission Notes.

(3/16/2011). As created by 2011 Ky. Acts ch. 75, sec. 1, this statute contained a reference to the “Education and Workforce Cabinet” in subsection (2). However, the entity created by Executive Order 2008-530, which was confirmed by the General Assembly in 2009 Ky. Acts ch. 11, is the Education and Workforce Development Cabinet. This manifest clerical or typographical error and a manifest grammatical error in subsection (4) have been corrected in codification by the Reviser of Statutes pursuant to KRS 7.136 .

14.255. Creation of unique Commonwealth business identification number — Cooperation among state agencies in support of establishment of one-stop electronic business portal — Timeline.

  1. To help facilitate data sharing between state agencies and as part of the ongoing establishment of a one-stop electronic business portal, the Secretary of State, the Finance and Administration Cabinet, the Cabinet for Economic Development, the Education and Workforce Development Cabinet, and the Commonwealth Office of Technology shall jointly establish a unique Commonwealth business identification number which can be used in filings and services provided by the business portal.
  2. By December 31, 2013, the agencies identified in subsection (1) of this section shall:
    1. Recommend a timeline for implementing the new business identification numbering system for new business filings; and
    2. Establish a five (5) year timeline for all state agencies to utilize the Commonwealth business identification number to facilitate data sharing and continued growth of services provided by the business portal.

History. Enact. Acts 2013, ch. 65, § 1, effective June 25, 2013.

14.260. Address protection program — Substitute address — Address protection program fund.

  1. As funds are available, the Secretary of State, or designee, shall promulgate administrative regulations to expand the address protection program to allow an applicant or specified guardians to apply to have a substitute address designated to serve as the address of the participant. Any program created under this section shall:
    1. Collaborate with the Kentucky Commission on Women;
    2. Establish criteria to prohibit certain individuals, including any individual required to register as a sex offender, from participation in the program;
    3. Allow a participant to request that state and local agencies use the substitute address as the address of the participant, but agencies may show that they have a bona fide statutory or administrative requirement for the actual address;
    4. Be open to individuals that are victims of domestic violence and abuse, stalking, any victim of an offense or an attempt to commit an offense defined in KRS Chapter 510, 530.020 , 530.064(1)(a), 531.310 , or 531.320 , or any victim of a similar federal offense or a similar offense from another state or territory;
    5. Allow an applicant to submit evidence, including a sworn statement, to show that he or she is a victim of a qualifying offense.
  2. Participation in any program established under this section shall not affect custody or visitation orders in effect prior to or established during program participation, nor shall it constitute evidence of any offense and shall not be considered for purposes of making an order allocating parental responsibilities or parenting time.
  3. No actionable duty nor any right of action shall accrue against the state, any entity operating an address protection program for the state, an individual operating in his or her professional capacity on behalf of the confidential address protection program established in this section, or an employee of the state or municipality in the event of negligent acts that result in the disclosure of a program participant’s actual address.
  4. The address protection program fund is hereby created as a separate trust fund in the State Treasury. The address protection program fund shall consist of amounts received from fees collected pursuant to KRS 23A.208 and 24A.178, amounts received from appropriations, and any other proceeds from gifts, grants, federal funds, or any other funds, both public and private, made available for the purposes of this section.
  5. The address protection program fund shall be administered by the Secretary of State to operate and maintain the confidential address protection program established in this section.
  6. Notwithstanding KRS 45.229 , address protection program fund amounts not expended at the close of a fiscal year shall not lapse but shall be carried forward into the next fiscal year.
  7. Any interest earnings of the address protection program fund shall become a part of the address protection program fund and shall not lapse.
  8. Moneys deposited in the address protection program fund are hereby appropriated for the purposes set forth in this section and shall not be appropriated or transferred by the General Assembly for any other purposes.

HISTORY: Enact. Acts 2013, ch. 118, § 17, effective June 25, 2013; 2015 ch. 101, § 3, effective June 24, 2015.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 9, (1) at 855.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, A, 9, (1) at 1292.

Crime Victims’ Address Protection Program

14.300. Definitions for KRS 14.300 to 14.318.

As used in KRS 14.300 to 14.318 unless the context otherwise requires:

  1. “Address” means a residential street address, school address, or work address of an individual, as specified on the application of an individual to be a program participant under this section;
  2. “Applicant” means a person applying for certification in the address confidentiality program under KRS 14.300 to 14.318 ;
  3. “Criminal offense against a victim who is a minor” has the same meaning as in KRS 17.500 ;
  4. “Domestic violence and abuse” has the same meaning as in KRS 403.720 ;
  5. “Program participant” means a person certified as a program participant under KRS 14.300 to 14.318 ;
  6. “Sex crime” means an offense or an attempt to commit an offense defined in:
    1. KRS Chapter 510;
    2. KRS 530.020 ;
    3. KRS 530.064(1)(a);
    4. KRS 531.310 ;
    5. KRS 531.320 ; or
    6. Any criminal attempt to commit an offense specified in this subsection, regardless of the penalty for the attempt;
  7. “Specified offense” means:
    1. Domestic violence and abuse;
    2. Stalking;
    3. A sex crime;
    4. A criminal offense against a victim who is a minor;
    5. A similar federal offense; or
    6. A similar offense from another state or territory; and
  8. “Stalking” means conduct prohibited under KRS 508.140 and 508.150 .

History. Enact. Acts 2013, ch. 87, § 1, effective June 25, 2013.

14.302. Crime victims’ address protection program — Program open to victims of domestic violence and abuse, stalking, and felony sex offenses — Criminal history background check and fingerprinting of Department of State employees administering program.

  1. On or after July 1, 2013, the Secretary of State shall create a crime victim address protection program.
  2. The crime victim address protection program shall be open to victims of a specified offense who are United States citizens and residents of Kentucky, without any cost to the program participant.
  3. The Secretary of State shall require that each person employed in the Office of the Secretary of State directly responsible for the administration of the crime victim address protection program submit his or her fingerprints to the Department of State. The Department of State shall exchange fingerprint data with the Kentucky State Police and the Federal Bureau of Investigation in order to conduct a criminal history background check of each employee directly responsible for the administration of the program.

History. Enact. Acts 2013, ch. 87, § 2, effective June 25, 2013.

14.304. Permit crime victims to use for voting purposes an address provided by the Secretary of State rather than person’s actual physical address — Request to participate in program to include sworn statement of endangerment — Two year certification period for program participants — Administrative regulation to govern renewal of certification — Penalty for providing false information — Addresses exempt from disclosure under Open Records Law.

  1. Upon the creation of the crime victim address protection program, an applicant, a parent or guardian acting on behalf of a minor, a guardian acting on behalf of a person who is declared incompetent, or a designee of an applicant or a parent or guardian of a minor or a guardian of a person declared incompetent who cannot for any reason apply themselves, may apply to the Secretary of State to have an address designated by the Secretary of State serve for voting purposes as the address of the applicant, the minor, or the incompetent person. The Secretary of State shall approve an application if it is filed in the manner and on the form prescribed by the Secretary of State by administrative regulation and if it contains:
    1. A sworn statement by the applicant that:
      1. The applicant or the minor or the incompetent person on whose behalf the application is made is a victim of a specified offense in an ongoing criminal case or in a criminal case that resulted in a conviction by a judge or jury or by a defendant’s guilty plea; or
      2. The applicant or the minor or the incompetent person on whose behalf the application is made has been granted an order of protection as defined in KRS 403.720 and 456.010 by a court of competent jurisdiction within the Commonwealth of Kentucky and the order is in effect at the time of application;
    2. A sworn statement by the applicant that disclosure of the address of the applicant would endanger the safety of the applicant or the safety of the children of the applicant, or the minor or incompetent person on whose behalf the application is made.
    3. The mailing address and the phone number or numbers where the applicant can be contacted by the Secretary of State;
    4. The new address or addresses that the applicant requests not be disclosed for the reason that disclosure will increase the risk of a specified offense; and
    5. The signature of the applicant and of a representative of any office designated under KRS 14.310 as a referring agency who assisted in the preparation of the application, and the date on which the applicant signed the application.
  2. Applications shall be filed with the Office of the Secretary of State.
  3. Upon the filing of a properly completed application, the Secretary of State shall certify the applicant as a program participant if the applicant is not required to register as a sex offender or is not otherwise prohibited from participating in the program.
  4. Applicants shall be certified for two (2) years following the date of filing unless the certification is withdrawn or invalidated before that date. The Secretary of State shall promulgate an administrative regulation to establish a renewal procedure.
  5. A person who falsely attests in an application that disclosure of the address of the applicant would endanger the safety of the applicant or the safety of the children of the applicant, or the minor or incompetent person on whose behalf the application is made, or who knowingly provides false or incorrect information upon making an application may be found guilty of a violation of KRS 523.030 .
  6. The addresses of individuals applying for entrance into the crime victim address confidentiality program and the addresses of those certified as program participants shall be exempt from disclosure under the Kentucky Open Records Act, KRS 61.870 to KRS 61.884 .
  7. A program participant shall notify the Office of the Secretary of State of a change of address within seven (7) days of the change of address.

HISTORY: Enact. Acts 2013, ch. 87, § 3, effective June 25, 2013; 2015 ch. 102, § 37, effective January 1, 2016.

14.306. Grounds for cancellation of a program participant’s certification — Notice of cancellation — Appeal — Voluntary withdrawal from program — Procedure to ensure that request for withdrawal is legitimate — Administrative regulations.

  1. The Secretary of State may cancel certification of a program participant if within fourteen (14) days:
    1. From the date of the program participant changing his or her name, the program participant fails to notify the Secretary of State that he or she has obtained a name change; however, the program participant may reapply under his or her new name; or
    2. From the date of changing his or her address, the program participant fails to notify the Secretary of State of the change of address.
  2. The Secretary of State shall cancel certification of a program participant who applies using false information.
  3. The Secretary of State shall send notice of certification cancellation to the program participant. The notice of certification cancellation shall set out the reasons for cancellation. The program participant has the right to appeal the decision within thirty (30) days under procedures established by the Office of the Secretary of State by administrative regulation.
  4. The Secretary of State shall cancel certification of a program participant who is required to register as a sex offender.
  5. A program participant may withdraw from the program by providing the Secretary of State with notice of his or her intention to withdraw from the program. The Secretary of State shall promulgate by administrative regulations a secure procedure by which to ensure that the program participant’s request for withdrawal is legitimate.

History. Enact. Acts 2013, ch. 87, § 4, effective June 25, 2013.

14.308. Confidentiality of program participant’s records — Exceptions authorizing disclosure.

The Secretary of the State shall not make available for inspection or copying any records in a file of a program participant, other than the address designated by the Secretary of State, except under the following circumstances:

  1. If directed by a court order signed by a judge or justice of a court of competent jurisdiction within the Commonwealth of Kentucky; or
  2. Upon written request by the chief law enforcement officer of a city or county, or the commander of a Department of Kentucky State Police post or branch, if related to an ongoing official investigation. Requests shall include the reason the information is needed by the law enforcement agency.

History. Enact. Acts 2013, ch. 87, § 5, effective June 25, 2013.

14.310. Secretary of State to establish list of state, local, and nonprofit agencies providing counsel and shelter to program participants — Assistance not to be deemed legal advice.

The Secretary of State shall establish a list of state and local agencies and nonprofit agencies that provide counseling and shelter services to victims of a specified offense to assist persons applying to be program participants. Any assistance and counseling rendered to applicants by the Office of the Secretary of State or its designees shall in no way be construed as legal advice.

History. Enact. Acts 2013, ch. 87, § 6, effective June 25, 2013.

14.312. Program participants to vote by mail-in absentee ballot — Modification of county clerk’s system to safeguard confidentiality of participant’s voting records — No waiver or modification of legal qualifications to vote.

  1. A program participant who is otherwise qualified to vote may register to vote and apply for and submit a mail-in absentee ballot under this section.
  2. Using the authority granted under KRS 14.318(1), the State Board of Elections shall design a system allowing a county clerk to shield from public view all voting records of a program participant, including the name and address of a program participant, and allowing a program participant to vote by mail-in absentee ballot. This authority may be used to modify statutory or regulatory requirements that would lead to disclosure of the program participant’s name and address, but shall not include authority to waive or modify any other requirements relative to the program participant’s qualifications to vote, including age and geographic residency.
  3. The program participant may receive mail-in absentee ballots for all elections in the jurisdiction in which that individual resides in the same manner as a person requesting an absentee ballot under KRS 117.085(1)(a). The county clerk shall transmit a mail-in absentee ballot to the program participant at the address designated by the participant in his or her application.
  4. Neither the name nor the address of a program participant shall be included in any list of registered voters available to the public, including any list inspected under KRS 116.095 .

History. Enact. Acts 2013, ch. 87, § 7, effective June 25, 2013.

14.314. Prior custody or visitation orders not affected by program or by this chapter.

Nothing in this chapter, nor participation in the program created in this chapter, shall affect custody or visitation orders in effect prior to or during program participation.

History. Enact. Acts 2013, ch. 87, § 8, effective June 25, 2013.

14.316. Limitation of liability for negligent disclosure of program participant’s actual address.

No actionable duty or any right of action shall accrue against the state, a county, a municipality, an agency of the state or county or municipality, or an employee of the state or county or municipality in the event of negligent disclosure of a program participant’s actual address.

History. Enact. Acts 2013, ch. 87, § 9, effective June 25, 2013.

14.318. Administrative regulations to be promulgated by State Board of Elections and Secretary of State to implement KRS 14.300 to 14.318.

  1. The State Board of Elections may promulgate administrative regulations to implement KRS 14.312 and 117.085 .
  2. The Secretary of State may promulgate administrative regulations to implement KRS 14.300 to 14.310 , 14.314 , and 14.316 .

History. Enact. Acts 2013, ch. 87, § 10, effective June 25, 2013.

CHAPTER 14A Kentucky Business Entity Filing Act

SUBCHAPTER 1. General Provisions

14A.1-010. Title.

This chapter shall be known and may be cited as the Kentucky Business Entity Filing Act.

History. Enact. Acts 2010, ch. 151, § 1, effective January 1, 2011.

Research References and Practice Aids

Northern Kentucky Law Review.

Kentucky Survey Issue: Article: The Kentucky Business Entity Filing Act: The Next Step Forward in the Rationalization of Business Entity Law, 38 N. Ky. L. Rev. 423 (2011).

14A.1-020. Application.

Each entity and each foreign entity is subject to the provisions of this chapter.

History. Enact. Acts 2010, ch. 151, § 2, effective January 1, 2011.

14A.1-030. Powers of the Secretary of State.

The Secretary of State shall have the power reasonably necessary to perform the duties required by this chapter.

History. Enact. Acts 2010, ch. 151, § 3, effective January 1, 2011.

14A.1-040. Interrogatories by Secretary of State.

  1. The Secretary of State may propound to any entity or foreign entity that the Secretary of State has reason to believe is subject of the provisions of this chapter, and to any authorized representative thereof including a registered agent, such written interrogatories as may be necessary and proper to enable the Secretary of State to ascertain whether the entity or foreign entity is subject to the provisions of this chapter applicable to it and is in compliance therewith. The interrogatories shall be answered within thirty (30) days after the mailing thereof, or within such additional time as may be fixed by the Secretary of State, and the answers thereto shall be full and complete and shall be made in writing and under oath. Interrogatories directed to an individual shall be answered by the individual. Interrogatories directed to an entity or a foreign entity shall be answered by a person with the authority, pursuant to the organic law governing the entity or foreign entity, to bind the entity or foreign entity.
  2. The Secretary of State may take such action as is deemed appropriate, including a referral to the Attorney General, when the interrogatories and the answers thereto disclose a violation of any of the provisions of this chapter or of the organic law governing an entity or foreign entity.

History. Enact. Acts 2010, ch. 151, § 4, effective January 1, 2011.

14A.1-050. Penalties imposed for failure to answer interrogatories.

  1. If an entity or foreign entity fails or refuses to answer truthfully and fully within the time prescribed to any interrogatories propounded by the Secretary of State, the Secretary of State may with respect to that entity initiate its administrative dissolution or, with respect to a foreign entity qualified to transact business in Kentucky, revoke its certificate of authority.
  2. Each person who fails or refuses within the time prescribed to truthfully and fully answer interrogatories propounded to an entity or a foreign entity shall be guilty of a misdemeanor punishable by a fine not to exceed one hundred dollars ($100).
  3. Further, an action may be initiated in Franklin Circuit Court by the Secretary of State or the Attorney General against any domestic or foreign entity in furtherance of  KRS 14A.1-040 (1).

History. Enact. Acts 2010, ch. 151, § 5, effective January 1, 2011.

14A.1-060. Information disclosed by interrogatories.

Interrogatories propounded by the Secretary of State and the answers thereto shall not be open to public inspection, nor shall the Secretary of State disclose any facts or information descried therefrom except insofar as the Secretary of State’s official duty may require the same to be made public or in the event the interrogatories or the answers thereto are required as evidence in any criminal proceeding or in any other action or proceeding by this state.

History. Enact. Acts 2010, ch. 151, § 6, effective January 1, 2011.

14A.1-070. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Business” includes every trade, occupation, and profession;
  2. “Business trust” means a business trust governed as to its internal affairs by KRS Chapter 386 or a statutory trust governed as to its internal affairs by KRS Chapter 386A;
  3. “Corporation” means a business corporation governed as to its internal affairs by KRS Chapter 271B, a cooperative or association governed as to its internal affairs by KRS Chapter 272, a nonprofit corporation governed as to its internal affairs by KRS Chapter 273, and a rural electric or rural telephone cooperative corporation governed as to its internal affairs by KRS Chapter 279;
  4. “Debtor in bankruptcy” means a person who is the subject of:
    1. An order for relief under Title 11 of the United States Code or a comparable order under a successor statute of general application; or
    2. A comparable order under federal, state, or foreign law governing insolvency;
  5. “Deliver” or “delivery” means any method of delivery used in conventional commercial practice, including delivery by hand, mail, commercial delivery, and electronic transmission;
  6. “Electronic transmission” or “electronically transmitted” means any process of communication not directly involving the physical transfer of paper that is suitable for the retention, retrieval, and reproduction of information by the recipient;
  7. “Entity” means a corporation, business or statutory trust, partnership, limited partnership, limited liability company, limited cooperative association, or unincorporated nonprofit association, governed as to its internal affairs by the laws of the Commonwealth of Kentucky;
  8. “Foreign business trust” means a business or statutory trust not governed as to its internal affairs by KRS Chapter 386 or 386A;
  9. “Foreign corporation” means a corporation as defined in subsection (2) of this section that is not:
    1. Organized pursuant to the laws of the Commonwealth of Kentucky; or
    2. As to its internal affairs, governed by the laws of the Commonwealth of Kentucky;
  10. “Foreign entity” means a corporation, not-for-profit corporation, cooperative, limited cooperative association, association, business or statutory trust, partnership, limited partnership, limited liability company, or unincorporated nonprofit association not:
    1. Organized pursuant to the laws of the Commonwealth of Kentucky; or
    2. As to its internal affairs, governed by the laws of the Commonwealth of Kentucky;
  11. “Foreign limited cooperative association” means a limited cooperative association that is not:
    1. Organized pursuant to the laws of the Commonwealth of Kentucky; or
    2. As to its internal affairs, governed by the laws of the Commonwealth of Kentucky;
  12. “Foreign limited liability partnership” means a partnership that:
    1. Is formed under laws other than the laws of this Commonwealth; and
    2. Has the status of a limited liability partnership under those laws;
  13. “Foreign professional service corporation” has the same meaning as in KRS 274.005 ;
  14. “Foreign rural electric cooperative” means a rural electric cooperative organized otherwise than under KRS 279.010 to 279.210 ;
  15. “Foreign rural telephone cooperative” means a rural telephone cooperative organized otherwise than under KRS 279.310 to 279.990 excepting 279.570 ;
  16. “Foreign unincorporated nonprofit association” means an unincorporated nonprofit association that is not:
    1. Organized in accordance with the laws of the Commonwealth of Kentucky; or
    2. As to its internal affairs, governed by the laws of the Commonwealth of Kentucky;
  17. “Good standing” means that all annual reports which are required to be received from an entity or foreign entity have been delivered to and filed by the Secretary of State, that all other lawfully required statutory documentation has been received and filed, and that all fees, costs, and expenses, including penalties incurred in connection therewith, have been paid;
  18. “Limited cooperative association” means a limited cooperative association governed as to its internal affairs by KRS Chapter 272A;
  19. “Limited liability company” has the same meaning as in KRS 275.015 ;
  20. “Limited liability partnership” means a partnership that has filed a statement of qualification under KRS 362.1-931 or a registration as a registered limited liability partnership under KRS 362.555 and does not have a similar statement or registration in effect in any other jurisdiction;
  21. “Name of record with the Secretary of State” means any real, fictitious, reserved, registered, or assumed name of an entity or foreign entity;
  22. “Nonprofit corporation,” other than in the term “foreign nonprofit corporation,” means a nonprofit corporation incorporated pursuant to and governed as to its internal affairs by KRS Chapter 273 or predecessor law;
  23. “Organic act” means the law of a state or other jurisdiction governing the organization and internal affairs of an entity or foreign entity;
  24. “Organized” means organized, incorporated, or formed;
  25. “Organizational filing” means a filing made with the Secretary of State as a precondition to the formation, organization, or incorporation of an entity, including articles of incorporation, articles of organization, articles of association, certificates of trust, and certificates of limited partnership. A statement of qualification filed pursuant to KRS 362.1-931 or a registration as a limited liability partnership filed pursuant to KRS 362.555 is not an organizational filing;
  26. “Partnership” means an association of two (2) or more persons to carry on as co-owners a business for profit formed under KRS 362.1-202, predecessor law, or comparable law of another jurisdiction;
  27. “Partnership agreement” means the agreement, whether written, oral, or implied, among the partners concerning the partnership, including amendments to the partnership agreement;
  28. “Person” means an individual, an entity, a foreign entity, or any other legal or commercial entity;
  29. “Principal office” means the address required by this chapter or the organic act to be of record with the Secretary of State as the principal office, the principal place of business address, the designated office of a limited partnership, or the chief executive office of a limited liability partnership;
  30. “Professional service corporation” has the same meaning as in KRS 274.005 ;
  31. “Professional services” means the personal services rendered by physicians, osteopaths, optometrists, podiatrists, chiropractors, dentists, nurses, pharmacists, psychologists, occupational therapists, veterinarians, engineers, architects, landscape architects, certified public accountants, public accountants, physical therapists, and attorneys;
  32. “Property” means all property, real, personal, or mixed, tangible or intangible, or any interest therein;
  33. “Qualified person” has the same meaning as in KRS 274.005 ;
  34. “Registered agent” means a registered agent appointed in accordance with KRS 14A.4-010 or predecessor law, and is synonymous with agent for service of process;
  35. “Registered office” means the registered office identified in accordance with and satisfying the requirements of KRS 14A.4-010 (1)(b). The registered office address must be a street address;
  36. “Regulatory board” means the agency that is charged by law with the licensing and regulation of the practice of the profession which the entity is organized to provide;
  37. “Rural electric cooperative” means a rural electric cooperative governed as to its internal affairs by KRS 279.010 to 279.210 ;
  38. “Rural telephone cooperative” means a rural telephone cooperative governed as to its internal affairs by KRS 279.310 to 279.990 excepting KRS 279.570 ;
  39. “Series entity” means an entity or a foreign entity authorized and enabled by its organic act and organizational filing to create series having separate rights, powers, or duties with respect to specific property or obligations of the series entity, or the profits and losses associated with specific property or obligations;
  40. “Sign” or “signature” includes any manual, facsimile, conformed, or electronic signature;
  41. “State” means a state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or any territory or insular possession subject to the jurisdiction of the United States;
  42. “Statutory trust” means a trust governed as to its internal affairs by KRS Chapter 386A;
  43. “Unincorporated nonprofit association” means an unincorporated nonprofit association governed as to its internal affairs by KRS Chapter 273A;
  44. “Veteran” means any person who served in the United States Armed Forces, Reserves, or National Guard and was separated or released therefrom with an honorable discharge, discharge under honorable conditions, or general discharge under honorable conditions or any person who currently serves in the United States Armed Forces, Reserves, or National Guard; and
  45. “Veteran-owned business” means a business:
    1. That is at least fifty-one percent (51%) unconditionally owned by one (1) or more veterans;
    2. In the case of a publicly owned business, in which at least fifty-one percent (51%) of the stock is unconditionally owned by one (1) or more veterans; or
    3. That is a nonprofit business which is at least fifty-one percent (51%) unconditionally managed by one (1) or more veterans.

History. Enact. Acts 2010, ch. 151, § 7, effective January 1, 2011; 2011, ch. 29, § 4, effective June 8, 2011; 2012, ch. 81, § 78, effective July 12, 2012; 2012, ch. 160, § 125, effective July 12, 2012; 2017 ch. 193, § 3, effective June 29, 2017; 2018 ch. 58, § 2, effective July 14, 2018; 2020 ch. 125, § 1, effective July 15, 2020.

Legislative Research Commission Notes.

(7/15/2020). Under the authority of KRS 7.136(1), the Reviser of Statutes has altered the format of this statute during codification to place the terms in alphabetical order. The words in the text were not changed.

SUBCHAPTER 2. Filing Requirements

14A.2-010. Filing requirements — Authority for redaction of information.

  1. A document shall satisfy the requirements of this section, and of any other section that adds to or varies these requirements, to be entitled to filing by the Secretary of State.
  2. This chapter shall require or permit filing a document in the office of the Secretary of State.
  3. A document shall contain the information required by the organic law or by this chapter, and may contain other information if permitted by the organic law.
  4. A document shall be typewritten, printed, or electronically transmitted. If a document is electronically transmitted, the document shall be in a format that can be retrieved or reproduced in typewritten or printed form.
  5. A document shall be in the English language. A name may be in a language other than English if written in English letters or Arabic or Roman numerals. A document not in English shall be accompanied by an English translation reasonably authenticated to the satisfaction of the Secretary of State.
  6. A document shall be executed in the manner set forth in KRS 14A.2-020 .
  7. The person executing the document shall sign it and state beneath or opposite the signature the person’s name and the capacity in which the document is signed. The document may but need not contain:
    1. A seal of the entity or foreign entity;
    2. An attestation, acknowledgment, or verification; or
    3. A statement regarding the preparer of the document which complies with KRS 382.335(1).
  8. If the Secretary of State has prescribed a mandatory form for a document, it shall be in or on the prescribed form.
  9. A document shall be delivered to the office of the Secretary of State for filing. Delivery may be made by electronic transmission, if and to the extent permitted by the Secretary of State. If the document is filed in typewritten or printed form and not transmitted electronically, the Secretary of State may require that up to two (2) exact or conformed copies be delivered with the document.
  10. When the document is delivered to the office of the Secretary of State for filing, the correct filing fee, the organization tax, and any penalty required by this chapter or other law to be collected by the office of the Secretary of State with the document shall be paid or provision for payment shall be made in a manner permitted by the Secretary of State. The Secretary of State may accept payment of the correct amount due by check, credit card, charge card, or similar method. However, if the amount due is tendered by any method other than cash, the liability shall not be finally discharged until the Secretary of State receives final payment or credit of collectible funds. If, after five (5) days’ prior written notice to the entity, foreign entity, or person who delivered a document for filing for which the filing fee was not collectible, payment of the filing fee in full is not made in immediately available funds, the Secretary of State may declare the document filed to be null and void and of no legal effect and may remove the document from the records of the Secretary of State. Written notice given pursuant to this subsection may be given by electronic communication.
  11. A document is delivered to the office of the Secretary of State for filing upon actual receipt. A document delivered electronically that is self-operative will be treated as received on the date of receipt. A document that is not self-operative delivered electronically or otherwise will be treated as received on the date of delivery if delivery is accomplished not later than 4:30 p.m. prevailing time in Frankfort, Kentucky or otherwise on the next business day.
  12. Any communication from the Secretary of State to an entity or foreign entity may be accomplished electronically. Communications to an entity may be mailed to the entity by first-class mail at its principal office address.
  13. If any law prohibits the disclosure by the Secretary of State of information contained in a record delivered for filing, the Secretary of State shall file the record if it otherwise complies with the applicable law, but the Secretary of State may redact such information so that it is not available to the public.

HISTORY: Enact. Acts 2010, ch. 151, § 8, effective January 1, 2011; 2015 ch. 34, § 2, effective June 24, 2015.

14A.2-020. Execution of documents delivered to Secretary of State for filing.

  1. A document delivered to the Secretary of State for filing shall be executed as follows:
    1. If delivered by or on behalf of a corporation or foreign corporation, by:
      1. The chairman of its board of directors, by its president, or by another of its officers;
      2. A duly authorized representative; or
      3. If the directors have not been selected or the corporation has not been formed, by its incorporator;
    2. If delivered by or on behalf of a limited liability company or foreign limited liability company, by:
      1. A manager, if management of the limited liability company or foreign limited liability company is reserved to one (1) or more managers;
      2. A member, if management of the limited liability company or foreign limited liability company is reserved to the members;
      3. A duly authorized representative; or
      4. If the limited liability company or foreign limited liability company has not been formed, by its organizer;
    3. If delivered by or on behalf of a limited partnership or foreign limited partnership, by at least one (1) general partner;
    4. If delivered by or on behalf of a business trust or foreign business trust, by at least one (1) trustee;
    5. If delivered by or on behalf of a partnership, by at least two (2) partners;
    6. If delivered by or on behalf of any other entity or foreign entity, by a person certifying the authority and capacity to execute and deliver the document;
    7. If the entity or foreign entity is in the hands of a receiver, trustee, or other court-appointed fiduciary, by that fiduciary; or
    8. If delivered by or on behalf of a limited cooperative association or foreign limited cooperative association, by:
      1. The chairman of its board of directors, by its president, or by another of its officers;
      2. A duly authorized representative; or
      3. If the directors have not been selected or the association has not been formed, by its organizer.
  2. This section relates exclusively to execution of documents delivered for filing to the Secretary of State, and shall not control as to the execution of other documents of an entity or foreign entity.

History. Enact. Acts 2010, ch. 151, § 9, effective January 1, 2011; 2012, ch. 160, § 127, effective July 12, 2012.

14A.2-030. Penalty for signing false document.

  1. A person who executes a document with intent that the document be delivered to the Secretary of State for filing shall be deemed to have declared under penalty of perjury that to that person’s knowledge the contents of the document are true.
  2. An offense under this section shall be a misdemeanor punishable by a fine not to exceed one hundred dollars ($100).

History. Enact. Acts 2010, ch. 151, § 10, effective January 1, 2011.

14A.2-040. Filing of documents by county clerk.

  1. Except as provided in subsection (2) of this section, one (1) exact or conformed copy of each of the following documents shall be filed with the county clerk of the county in which the entity or foreign entity maintains its registered office:
    1. Articles of incorporation and all amendments thereto;
    2. Articles of organization and all amendments thereto;
    3. Certificate of limited partnership and all amendments thereto;
    4. Declaration of trust for a business trust or certificate of trust for a statutory trust and all amendments thereto;
    5. Application for a certificate of authority;
    6. Amendment to a certificate of authority;
    7. Withdrawal of a certificate of authority;
    8. Articles of merger;
    9. A statement of change of principal office address filed pursuant to KRS 14A.5-010 or predecessor law;
    10. A statement of change of registered office or registered agent or both filed pursuant to KRS 14A.4-020 or predecessor law; and
    11. Articles of association and all amendments thereto.
  2. The articles of incorporation of a rural electric cooperative or a rural telephone cooperative, all amendments thereto, and all articles of merger involving a rural electric cooperative or rural telephone cooperative shall be filed with the county clerk in which is maintained the principal office address.
  3. Annual reports filed with the Secretary of State pursuant to KRS 14A.6-010 or predecessor law need not be filed with the county clerk.
  4. The county clerk shall receive a fee as provided in KRS 64.012 for each filing made pursuant to subsection (1) or (2) of this section.
  5. The county clerk shall receive a fee pursuant to KRS 64.012 for recording and issuing reports, articles, and statements pertaining to an entity or foreign entity.
  6. Any amendment to articles of incorporation or a certificate of limited partnership that was itself not required to be filed with the Secretary of State under the law applicable at the time of incorporation or organization shall be filed by the county clerk notwithstanding the absence of a prior filing with the Secretary of State.

History. Enact. Acts 2010, ch. 151, § 11, effective January 1, 2011; 2012, ch. 81, § 79, effective July 12, 2012; 2012, ch. 160, § 128, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 81 and 160, which do not appear to be in conflict and have been codified together.

14A.2-050. Forms.

  1. The Secretary of State shall prescribe and furnish on request forms for:
    1. An application for a certificate of existence;
    2. An application for a certificate of authority;
    3. An amended application for a certificate of authority;
    4. A certificate of withdrawal;
    5. A change of registered office, registered agent, or both;
    6. A change of principal address;
    7. The resignation of the registered agent, the registered office, or both;
    8. An application for a reserved name;
    9. The renewal of a reserved name;
    10. The transfer of a reserved name;
    11. Name registration;
    12. The annual report; and
    13. An amendment to the annual report.
  2. The use of the forms referred to in paragraphs (e), (f), (g), (h), (i), (k), and (l) of subsection (1) of this section shall be mandatory. If the Secretary of State so requires, the use of some or all of the other forms listed in subsection (1) shall be mandatory.
  3. The Secretary of State may prescribe and furnish on request forms for other documents required or permitted to be filed by this chapter, but their use shall not be mandatory.

History. Enact. Acts 2010, ch. 151, § 12, effective January 1, 2011; 2011, ch. 29, § 5, effective June 8, 2011.

14A.2-060. Fees and miscellaneous charges.

  1. The Secretary of State shall collect the following fees when the documents described in this subsection are delivered for filing:
    1. Application for use of indistinguishable name  . . . . . $ 20
    2. Application or renewal of application for reserved name  . . . . . $ 15
    3. Cancellation of application for reserved name  . . . . . $ 10
    4. Notice of transfer of reserved name  . . . . . $ 15
    5. Application for registered name  . . . . . $ 36
    6. Application for renewal of registered name  . . . . . $ 36
    7. Statement of change of registered office or registered agent, or both  . . . . . $ 10
    8. Statement of change of principal office address  . . . . . $ 10
    9. Agent’s statement of change of registered office for each affected

      entity or foreign entity . . . . . $ 10

      not to exceed a total of . . . . . $2,000

    10. Reinstatement penalty following administrative dissolution  . . . . . $ 100
    11. Application for certificate of authority  . . . . . $ 90
    12. Application for amended certificate of authority  . . . . . $ 40
    13. Certificate of withdrawal  . . . . . $ 40
    14. Certificate of existence  . . . . . $ 10
    15. Certificate of authorization  . . . . . $ 10
    16. Any other document required or permitted to be filed by this chapter  . . . . . $ 15
    17. Agent’s statement of resignation  . . . . . No fee
    18. Certificate of administrative dissolution  . . . . . No fee
    19. Certificate of reinstatement  . . . . . No fee
    20. Certificate of revocation of authority to transact business  . . . . . No fee
    21. Certificate of association  . . . . . $ 15
    1. The Secretary of State shall collect a fee of fifteen dollars ($15) with respect to each annual report or amendment thereto. (2) (a) The Secretary of State shall collect a fee of fifteen dollars ($15) with respect to each annual report or amendment thereto.
    2. Notwithstanding paragraph (a) of this subsection, a veteran-owned business organized after August 1, 2018, is exempt from paying the fee for filing an annual report or amendment thereto for the first four (4) years after its initial organization, but is not exempt from any filing requirement or deadline for filing an annual report.
  2. The Secretary of State shall collect a fee of ten dollars ($10) each time process is served on him or her under this chapter. The party to a proceeding causing service of process shall be entitled to recover this fee as costs if he prevails in the proceeding.
  3. The Secretary of State shall collect the following fees for copying and certifying the copy of any filed document relating to a domestic or foreign entity:
    1. Five dollars ($5) per request for the first five (5) pages and fifty cents ($0.50) a page for each page thereafter; and
    2. Five dollars ($5) for the certificate.

History. Enact. Acts 2010, ch. 151, § 13, effective January 1, 2011; 2017 ch. 193, § 4, effective June 29, 2017; 2018 ch. 58, § 4, effective July 14, 2018; 2020 ch. 125, § 2, effective July 15, 2020.

14A.2-070. Effective time and date of filing.

  1. Except as provided in subsection (2) of this section and KRS 14A.2-090 (3), a document delivered to the Secretary of State for filing shall be effective:
    1. On the date and at the time of filing, as evidenced by such means as the Secretary of State may use for the purpose of recording the date and time of filing; or
    2. At the time specified in the document as its effective time on the date it is effective.
  2. A document may specify a delayed effective time and date, and if it does so the document shall become effective at the time and date specified. If a delayed effective date but no time is specified, the document shall be effective as of 5 p.m. prevailing time in Frankfort, Kentucky, on that date. A delayed effective date for a document may not be later than the ninetieth day after the date it is filed; a document delivered for filing with a delayed effective date more than ninety (90) days after the date of filing will be effective on the ninetieth day thereafter. A document cannot have an effective time or date preceding the document’s filing by the Secretary of State.
  3. A document filed by the Secretary of State shall be effective regardless of a failure to file the document with the county clerk pursuant to KRS 14A.2-040 .

History. Enact. Acts 2010, ch. 151, § 14, effective January 1, 2011.

14A.2-080. Withdrawal of filing before effectiveness.

  1. The parties to a document having a delayed effective date, time, or both may withdraw the filing before it takes effect.
  2. To withdraw a document, the parties shall deliver a statement of withdrawal to the Secretary of State for filing.
  3. A statement of withdrawal shall:
    1. Be signed on behalf of each party to the action or transaction contemplated by the initial document in accordance with KRS 14A.2-020 ;
    2. State the nature of the document to be withdrawn, the date of the filing, and the parties to the filing; and
    3. State that the document has been withdrawn in accordance with the agreement of the parties.
  4. From the filing by the Secretary of State of a statement of withdrawal, the action or transaction evidenced by the original filing shall not take effect.
  5. A statement of withdrawal shall be accompanied by a filing fee equal to that of the filed document that is being withdrawn.

History. Enact. Acts 2010, ch. 151, § 15, effective January 1, 2011.

14A.2-090. Correcting filed documents.

  1. An entity or foreign entity may correct a document filed by the Secretary of State if:
    1. The document contains an inaccuracy;
    2. The document was defectively executed, attested, sealed, verified, or acknowledged; or
    3. Electronic transmission of the document to the Secretary of State was defective.
  2. A document is corrected by:
    1. Preparing articles of correction that:
      1. Describe the document, including its filing date, or attach a copy of it to the articles of correction;
      2. Specify the inaccuracy or defect to be corrected; and
      3. Correct the inaccuracy or defect; and
    2. Delivering the articles of correction to the Secretary of State for filing.
  3. Articles of correction shall be effective on the effective date of the document they correct except as to persons relying on the uncorrected document adversely affected by the correction. As to those persons, articles of correction shall be effective when filed.

History. Enact. Acts 2010, ch. 151, § 16, effective January 1, 2011.

14A.2-100. Filing duty of Secretary of State.

  1. If a document delivered to the office of the Secretary of State for filing satisfies the requirements of this chapter and applicable organic law, the Secretary of State shall file it.
  2. The Secretary of State files a document by recording it as filed as provided in subsection KRS 14A.2-070 (1)(a).
  3. After filing a document, the Secretary of State shall deliver to the entity or foreign entity or to the person delivering the document for filing or to another person as identified in writing a copy of the document with an acknowledgment of the time and date of filing.
  4. If the Secretary of State refuses to file a document, the Secretary of State shall return it to the filer within five (5) days after the document was delivered, together with a brief, written explanation of the reason for the refusal.
  5. The Secretary of State’s delivery of an acknowledgment of filing, an explanation for the reason a document was not filed, or other communication as to a document filed or delivered for filing may be accomplished electronically.
  6. The Secretary of State’s duty to file documents under this section shall be ministerial. The filing or refusal to file a document shall not:
    1. Affect the validity or invalidity of the document in whole or part;
    2. Relate to the correctness or incorrectness of information contained in the document; or
    3. Create a presumption that the document is valid or invalid or that information contained in the document is correct or incorrect.

History. Enact. Acts 2010, ch. 151, § 17, effective January 1, 2011.

14A.2-110. Appeal from Secretary of State’s refusal to file document.

  1. If the Secretary of State refuses to file a document delivered for filing, the entity, foreign entity, or other person making the delivery for filing may appeal the refusal to the Franklin Circuit Court. The appeal shall be commenced by petitioning the court to compel filing the document and by attaching to the petition the document as delivered for filing and the Secretary of State’s explanation of the refusal to file.
  2. The court may summarily order the Secretary of State to file the document or take other action the court considers appropriate.
  3. The court’s final decision may be appealed as in other civil proceedings.

History. Enact. Acts 2010, ch. 151, § 18, effective January 1, 2011.

14A.2-120. Evidentiary effect of filed document.

  1. A certificate from the Secretary of State delivered with a copy of the document filed by the Secretary of State shall be conclusive evidence that the original document is on file with the Secretary of State.
  2. The certificate shall bear the signature of the Secretary of State, which may be in facsimile, and the seal of the Commonwealth.
  3. The only obligation of the Secretary of State is to certify that a document is of record, and the Secretary of State is not obligated to certify as to the accuracy of any fact set forth in a document of record.

History. Enact. Acts 2010, ch. 151, § 19, effective January 1, 2011.

14A.2-130. Certificate of existence.

  1. Anyone may apply to the Secretary of State to furnish a certificate of existence for an entity.
  2. A certificate of existence shall set forth:
    1. The entity’s real name;
    2. That the entity was duly organized under the laws of this Commonwealth, the date of its organization, and the period of its duration if less than perpetual;
    3. That no articles of dissolution, statement of cancellation, or document of similar import is effective;
    4. That all fees, taxes, and penalties owed to this Commonwealth have been paid, if:
      1. Payment is reflected in the records of the Secretary of State; and
      2. Nonpayment affects the existence of the entity;
    5. That its most recent annual report required by KRS 14A.6-010 or predecessor law has been filed by the Secretary of State; and
    6. Subject to KRS 14A.2-120 (3), other facts of record in the office of the Secretary of State that may be requested by the applicant.
  3. Subject to any qualification stated in the certificate, a certificate of existence issued by the Secretary of State may be relied upon as conclusive evidence that the entity is in existence.
  4. This section shall not apply to:
    1. Partnerships organized pursuant to KRS Chapter 362 or 362.1;
    2. Limited partnerships other than those subject to KRS Chapter 362.2;
    3. Business trusts governed as to their internal affairs by KRS Chapter 386; or
    4. An individual series of a series entity.

History. Enact. Acts 2010, ch. 151, § 20, effective January 1, 2011; 2012, ch. 81, § 80, effective July 12, 2012.

14A.2-140. Certificate of authorization.

  1. Anyone may apply to the Secretary of State to furnish a certificate of authorization for a foreign entity.
  2. A certificate of authorization shall set forth:
    1. The foreign entity’s real name and, if applicable, its fictitious name as adopted for use in this Commonwealth;
    2. That the foreign entity is authorized to transact business in this Commonwealth;
    3. That all fees, taxes, and penalties owed to this Commonwealth have been paid, if:
      1. Payment is reflected in the records of the Secretary of State; and
      2. Nonpayment affects the authorization of the foreign entity to transact business in this Commonwealth;
    4. That its most recent annual report required by KRS 14A.6-010 or predecessor law has been filed by the Secretary of State;
    5. That no certificate of withdrawal or document of similar import under prior law has been filed; and
    6. Other facts of record in the office of the Secretary of State that may be requested by the applicant.
  3. Subject to any qualification stated in the certificate, a certificate of authorization issued by the Secretary of State may be relied upon as conclusive evidence that the foreign entity is authorized to transact business in this Commonwealth.
  4. This section shall not apply to:
    1. A foreign partnership except as provided in KRS 14A.9-030 (5);
    2. A foreign rural telephone cooperative or foreign rural electric cooperative not obligated to qualify to transact business by filing an application for a certificate of authority or document of similar import with the Secretary of State; or
    3. An individual series of a series entity.

History. Enact. Acts 2010, ch. 151, § 21, effective January 1, 2011; 2012, ch. 81, § 81, effective July 12, 2012.

14A.2-150. Other certificates.

In addition to a certificate of existence and a certificate of authorization issued pursuant to KRS 14A.2-130 and 14A.2-140 , the Secretary of State, subject to KRS 14A.2-120 (3), may issue additional certificates as the Secretary of State shall determine to be appropriate.

History. Enact. Acts 2010, ch. 151, § 22, effective January 1, 2011.

14A.2-160. Filing by the Secretary of State — Entity to be in good standing — Exceptions.

  1. An entity or foreign entity shall be in good standing in order for documents delivered by or on behalf of the entity or foreign entity to be filed by the Secretary of State.
  2. Subsection (1) of this section shall not apply to:
    1. An application to reinstate subsequent to administrative dissolution;
    2. A permitted revocation of a voluntary dissolution;
    3. An application for a certificate of authority filed on behalf of a foreign entity whose prior certificate of authority was revoked; or
    4. A permitted amendment of the organizational filing of an entity whose period of duration has expired.
  3. Notwithstanding that an entity or foreign entity is not in good standing, the registered agent may deliver for filing and the Secretary of State may file:
    1. The resignation of the registered agent, the discontinuance of the registered office, or both; or
    2. A change of registered office filed by the registered agent.

History. Enact. Acts 2011, ch. 29, § 1, effective June 8, 2011.

14A.2-165. Veteran-owned business — Exemption from paying filing fees for certain business documents.

Any veteran-owned business that is organized after August 1, 2018, is exempt from paying the filing fees for:

  1. Articles of incorporation, an amendment of articles of incorporation, amended and restated articles of incorporation, or a restatement of articles of incorporation under KRS Chapter 271B for a corporation or under KRS Chapter 273 for a nonprofit corporation;
  2. Articles of organization, an amendment of articles of organization, a restatement of articles of organization, or an amendment and restatement of articles of organization under KRS Chapter 275 for a limited liability company;
  3. A statement or renewal of statement of partnership under KRS Chapter 362;
  4. A statement of partnership authority under Subchapter 1 of KRS Chapter 362;
  5. A certificate of limited partnership under Subchapter 2 of KRS Chapter 362; or
  6. A declaration of trust under KRS Chapter 386 for a business trust.

HISTORY: 2018 ch. 58, § 3, effective July 14, 2018; 2020 ch. 125, § 3, effective July 15, 2020.

SUBCHAPTER 3. Business Entity Names

14A.3-010. Entity name.

  1. Except as authorized by subsection (24) of this section, the real name of an entity or foreign entity shall be distinguishable from any name of record with the Secretary of State.
  2. The real name of a corporation or nonprofit corporation:
      1. Shall end with the word “corporation,” “company,” or “limited” or the abbreviation “Corp.,” “Inc.,” “Co.,” or “Ltd.” or words or abbreviations of like import in another language, provided, however, that if a nonprofit corporation’s name includes the word “company” or the abbreviation “Co.,” it may not be immediately preceded by the word “and” or the abbreviation “&”; (a) 1. Shall end with the word “corporation,” “company,” or “limited” or the abbreviation “Corp.,” “Inc.,” “Co.,” or “Ltd.” or words or abbreviations of like import in another language, provided, however, that if a nonprofit corporation’s name includes the word “company” or the abbreviation “Co.,” it may not be immediately preceded by the word “and” or the abbreviation “&”;
      2. If a professional service corporation, shall end with the words “professional service corporation” or the abbreviation “P.S.C.”; or
      3. If a public benefit corporation, shall end with the words “public benefit corporation” or “benefit corporation” or the abbreviation “P.B.C.” or “PBC”; and
    1. Shall not contain language stating or implying that the corporation is organized for a purpose other than that permitted by its organic act and its articles of incorporation.
  3. The real name of a limited liability company shall end with the phrase “limited liability company” or “limited company” or the abbreviation “LLC” or “LC,” provided, however, if the company is a professional limited liability company the name shall end with the phrase “professional limited liability company” or “professional limited company” or the abbreviation “PLLC” or “PLC.” In the name of either a limited liability company or a professional limited liability company, the word “limited” may be abbreviated as “Ltd.” and the word “Company” may be abbreviated as “Co.”
  4. The real name of a limited liability partnership registered pursuant to KRS 362.555 shall contain the phrase “Registered Limited Liability Partnership” or the abbreviation “LLP” as the last words or letters of its name.
  5. The real name of a partnership subject to KRS 362.1-101 to 362.1-975, the “Kentucky Revised Uniform Partnership Act (2006)”:
    1. Shall not contain the word “corporation” or “incorporated” or the abbreviation “Corp.” or “Inc.”; and
    2. May contain the word “limited” or the abbreviation “Ltd.” only if the partnership has filed a statement of qualification.
  6. The real name of a limited liability partnership that has filed a statement of qualification pursuant to KRS 362.1-931 shall end with the phrase “Registered Limited Liability Partnership” or “Limited Liability Partnership” or the abbreviation “R.L.L.P.,” “L.L.P.,” “RLLP,” or “LLP.”
  7. The real name of a limited partnership subject to KRS 362.401 to 362.525, the “Kentucky Revised Uniform Limited Partnership Act,” shall:
    1. Contain the word “Limited” or the abbreviation “Ltd.” unless the limited partnership was formed under any statute of the Commonwealth prior to the adoption of the Kentucky Revised Uniform Limited Partnership Act; and
    2. Not contain the name of a limited partner unless:
      1. That name is also the name of a general partner; or
      2. The business of the limited partnership had been carried on under that name before the admission of that limited partner.
  8. The real name of a limited partnership subject to KRS 362.2-102 to 362.2-977, the “Kentucky Uniform Limited Partnership Act (2006),” that is not a limited liability limited partnership may contain the name of any partner and shall:
    1. End with the phrase “limited partnership” or “limited” or the abbreviation “L.P.,” “LP,” or “Ltd.”; and
    2. Not contain the phrase “limited liability limited partnership” or the abbreviation “L.L.L.P.” or “LLLP.”
  9. The real name of a limited partnership subject to KRS 362.2-102 to 362.2-977, the “Kentucky Uniform Limited Partnership Act (2006),” that is a limited liability limited partnership may contain the name of any partner and shall:
    1. End with the phrase “limited liability limited partnership” or the abbreviation “L.L.L.P.” or “LLLP”; and
    2. Not contain only the phrase “limited partnership” or the abbreviation “L.P.” or “LP.”
  10. Subject to KRS 362.2-974, subsections (8) and (9) of this section shall not apply to a limited partnership formed under any statute of this Commonwealth prior to July 15, 1988.
  11. The real name of a rural telephone cooperative corporation:
    1. Shall contain the word “Telephone,” “Telecommunications,” “Company,” or “Corporation” and the abbreviation “Inc.,” unless in an affidavit made by its president or vice president, and filed with the Secretary of State, or in an affidavit made by a person signing articles of incorporation, consolidation, merger, or conversion which relate to that cooperative, and filed, together with any such articles, with the Secretary of State, it shall appear that the cooperative desires to do business in another state and is or would be precluded there from by reason of the inclusion of such words or either thereof in its name; and
    2. May include the word “Cooperative.”
  12. The phrase “Rural Electric Cooperative” may not be used in the name of any entity or foreign entity except for one formed under KRS Chapter 279.
  13. Except as otherwise provided in this section, the word “cooperative” may not be used in the name of any entity doing business in this Commonwealth.
  14. The name of a limited cooperative association shall end with the words “limited cooperative association” or “limited cooperative” or the abbreviation “L.C.A.” or “LCA.” “Limited” may be abbreviated as “Ltd.,” “Cooperative” may be abbreviated as “Co-op” or “Coop,” and “Association” may be abbreviated as “Assoc.” or “Assn.”
  15. There are no required identifiers for a business trust or a statutory trust, but the name of a business or statutory trust may include “Limited” or “Ltd.” and may not include any of “incorporated,” “corporation,” “Inc.,” “Corp.,” “partnership,” or “cooperative.”
  16. The real name of an unincorporated nonprofit association that has filed a certificate of association with the Secretary of State shall end with “Limited” or “Ltd.,” and the real name of an unincorporated nonprofit association that has not filed a certificate of association with the Secretary of State shall not include “Limited” or “Ltd.” No unincorporated nonprofit association shall include in its name any of “incorporated,” “corporation,” “Inc.,” “Corp.,” “company,” “partnership,”“benefit,” or “cooperative.”
  17. This chapter does not control the use of assumed names.
  18. The filing of articles of incorporation, articles of organization, articles of association, a statement of qualification, a certificate of limited partnership, a declaration or certificate of trust, a certificate of association, an application to transact authority in the Commonwealth, a statement of foreign qualification, a name registration, or name reservation under a particular name shall not automatically prevent the use of that name or protect that name from use by other persons.
  19. The provisions of subsection (2)(a) of this section shall not affect the right of any nonprofit corporation existing on June 13, 1968, to continue the use of its name as then in effect.
  20. The assumption of a nonprofit corporate name in violation of this section shall not affect or vitiate the corporate existence, but the courts of this Commonwealth having equity jurisdiction may, upon the application of the Commonwealth or of any person interested or affected, enjoin such corporation from doing business under a name assumed in violation of this section, although a certificate of incorporation may have been issued.
  21. This section shall not apply to any domestic or foreign telephone cooperative which became subject to KRS 279.310 to 279.600 by complying with the provisions of KRS 279.470 or which does business in this Commonwealth pursuant to KRS 279.570 and which elects to retain a name which does not comply with this section.
  22. Nothing in this section shall limit the ability of a professional regulatory board to promulgate rules governing entities and foreign entities under its jurisdiction.
  23. The real name of a foreign entity will be determined according to KRS 365.015. For entities not covered by that statute, the real name of the foreign entity will be the real name of the entity as so recognized in the jurisdiction of its origination.
  24. The real name of a partnership, other than that of a limited liability partnership as set forth on a statement of qualification or a registration as a limited liability partnership filed pursuant to KRS 362.555 or that of a foreign limited liability partnership as set forth on a statement of foreign qualification, need not be distinguishable from any name of record with the Secretary of State.

HISTORY: Enact. Acts 2010, ch. 151, § 23, effective January 1, 2011; 2011, ch. 29, § 6, effective June 8, 2011; 2012, ch. 81, § 82, effective July 12, 2012; 2012, ch. 160, § 126, effective July 12, 2012; 2013, ch. 106, § 3, effective June 25, 2013; 2015 ch. 34, § 3, effective June 24, 2015; 2017 ch. 28, § 1, effective June 29, 2017.

Legislative Research Commission Notes.

(1/1/2011). 2010 Ky. Acts ch. 151, sec. 23, in subsection (13), which deals with the business names of cooperative corporations and associations, contains a reference to KRS 271.020 to 272.050 . It is apparent from context that this reference should be to KRS 272.020 to 272.050 . This change has been made by the Reviser of Statutes under the authority of KRS 7.136(1).

14A.3-020. Reserved name.

  1. A person may reserve the exclusive use of a name, including a fictitious name for a foreign entity whose real name is not available, by delivering an application to the Secretary of State for filing. The application shall set forth the real name and address of the applicant and the name proposed to be reserved. If the Secretary of State finds that the name applied for is distinguishable from any name of record with the Secretary of State, that name shall be reserved for the applicant’s exclusive use for a one hundred twenty (120) day period. During the thirty (30) days prior to the expiration of a reservation, the holder thereof may apply to renew the reservation on such form as shall be provided by the Secretary of State. The renewal shall be effective as of the expiration of the current reservation and shall renew the reservation for an additional one hundred twenty (120) days from the otherwise applicable expiration.
  2. A reserved name shall satisfy the requirements of KRS 14A.3-010 .
  3. The applicant holding a reserved name may transfer the reservation to another person by delivering to the Secretary of State a signed notice of the transfer that states the name and address of the transferee.
  4. The holder of a reserved name may cancel the reservation by delivery to the Secretary of State of a notice of cancellation, executed by the applicant for whom the name is reserved, that states the reserved name and its initial date of reservation.
  5. It shall not be necessary that a foreign entity desiring to reserve a name be qualified to transact business in this Commonwealth.

History. Enact. Acts 2010, ch. 151, § 24, effective January 1, 2011.

14A.3-030. Registered name.

  1. A foreign entity may register its real name, or its real name with any addition required by KRS 14A.3-010 , if the name is distinguishable upon the records of the Secretary of State.
  2. A foreign entity shall register its real name, or its real name with any addition required by KRS 14A.3-010 , by delivering to the Secretary of State for filing an application setting forth:
    1. Its real name, or its real name with any addition required by KRS 14A.3-010 ;
    2. The state or country of its organization;
    3. Its form of organization;
    4. Its principal office address; and
    5. A brief description of the nature of the business in which it is engaged.
  3. The name shall be registered for the applicant’s exclusive use upon the effective date of the application. A registration not renewed as provided in subsection (4) of this section shall expire on the next January 1.
  4. A foreign entity whose registration is effective may renew it for successive years by delivering to the Secretary of State for filing a renewal application, which complies with the requirements of subsection (2) of this section, between October 1 and December 31 of the preceding year. The renewal application when filed shall renew the registration for the following calendar year.
  5. A foreign entity whose registration is effective may thereafter qualify as a foreign entity under the registered name or consent in writing to the use of that name by an entity thereafter organized under the laws of the Commonwealth or by another foreign entity thereafter authorized to transact business in this Commonwealth. The registration shall terminate when the domestic entity is organized or the foreign entity qualifies or consents to the qualification of another foreign entity under the registered name.

History. Enact. Acts 2010, ch. 151, § 25, effective January 1, 2011.

14A.3-040. Name of foreign entity.

  1. If the real name of a foreign entity does not satisfy the requirements of KRS 14A.3-010 as would apply were the foreign entity organized in this Commonwealth, the foreign entity seeking to obtain or maintain a certificate of authority to transact business in this Commonwealth:
    1. May use a fictitious name to transact business in this Commonwealth if its real name is not distinguishable from any name of record with the Secretary of State; or
    2. May supplement its name with such identifier as would be appropriate under KRS 14A.3-010 were the foreign entity organized in this Commonwealth.
  2. The real or fictitious name of a foreign entity shall be distinguishable upon the records of the Secretary of State from any name of record with the Secretary of State.
  3. If a foreign entity authorized to transact business in this Commonwealth changes its real name to one that does not satisfy the requirements of KRS 14A.3-010 , it shall not transact business in this Commonwealth under the changed name until it adopts a fictitious name satisfying the requirements of KRS 14A.3-010 and obtains an amended certificate of authority in accordance with KRS 14A.9-040 .

History. Enact. Acts 2010, ch. 151, § 26, effective January 1, 2011; 2012, ch. 160, § 132, effective July 12, 2012.

14A.3-050. Assumed name.

Each entity and each foreign business entity that has qualified to transact business, if transacting business under other than its real or a duly adopted fictitious name, shall comply with KRS 365.015.

History. Enact. Acts 2010, ch. 151, § 27, effective January 1, 2011.

SUBCHAPTER 4. Registered Office and Agent

14A.4-010. Registered office and registered agent required.

  1. Each entity and each foreign entity qualified to transact business in this Commonwealth shall continuously maintain in this Commonwealth:
    1. A registered office that may be the same as any of its places of business; and
    2. A registered agent, who may be:
      1. An individual who resides in this Commonwealth and whose business address is identical with the registered office; or
      2. An entity or foreign entity qualified to transact business in this Commonwealth whose business address is identical with the registered office.
  2. Unless the registered agent signs the document making the appointment, the appointment of the registered agent or a successor registered agent on whom process may be given is not effective until the agent delivers a statement in writing to the Secretary of State accepting the appointment.
  3. Each entity and each foreign entity maintaining a registered office and agent in this Commonwealth shall provide to its registered agent and update from time to time as necessary the name, business address, and business telephone number of a natural person who is authorized to receive communications from the registered agent. Such person shall be deemed the communications contact for the entity or foreign entity. Every registered agent shall retain in paper or electronic form the information concerning the current communications contact for each entity and each foreign entity for which that registered agent serves as registered agent. If the entity or foreign entity fails to provide the registered agent with a current communications contact, the registered agent may resign as the registered agent for such entity or foreign entity.
  4. This section shall not apply to a domestic or foreign partnership that is not a limited liability partnership.
  5. This section shall not apply to a limited partnership governed as to its internal affairs by the Kentucky Uniform Limited Partnership Act, KRS 362.410 to 362.700.
  6. This section shall not apply to a rural electric cooperative or to a foreign rural electric cooperative that is not required to qualify to transact business by means of a filing with the Secretary of State.
  7. This section shall not apply to a rural telephone cooperative or to a foreign rural telephone cooperative that is not required to qualify to transact business by means of a filing with the Secretary of State.

History. Enact. Acts 2010, ch. 151, § 28, effective January 1, 2011.

Legislative Research Commission Notes.

(1/1/2011). 2010 Ky. Acts ch. 151, sec. 28(5) cites the Kentucky Uniform Limited Partnership Act, KRS 362.410 to 362.700. These sections were repealed in 1988 Ky. Acts ch. 284, sec. 65.

14A.4-020. Change of registered office or registered agent.

  1. An entity or foreign entity may change its registered office or registered agent or both by delivering a statement of change to the Secretary of State for filing that sets forth:
    1. The name of the entity or foreign entity;
    2. The street address of its current registered office;
    3. If the current registered office is to be changed, the street address of the new registered office;
    4. The name of its current registered agent;
    5. If the current registered agent is to be changed, the name of the new registered agent and the new agent’s written consent to the appointment; and
    6. That after the change or changes are made, the street addresses of its registered office and the business office of its registered agent will be identical.
  2. If a registered agent changes its business address, it shall change the street address of the registered office of any entity or foreign entity for which it is the registered agent by notifying the entity or foreign entity in writing of the change and signing and delivering to the Secretary of State for filing a statement that complies with the requirements of subsection (1) of this section and reciting that the entity or foreign entity has been notified of the change.
  3. The change of address of the registered office or registered agent shall be effective upon filing by the Secretary of State. The appointment of a new registered agent shall be effective upon filing of the statement of change by the Secretary of State.

History. Enact. Acts 2010, ch. 151, § 29, effective January 1, 2011.

14A.4-030. Resignation of registered agent.

  1. A registered agent may resign the appointment by signing and delivering a statement of resignation to the Secretary of State for filing that may also provide that the registered office is discontinued.
  2. After filing the statement, the Secretary of State shall mail one (1) copy to the registered office, if not discontinued, and the other copy to the entity or foreign entity at its principal office.
  3. The agency appointment shall be terminated, and the registered office discontinued, if so provided, on the earlier of:
    1. The appointment of a successor registered agent and, if applicable, registered office; or
    2. The thirty-first day after the date on which the statement of resignation was filed.

History. Enact. Acts 2010, ch. 151, § 30, effective January 1, 2011.

14A.4-040. Service through registered agent.

  1. An entity’s or foreign entity’s registered agent shall be its agent for service of process, notice, or demand required or permitted by law to be served on the entity or foreign entity.
  2. If an entity or foreign entity has no registered agent, or the agent cannot with reasonable diligence be served, the entity or foreign entity may be served with process, or any notice or demand may be served by registered or certified mail, return receipt requested, addressed to the entity or foreign entity at its principal office and to the attention of the person or office appropriate for giving notice to the entity or foreign entity. Service shall be perfected under this subsection at the earliest of:
    1. The date the entity or foreign entity receives the mail;
    2. The date shown on the return receipt, if signed on behalf of the entity or foreign entity; or
    3. Five (5) days after its deposit in the United States mail, as evidenced by the postmark, if mailed postage paid and correctly addressed.
  3. This section does not prescribe the only means, or necessarily the required means, of serving an entity or foreign entity.

History. Enact. Acts 2010, ch. 151, § 31, effective January 1, 2011.

NOTES TO DECISIONS

1.Application.

Former statutes permitting service of process upon designated agent or state officer as agent for foreign corporations were applicable only to transactions performed or executed in the state, and had no application to contracts executed, or causes of action arising, in another state. Maryland Casualty Co. v. Newport Culvert Co., 277 Ky. 320 , 126 S.W.2d 468, 1939 Ky. LEXIS 657 ( Ky. 1939 ) (decided under prior law).

2.Cause of Action.

Where the defendant manufacturer furnished its products for sale in Kentucky to at least two (2) distributors, although there was no specific contract of distributorship between the manufacturer and either of the middle men, the cause of action resulting from an injury caused by the product was regarded as having arisen from the manufacturer’s contracting to supply products within Kentucky, even though the allegedly injured consumer was not in privity with the manufacturer. Post v. American Cleaning Equipment Corp., 437 S.W.2d 516, 1968 Ky. LEXIS 164 ( Ky. 1968 ) (decided under prior law).

3.Doing Business.

West Virginia television station was “doing business” in Kentucky where Boyd County was one of its “listening areas” and where, as part of its usual business of telecasting to the receiving sets owned by the public in its listening areas, defendant puts out regular news broadcasts. WSAZ, Inc. v. Lyons, 254 F.2d 242, 1958 U.S. App. LEXIS 3995 (6th Cir. Ky. 1958 ) (decided under prior law).

Where one defendant had a salesman who called upon distributors in Kentucky, sold and shipped equipment into Kentucky, and, on occasion, sent maintenance personnel into Kentucky to service equipment and the other defendant employed a salesman who regularly solicited sales and sold a significant amount of machinery in Kentucky and paid Kentucky sales tax, both were doing business in Kentucky. Etheridge v. Grove Mfg. Co., 415 F.2d 1338, 1969 U.S. App. LEXIS 11411 (6th Cir. Ky. 1969 ) (decided under prior law).

Where foreign coal agency had several employes in Kentucky for two (2) years to buy, inspect, accept and reject coal, defendant corporation was “doing business” in Kentucky and was amenable to service of process in Kentucky. Star Elkhorn Coal Co. v. Red Ash Pocahontas Coal Co., 102 F. Supp. 258, 1951 U.S. Dist. LEXIS 3808 (D. Ky. 1951 ) (decided under prior law).

Any corporation that makes it its business to systematically and continuously, over a reasonable period of time, solicit business in either selling or buying in a state is doing business within the state. Star Elkhorn Coal Co. v. Red Ash Pocahontas Coal Co., 102 F. Supp. 258, 1951 U.S. Dist. LEXIS 3808 (D. Ky. 1951 ) (decided under prior law).

Where corporation chartered vessels for use within Kentucky waters, operated river craft on its own account on the navigable streams of Kentucky, purchased equipment within the state for its own use or for sale to others, and repaired barges within Kentucky with its own men or by authorizing others to do so, this constituted “doing business” to an extent to make proper the service of summons in compliance with former statute. Charles Zubik & Sons, Inc. v. Marine Sales & Service, 300 S.W.2d 35, 1957 Ky. LEXIS 434 ( Ky. 1957 ) (decided under prior law).

Where corporation employed salesman in Kentucky and had division manager who maintained office in Louisville, the corporation was doing business in Kentucky. Field Enterprises Educational Corp. v. Hopkins, 378 S.W.2d 797, 1964 Ky. LEXIS 206 ( Ky. 1964 ) (decided under prior law).

Where manufacturer had no offices or agents in Kentucky but did manufacture merchandise which it placed on the consumer market in Kentucky via mail order and occasional visits of its representatives to Kentucky companies, such activities subjected the manufacturer to service of process through the secretary of state of Kentucky. Penker Constr. Co. v. Finley, 485 S.W.2d 244, 1972 Ky. LEXIS 127 ( Ky. 1972 ) (decided under prior law).

4.— Amount.

The quantity of business which must be done for a state to have jurisdiction over a foreign corporation has progressively become smaller and smaller but cannot be expressed with mathematical exactitude. Charles Zubik & Sons, Inc. v. Marine Sales & Service, 300 S.W.2d 35, 1957 Ky. LEXIS 434 ( Ky. 1957 ) (decided under prior law).

5.— Regular Course of Business Activities.

The fundamental underlying principle of the “doing business” concept is the maintenance within the jurisdiction of a regular course of business activities. Brandeis Machinery & Supply Co. v. Matewan Alma Fuel Corp., 147 F. Supp. 821, 1957 U.S. Dist. LEXIS 4287 (D. Ky. 1957 ); Gearhart v. WSAZ, Inc., 150 F. Supp. 98, 1957 U.S. Dist. LEXIS 3671 (D. Ky. 1957 ), aff’d, 254 F.2d 242, 1958 U.S. App. LEXIS 3995 (6th Cir. 1958), aff’d sub nom. WSAZ, Inc. v. Lyons, 254 F.2d 242, 1958 U.S. App. LEXIS 3995 (6th Cir. 1958) (decided under prior law).

6.Not Doing Business.

A suit arising out of an accident involving a crane, where one defendant, a Pennsylvania corporation, who was the manufacturer of the crane, had sold it to another defendant, a Tennessee corporation and delivered the crane via common carrier to the purchaser in Tennessee who then leased the crane to a third party and delivered it to the third party in Tennessee via common carrier who was using the crane in Kentucky at the time of the injury, was not based on a cause of action that arose out of or was connected with the doing of business by either defendant in Kentucky, and neither defendant was subject to service of process. Etheridge v. Grove Mfg. Co., 415 F.2d 1338, 1969 U.S. App. LEXIS 11411 (6th Cir. Ky. 1969 ) (decided under prior law).

The manufacturer of a swimming pool, a New Jersey corporation, that owned no property in Kentucky, was not incorporated in Kentucky, did not have its principal place of business or any other business in Kentucky, and did not purchase, sell or distribute its product in Kentucky, was not doing business in Kentucky within the meaning of former statute and was not subject to service of process thereunder. Irby v. All State Industries, 305 F. Supp. 772, 1969 U.S. Dist. LEXIS 10072 (W.D. Ky. 1969 ) (decided under prior law).

7.Jurisdictional Requirements.

Former provision governing service of process on foreign corporations doing unauthorized business in Kentucky contained two (2) basic requirements which must be met before jurisdiction could be obtained over non-resident corporations: (1) the corporation must be doing business within Kentucky without having designated a resident agent and (2) the cause of action must arise out of or be connected with the doing of business in Kentucky. Etheridge v. Grove Mfg. Co., 415 F.2d 1338, 1969 U.S. App. LEXIS 11411 (6th Cir. Ky. 1969 ) (decided under prior law).

8.Alternate Methods of Service.

KRS 454.210 and former statute were alternate methods of obtaining personal service, and the availability of a statutory agent within the state did not prevent the use of the Secretary of State as a designated agent for service of process in order to obtain personal jurisdiction. Haven Point Enterprises, Inc. v. United Kentucky Bank, Inc., 690 S.W.2d 393, 1985 Ky. LEXIS 302 ( Ky. 1985 ) (decided under prior law).

There was no conflict between KRS 454.210 , the long-arm statute, and former statute, relating to service of process on a foreign corporation, and one statute was not preferred over the other. Each conferred personal jurisdiction. There was no contradiction or conflict between them and their methods of obtaining the desired result, i.e., the service of process on non-residents. Haven Point Enterprises, Inc. v. United Kentucky Bank, Inc., 690 S.W.2d 393, 1985 Ky. LEXIS 302 ( Ky. 1985 ) (decided under prior law).

9.Mailing by Secretary of State.

In action against corporation, where there was evidence in the form of an affidavit of the Secretary of State that he had placed in the mail a summons and a copy of the complaint and that no receipt or returned mail was ever received by him, and there was no affidavit or even suggestion from the corporation indicating that the summons and complaint was not received in the mail, personal jurisdiction was conferred through the long-arm statute, even though there was a registered and available statutory agent for process at all times within the state; therefore, the trial court did not abuse its discretion in entering a default judgment against the corporation. Haven Point Enterprises, Inc. v. United Kentucky Bank, Inc., 690 S.W.2d 393, 1985 Ky. LEXIS 302 ( Ky. 1985 ) (decided under prior law).

Research References and Practice Aids

Northern Kentucky Law Review.

General Law Issue: Note: A Cosmopolitan Approach to Treaty Interpretation: Why Service By Postal Channels Should Be Permitted Under the Hague Convention, 36 N. Ky. L. Rev. 163 (2009).

14A.4-050. Obligations of registered agent.

The duties of a registered agent are to:

  1. Forward to the entity or foreign entity for which it is the registered agent any service of process, notice, or demand received on its behalf; and
  2. Collect and maintain the information described in KRS 14A.4-010 (3).

History. Enact. Acts 2010, ch. 151, § 32, effective January 1, 2011.

14A.4-060. Venue for action against entity with registered office.

Excepting the actions provided in KRS 452.400 , 452.405 , 452.410 , 452.415 , 452.420 , 452.430 , 452,440, 452.445 , 452.465 , and 452.475 , an action against an entity or foreign entity that maintains a registered office may be brought in the county in which the office is situated.

HISTORY: 2017 ch. 193, § 1, effective June 29, 2017.

SUBCHAPTER 5. Principal Office Address

14A.5-010. Statement of change of principal office.

  1. An entity required in its organizational filing to identify its principal office or a foreign entity qualified to transact business that changes the mailing address of its principal office shall deliver to the Secretary of State for filing, on a form supplied by the Secretary of State, a statement of change that sets forth:
    1. The name of the entity or foreign entity;
    2. The address of its principal office prior to the change; and
    3. The new principal office address.
  2. Subsection (1) of this section shall apply to a statement of registration as a limited liability partnership filed pursuant to KRS 382.335 or statements filed pursuant to KRS Chapter 362.1.
  3. Subsection (1) of this section shall apply to a change in the designated office of a limited partnership.

History. Enact. Acts 2010, ch. 151, § 33, effective January 1, 2011.

SUBCHAPTER 6. Annual Reports

14A.6-010. Annual report.

  1. Each entity and each foreign entity authorized to transact business in this Commonwealth shall deliver to the Secretary of State for filing an annual report that sets forth:
    1. The name of the entity or foreign entity and the state or country under whose law it is organized;
    2. The address of its registered office and the name of its registered agent at that office in this Commonwealth;
    3. The address of its principal office; and
    4. With respect to each:
      1. Corporation, not-for-profit corporation, cooperative, association, or limited cooperative association, whether domestic or foreign:
        1. The name and business address of the secretary or other officer with responsibility for authenticating the records of the entity;
        2. The name and business address of each other principal officer; and
        3. The name and business address of each director;
      2. Manager-managed limited liability company, whether domestic or foreign, the name and business address of each manager;
      3. Limited partnership, whether domestic or foreign, the name and business address of each general partner;
      4. Business trust, whether domestic or foreign, the name and business address of each trustee;
      5. Professional service corporation, domestic or foreign, a statement that each of the shareholders, not less than one-half (1/2) of the directors, and each of the officers other than secretary and treasurer is a qualified person; and
      6. Unincorporated nonprofit association, the name and business address of each manager.
  2. Information in the annual report shall be current as of the date the annual report is executed on behalf of the entity or foreign entity.
  3. The first annual report shall be delivered to the Secretary of State between January 1 and June 30 of the year following the calendar year in which an entity was organized or a foreign entity was authorized to transact business in this state. Subsequent annual reports shall be delivered to the Secretary of State between January 1 and June 30 of each following calendar year.
  4. If an annual report does not contain the information required by this section, the Secretary of State shall promptly notify the entity or foreign entity in writing and return the report to it for correction, which notification may be accomplished electronically. For purposes of KRS 14A.2-130 or 14A.2-140 , an annual report returned for correction shall not be deemed to have been delivered until it is returned and accepted by the Secretary of State.
  5. An entity or foreign entity may amend the information in its last filed annual report by delivery of an amendment to the annual report to the Secretary of State for filing on such form as is provided by the Secretary of State.
  6. An unincorporated nonprofit association that has filed a certificate of association is subject to this section.
  7. The requirement to file an annual report shall not apply to:
    1. A limited partnership governed as to its internal affairs by the Kentucky Uniform Limited Partnership Act as it existed prior to its repeal by 1988 Ky. Acts ch. 284, sec. 65;
    2. A partnership other than a limited liability partnership that has filed a statement of qualification pursuant to KRS 362.1-951 or a foreign limited liability partnership;
    3. A foreign rural electric cooperative or foreign rural telephone cooperative not required to qualify to transact business by a filing with the Secretary of State; or
    4. An unincorporated nonprofit association that has not filed a certificate of association.

HISTORY: Enact. Acts 2010, ch. 151, § 34, effective January 1, 2011; 2011, ch. 29, § 7, effective June 8, 2011; 2012, ch. 160, § 129, effective July 12, 2012; 2015 ch. 34, § 4, effective June 24, 2015; 2017 ch. 193, § 5, effective June 29, 2017.

SUBCHAPTER 7. Administrative Dissolution

14A.7-010. Grounds for administrative dissolution.

  1. The Secretary of State may commence a proceeding to administratively dissolve an entity:
    1. If the entity does not deliver for filing its annual report with the Secretary of State by the due date thereof;
    2. If the entity is without a registered office or registered agent in this state for sixty (60) days or more;
    3. If the entity does not notify the Secretary of State within sixty (60) days that its registered office or registered agent has been changed, that its registered office has been discontinued or that its registered agent has resigned; or
    4. For such other reasons as are provided in this chapter or the organic law governing the entity.
  2. Subsection (1)(a) of this section shall not apply to any entity not obligated to file an annual report.
  3. Subsection (1)(b) and (c) of this section shall not apply to any entity that is not obligated to maintain a registered office and agent.

History. Enact. Acts 2010, ch. 151, § 35, effective January 1, 2011.

14A.7-020. Procedure for and effect of administrative dissolution.

  1. If the Secretary of State determines that one (1) or more grounds exist for the administrative dissolution of an entity, the Secretary of State shall advise the entity of that determination.
  2. If the entity does not within sixty (60) days from the date on which the notice was mailed, correct each ground for dissolution or demonstrate to the reasonable satisfaction of the Secretary of State that each ground determined by the Secretary of State does not exist, the Secretary of State shall administratively dissolve the entity by signing a certificate of dissolution that recites the ground or grounds for dissolution and its effective date. The Secretary of State shall file the original of the certificate and advise the entity of that determination.
  3. An entity administratively dissolved continues its existence but shall not carry on any business except that necessary to wind up and liquidate its business and affairs.
  4. The administrative dissolution of an entity shall not terminate the authority of its registered agent.

History. Enact. Acts 2010, ch. 151, § 36, effective January 1, 2011.

14A.7-030. Reinstatement following administrative dissolution.

  1. An entity administratively dissolved under KRS 14A.7-020 or predecessor law may apply to the Secretary of State for reinstatement at any time after the effective date of dissolution. The application shall:
    1. Recite the name of the entity and the effective date of its administrative dissolution;
    2. State that the ground or grounds for dissolution either did not exist or have been eliminated;
    3. State that the entity’s name satisfies the requirements of KRS 14A.3-010 ;
    4. Contain a certificate from the Department of Revenue reciting that all taxes owed by the entity have been paid;
    5. Contain a representation that the entity has taken no steps to wind up and liquidate its business and affairs and notify claimants;
    6. If a business corporation, contain a certificate from the Office of Unemployment Insurance in the Department for Workforce Investment reciting that all employer contributions, interest, penalties, and service capacity upgrade fund assessments have been paid; and
    7. Be accompanied by the reinstatement penalty and the current fee for filing each delinquent annual report as provided for in this chapter.
  2. If the Secretary of State determines that the application satisfies the requirement of subsection (1) of this section, he or she shall cancel the certificate of dissolution and prepare a certificate of existence that recites his or her determination and the effective date of reinstatement, file the original of the certificate, and notify the entity of that filing, which notification may be accomplished electronically.
  3. When the reinstatement is effective:
    1. It shall relate back to and take effect as of the effective date of the administrative dissolution:
    2. The entity shall continue carrying on its business as if the administrative dissolution or revocation had never occurred; and
    3. The liability of any agent shall be determined as if the administrative dissolution or revocation had never occurred.
  4. Notwithstanding any other provision to the contrary, any entity which was administratively dissolved and has taken the action necessary to wind up and liquidate its business and affairs and notify claimants shall be prohibited from reinstatement.

History. Enact. Acts 2010, ch. 151, § 37, effective January 1, 2011; 2012, ch. 81, § 83, effective July 12, 2012; 2019 ch. 146, § 3, effective June 27, 2019.

NOTES TO DECISIONS

1.Resumption of Business.

Trial court erred in granting the marketer’s motion to dismiss the company’s breach of contract action on the ground that the breach occurred at a time when the company was administratively dissolved; the record showed that the company was later reinstated, that it filed its breach of contract action after it was reinstated, and that the intent of the General Assembly in enacting the reinstatement statute, former KRS 271B.14-220 (3), was to allow a company that had been reinstated to carry on its business, including the pursuit of litigation, as though the administrative dissolution had never occurred. Fairbanks Arctic Blind Co. v. Prather & Assocs., 198 S.W.3d 143, 2005 Ky. App. LEXIS 221 (Ky. Ct. App. 2005) (decided under former KRS 271B.14-220 ).

14A.7-040. Appeal from denial of reinstatement.

  1. If the Secretary of State denies an entity’s application for reinstatement the Secretary of State shall notify the entity and provide the reason or reasons for denial, which notification may be accomplished electronically.
  2. The entity may appeal the denial of reinstatement to the Franklin Circuit Court. The entity may appeal by petitioning the court to set aside the dissolution and attaching to the petition copies of the Secretary of State’s certificate of dissolution, the entity’s application for reinstatement, and the Secretary of State’s notice of denial.
  3. The court may summarily order the Secretary of State to reinstate the dissolved entity or may take other action the court considers appropriate.
  4. The court’s final decision may be appealed as in other civil proceedings.

History. Enact. Acts 2010, ch. 151, § 38, effective January 1, 2011.

SUBCHAPTER 8. End of Duration

14A.8-010. End of duration.

  1. An entity, upon the expiration of its period of duration as set forth in its organic filing, may in the sixty (60) day period thereafter amend its organic filing to extend its period of duration or to delete its period of duration, which amendment shall relate back to the day immediately preceding the expiration of the period of duration.
  2. An entity that fails to so amend its organic filing in that sixty (60) day period may not thereafter be reinstated, and shall liquidate its business and affairs in accordance with its organic act.
  3. The Secretary of State may with respect to an entity whose period of duration has expired issue a certificate of dissolution or document of similar import notwithstanding that such certificate is issued within the sixty (60) day period referenced in subsection (1) of this section.
  4. This section shall have no bearing on whether or not the owners and representatives of an entity, after expiration of its period of duration, have limited liability from the debts, obligations, and liabilities of the entity.

History. Enact. Acts 2010, ch. 151, § 39, effective January 1, 2011.

SUBCHAPTER 9. Foreign Business Entities

14A.9-010. Authority to transact business required — Certificate of authority required for award of state contract — Exception for foreign insurer.

  1. A foreign entity shall not transact business in this Commonwealth until it obtains a certificate of authority from the Secretary of State.
  2. The following activities, among others, shall not constitute transacting business within the meaning of subsection (1) of this section:
    1. Maintaining, defending, or settling any proceeding;
    2. Holding meetings of the board of directors, shareholders, partners, members, managers, beneficial owners, or trustees or carrying on other activities concerning the internal affairs of the foreign entity;
    3. Maintaining bank accounts;
    4. Maintaining offices or agencies for the transfer, exchange, and registration of the foreign entity’s own securities or maintaining trustees or depositaries with respect to those securities;
    5. Selling through independent contractors;
    6. Soliciting or obtaining orders, whether by mail or through employees, agents, or otherwise, if the orders require acceptance outside this state before they become contracts;
    7. Creating or acquiring indebtedness, mortgages, and security interests in real, personal, or intangible property;
    8. Securing or collecting debts or enforcing mortgages and security interests in property securing the debts;
    9. Owning, without more, real or personal property;
    10. Conducting an isolated transaction that is completed within thirty (30) days and that is not one (1) in the course of repeated transactions of a like nature; and
    11. Transacting business in interstate commerce.
  3. The list of activities in subsection (2) of this section is not exhaustive.
  4. Except as provided in subsection (6) of this section, this section shall not apply to foreign general partnerships. Whether a foreign limited liability partnership is transacting business in this Commonwealth shall be determined under subsection (2) of this section. A foreign limited liability partnership that is transacting business in this Commonwealth shall file a statement of foreign qualification pursuant to KRS 362.1-951.
  5. This section shall not apply in determining the contacts or activities that may subject a foreign entity to service of process or taxation in this Commonwealth or to regulation under any other law of this Commonwealth.
  6. Notwithstanding any other law to the contrary, a foreign entity, in order to be eligible for award of a state contract under KRS Chapter 45A or 176, shall have a certificate of authority or a statement of foreign qualification.
  7. A foreign insurer with a certificate of authority from the commissioner of the Department of Insurance is not subject to subsection (1) or (6) of this section.

HISTORY: Enact. Acts 2010, ch. 151, § 40, effective January 1, 2011; 2011, ch. 80, § 1, effective June 8, 2011; 2012, ch. 81, § 84, effective July 12, 2012; 2015 ch. 34, § 5, effective June 24, 2015.

Legislative Research Commission Notes.

(1/1/2011). The word “contracts” in subsection (5) of this statute has been changed in codification to “contacts.” This manifest clerical or typographical error has been corrected by the Reviser of Statutes under the authority of KRS 7.136(1).

14A.9-020. Consequences of transacting business without authority.

  1. A foreign entity transacting business in this Commonwealth without a certificate of authority may not maintain a proceeding in any court in this Commonwealth until it obtains a certificate of authority.
  2. Neither the successor to a foreign entity that transacted business in this Commonwealth without a certificate of authority nor the assignee of a cause of action arising out of that business shall maintain a proceeding based on that cause of action in any court in this Commonwealth until the foreign entity or the assignee of the cause of action obtains a certificate of authority.
  3. A court may stay a proceeding commenced by a foreign entity, its successor, or assignee until it determines whether the foreign entity, its successor, or assignee requires a certificate of authority. If it so determines, the court may further stay the proceeding until the foreign entity, its successor, or assignee obtains the certificate.
  4. A foreign entity is liable for a civil penalty of two dollars ($2) for each day it transacts business in this Commonwealth without a certificate of authority. The Secretary of State may collect all penalties due under this subsection.
  5. Notwithstanding subsections (1) and (2) of this section, the failure of a foreign entity to obtain a certificate of authority shall not impair the validity of the acts of the foreign entity or prevent it from defending any proceeding in this Commonwealth.

History. Enact. Acts 2010, ch. 151, § 41, effective January 1, 2011.

NOTES TO DECISIONS

Analysis

1.Construction.

Former statute authorizing the collection of delinquent fees for failure to qualify as foreign corporation was penal statute in nature and thus had to be strictly construed against the state and liberally interpreted in favor of the foreign corporation. Commonwealth ex rel. Stephens v. National Steeplechase & Hunt Asso., 612 S.W.2d 347, 1981 Ky. App. LEXIS 220 (Ky. Ct. App. 1981) (decided under prior law).

2.Capacity to Sue.
3.— Waiver.

Although former statute provided that failure to qualify to do business in Kentucky disqualified a corporation from having the capacity to sue in Kentucky courts, former statute was not jurisdictional and might have been waived under CR 9.01 by failure to support a “specific negative averment” with “supporting particulars.” Abbott v. Southern Subaru Star, Inc., 574 S.W.2d 684, 1978 Ky. App. LEXIS 629 (Ky. Ct. App. 1978) (Decided under former KRS 271B.15-020 ).

4.Doing Business in State.

Court erred in dismissing a suit by a foreign corporation on the ground that the corporation was not certified to do business in Kentucky where there was no evidence that corporation had, in fact, transacted business in state so as to require it to obtain such certificate in order to maintain action. Southeastern Skate Supply, Inc. v. Layman, 562 S.W.2d 95, 1978 Ky. App. LEXIS 467 (Ky. Ct. App. 1978) (Decided under former KRS 271B.15-020 ).

Bank was not required to obtain a certificate of authority before filing its suit against the debtor, former KRS 271B.15-020 (1), as a national bank was not required to file as a foreign corporation in order to maintain a lawsuit in state court, 12 U.S.C.S. § 24. Williams v. Chase Bank USA, N.A., 390 S.W.3d 824, 2012 Ky. App. LEXIS 78 (Ky. Ct. App. 2012) (Decided under former KRS 271B.15-020 ).

Notes to Unpublished Decisions

1.Construction.

Unpublished decision: It was not an abuse of discretion for a district court to read former KRS 271B.15-020 (see now KRS 14A.9-020 ) as stating that the remedy for failing to obtain a certificate of authority was to stay the proceedings while one was obtained. Alliant Tax Credit Fund 31A, Ltd. v. Murphy, 2012 U.S. App. LEXIS 17385 (6th Cir. 2012) (Decided under former KRS 271B.15-020 ).

14A.9-030. Application for certificate of authority.

  1. A foreign entity may apply for a certificate of authority to transact business in this Commonwealth by delivering an application to the Secretary of State for filing. The application shall set forth:
    1. The real name of the foreign entity and, if its real name is unavailable for use in this Commonwealth, a name that satisfies the requirements of KRS 14A.3-010 ;
    2. The name of the state or country under whose law it is organized;
    3. Its form of organization;
    4. Its date of organization;
    5. Its period of duration or a statement that its duration is perpetual;
    6. The street address of its principal office;
    7. The address of its registered office in this Commonwealth and the name of its registered agent at that office;
    8. The names and usual business addresses of:
      1. The secretary, the other principal officers, and the directors, if the entity is a foreign corporation or foreign limited cooperative association;
      2. Each of the general partners, if the entity is a foreign limited partnership;
      3. Each of the managers, if the entity is a foreign limited liability company with managers; or
      4. Each of the trustees, if the entity is a foreign business trust;
    9. If the foreign entity is a foreign limited partnership, whether it is a foreign limited liability limited partnership; and
    10. If the foreign entity is a foreign professional service corporation, a representation that all of the shareholders, not less than one-half (1/2) of the directors, and all officers other than the secretary and treasurer would be qualified persons with respect to the corporation were it incorporated in this Commonwealth.
  2. The execution of a certificate of authority shall constitute a representation by that person that the foreign entity validly exists under the laws of its jurisdiction of organization.
  3. Unless the registered agent signs the application, the foreign entity shall deliver with the application for certificate of authority the registered agent’s written consent to the appointment.
  4. A certificate of authority or document of similar import of record with the Secretary of State as of the date immediately preceding January 1, 2011, including a statement of foreign qualification, shall remain effective, but its amendment shall be governed by KRS 14A.9-040 .
  5. A foreign general partnership, being a general partnership not governed as to its internal affairs by Subchapter 1 of KRS Chapter 362, or predecessor law, may for purposes of complying with KRS 45A.480 and 176.085 apply for and receive a certificate of authority. The application for the certificate of authority shall satisfy the requirements of subsection (1) of this section and as well list the names and usual business addresses of each partner in the partnership.

History. Enact. Acts 2010, ch. 151, § 42, effective January 1, 2011; 2012, ch. 81, § 85, effective July 12, 2012; 2012, ch. 160, § 130, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 81 and 160, which do not appear to be in conflict and have been codified together.

14A.9-040. Amended certificate of authority.

  1. A foreign entity authorized to transact business in this Commonwealth shall obtain an amended certificate of authority from the Secretary of State if it changes any information required by KRS 14A.9-030 (1).
  2. The requirements of KRS 14A.9-030 for obtaining an original certificate of authority shall apply to obtaining an amended certificate.
  3. A foreign entity that changes its principal office address shall promptly satisfy the requirements of KRS 14A.5-010 .
  4. A foreign entity that changes its registered office, its registered agent, or both as maintained in this Commonwealth shall promptly satisfy the requirements of KRS 14A.4-020 .

History. Enact. Acts 2010, ch. 151, § 43, effective January 1, 2011; 2011, ch. 29, § 22, effective June 8, 2011.

14A.9-050. Effect of certificate of authority.

  1. A certificate of authority shall authorize the foreign entity to which it is issued the authority to transact business in this Commonwealth subject, however, to the right of the Commonwealth to revoke the certificate as provided in this chapter.
  2. A foreign entity with a valid certificate of authority shall have the same but no greater rights and shall have the same but no greater privileges as, and except as otherwise provided by this chapter shall be subject to the same duties, restrictions, penalties, and liabilities now or later imposed on, a domestic entity of like character.
  3. This chapter shall not authorize this Commonwealth to regulate the organization or internal affairs, including the inspection of books, records, and documents, of a foreign entity transacting business in this Commonwealth.
  4. Nothing in this section shall be interpreted or construed to limit the capacity and authority of a professional regulatory board to regulate the terms and manner by which professional services are rendered in the Commonwealth of Kentucky through or on behalf of a foreign entity.

History. Enact. Acts 2010, ch. 151, § 44, effective January 1, 2011; 2013, ch. 106, § 4, effective June 25, 2013.

NOTES TO DECISIONS

1.Particular Cases.

Minority shareholders’ claim demanding inspection of corporate records under KRS 271B.16-020 (1) failed because foreign corporations, including those incorporated in Delaware, were exempt from inspection pursuant to KRS 271B.15-050 (3). 2815 Grand Realty Corp. v. Goose Creek Energy, Inc., 656 F. Supp. 2d 707, 2009 U.S. Dist. LEXIS 84107 (E.D. Ky. 2009 ) (decided under former KRS 271B.15-050 ).

14A.9-060. Withdrawal of foreign entity.

  1. A foreign entity authorized to transact business in this Commonwealth shall not withdraw from this Commonwealth until there has been filed with the Secretary of State a certificate of withdrawal.
  2. A foreign entity authorized to transact business in this Commonwealth may submit a certificate of withdrawal for filing by delivering it to the Secretary of State. The certificate shall set forth:
    1. The real name of the foreign entity and, if applicable, the fictitious name under which it has qualified to transact business in this Commonwealth;
    2. The name of the state or country under whose law it is organized;
    3. That it is not transacting business in this Commonwealth and that it surrenders its authority to transact business in this Commonwealth;
    4. That it revokes the authority of its registered agent to accept service on its behalf and appoints the Secretary of State as its agent for service of process in any proceeding based on a cause of action arising consequent to having transacted business in this Commonwealth;
    5. A mailing address to which the Secretary of State may mail a copy of any process served on the Secretary of State under paragraph (d) of this subsection; and
    6. A commitment to notify the Secretary of State in the future of any change in its mailing address.
  3. A certificate of withdrawal shall be deemed amended by the filing of a change in mailing address delivered pursuant to subsection (2)(f) of this section.
  4. After the certificate of withdrawal of the foreign entity is effective, service of process on the Secretary of State under this section shall be service on the foreign entity. Upon receipt of process, the Secretary of State shall mail a copy of the process to the foreign entity at the address set forth under subsection (2)(e) of this section.

History. Enact. Acts 2010, ch. 151, § 45, effective January 1, 2011.

14A.9-070. Grounds for revocation.

The Secretary of State may commence a proceeding to revoke the certificate of authority of a foreign entity if:

  1. The foreign entity does not deliver its annual report to the Secretary of State for filing on or before the due date;
  2. The foreign entity is without a registered office or registered agent in this Commonwealth for sixty (60) days or more;
  3. The foreign entity does comply with KRS 14A.4-020 ;
  4. An incorporator, organizer, director, member, manager, officer, partner, agent or trustee of the foreign entity signed a document knowing it was false in any material respect with intent that the document be delivered to the Secretary of State for filing; or
  5. The Secretary of State receives a duly authenticated certificate from the Secretary of State or other official having custody of business entity records in the state or country under whose law the foreign entity is organized stating that it has been dissolved or disappeared as the result of a merger.

History. Enact. Acts 2010, ch. 151, § 46, effective January 1, 2011.

14A.9-080. Procedure for an effective revocation.

  1. If the Secretary of State determines that one (1) or more grounds exist under KRS 14A.9-070 for revocation of a certificate of authority, the foreign entity shall be served with written notice of that determination by mailing the notice by first-class mail to the foreign entity at its principal place of business address.
  2. If within sixty (60) days after the mailing of the notice, the foreign entity does not correct each ground for revocation or demonstrate to the reasonable satisfaction of the Secretary of State that each ground determined by the Secretary of State does not exist, the Secretary of State may revoke the foreign entity’s certificate of authority by signing a certificate of revocation that recites the ground or grounds for revocation and its effective date. The Secretary of State shall file the original of the certificate and serve a copy on the foreign entity by mailing the notice by first-class mail to the foreign entity at its principal place of business address.
  3. The authority of a foreign entity to transact business in this Commonwealth shall cease on the date shown on the certificate revoking its certificate of authority.
  4. The Secretary of State’s revocation of a foreign entity’s certificate of authority shall be considered to appoint the Secretary of State the foreign entity’s registered agent in any proceeding based on a cause of action which arose during the time the foreign entity was authorized to transact business in this Commonwealth. Service of process on the Secretary of State under this subsection shall be service on the foreign entity. Upon receipt of process, the Secretary of State shall mail a copy of the process to the secretary of the foreign entity at its principal office address shown in its most recent annual report or in any subsequent communication received from the foreign entity stating its current principal office address, or, if none is on file, in its application for a certificate of authority.
  5. Revocation of a foreign entity’s certificate of authority shall not terminate the authority of the registered agent of the foreign entity.

History. Enact. Acts 2010, ch. 151, § 47, effective January 1, 2011.

14A.9-090. Appeal from revocation.

  1. A foreign entity may appeal the Secretary of State’s revocation of its certificate of authority to the Franklin Circuit Court within thirty (30) days after service of the certificate of revocation. The foreign entity may appeal by petitioning the court to set aside the revocation and attaching to the petition copies of its certificate of authority and the Secretary of State’s certificate of revocation.
  2. The court may summarily order the Secretary of State to reinstate the certificate of authority or may take any other action the court considers appropriate.
  3. The court’s final decision may be appealed as in other civil proceedings.

History. Enact. Acts 2010, ch. 151, § 48, effective January 1, 2011.

CHAPTER 15 Department of Law

15.010. Department of Law — Attorney General as head — Major organizational units.

  1. The Attorney General is the head of the Department of Law.
  2. The Department of Law shall include the following major organizational units:
    1. Department of Criminal Litigation;
      1. Department of Criminal Investigations;
        1. Public Corruption Division;
        2. Special Victims Division;
        3. Special Investigations Division; and
        4. Protective Intelligence Division;
      2. Office of Special Prosecutions;
      3. Office of Medicaid Fraud and Abuse Control;
      4. Office of Trafficking and Abuse Prevention and Prosecution;
      5. Office of Prosecutors Advisory Council; and
      6. Office of Victims Advocacy;
    2. Department of Civil Litigation;
      1. Office of Consumer Protection;
      2. Office of Civil and Environmental Law;
        1. Open Records and Meetings Division; and
        2. Administrative Hearings Division;
      3. Office of Rate Intervention; and
      4. Office of Senior Protection;
    3. Office of the Solicitor General;
      1. Criminal Appeals Division; and
      2. Civil Appeals Division;
    4. Office of Legal Counsel;
    5. Office of Communications; and
    6. Office of Administrative Services.

HISTORY: 4618-75: amend. Acts 1998, ch. 81, § 1, effective July 15, 1998; 2000, ch. 28, § 2, effective July 14, 2000; 2017 ch. 80, § 3, effective June 29, 2017; 2020 ch. 31, § 1, effective July 15, 2020; 2021 ch. 173, § 1, effective June 29, 2021.

NOTES TO DECISIONS

Cited in:

Commonwealth v. Johnson, 423 S.W.3d 718, 2014 Ky. LEXIS 87 ( Ky. 2014 ).

Research References and Practice Aids

Cross-References.

Attorneys for Governor and state departments, employment, duties, authority, written opinions, KRS 12.210 , 12.220 .

Bond of Attorney General, KRS 62.160 , 62.180 , 62.200 .

Buying clubs or vacation clubs, remedies, powers and duties of Attorney General, KRS 367.405.

Congressional acts, Attorney General entitled to copies of, KRS 57.330 .

Constitutional amendments, duties of Attorney General in submission of, KRS 118.415 .

Consumer Protection Act, functions, powers and duties of Department of Law, KRS 367.150.

Defective new cars, enforcement by Attorney General, KRS 367.845.

Election of Attorney General, Ky. Const., § 91.

General Assembly acts, Attorney General entitled to copies of, KRS 57.300 .

Governor, when Attorney General to act as, Ky. Const., § 87.

Negative option plan, duties of Attorney General, KRS 367.575.

Petition, Attorney General to be served with copy of in certain actions, KRS 418.075 .

Preneed funeral service, burial, or cemetery merchandise contracts, powers of Attorney General, KRS 367.972.

Pyramid sales, powers of Attorney General, KRS 367.834.

Qualifications of Attorney General, Ky. Const., §§ 91, 92.

Recreation and retirement use land sales, duties of Attorney General, KRS 367.472 to 367.486, KRS 367.990(14).

Re-election, ineligibility of Attorney General for, Ky. Const., § 93.

Remedy, prosecution by Commonwealth, bond not required, KRS 454.190 .

Salary of Attorney General, KRS 64.480 .

Sale of business opportunities, duties of Attorney General, KRS 367.817, KRS 367.990(12), (13).

Sales and rentals during state of emergency, powers of Attorney General, KRS 367.378.

Sale of contact lenses, registration of nonresident mail order sellers with Attorney General, KRS 367.687.

State Treasurer may be suspended by action of Attorney General, Governor and auditor, KRS 41.050 .

Telephone solicitations, powers and duties of Attorney General, KRS 367.469, KRS 367.46967, KRS 367.46981, KRS 367.46999.

Term of office of Attorney General, Ky. Const., § 91.

Kentucky Law Journal.

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

15.012. Division of special investigations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 270, § 1, effective July 13, 1984) was repealed by Acts 1986, ch. 406, § 6, effective July 15, 1986.

15.015. Practice of law prohibited.

The Attorney General shall not engage in the private practice of law during his term of office.

History. Enact. Acts 1976, ch. 58, § 2.

15.020. Chief law officer and adviser — Duty to attend to litigation, write opinions, draft writings — Communication with Legislative Research Commission — When to appear for Commonwealth — Constitutional challenge may be brought in any county.

  1. The Attorney General is the chief law officer of the Commonwealth of Kentucky and all of its departments, commissions, agencies, and political subdivisions, and the legal adviser of all state officers, departments, commissions, and agencies, and when requested in writing shall furnish to them his or her written opinion touching any of their official duties, and shall prepare proper drafts of all instruments of writing required for public use, and shall exercise all common law duties and authority pertaining to the office of the Attorney General under the common law, except when modified by statutory enactment.
  2. The Attorney General shall communicate with the Legislative Research Commission as required by KRS 418.075 .
  3. Except as otherwise provided in KRS 48.005 and 2000 Ky. Acts ch. 483, sec. 8, the Attorney General shall appear for the Commonwealth in all cases in the Supreme Court or Court of Appeals wherein the Commonwealth is interested, and shall also commence all actions or enter an appearance in all cases, hearings, and proceedings in and before all other courts, tribunals, or commissions in or out of the state, and attend to all litigation and legal business in or out of the state required of the office by law, or in which the Commonwealth has an interest, and any litigation or legal business that any state officer, department, commission, or agency may have in connection with, or growing out of, his, her, or its official duties, except where it is made the duty of the Commonwealth’s attorney or county attorney to represent the Commonwealth. When any attorney is employed for any said agency, the same shall have the approval of such agency before such employment.
  4. Notwithstanding any other statute or provision to the contrary, the Attorney General may bring any action challenging the constitutionality of a Kentucky statute, executive order, administrative regulation, or order of any cabinet, program cabinet, or department under KRS Chapter 12. The action may be brought in any county where the alleged constitutional harm has occurred or could be reasonably presumed to occur.
  5. If any funds of any kind or nature whatsoever are recovered by or on behalf of the Commonwealth, in any action, including an ex rel. action where the Attorney General has entered an appearance or is a party according to statutory or common law authority, those funds shall be handled under KRS 48.005 .

History. 112-1, 112-5, 2711a-159: amend. Acts 1942, ch. 106, § 4; 1944, ch. 7, § 1; 1976, ch. 62, § 7; 1996, ch. 202, § 1, effective July 15, 1996; 2000, ch. 483, § 2, effective April 21, 2000; 2012, ch. 110, § 8, effective April 11, 2012; 2021 ch. 173, § 2, effective June 29, 2021.

NOTES TO DECISIONS

1.Standing.

Kentucky Attorney General, by virtue of that office, had the right to file an action in the Franklin Circuit Court seeking injunctive relief to prevent the Department of Corrections from, in the Attorney General’s view, improperly and unconstitutionally applying House Bill 406, 2008 Ky. Acts 127, retroactively. Commonwealth ex rel. Conway v. Thompson, 300 S.W.3d 152, 2009 Ky. LEXIS 290 ( Ky. 2009 ).

2.Duties.

It is the duty of the Attorney General and his assistants to attend to all litigation in which the Commonwealth or any state officer in connection with his official duties may be interested. Commonwealth v. Roberta Coal Co., 186 Ky. 394 , 216 S.W. 584, 1919 Ky. LEXIS 227 ( Ky. 1919 ).

Since under this section the powers and duties of the Attorney General are to represent the “Commonwealth” which in a democracy is the people rather than the machinery of government, the Attorney General has power to bring suit, challenging constitutionality of act, against state agency charged with administering the act. Commonwealth ex rel. Hancock v. Paxton, 516 S.W.2d 865, 1974 Ky. LEXIS 181 ( Ky. 1974 ).

Because there was no proper invitation for the Kentucky Attorney General to initiate or participate in an investigation or prosecution of appellant in a certain county under KRS 15.200 , the Attorney General was without authority to initiate an investigation into controlled substance violations, which led to appellant’s grand jury indictment. Based on an incorrect interpretation of KRS 218A.240(1), it was error to deny appellant’s motion to dismiss his indictments. Johnson v. Commonwealth, 2012 Ky. App. LEXIS 10 (Ky. Ct. App. Jan. 20, 2012, sub. op., 2012 Ky. App. Unpub. LEXIS 1005 (Ky. Ct. App. Jan. 20, 2012).

3.— Common Law.
4.— — Abrogation.

The power given by Ky. Const., § 233 to abrogate or modify the common law gives the General Assembly the power to abrogate or modify the common-law powers and duties of the Attorney General. Johnson v. Commonwealth, 291 Ky. 829 , 165 S.W.2d 820, 1942 Ky. LEXIS 329 ( Ky. 1942 ).

Although the Attorney General possesses all the power and authority appertaining to the office under common law and naturally and traditionally belonging to it, including the power to represent the state as its chief lawyer and to advise and speak for its several departments and officers in legal matters, nevertheless the General Assembly may withdraw those powers and assign them to others and may authorize the employment of other counsel for the departments and officers of the state to perform those powers, subject only to the limitation that the office may not be stripped of all duties and rights so as to leave it an empty shell. Johnson v. Commonwealth, 291 Ky. 829 , 165 S.W.2d 820, 1942 Ky. LEXIS 329 ( Ky. 1942 ).

5.— — Application.

Reference to common law in this section refers to the common law as it existed in England prior to 1607. Commonwealth ex rel. Ferguson v. Gardner, 327 S.W.2d 947, 1959 Ky. LEXIS 82 ( Ky. 1959 ).

In reading KRS 15.200 and KRS 15.020 with consistency, the Kentucky Court of Appeals believes that, when the General Assembly enacted KRS 15.020 , the Kentucky Attorney General did not have the common law power to investigate and prosecute cases at will, nor was the enactment of KRS 15.020 a grant of such a power; however, the subsequent enactment of KRS 15.200 is a specific grant of authority to the Attorney General to investigate and prosecute cases in limited circumstances. Accordingly, the Attorney General’s power and authority to investigate and prosecute cases is defined by KRS 15.200. Johnson v. Commonwealth, 2012 Ky. App. LEXIS 10 (Ky. Ct. App. Jan. 20, 2012, sub. op., 2012 Ky. App. Unpub. LEXIS 1005 (Ky. Ct. App. Jan. 20, 2012).

6.Counsel for Officials and Agencies.
7.— County Board of Education.

This section does not specifically require the Attorney General to represent county boards of education, nor does it expressly exclude the latter from employing other counsel. Hogan v. Glasscock, 324 S.W.2d 815, 1959 Ky. LEXIS 385 ( Ky. 1959 ).

8.— Master Commissioner.

While master commissioner is a public officer he is not a state or county officer, and neither the Attorney General nor county attorney is required to represent him. Shannon v. Ray, 280 Ky. 31 , 132 S.W.2d 545, 1939 Ky. LEXIS 70 ( Ky. 1939 ).

9.— Revenue Agent.

Under law authorizing suit to compel the listing of property for taxation Attorney General did not have authority to prosecute such action in conjunction with revenue agent. (Decided under prior law) Commonwealth v. Southern Pac. Co., 127 Ky. 358 , 105 S.W. 466, 32 Ky. L. Rptr. 259 , 32 Ky. L. Rptr. 285 , 1907 Ky. LEXIS 138 ( Ky. 1907 ).

10.— School District Board of Education.

The board of education of the school district in which property owned by an alien is situated may institute an action in the name of the commonwealth to escheat the property. If the board has authorized the action, it is proper for the action to be brought by the Attorney General as relator. Commonwealth ex rel. Attorney Gen. v. Tamer, 293 Ky. 357 , 169 S.W.2d 19, 1943 Ky. LEXIS 626 ( Ky. 1943 ).

11.Intervention in Will Contest.

Since there is no statutory enactment or any decision of the Court of Appeals authorizing Attorney General to intervene in will contests in which a charitable trust may be involved, Attorney General having failed to show that there was any established and recognized law of England permitting such intervention prior to 1607 could not be permitted to intervene in such a will contest. Commonwealth ex rel. Ferguson v. Gardner, 327 S.W.2d 947, 1959 Ky. LEXIS 82 ( Ky. 1959 ).

12.Prosecutions.

Where penal action was required to be brought by the Commonwealth’s attorney, the fact that it was brought by the Attorney General would not affect jurisdiction or invalidate a good petition. (Decided under prior law) Commonwealth v. Grand Central Bldg. & Loan Ass'n, 97 Ky. 325 , 30 S.W. 626, 17 Ky. L. Rptr. 215 , 1895 Ky. LEXIS 178 ( Ky. 1895 ).

The Attorney General is the best equipped to prosecute crimes against the State Treasury because of the size of his office and his investigative and financial resources. Thus, when KRS 15.715(4) is read together with this section and KRS 15.700 , it is reasonable, logical and constitutional. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

KRS 431.076 provides for notification of the Commonwealth’s attorney, or county attorney, of a motion for expungement; in the capacity granted by KRS 15.020 , the Attorney General represented the interest of the Commonwealth, and there was no requirement that the victim be notified. Commonwealth v. Mattingly, 91 S.W.3d 599, 2002 Ky. App. LEXIS 2224 (Ky. Ct. App. 2002).

13.Antitrust Actions.

KRS 156.142 is not a limiting statute as to the general powers of the attorney general, and when he is empowered by statute to commence all action in all cases or hearings in all courts, in or out of the state, as set out in this section, he is within his authority to commence a civil antitrust action in federal court. Commonwealth ex rel. Cowan v. Southern Belle Dairy Co., 801 S.W.2d 60, 1990 Ky. LEXIS 143 ( Ky. 1990 ).

14.Employment of Attorneys.

Where it was the duty of the county attorney to represent the state in certain proceedings the Attorney General was not authorized to employ an attorney to assist in its prosecution. (Decided under prior law) Coulter v. Denny, 67 S.W. 65, 23 Ky. L. Rptr. 1619 , 1901 Ky. LEXIS 535 (Ky. Ct. App. 1901).

Law authorizing the Governor to allow a reasonable compensation to attorneys of the insurance department, did not authorize the employment or payment of attorneys other than the Attorney General to represent the Commonwealth in the Court of Appeals on an appeal from a criminal or penal case. (Decided under prior law) Sims v. Commonwealth, 116 Ky. 1 , 74 S.W. 1097, 25 Ky. L. Rptr. 282 , 1903 Ky. LEXIS 165 ( Ky. 1 903).

15.Agents.

Detective, as an officer working under the auspices of a local prosecutor’s office and an agent of the attorney general’s office, was cloaked with the same immunity protections as a prosecutor, for purposes of KRS 218A.240(1), 15.020 . Williams v. Cline, 2012 Ky. App. LEXIS 68 (Ky. Ct. App. Apr. 20, 2012), review denied, ordered not published, 2012 Ky. LEXIS 467 (Ky. Dec. 12, 2012).

16.Miscellaneous.

Where the Court of Appeals of Kentucky reversed a trial court’s denial of defendant’s motion to dismiss the indictment, KRS 218A.240(1) provided the Office of the Attorney General (OAG) with clear authority to make arrests regarding controlled substances, and the indictments were valid. KRS 15.020 had nothing to do with the investigative authority of the OAG, other than recognizing that which may have existed at common law, and KRS 15.200(1) was a limitation on the prosecutorial authority of the OAG. Commonwealth v. Johnson, 423 S.W.3d 718, 2014 Ky. LEXIS 87 ( Ky. 2014 ).

Cited in:

Walker v. Felmont Oil Corp., 240 F.2d 912, 1957 U.S. App. LEXIS 4842 (6th Cir. 1957); Crummies Creek Coal Co. v. Taylor, 283 Ky. 364 , 141 S.W.2d 287, 1940 Ky. LEXIS 332 ( Ky. 1940 ); Matthews v. Pound, 403 S.W.2d 7, 1966 Ky. LEXIS 310 ( Ky. 1966 ); Asher v. Mills, 421 S.W.2d 78, 1967 Ky. LEXIS 50 ( Ky. 1967 ); Hancock v. Terry Elkhorn Mining Co., 503 S.W.2d 710, 1973 Ky. LEXIS 42 ( Ky. 1973 ); Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ); Hodge v. Commonwealth, 116 S.W.3d 463, 2003 Ky. LEXIS 174 ( Ky. 2003 ).

Opinions of Attorney General.

Although the Attorney General may be authorized to represent state employes in civil actions where the negligence of an individual operating a state-owned vehicle furnished for his regular use while on official business is brought into issue, he does not have a duty to do so, particularly where the defense of the interest of the Commonwealth is not a definite element of the action. OAG 62-883 .

KRS 320.240(3) does not prohibit the Board of Optometric Examiners from employing an attorney of its own, but merely reiterates the duty of the Attorney General under KRS 15.020 to render legal services to any state board or commission. OAG 69-696 .

The Attorney General is charged with the duty of serving as chief law officer and adviser, but he has no law enforcement power or authority. OAG 70-522 .

Advice submitted by the Attorney General to a city attorney is advisory only and is not binding upon either the city attorney or the local officials. OAG 71-377 .

The opinions of the Attorney General of Kentucky are advisory only and are not binding upon the recipient, who may either accept or reject them. OAG 71-377 .

It is the duty of the Attorney General to represent state officers or departments in litigation in which the Commonwealth has an interest, but a state officer or employee does not have an enforceable right to representation when he is sued individually unless the Attorney General or the legal counsel of the department believes the state has an interest in the litigation. OAG 73-874 .

The state auditor’s office is eligible for legal advice and assistance from the Attorney General under this section. OAG 76-204 .

Kentucky Attorney General’s opinions are advisory in nature and are not legally binding on officials or other parties; they are generally followed by local officials; they are designed to reflect not the private construction of the author but that construction which the Attorney General believes the courts would arrive at if faced with similar facts. OAG 78-192 .

Recipient governmental officials are expected to conform to the rulings of the Attorney General; this concept of reasonable expectation of conforming to the Attorney General’s opinion applies until a court decision decrees otherwise in a judicial case, or the General Assembly changes the law. The concept of conforming to such opinions is in the public interest, for reasons of consistency and uniform interpretation and administrative or executive action ensuing therefrom. OAG 84-136 .

Research References and Practice Aids

Cross-References.

Accountancy law, prosecution of violations, KRS 325.990 .

Active militia, civil suit, represent, KRS 37.310 .

Advice to Governor and state departments, KRS 12.230 .

Assessment or cooperative life insurance company, dissolution or liquidation, institution of proceedings, KRS 299.190 .

Attorneys for Governor and state departments, employment, duties, KRS 12.210 , 12.220 .

Banking laws, institution of action for violation of, KRS 286.3-990 .

Bonds of state officers and employes, approval, KRS 62.200 .

Bridge, represent Department of Highways in action of condemnation of land for, KRS 180.030 .

Savings and loan association laws, institution of action for violation of, KRS 286.5-991 .

Charter, action to repeal or vacate, KRS 415.010 .

Conflict with power of governor to appoint attorneys, effect, KRS 12.230 .

Environmental and Public Protection Cabinet, supervisory control over all actions by and against, KRS 149.070

Forest reserves, acquisition of land for, approval of title, KRS 149.020 .

Insurance companies, articles of incorporation, examination, KRS 299.040 , 299.320 .

Interlocal Cooperation Act, joint or cooperative agreements entered pursuant thereto, approval, KRS 65.260 .

Interstate mining compact, action to compel compliance with, KRS 350.990 .

Interstate water sanitation control commissions, institution of suit to enforce orders of, KRS 224.18-715 .

Law, practice of prohibited, KRS 15.015 .

Mines, action to closing, represent state in action to close, KRS 352.430 .

National guard member, represent in civil suit, KRS 38.240 .

Parks, condemnation of land designated by United States, KRS 148.121 .

Peace officer, removal of, institution of proceedings, KRS 63.170 , 63.180 .

Railroads, exclusive or preferential contracts prohibited, enforcement, Ky. Const., § 217.

Railroads, freight to be handled without discrimination, enforcement, Ky. Const., § 217.

Railroads, permitting tracks of others to cross or unite mandatory, enforcement, Ky. Const., § 217.

Railroads, traffic with connecting carriers to be handled without discrimination, enforcement, Ky. Const., § 217.

Sanitary district, objection to establishment, to represent commissioner in Court of Appeals, KRS 220.100 .

Sanitary district, organization, institution of suit to question, KRS 220.120 .

Saving and loan association, institution of action to recover penalty for violation of laws regarding, KRS 286.5-991 .

State Property and Buildings Commission, member of, KRS 56.450 .

Strip mining, institution of action to compel compliance with law regarding, KRS 350.990 .

Unemployment compensation act, criminal violations, prosecution, KRS 341.570 .

Usurpation of office, prosecution of action, KRS 415.050 .

Workers’ Compensation Act, selection of attorney to represent board in all actions, KRS 342.425 .

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Kentucky Law Journal.

Akers, The Advisory Opinion Function of the Attorney General, 38 Ky. L.J. 561 (1950).

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

Moreland, Kentucky Homicide Law With Recommendations, 51 Ky. L.J. 57 (1962).

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part X, State Agencies, 52 Ky. L.J. 1 (1963).

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part XII, Conclusions, 52 Ky. L.J. 1 (1963).

Ausness, Torts, 63 Ky. L.J. 753 (1974-1975).

15.025. Conditions to furnishing opinions.

The Attorney General, when requested in writing, under KRS 15.020 , shall furnish such opinions subject to the following conditions:

  1. When questions of law of interest to the Commonwealth are submitted by a state department, agency, board or commission;
  2. When public questions of law are submitted by either house of the Legislature or by any member of the Legislature;
  3. When public questions of law pertaining to local government are submitted in writing by the proper public official of the county or other political subdivision of the Commonwealth;
  4. When, in the discretion of the Attorney General, the question presented is of such public interest that an Attorney General’s opinion on the subject is deemed desirable and when provided for by regulation pursuant to the provisions of this section.

History. Enact. Acts 1960, ch. 68, Art. II, § 3.

Opinions of Attorney General.

Recipient governmental officials are expected to conform to the rulings of the Attorney General; this concept of reasonable expectation of conforming to the Attorney General’s opinion applies until a court decision decrees otherwise in a judicial case, or the General Assembly changes the law. The concept of conforming to such opinions is in the public interest, for reasons of consistency and uniform interpretation and administrative or executive action ensuing therefrom. OAG 84-136 .

15.030. Written opinions; drafting writings. [Repealed.]

Compiler’s Notes.

This section (112-2) was repealed by Acts 1944, ch. 7, § 3.

15.040. When to appear for commonwealth. [Repealed.]

Compiler’s Notes.

This section (112-1) was repealed by Acts 1944, ch. 7, § 3.

15.050. Employment of other counsel by state officers and agencies. [Repealed.]

Compiler’s Notes.

The original section (112-5) was repealed by 1942, ch. 106, § 4. A new section enacted in 1944, ch. 7, § 2, was repealed by 1948, ch. 122, § 4. For present law see KRS 12.210 , 12.220 .

15.055. Publication of list of delinquent child support obligors — Distribution of “most wanted” posters.

  1. The Office of the Attorney General shall receive from the Cabinet for Health and Family Services a list of names of delinquent obligors as defined in administrative regulations promulgated under this section.
  2. The Office of the Attorney General in cooperation with the Cabinet for Health and Family Services shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.
  3. The Office of the Attorney General shall:
    1. Publish and update the list on an appropriate agency Internet site; and
    2. Distribute to all designees of the cabinet for the administration of the child support program, a “most wanted” poster that includes names, and photos if available, of delinquent obligors whose whereabouts are unknown or unverified, or who if known, refuse to meet their child support obligations. The poster shall be posted locally by the designee of the cabinet for the administration of the child support program in public locations.

History. Enact. Acts 2000, ch. 430, § 16, effective July 14, 2000; 2005, ch. 99, § 76, effective June 20, 2005.

15.060. Actions to collect and recover money due Commonwealth with assistance of Department Revenue, Auditor of Public Accounts, or any other appropriate agency.

The Attorney General may:

  1. With the assistance of the Auditor of Public Accounts, the Department of Revenue, or any other appropriate agency, investigate the condition of any unsatisfied claim, demand, account, and judgment in favor of the Commonwealth.
  2. When he believes that any fraudulent, erroneous or illegal fee bill, account, credit, charge or claim has been erroneously or improperly approved, allowed or paid out of the Treasury to any person, institute the necessary actions to recover the same. To this end he may employ assistants and experts to assist in examining the fee bills, accounts, settlements, credits and claims, and the books, records and papers of any of the officers of the Commonwealth.
  3. Institute the necessary actions to collect and cause the payment into the Treasury of all unsatisfied claims, demands, accounts and judgments in favor of the Commonwealth, except where specific statutory authority is given the Department of Revenue to do so.
  4. Comply with KRS 48.005 , if any funds of any kind or nature whatsoever are recovered by or on behalf of the Commonwealth, in any legal action, including an ex rel. action in which the Attorney General has entered an appearance or is a party under statutory or common law authority.

History. 112-1, 340a-3; 2000, ch. 483, § 3, effective April 21, 2000; 2004, ch. 192, § 6, effective April 21, 2004; 2005, ch. 85, § 38, effective June 20, 2005; 2021 ch. 173, § 3, effective June 29, 2021.

NOTES TO DECISIONS

1.Writ of Prohibition.

The Attorney General, as such and as a taxpayer, may institute proceedings for a writ of prohibition to control the action of a circuit judge in the attempted illegal payment of jury claims, but he has no right to ask that the judge be restrained from holding the clerk in contempt for failure to pay jurors, since the clerk is the one on whom the burden would be placed to secure such relief. Meredith v. Sampson, 277 Ky. 263 , 126 S.W.2d 124, 1939 Ky. LEXIS 632 ( Ky. 1939 ).

2.Improper Payments.
3.— Under Invalid Statute.

Money paid to clerks out of the State Treasury under an invalid statute could be recovered by the Commonwealth and it was not necessary that the Attorney General contest the payment when it was made. Commonwealth v. Carter, 55 S.W. 701, 21 Ky. L. Rptr. 1509 , 1900 Ky. LEXIS 545 ( Ky. 1900 ).

4.— Under Oral Contract.

Where there has been no allegation or proof that KRS 45.360 (now repealed) had been complied with, alleged oral contract for services of moving company was void as contrary to public policy and the Commonwealth can recover payments made to moving company in excess of amount provided for in written contract. All-American Movers, Inc. v. Commonwealth, 552 S.W.2d 679, 1977 Ky. App. LEXIS 732 (Ky. Ct. App. 1977).

5.— Action Authorized.

The Attorney General is authorized to maintain an action in the name of the Commonwealth to recover money improperly paid out of the treasury. Commonwealth ex rel. Attorney Gen. v. Bacon, 111 S.W. 387, 33 Ky. L. Rptr. 935 , 1908 Ky. LEXIS 337 (Ky. Ct. App. 1908).

Opinions of Attorney General.

Where a state employee wrongfully used a gasoline credit card furnished to him by the Commonwealth to purchase personal gasoline and groceries in the amount of $436.74 and the employee had accrued wages of $407.38 which were unpaid, the Commonwealth could withhold the pay of the employee as an offset against his improper expenditure. OAG 61-834 .

Although the Attorney General shall institute any necessary actions to collect and cause the payment into the treasury of all unsatisfied claims and accounts and judgments in favor of the Commonwealth, KRS 15.060 does not apply to the collection of those fines and forfeitures adjudged by the county judge (now county judge/executive) such as the forfeiture of a replevin bond. OAG 68-526 .

Where a circuit court clerk has not sent all of the excess fees in his office to the Finance Department (now Executive Department for Finance and Administration), a state claim, as mentioned in KRS 15.060 and 46.070 , would generally not arise and the Attorney General’s office would not be required to pursue the collection of such accounts. OAG 70-604 .

Research References and Practice Aids

Cross-References.

Collection of public claims by action, KRS Chapter 135.

Compromise of claim for or against Commonwealth, approval of Attorney General, KRS 45.121 .

Revenue Cabinet may employ counsel to collect delinquent taxes and other claims, KRS 134.547 , 135.060 .

15.070. Index book of cases — Opinions to be kept on file.

  1. The Attorney General shall keep in his office an index book, in which shall be entered the number and style of each case in which the Commonwealth is interested and the court in which it is pending, and a brief statement of the nature of the case and the steps taken therein.
  2. He shall also keep on file in his office, subject to public inspection, all opinions rendered by him, alphabetically arranged.

History. 112-6.

15.080. Biennial report to Governor.

The Attorney General shall biennially, on or before December 31 preceding each regular session of the General Assembly, report to the Governor a full statement of the business done in his office.

History. 112-7.

Research References and Practice Aids

Kentucky Law Journal.

Akers, The Advisory Opinion Function of the Attorney General, 38 Ky. L.J. 561 (1950).

15.090. Appeals.

The Attorney General may prosecute an appeal, without security, in any case from which an appeal will lie whenever, in his judgment, the interest of the Commonwealth demands it.

History. 116: amend. Acts 1976, ch. 62, § 8; 1976 (Ex. Sess.), ch. 14, § 2.

NOTES TO DECISIONS

1.Rights of County Attorney.

A County Attorney has the right to appeal an adverse decision or ruling in a criminal action from District to Circuit Court without the prior approval of the Attorney General. Commonwealth v. Wasson, 785 S.W.2d 67, 1990 Ky. App. LEXIS 10 (Ky. Ct. App. 1990).

Research References and Practice Aids

Kentucky Law Journal.

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

Moreland, Kentucky Homicide Law With Recommendations, 51 Ky. L.J. 57 (1962).

15.100. Deputy attorney general, solicitor general, assistant deputy attorneys general, assistants, special attorneys and contract attorneys.

  1. The Attorney General shall appoint a deputy attorney general, who shall have the same qualifications required of a Circuit Judge except for residence in a district and who shall receive the same salary as a Circuit Judge, to serve at the pleasure of the Attorney General and to perform the duties he or she may designate. The Attorney General may appoint two (2) assistant deputy attorneys general, who shall have the same qualifications required of a District Judge except for residence in a district and who shall receive the same salary as a District Judge, to serve at the pleasure of the Attorney General and to perform the duties he or she may designate. In addition thereto, he or she shall appoint a solicitor general to serve at the pleasure of the Attorney General and to perform the duties he or she may designate and shall set his or her salary.
  2. In addition to the deputy attorney general, the Attorney General shall appoint such assistants and special attorneys as he or she deems necessary to transact the business of the Department of Law, and to perform the duties he or she may designate. The deputy attorney general, assistant deputy attorneys general, assistants, and special attorneys shall have full power, as authorized and under the direction of the Attorney General, to perform such duties as may be performed by the Attorney General. The Attorney General shall be responsible for the official acts of his or her deputy, assistant deputy attorneys general, assistants, and special attorneys.
  3. In addition to the appointment and designation of a deputy, assistant deputy attorneys general, assistants, and special attorneys pursuant to subsections (1) and (2) of this section, the Attorney General may enter into such contracts for legal services as he or she deems necessary and advisable. Such contracts shall be subject to the relevant provisions of the Kentucky Model Procurement Code in KRS Chapter 45A.
  4. Each assistant or special attorney so appointed or designated shall be a person admitted to the practice of law by the Supreme Court of this Commonwealth and shall qualify by taking the oath of office.

History. 112-3: amend. Acts 1948, ch. 14, § 1; 1950, ch. 123, § 29; 1960, ch. 68, Art. II, § 5; 1976, ch. 62, § 9; 1988, ch. 362, § 1, effective July 15, 1988; 2018 ch. 87, § 5, effective July 14, 2018; 2020 ch. 31, § 2, effective July 15, 2020.

NOTES TO DECISIONS

1.Assistant Representing Worker’s Compensation Claimant.

Employment of an assistant attorney general to represent claimant before Workers’ Compensation Board after claim was denied by referee, though an impropriety, did not constitute fraud in the absence of showing that board was influenced by the position of the assistant attorney general rather than the validity of the arguments advanced by him. Crummies Creek Coal Co. v. Taylor, 283 Ky. 364 , 141 S.W.2d 287, 1940 Ky. LEXIS 332 ( Ky. 1940 ).

Cited in:

Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ).

Opinions of Attorney General.

The fines and forfeitures payable to the Commonwealth’s attorneys as part of their compensation can only be paid to the elected and serving Commonwealth’s attorneys and these fines and forfeitures cannot be paid to special assistant attorneys general performing the work of the Commonwealth’s attorneys; however, money out of the Governor’s general contingency fund can be expended for this purpose after the Governor finds that an emergency exists which decision is reviewable by the courts to determine whether there has been an abuse of discretion on the part of the Governor. OAG 77-123 .

A member of the turnpike authority may not send a proxy, with voting power, to meetings of the turnpike authority in the absence of statutory authority granting him such delegating power; the Governor (pursuant to KRS 11.040 ), the Attorney General (pursuant to this section), and the secretary of development (pursuant to executive order no. 80-190) can, in writing, designate a proxy to attend the turnpike authority meetings with full voting power. OAG 80-376 .

Research References and Practice Aids

Cross-References.

Board of Claims, assistant attorney general to represent state in proceedings before, KRS 44.090 .

Kentucky Law Journal.

Akers, The Advisory Opinion Function of The Attorney General, 38 Ky. L.J. 561 (1950).

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

15.105. Assistant attorneys general for certain agencies.

  1. The Attorney General, with the approval of the head of the cabinet involved, shall appoint assistant attorneys general for the Transportation Cabinet and the Finance and Administration Cabinet.
  2. The assistant attorneys general and additional attorneys provided for in subsection (1) of this section shall each be a person admitted to the practice of law by the Supreme Court of this Commonwealth and shall qualify by taking the oath of office. They shall be paid out of the appropriation or other funds of the respective agency to which they are assigned.

History. Enact. Acts 1960, ch. 68, Art. II, § 2; 1974, ch. 74, Art. IV, § 19; 1976, ch. 62, § 10; 1976, ch. 88, § 17, effective March 29, 1976; 1984, ch. 111, § 19, effective July 13, 1984; 1984, ch. 340, § 6, effective July 13, 1984; 2000, ch. 417, § 8, effective December 1, 2000; 2005, ch. 85, § 39, effective June 20, 2005.

Legislative Research Commission Notes.

(12/1/2000). The contingency on the effectiveness of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

Research References and Practice Aids

Cross-References.

Assistant Attorney General to aid county attorney, KRS 393.190 .

15.110. Assistant Attorney General for Department of Highways. [Repealed.]

Compiler’s Notes.

This section (117a-1 to 117a-3) was repealed by Acts 1960, ch. 68, Art. II, § 6.

15.111. Division of Administrative Hearings.

  1. The Division of Administrative Hearings is created in the Office of Attorney General.
  2. This division shall have the following responsibilities:
    1. Employing and maintaining a pool of hearing officers for assignment to the individual agencies at their request, for the conduct of administrative hearings. The Attorney General’s office may also employ other staff as necessary to carry out functions and responsibilities assigned by KRS Chapter 13B;
    2. Reviewing and approving or disapproving requests from agencies for waivers from provisions of KRS Chapter 13B;
    3. Providing training in administrative hearing procedures for hearing officers as required in KRS 13B.030 , either by developing and offering the training, or by contracting with appropriate organizations for the provision of training, or by approving training developed and submitted by the agencies;
    4. Consulting with the Personnel Cabinet and employing agencies in the establishment of relevant and appropriate qualifications for classes of hearing officers;
    5. Establishing, in cooperation with the Division of Consumer Protection, a clearinghouse for complaints concerning the administrative hearing process in Kentucky. Each complaint received shall be referred to the agency that is the subject of the complaint, and the action of the agency to resolve the complaint shall be noted and reported to the division;
    6. Reporting to the Legislative Research Commission by July 1 of each odd-numbered year, the status of the administrative hearing process in Kentucky. The report shall include a compilation of statistical data and other information necessary to assess the effectiveness and efficiency of hearing procedures and recommendations for making improvements to the system. Agencies shall provide the information requested by the Division of Administrative Hearings necessary to complete the report.

History. Enact. Acts 1994, ch. 382, § 18, effective July 15, 1994; 1998, ch. 154, § 5, effective July 15, 1998.

NOTES TO DECISIONS

Cited in:

Commonwealth v. Handi-Van, Inc., 358 S.W.3d 504, 2012 Ky. App. LEXIS 13 (Ky. Ct. App. 2012).

Research References and Practice Aids

Kentucky Bench & Bar.

Durant, Procedural Due Process Past Due, Vol. 61, No. 1, Winter 1997, Ky. Bench & Bar 6.

15.113. Attorney General may investigate certain illegal or fraudulent activity — Prevention of identity theft.

  1. The Attorney General may investigate the use of personal identification and financial information by persons for the purpose of theft, fraud, or both, or any other illegal or fraudulent activity that may involve electronic commerce, the use of public funds or property, or obtaining or attempting to obtain a benefit provided by the government.
  2. The Attorney General shall coordinate with the Department of Financial Institutions, the United States Secret Service, the Federal Trade Commission, the Kentucky Bankers’ Association, and any other agency or organization to prepare and disseminate information to prevent identity theft.

History. Enact. Acts 2000, ch. 28, § 1, effective July 14, 2000; 2002, ch. 175, § 1, effective July 15, 2002; 2005, ch. 99, § 77, effective June 20, 2005; 2010, ch. 24, § 13, effective July 15, 2010; 2021 ch. 173, § 4, effective June 29, 2021.

15.115. Additional Assistant Attorneys-General for Department of Highways. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 230, § 1) was repealed by Acts 1960, ch. 68, Art. II, § 6.

15.120. Assistant Attorney-General for Public Service Commission. [Repealed.]

Compiler’s Notes.

This section (3952-9: amend. Acts 1946, ch. 230) was repealed by Acts 1960, ch. 68, Art. II, § 6.

15.130. Assistant Attorney-General for alcoholic beverage control. [Repealed.]

Compiler’s Notes.

This section (2554b-109) was repealed by Acts 1948, ch. 122, § 4.

15.140. Assistant Attorney General for Department of Revenue. [Repealed.]

Compiler’s Notes.

This section (1617: amend. Acts 1946, ch. 193, § 2) was repealed by Acts 1960, ch. 68, Art. II, § 6.

15.145. Assistant attorney general for Railroad Commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1944, ch. 78, § 1; 1966, ch. 255, § 6) was repealed by Acts 2000, ch. 417, § 17, effective December 1, 2000.

Legislative Research Commission Notes.

(12/1/2000). The contingency on the effectiveness of the repeal of this statute set by 2000 Ky. Acts ch. 417, sec. 18, was met, the voters of the Commonwealth having ratified at the general election on November 7, 2000, a constitutional amendment (see 2000 Ky. Acts ch. 399) abolishing the Railroad Commission.

15.150. Stenographic, investigative and clerical help.

The Attorney General may employ such stenographic, investigative and other clerical help for the use and benefit of his department as he deems necessary for the proper conduct of his office, within the limits of appropriations made for that purpose. Investigative personnel as designated by the Attorney General shall have the power of peace officers.

History. 112-3: amend. Acts 1982, ch. 269, § 1, effective July 15, 1982.

NOTES TO DECISIONS

Cited in:

Commonwealth v. Johnson, 423 S.W.3d 718, 2014 Ky. LEXIS 87 ( Ky. 2014 ).

15.160. Salary of Attorney General. [Repealed.]

Compiler’s Notes.

This section (117, 4618-75a: amend. Acts 1942, ch. 108, §§ 1, 2) was repealed by Acts 1950, ch. 123, § 29. For present law see KRS 64.480 .

15.170. Expenses of Attorney General and assistants when away from capital.

The Attorney General and the assistant attorneys general shall be paid their actual and necessary expenses when called away from the state capital on business of the Commonwealth.

History. 112-4.

15.180. Power to promulgate regulations.

The Attorney General may promulgate and file with the Legislative Research Commission those rules and regulations which will facilitate performing the duties and exercising the authority vested in the Attorney General and the Department of Law by law.

History. Enact. Acts 1960, ch. 68, Art. II, § 1, effective March 17, 1960.

Research References and Practice Aids

Kentucky Law Journal.

Montague III, The Office of Attorney General in Kentucky, 49 Ky. L.J. 194 (1960).

Criminal Prosecutions

15.190. Assistance in criminal proceedings on request of local prosecuting officials.

County and Commonwealth attorneys may request in writing the assistance of the Attorney General in the conduct of any criminal investigation or proceeding. The Attorney General may take such action as he deems appropriate and practicable under the circumstances in the rendering of such assistance.

History. Enact. Acts 1964, ch. 28, § 1.

NOTES TO DECISIONS

Cited in:

Stephens v. Goodenough, 560 S.W.2d 556, 1977 Ky. LEXIS 571 ( Ky. 1977 ); Matthews v. Pound, 403 S.W.2d 7, 1966 Ky. LEXIS 310 ( Ky. 1966 ); Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ).

15.200. May intervene or direct criminal proceeding on request of Governor, President of the Senate, Speaker of the House of Representatives, or court or grand jury — Subpoenas.

  1. Whenever requested in writing by:
    1. The Governor:
    2. The President of the Senate or Speaker of the House of Representatives of the General Assembly;
    3. Any of the courts or grand juries of the Commonwealth; or
    4. A sheriff, mayor, or majority of a city legislative body;

      stating that his or her participation in a given case is desirable to effect the administration of justice and the proper enforcement of the laws of the Commonwealth, the Attorney General may intervene, participate in, or direct any investigation or criminal action, or portions thereof, within the Commonwealth of Kentucky necessary to enforce the laws of the Commonwealth.

  2. The Attorney General may subpoena witnesses, secure testimony under oath for use in civil or criminal trials, investigations or hearings affecting the Commonwealth, its departments or political subdivisions.

History. Enact. Acts 1964, ch. 28, § 2; 1966, ch. 255, § 7; 2021 ch. 173, § 5, effective June 29, 2021.

NOTES TO DECISIONS

1.Construction.

The intent of this section is apparently to allow the executive and not the Attorney General to determine when the Attorney General can decide whether to intervene, participate in, or exclusively direct the investigation and prosecution of criminal activities. Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

The meaning of the words “in a given case” is equivalent to “in any given situation.” Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

Where the Attorney General had been requested to participate in an investigation, he thereafter had the right to exclusively control the investigation and any resultant prosecutions in the limited area defined and was not restricted to working in conjunction with the local Commonwealth’s attorney. Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

In reading KRS 15.200 and KRS 15.020 with consistency, the Kentucky Court of Appeals believes that, when the General Assembly enacted KRS 15.020 , the Kentucky Attorney General did not have the common law power to investigate and prosecute cases at will, nor was the enactment of KRS 15.020 a grant of such a power; however, the subsequent enactment of KRS 15.200 is a specific grant of authority to the Attorney General to investigate and prosecute cases in limited circumstances. Accordingly, the Attorney General’s power and authority to investigate and prosecute cases is defined by KRS 15.200. Johnson v. Commonwealth, 2012 Ky. App. LEXIS 10 (Ky. Ct. App. Jan. 20, 2012, sub. op., 2012 Ky. App. Unpub. LEXIS 1005 (Ky. Ct. App. Jan. 20, 2012).

Where the Court of Appeals of Kentucky reversed a trial court’s denial of defendant’s motion to dismiss the indictment, KRS 218A.240(1) provided the Office of the Attorney General (OAG) with clear authority to make arrests regarding controlled substances, and the indictments were valid. KRS 15.020 had nothing to do with the investigative authority of the OAG, other than recognizing that which may have existed at common law, and KRS 15.200(1) was a limitation on the prosecutorial authority of the OAG. Commonwealth v. Johnson, 423 S.W.3d 718, 2014 Ky. LEXIS 87 ( Ky. 2014 ).

2.Invitation.

Because there was no proper invitation for the Kentucky Attorney General to initiate or participate in an investigation or prosecution of appellant in a certain county under KRS 15.200 , the Attorney General was without authority to initiate an investigation into controlled substance violations, which led to appellant’s grand jury indictment. Based on an incorrect interpretation of KRS 218A.240(1), it was error to deny appellant’s motion to dismiss his indictments. Johnson v. Commonwealth, 2012 Ky. App. LEXIS 10 (Ky. Ct. App. Jan. 20, 2012, sub. op., 2012 Ky. App. Unpub. LEXIS 1005 (Ky. Ct. App. Jan. 20, 2012).

Cited in:

Matthews v. Pound, 403 S.W.2d 7, 1966 Ky. LEXIS 310 ( Ky. 1966 ); Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ).

Opinions of Attorney General.

If a local county attorney, who has been disqualified from prosecuting a criminal case, fails to take the initiative in getting a prosecutor for the case, then, under this section, the local court, inter alia, may request the Attorney General to intervene in the case. OAG 83-206 .

15.205. Attorney General may direct Commonwealth’s attorney or county attorney to act as special prosecutor.

When the Attorney General has been requested to participate in a given case pursuant to KRS 15.200 , the Attorney General may, at his own discretion, direct that a Commonwealth’s attorney or county attorney from another circuit or district participate in the case as a special prosecutor for the Commonwealth.

History. Enact. Acts 1966, ch. 26, § 3; 1972, ch. 203, § 1; 1976 (Ex. Sess.), ch. 17, § 17, effective January 1, 1978.

Compiler’s Notes.

Section 56 of Acts 1972, ch. 203, reads: “Nothing in this act shall be construed to effect any substantive change in the statute law of Kentucky and if any substantive change appears to be effected it shall be disregarded and the law as it existed prior to the effective date of this act shall be given full force and effect.”

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ).

Opinions of Attorney General.

Actual expenses for necessary travel in connection with a special prosecutor’s duties should be paid from the Commonwealth’s attorneys’ expense account. OAG 69-655 .

15.210. Authority in criminal prosecutions.

Whenever the Attorney General shall undertake any of the actions prescribed herein, he shall be authorized to exercise all powers and perform all duties in respect to such criminal actions or proceedings which the prosecuting attorney would otherwise perform or exercise, including, but not limited to the authority to sign, file and present any and all complaints, affidavits, information, presentments, accusations, indictments, subpoenas, and processes of any kind, and to appear before all grand juries, courts or tribunals.

History. Enact. Acts 1964, ch. 28, § 3; 1976 (Ex. Sess.), ch. 14, § 3, effective January 2, 1978.

NOTES TO DECISIONS

1.Construction.

The intent of this section is apparently to allow the executive and not the Attorney General to determine when the Attorney General can decide whether to intervene, participate in, or exclusively direct the investigation and prosecution of criminal activities. Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

The meaning of the words “in a given case” is equivalent to “in any given situation.” Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

When the Attorney General had been requested to participate in an investigation, he thereafter had the right to exclusively control the investigation and any resultant prosecutions in the limited area defined and was not restricted to working in conjunction with the local Commonwealth’s attorney. Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

Cited in:

Matthews v. Pound, 403 S.W.2d 7, 1966 Ky. LEXIS 310 ( Ky. 1966 ).

Research References and Practice Aids

Kentucky Law Journal.

Moreland, Kentucky Homicide Law With Recommendations, 51 Ky. L.J. 57 (1962).

15.220. Power of Attorney General not to affect powers or duties of local officers.

Except as provided in KRS 15.190 to 15.240 , the powers and duties conferred upon or required of the Attorney General by KRS 15.190 to 15.240 shall not be construed to deprive prosecuting attorneys of any of their authority in respect to criminal prosecutions, or relieve them from any of their duties to enforce the criminal laws of the Commonwealth.

History. Enact. Acts 1964, ch. 28, § 4; 1966, ch. 255, § 8.

NOTES TO DECISIONS

1.Construction.

The intent of this section is apparently to allow the executive and not the Attorney General to determine when the Attorney General can decide whether to intervene, participate in, or exclusively direct the investigation and prosecution of criminal activities. Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

The meaning of the words “in a given case” is equivalent to “in any given situation.” Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

Where the Attorney General had been requested to participate in an investigation, he thereafter had the right to exclusively control the investigation and any resultant prosecutions in the limited area defined and was not restricted to working in conjunction with the local Commonwealth’s attorney. Hancock v. Schroering, 481 S.W.2d 57, 1972 Ky. LEXIS 221 ( Ky. 1972 ).

2.Constitutionality of General Assembly Acts.

Because Kentucky does not have a unified prosecutorial system and Commonwealth’s attorneys do not answer to the Attorney General, the Attorney General, by virtue of his being elected by the public, is in a unique position to defend the constitutionality of an act of the General Assembly and must be given the opportunity at the trial level to do so; therefore the notice requirements of this section must be met in criminal as well as in civil actions. Jacobs v. Commonwealth, 947 S.W.2d 416, 1997 Ky. App. LEXIS 7 (Ky. Ct. App. 1997).

15.225. Investigation of county financial administration — Report.

  1. After the examination of each county’s financial administration by the Auditor of Public Accounts as provided in KRS 43.070 , and receipt of a written report from the Auditor of Public Accounts as required by KRS 43.090 , the Attorney General may conduct such investigation as is necessary to determine if prosecution is warranted and may, in his discretion, prosecute any violation of law.
  2. In the event the books of a county official are audited by a certified public accountant in lieu of the audit conducted by the Auditor of Public Accounts as provided in KRS 64.810 , the Attorney General may conduct such investigation as is necessary to determine if prosecution is warranted and may, in his discretion, prosecute any violation of law.
  3. Where an investigation is conducted by this section, the Attorney General shall, within six (6) months of the receipt of the audit as directed by KRS 43.090 and KRS 64.810 , make a written report regarding the results of his investigation to the Auditor of Public Accounts, the General Assembly, the Governor, the county attorney, and the Commonwealth’s attorney of the county examined. The report of the Attorney General shall include but need not be limited to the following:
    1. A description of the allegations against the official;
    2. A summary of the findings of the Attorney General’s investigation of such allegations;
    3. The nature and disposition of any proceedings initiated against the official.
  4. This section shall not be deemed to limit or to prohibit the investigation or prosecution of violations of law by other appropriate authorities.

History. Enact. Acts 1980, ch. 151, § 1, effective July 15, 1980.

15.230. Costs of intervention by Attorney General, how paid. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 28, § 5) was repealed by Acts 1976 (Ex. Sess.), ch. 17, § 52. For present law see KRS 15.715 .

15.231. Jurisdiction in criminal and civil cases involving theft of identity and trafficking in stolen identities.

The Attorney General shall have concurrent jurisdiction with Commonwealth’s attorneys and county attorneys for the prosecution of offenses under and the enforcement of the provisions of KRS 411.210 , 434.872 , 434.874 , 514.160 , 514.170 , and 532.034 .

History. Enact. Acts 2000, ch. 174, § 5, effective July 14, 2000; 2002, ch. 175, § 2, effective July 15, 2002.

15.232. Concurrent jurisdiction in investigation and prosecution of offenses under KRS 433.890 to 433.896, 433.900 to 433.906, and 512.090.

The Attorney General shall have concurrent jurisdiction with Commonwealth’s attorneys and county attorneys in the investigation and prosecution of offenses under KRS 433.890 to 433.896 , 433.900 to 433.906 , and 512.090 .

History. Enact. Acts 2008, ch. 83, § 5, effective July 15, 2008; 2012, ch. 91, § 6, effective July 12, 2012.

15.240. Authority of Attorney General to initiate or intervene in certain actions.

Notwithstanding any other provision of law to the contrary the Attorney General shall have authority to initiate actions or intervene in actions brought pursuant to the provisions of KRS Chapters 146, 151, 217B, 224 and 350.

History. Enact. Acts 1976, ch. 289, § 7.

15.241. Attorney General’s powers to prevent, penalize, and remedy violations of laws relating to elective medical procedures, including abortions.

  1. The Attorney General may seek injunctive relief as well as civil and criminal penalties in courts of proper jurisdiction to prevent, penalize, and remedy violations of:
    1. KRS Chapter 216B regarding abortion facilities and the administrative regulations promulgated in furtherance thereof;
    2. KRS 311.710 to 311.830 regarding abortions and the administrative regulations promulgated in furtherance thereof; and
    3. KRS Chapter 39A and any orders or directives issued thereunder relating to elective medical procedures, including but not limited to abortions.
  2. Nothing in this section shall limit or preclude such authority as the secretary of the Cabinet for Health and Family Services has to seek the relief set forth in subsection (1) of this section.

History. Enact. Acts 1998, ch. 582, § 7, effective July 15, 1998; 2005, ch. 99, § 78, effective June 20, 2005; 2021 ch. 4, § 1, effective February 2, 2021.

Compiler’s Notes.

Section 9 of Acts 1998, ch. 582, stated: “This Act shall not be construed as repealing any of the laws of the Commonwealth relating to abortion facilities but shall be considered supplementary to them.”

Section 10 of Acts 1998, ch. 582 stated: “If any provision of this Act or its application is held invalid, the invalidity shall not affect other provisions or applications of this Act which can be given effect without the invalid provision or application and to this end the provisions of this Act are severable.”

15.242. Election law jurisdiction — Notice to Registry of Election Finance.

The Attorney General shall possess jurisdiction, concurrent with that of county and Commonwealth’s attorneys, to investigate and prosecute violations of the election laws. The Attorney General, county attorneys, and Commonwealth’s attorneys shall notify the Registry of Election Finance of any investigation or prosecution of alleged election law violations.

History. Enact. Acts 1988, ch. 341, § 1, effective July 15, 1988; 1992, ch. 288, § 48, effective July 14, 1992.

NOTES TO DECISIONS

1.Authority of Attorney General.

Campaign finance regulatory statutes do not limit the authority of the Attorney General to conduct his own investigation of violations nor do they restrict the authority of a grand jury to render an indictment absent a preliminary finding of probable cause by the Registry of Election Finance. Democratic Party v. Graham, 976 S.W.2d 423, 1998 Ky. LEXIS 126 ( Ky. 1998 ).

15.243. Enforcement of all election laws — Duties of Attorney General — Toll-free line for report of violations — Random inquiry for irregularities — Initiation of prosecutions.

  1. In addition to the other duties and powers of the Attorney General, he shall enforce all of the state’s election laws by civil or criminal processes.
  2. The Attorney General shall:
    1. Devise and administer programs to observe the conduct of elections;
    2. Hold public hearings;
    3. Establish a toll-free telephone service for the purpose of receiving reports of election law violations. The service shall be operated during regular business hours throughout the year and during the hours which any poll in the state is open on the day of any primary, special election or regular election;
    4. Initiate investigations or investigate alleged violations of election laws at the request of a registered voter or on his own motion;
    5. Issue subpoenas for the production of any books, papers, correspondence, memoranda or other records, and compel the attendance of witnesses that he deems relevant to the purposes of any investigation;
    6. Present evidence of alleged violations to a grand jury; and
    7. File appropriate complaints in any court of competent jurisdiction.
    1. The Attorney General shall be required to begin an independent inquiry for any potential irregularities that may have occurred in each election in not fewer than five percent (5%) of Kentucky’s counties, to be selected at random in a public process, within twenty (20) days following each primary or regular election. No county shall be subject to inquiry under this subsection in two (2) consecutive elections. (3) (a) The Attorney General shall be required to begin an independent inquiry for any potential irregularities that may have occurred in each election in not fewer than five percent (5%) of Kentucky’s counties, to be selected at random in a public process, within twenty (20) days following each primary or regular election. No county shall be subject to inquiry under this subsection in two (2) consecutive elections.
    2. The Attorney General shall report his findings to the grand jury of each county involved and to the chief circuit judge for the circuit in which the county is located.
  3. When the Registry of Election Finance concludes there is probable cause to believe a violation of election laws has occurred, it shall forward the matter to the Attorney General for prosecution. In the event the Attorney General or local prosecutor fails to prosecute the matter in a timely fashion, the registry’s attorney may petition the Circuit Court to be appointed as a special prosecutor. Upon such motion timely filed, for good cause shown, the court shall enter an order to that effect.
  4. When requested by the Attorney General, all state and local agencies and officials, including the Auditor of Public Accounts, Commonwealth’s attorneys, county attorneys, Registry of Election Finance, Department of Kentucky State Police, sheriffs’ departments and local police shall give all possible assistance to the Attorney General in the performance of his duties.

History. Enact. Acts 1988, ch. 341, § 2, effective July 15, 1988; 1990, ch. 48, § 1, effective July 13, 1990; 2007, ch. 85, § 14, effective June 26, 2007.

Witness and Victim Rights

15.245. Witness and victim rights pamphlet — Preparation — Distribution.

  1. The Attorney General shall prepare a pamphlet of not more than two (2) pages explaining to victims and witnesses of crime:
    1. How the criminal justice system functions from the point of the complaint through the trial;
    2. The role of the attorney for the Commonwealth;
    3. The role of the defense attorney and whether the victim or witness must talk to the defense attorney and under what conditions;
    4. The process for applying for crime victim compensation money;
    5. The duties of the attorney for the Commonwealth under KRS 421.500 ;
    6. How the victim or witness can be notified of the release of a person from a juvenile detention facility, jail, or prison;
    7. General information on how the victim or witness can protect himself from intimidation; and
    8. Such other information as the Attorney General deems relevant.
  2. The Attorney General shall provide the pamphlet to each Commonwealth’s and county attorney in sufficient quantity to distribute to victims of crime and to witnesses for the Commonwealth.
  3. Each Commonwealth’s and county attorney shall distribute the pamphlet to crime victims and witnesses and may distribute the pamphlet to other interested persons. No charge shall be made for the pamphlet.

History. Enact. Acts 1986, ch. 212, § 10, effective July 15, 1986; 1996, ch. 375, § 2, effective July 15, 1996.

Compiler’s Notes.

Section 5 of Acts 1996, ch. 375, read:

“This Act shall become effective on the normal date for legislation passed by the 1996 Regular Session of the General Assembly for the purposes of beginning implementation of the provisions of Sections 1 to 4 of this Act. Phased implementation of the provisions of Sections 1 to 4 of this Act shall be accomplished according to a schedule promulgated by the Department of Corrections by administrative regulation which shall provide for full implementation of the program and full victim access by January 1, 1998. Any or all portions of the program may be implemented at a date earlier than January 1, 1998.”

15.247. Victim, witness, and family protection program — Protective services.

  1. The Attorney General shall develop and administer a program for the protection of crime victims and witnesses and their immediate families.
  2. Within the limits of the administrative regulations, guidelines, and appropriations for this purpose, the program shall provide funding to the Department of Kentucky State Police or to a sheriff’s office or city or county police department agreeing to provide protection to crime victims and witnesses and their families.
  3. Any Commonwealth’s attorney or county attorney may apply to the Attorney General for funding for protection of crime victims, witnesses, and their families.
  4. No protective service shall be rendered to the same person for more than six (6) months.
  5. Protective services funded by this program shall be limited to:
    1. Physical protection of the person;
    2. Physical security measures for the person’s residence, vehicle, workplace, or combination thereof; or
    3. Short-term relocation.
  6. The Attorney General shall promulgate administrative regulations under KRS Chapter 13A for the operation of the program.
  7. Nothing in this statute shall be construed to create a cause of action for money damages against the state, a county, a municipality, or any of their agencies, public officials, or employees.
  8. No court shall order a law enforcement agency to protect crime victim witnesses or their immediate families.
  9. No record that may lead to the identity of a person seeking or given protection under this section shall be an open record. This protection shall extend even to the question of whether such a record exists.

History. Enact. Acts 1998, ch. 606, § 50, effective July 15, 1998; 2007, ch. 85, § 15, effective June 26, 2007.

Division of Natural Resources and Environmental Law

15.250. Division of natural resources and environmental law established in office of attorney general. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 155, § 10, effective June 17, 1978) was repealed by Acts 1986, ch. 406, § 6, effective July 15, 1986.

Functions; Assistance by Other Agencies

15.255. Powers, duties, and functions of the Department of Law.

  1. The Department of Law shall have the following powers, duties and functions:
    1. To prevent or remedy damage to the environment caused by any person, group, partnership, association, body corporate or politic, or any agency, department, board, commission, division, or authority, whether state or federal, or by commencing or intervening in any suit or action in state or federal courts, whether civil or criminal, to enforce any statute, ordinance, bylaw, or regulation, or to secure any common-law right or remedy;
    2. To counsel state agencies and commissions given the responsibility over environmental concerns including but not limited to the Energy and Environment Cabinet and the Public Service Commission;
    3. To exercise the common-law powers of the Attorney General in protecting the environment;
    4. To bring public nuisance and other actions in Circuit Courts in the name of the Commonwealth upon complaint by private citizens, when in the opinion of the Attorney General the activity or activities complained of may have a substantial impact upon the environment of the Commonwealth; and
    5. To develop guidelines related to the proper investigation of sexual misconduct by professionals which may be adopted by professional licensure boards.
  2. Nothing in this section shall be interpreted to derogate from any existing common-law or statutory right or remedy against damage to the environment.

History. Enact. Acts 1978, ch. 155, § 11, effective June 17, 1978; 1986, ch. 331, § 9, effective July 15, 1986; 1986, ch. 406, § 2, effective July 15, 1986; 1994, ch. 265, § 19, effective July 15, 1994; 1994, ch. 470, § 17, effective July 15, 1994; 2005, ch. 123, § 9, effective June 20, 2005; 2010, ch. 24, § 14, effective July 15, 2010.

Legislative Research Commission Notes.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

15.257. Requirements for distribution of explanatory materials — Open Records and Open Meetings laws — Retention and management of public records.

  1. The Office of the Attorney General shall, within ninety (90) days of June 20, 2005, and thereafter, within ninety (90) days of the effective date of any legislation amending the provisions of the Open Meetings Act or the Open Records Act, distribute to all county judge/executives, mayors, county attorneys, city attorneys, superintendents of public school districts, presidents of each of the state public postsecondary education institutions identified in KRS 161.220(4)(b) or 164.001(13) or (17), and attorneys of public school districts and public postsecondary education institutions throughout Kentucky written information prepared by the Office of the Attorney General that explains the procedural and substantive provisions of the Open Meetings Act, KRS 61.805 to 61.850 , and the Open Records Act, KRS 61.870 to 61.884 , together with the information required by KRS 171.223 to be prepared by the Department for Libraries and Archives concerning proper retention and management of public records. This distribution may be by electronic means.
  2. All superintendents of public school districts and the presidents of each of the state public postsecondary education institutions identified in KRS 161.220(4)(b) or 164.001(13) or (17) shall be responsible for designating and submitting the names and addresses of the attorneys to whom this information shall be disseminated to the Office of the Attorney General.

History. Enact. Acts 2005, ch. 45, § 1, effective June 20, 2005; 2008, ch. 113, § 1, effective July 15, 2008.

15.260. Other departments and agencies to give assistance.

The Department of Law is hereby authorized to call upon any other state department, agency, commission, authority or institution, for whatever help or assistance said department deems necessary to investigate and prosecute cases involving environmental damage, and such other departments, agencies, commissions, authorities, and institutions are hereby required to forthwith cooperate with and assist said department without charge.

History. Enact. Acts 1978, ch. 155, § 12, effective June 17, 1978; 1986, ch. 406, § 3, effective July 15, 1986.

Criminal Justice Statistical Analysis Center

15.280. Criminal Justice Statistical Analysis Center — Reports — Purposes — Confidentiality of information and record copies.

  1. A Criminal Justice Statistical Analysis Center is hereby created as part of the Kentucky Justice and Public Safety Cabinet.
  2. The Criminal Justice Statistical Analysis Center shall provide its reports and recommendations to the Governor and the General Assembly through the secretary of the Justice and Public Safety Cabinet.
  3. The Criminal Justice Statistical Analysis Center shall:
    1. Improve the quality and usefulness of criminal justice statistics and research results that are disseminated to citizens, public agencies, and private agencies in Kentucky through the collection, analysis, assimilation, and analysis of research and statistical data from within the cabinet, from other executive, judicial, and legislative agencies, and from private sources;
    2. Publish research results and statistical data that are requested by criminal justice agencies;
    3. Improve the relationship between citizens and criminal justice agencies of Kentucky by conducting citizen surveys of the needs, attitudes, and behavior relating to crime and justice; and
    4. Strengthen the relationship between Kentucky criminal justice agencies and the Bureau of Justice Statistics, United States Department of Justice, by:
      1. Providing justice statistics to the Bureau of Justice Statistics as required; and
      2. Serving as a clearinghouse for Bureau of Justice Statistics materials.
  4. The Kentucky Justice and Public Safety Cabinet may expend any federal grants or federal funds provided for carrying out the functions and authority as assigned in this section. Further, the Kentucky Justice and Public Safety Cabinet may employ such employees as may be necessary to fulfill the duties, responsibilities, and functions assigned by this section.
  5. Information and record copies that are confidential under state or federal law and are provided to the Criminal Justice Statistical Analysis Center shall not become the information and records of the center and shall not lose their confidentiality by virtue of the center’s access to the information and records. The original information and records used to generate information and record copies provided to the center shall be maintained by the appropriate agency in accordance with state and federal law and shall be subject to the Kentucky Open Records Act, KRS 61.870 to 61.884 . All open records requests shall be made to the appropriate agency, not to the Criminal Justice Statistical Analysis Center. Information and record copies provided to the Criminal Justice Statistical Analysis Center for review shall be exempt from the Kentucky Open Records Act, KRS 61.870 to 61.884 .

HISTORY: Enact. Acts 1986, ch. 224, § 1, effective July 15, 1986; 2000, ch. 234, § 1, effective July 14, 2000; 2007, ch. 85, § 16, effective June 26, 2007; 2017 ch. 158, § 97, effective June 29, 2017.

Child Support Enforcement Commission

15.290. Establishment of Child Support Enforcement Commission. [Repealed]

History. Enact. Acts 1988, ch. 411, § 18, effective May 1, 1988; 1998, ch. 426, § 64, effective July 15, 1998; 2000, ch. 14, § 3, effective July 14, 2000; 2005, ch. 99, § 79, effective June 20, 2005; 2012, ch. 158, § 4, effective July 12, 2012; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 411, § 18, effective May 1, 1988) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

Kentucky Opiod Abatement Advisory Commission

15.291. Kentucky Opioid Abatement Advisory Commission — Membership — Meetings — Criteria for award of moneys from opioid abatement trust fund.

  1. There is hereby established the Kentucky Opioid Abatement Advisory Commission. The commission shall be attached to the Department of Law for administrative purposes.
    1. The commission shall consist of the following voting members: (2) (a) The commission shall consist of the following voting members:
      1. The Attorney General or his or her designee, who shall act as chair;
      2. The State Treasurer or his or her designee;
      3. The secretary of the Cabinet for Health and Family Services or his or her designee;
      4. One (1) member appointed by the University of Kentucky from the HEALing Communities Study Team;
      5. One (1) member appointed by the Attorney General representing victims of the opioid crisis;
      6. One (1) member appointed by the Attorney General representing the drug treatment and prevention community;
      7. One (1) member appointed by the Attorney General representing law enforcement; and
      8. Two (2) citizens at large appointed by the Attorney General.
    2. The commission shall consist of the following nonvoting members who shall serve at the pleasure of their appointing authority:
      1. One (1) member appointed by the Speaker of the House of Representatives; and
      2. One (1) member appointed by the President of the Senate.
    1. Members of the commission appointed under subsection (2)(a)1. to 3. of this section shall serve terms concurrent with holding their respective offices or positions. (3) (a) Members of the commission appointed under subsection (2)(a)1. to 3. of this section shall serve terms concurrent with holding their respective offices or positions.
    2. The remaining members of the commission shall serve staggered two (2) year terms as follows:
      1. Members of the commission appointed under subsection (2)(a)4. to 6. of this section shall serve an initial term of two (2) years; and
      2. Members of the commission appointed under subsection (2)(a)7. to 8. of this section shall serve an initial term of one (1) year.
    3. Members of the commission shall not receive compensation for their services but may be reimbursed for necessary travel and lodging expenses incurred in the performance of their duties.
    1. Meetings of the commission shall be conducted according to KRS 61.800 to 61.850 . (4) (a) Meetings of the commission shall be conducted according to KRS 61.800 to 61.850 .
    2. The commission shall meet at least twice within each calendar year.
    3. Five (5) voting members of the commission shall constitute a quorum for the transaction of business.
    4. Each member of the commission shall have one (1) vote, with all actions being taken by an affirmative vote of the majority of members present.
  2. The commission shall award moneys from the opioid abatement trust fund established in KRS 15.293 to reimburse prior expenses or to fund projects according to the following criteria related to opioid use disorder (OUD) or any co-occurring substance use disorder or mental health (SUD/MH) issues:
    1. Reimbursement for:
      1. Any portion of the cost related to outpatient and residential treatment services, including:
        1. Services provided to incarcerated individuals;
        2. Medication-assisted treatment;
        3. Abstinence-based treatment; and
        4. Treatment, recovery, or other services provided by community health centers or not-for-profit providers;
      2. Emergency response services provided by law enforcement or first responders; or
      3. Any portion of the cost of administering naloxone; or
    2. Provide funding for any project which:
      1. Supports intervention, treatment, and recovery services provided to persons:
        1. With OUD or co-occurring SUD/MH issues; or
        2. Who have experienced an opioid overdose;
      2. Supports detoxification services, including:
        1. Medical detoxification;
        2. Referral to treatment; or
        3. Connections to other services;
      3. Provides access to opioid-abatement-related housing, including:
        1. Supportive housing; or
        2. Recovery housing;
      4. Provides or supports transportation to treatment or recovery programs or services;
      5. Provides employment training or educational services for persons in treatment or recovery;
      6. Creates or supports centralized call centers that provide information and connections to appropriate services;
      7. Supports crisis stabilization centers that serve as an alternative to hospital emergency departments for persons with OUD and any co-occurring SUD/MH issues or persons that have experienced an opioid overdose;
      8. Improves oversight of opioid treatment programs to ensure evidence-based and evidence-informed practices;
      9. Provides scholarships and support for certified addiction counselors and other mental and behavioral health providers, including:
        1. Training scholarships;
        2. Fellowships;
        3. Loan repayment programs; or
        4. Incentives for providers to work in rural or underserved areas of the Commonwealth;
      10. Provides training on medication-assisted treatment for health care providers, students, or other supporting professionals;
      11. Supports efforts to prevent over-prescribing and ensures appropriate prescribing and dispensing of opioids;
      12. Supports enhancements or improvements consistent with state law for prescription drug monitoring programs;
      13. Supports the education of law enforcement or other first responders regarding appropriate practices and precautions when dealing with opioids or individuals with OUD or co-occurring SUD/MH issues;
      14. Supports opioid-related emergency response services provided by law enforcement or first responders;
      15. Treats mental health trauma issues resulting from the traumatic experiences of opioid users or their family members;
      16. Engages nonprofits, the faith community, and community coalitions to support prevention and treatment, and to support family members in their efforts to care for opioid users in their family;
      17. Provides recovery services, support, and prevention services for women who are pregnant, may become pregnant, or who are parenting with OUD or co-occurring SUD/MH issues;
      18. Trains healthcare providers that work with pregnant or parenting women on best practices for compliances with federal requirements that children born with Neonatal Abstinence Syndrome get referred to appropriate services and receive a plan of care;
      19. Addresses Neonatal Abstinence Syndrome, including prevention, education, and treatment of OUD and any co-occurring SUD/MH issues;
      20. Offers home-based wrap-around services to persons with OUD and any co-occurring SUD/MH issues, including parent-skills training;
      21. Supports positions and services, including supportive housing and other residential services relating to children being removed from the home or placed in foster care due to custodial opioid use;
      22. Provides public education about opioids or opioid disposal;
      23. Provides drug take-back disposal or destruction programs;
      24. Covers the cost of administering naloxone;
      25. Supports pre-trial services that connect individuals with OUD and any co-occurring SUD/MH issues to evidence-informed treatment and related services;
      26. Supports treatment and recovery courts for persons with OUD and any co-occurring SUD/MH issues, but only if they provide referrals to evidence-informed treatment;
      27. Provides evidence-informed treatment, recovery support, harm reduction, or other appropriate services to individuals with OUD and any co-occurring SUD/MH issues who are incarcerated, leaving jail or prison, have recently left jail or prison, are on probation or parole, are under community corrections supervision, or are in re-entry programs or facilities;
      28. Meets the criteria included in any settlement agreement or judgment between the parties listed in KRS 15.293 (3)(a); or
      29. Any other project deemed appropriate for opioid-abatement purposes by the commission.
  3. The commission may identify additional duties or responsibilities, including:
    1. Reporting on projects and programs related to addressing the opioid epidemic;
    2. Developing priorities, goals, and recommendations for spending on the projects and programs;
    3. Working with state agencies or outside entities to develop measures for projects and programs that address substance use disorders; or
    4. Making recommendations for policy changes on a state or local level, including statutory law and administrative regulations.
  4. The commission shall:
    1. Create and maintain a Web site on which it shall publish its minutes, attendance rolls, funding awards, and reports of funding by recipients; and
    2. Promulgate administrative regulations to implement this section. The commission may promulgate emergency administrative regulations to take effect immediately so that funds may be distributed more quickly and efficiently to combat the opioid epidemic.

HISTORY: 2021 ch. 113, § 1, effective March 24, 2021.

15.293. Opioid abatement trust fund.

  1. As used in this section, “commission” means the Kentucky Opioid Abatement Advisory Commission created in KRS 15.291 .
  2. There is hereby established in the State Treasury a trust and agency account to be known as the opioid abatement trust fund. Moneys in the fund are hereby appropriated for the purposes set forth in KRS 15.291 , distributed as described in subsection (3) of this section, and shall not be appropriated or transferred by the General Assembly for any other purposes.
  3. The fund shall consist of:
    1. Fifty percent (50%) of all proceeds received by the Commonwealth, counties, consolidated local governments, urban-county governments, and cities of the Commonwealth in any settlement or judgment against McKesson Corporation, Cardinal Health 5, LLC, Amerisourcebergen Drug Corporation, and Johnson & Johnson, and any of their affiliates or subsidiaries related to opioid manufacturing or distribution to the extent included in a settlement agreement; and
    2. Any other moneys received from state appropriations, gifts, grants, or federal funds.
    1. The fund shall not consist of the remaining fifty percent (50%) of all proceeds received by the Commonwealth, counties, consolidated local governments, urban-county governments, and cities of the Commonwealth in any settlement or judgment against McKesson Corporation, Cardinal Health 5, LLC, Amerisourcebergen Drug Corporation, and Johnson & Johnson, and any of their affiliates or subsidiaries related to opioid manufacturing or distribution to the extent included in a settlement agreement. (4) (a) The fund shall not consist of the remaining fifty percent (50%) of all proceeds received by the Commonwealth, counties, consolidated local governments, urban-county governments, and cities of the Commonwealth in any settlement or judgment against McKesson Corporation, Cardinal Health 5, LLC, Amerisourcebergen Drug Corporation, and Johnson & Johnson, and any of their affiliates or subsidiaries related to opioid manufacturing or distribution to the extent included in a settlement agreement.
    2. The remaining fifty percent (50%) of all proceeds not included in the fund shall be paid to counties, consolidated local governments, urban-county governments, and cities of the Commonwealth in accordance with an agreement reached among them that incorporates the criteria of KRS 15.291(5). If no such agreement is reached, the money shall be paid to a trustee appointed jointly by the Kentucky Association of Counties and the Kentucky League of Cities for distribution of the funds to counties, consolidated local governments, urban-county governments, and cities of the Commonwealth using the criteria listed in KRS 15.291(5).
      1. Each recipient of moneys from the fund shall submit on an annual basis a certification that the funds were used consistent with the criteria in KRS 15.291(5), a description of the use of such funds, and such other information as the commission requests through administrative regulation. (c) 1. Each recipient of moneys from the fund shall submit on an annual basis a certification that the funds were used consistent with the criteria in KRS 15.291(5), a description of the use of such funds, and such other information as the commission requests through administrative regulation.
        1. Each county, consolidated local government, urban-county government, or city of the Commonwealth that receives any proceeds under paragraph (b) of this subsection shall submit, on an annual basis a certification that the funds were used consistent with the criteria in KRS 15.291(5), a list of fund recipients and amounts, a description of the use of the funds, and any other information as the commission requests through the promulgation of an administrative regulation. 2. a. Each county, consolidated local government, urban-county government, or city of the Commonwealth that receives any proceeds under paragraph (b) of this subsection shall submit, on an annual basis a certification that the funds were used consistent with the criteria in KRS 15.291(5), a list of fund recipients and amounts, a description of the use of the funds, and any other information as the commission requests through the promulgation of an administrative regulation.
        2. If a trustee is appointed under paragraph (b) of this subsection, the certifications shall be sent to the trustee, and the trustee will compile and submit one (1) report to the commission.
        3. If a trustee is not appointed, the certifications shall be submitted to the commission as provided by administrative regulation.
        4. Funds shall be withheld from any county, consolidated local government, urban-county government, or city of the Commonwealth that does not comply with this paragraph until such time as compliance is achieved.
    3. To the extent that a settlement has been reached in any litigation against the companies listed in paragraph (a) of this subsection, each county, consolidated local government, urban-county government, city, political subdivision, and public agency, as that term is defined in KRS 61.805(2), of the Commonwealth shall be deemed to have released its claims against the companies listed in paragraph (a) of this subsection and their affiliates and subsidiaries to the extent referenced in a settlement agreement, consent judgment, order, or other document that reflects the terms of any settlement.
  4. Amounts deposited in the fund shall be used only for the purposes described in KRS 15.291 .
  5. Notwithstanding KRS 45.229 , moneys in the fund not expended at the close of a fiscal year shall not lapse but shall be carried forward into the next fiscal year.
  6. Any interest earnings of the fund shall become a part of the fund and shall not lapse.
  7. Moneys in the fund shall be distributed no less than annually.
    1. The Department of Law may recover its reasonable costs of litigation from the moneys received under subsection (3)(a) of this section. (9) (a) The Department of Law may recover its reasonable costs of litigation from the moneys received under subsection (3)(a) of this section.
    2. The Department of Law may recover any direct costs, including employee time, used to perform or administer the duties required by this section and KRS 15.291 from the moneys received under subsection (3)(a) of this section. The Department of Law shall report all such recovered costs to the commission no less than annually.
  8. The commission shall continue to make distributions from the fund as long as defendants in the opioid litigation make payments to the Commonwealth or until the time that the moneys in the fund are exhausted.

HISTORY: 2021 ch. 113, § 2, effective March 24, 2021.

Tobacco Master Settlement Compliance Advisory Board

15.300. Tobacco Master Settlement Agreement Compliance Advisory Board — Members — Organization — Duties — Duties of Attorney General.

  1. As used in this section, “consent order” means the consent order of December 21, 1998, agreed to in Commonwealth of Kentucky v. Philip Morris Inc. et al., Docket Number 98-CI-01579, Franklin Circuit Court.
  2. There is created the Tobacco Master Settlement Agreement Compliance Advisory Board in the Department of Law. The board shall be composed of six (6) members as follows:
    1. The Attorney General, or the Attorney General’s designee;
    2. The secretary of the Cabinet for Health and Family Services, or the secretary’s designee;
    3. The Commissioner of Agriculture, or the Commissioner’s designee;
    4. The secretary of the Public Protection Cabinet, or the secretary’s designee; and
    5. Two (2) citizens at large appointed by the Attorney General.
  3. The citizen members of the board shall serve for terms of one (1) year and until their successors are appointed. The citizen members shall be eligible for successive terms on the board.
  4. The board shall annually elect a member to serve as its chair and shall meet at least quarterly on a date set by the board. Board members shall be reimbursed for necessary expenses incurred in serving on the board.
  5. The board may adopt rules governing the conduct of its meetings, the creation of meeting agendas, and other procedural matters it deems necessary. The board may adopt reporting forms, which shall be developed in consultation with participating agencies.
  6. The Office of the Attorney General shall:
    1. Enter into a memorandum of agreement with the Department of Public Health of the Cabinet for Health and Family Services, the Department of Alcoholic Beverage Control in the Public Protection Cabinet, and the Department of Agriculture to identify and report possible violations of the consent order;
    2. Attempt to secure funding under the master settlement agreement to reimburse the agencies specified in paragraph (a) of this subsection for any compliance activity that they perform; and
    3. Provide necessary funding and staff for administrative expenses related to the operation of the board. The board may request assistance from other state agencies.
  7. The Tobacco Master Settlement Agreement Compliance Advisory Board shall:
    1. Identify activities for which training is required for personnel of the state agencies specified in paragraph (a) of subsection (6) of this section that are responsible for identifying and reporting possible violations of the consent order;
    2. Determine eligible compliance training costs and seek reimbursement for the costs; and
    3. Notify the appropriate tobacco manufacturer, in writing, of any alleged violation of the consent order and request a response and, if applicable, a corrective action plan within thirty (30) days from the date of the notice. If the manufacturer fails to respond or to satisfactorily resolve the matter, the board shall review the matter at its next meeting and may refer the matter to the Office of the Attorney General for enforcement action, if warranted.

History. Enact. Acts 2000, ch. 350, § 1, effective July 14, 2000; 2005, ch. 99, § 80, effective June 20, 2005; 2010, ch. 24, § 15, effective July 15, 2010.

Kentucky Law Enforcement Council

15.310. Definitions for KRS 15.310 to 15.510, 15.990, and 15.992.

As used in KRS 15.310 to 15.510 , 15.990 , and 15.992 , unless the context otherwise requires:

  1. “Basic training course” means the peace officer or court security officer basic training course provided by the Department of Criminal Justice Training or a course approved and recognized by the Kentucky Law Enforcement Council;
  2. “Certified court security officer” means a court security officer who is certified under KRS 15.380 to 15.404 ;
  3. “Certified peace officer” means a peace officer who is certified under KRS 15.380 to 15.404 ;
  4. “Certification” means the act by the council of issuing certification to a peace officer or court security officer who successfully completes the training requirements pursuant to KRS 15.404 and the requirements set forth within this chapter;
  5. “Council” means the Kentucky Law Enforcement Council established by KRS 15.310 to 15.510 , 15.990 , and 15.992 ;
  6. “Court security officer” means a person required to be certified under KRS 15.380(1)(c) and who is charged with the duties set out in KRS 70.280 ;
  7. “Department” means the Department of Criminal Justice Training of the Justice and Public Safety Cabinet;
  8. “Fire investigator” means a professional firefighter, as used in KRS 95A.210 , who has been appointed to be a fire investigator and to exercise peace officer powers under KRS 95A.100 , or a deputy fire marshal who has been appointed to be a fire investigator and to exercise peace officer powers under KRS 227.220 ;
  9. “Law enforcement officer” means a member of a lawfully organized police unit or police force of county, city or metropolitan government who is responsible for the detection of crime and the enforcement of the general criminal laws of the state, as well as sheriffs, sworn deputy sheriffs, campus police officers, law enforcement support personnel, public airport authority security officers, other public and federal peace officers responsible for law enforcement, and special local peace officers licensed pursuant to KRS 61.360 ;
  10. “Peace officer” means a person defined in KRS 446.010 , or a fire investigator appointed to exercise peace officer powers under KRS 95A.100 or 227.220 ;
  11. “Secretary” means the secretary of the Justice and Public Safety Cabinet; and
  12. “Validated job task analysis” means the minimum entry level qualifications and training requirements for peace officers in the Commonwealth based upon an actual survey and study of police officer duties and responsibilities conducted by an entity recognized by the Kentucky Law Enforcement Council as being competent to conduct such a study.

HISTORY: Enact. Acts 1968, ch. 129, § 1; 1974, ch. 74, Art. V, § 30; 1978, ch. 155, § 7, effective June 17, 1978; 1984, ch. 111, § 20, effective July 13, 1984; 1986, ch. 64, § 2, effective July 15, 1986; 1998, ch. 606, § 98, effective July 15, 1998; 2000, ch. 480, § 1, effective July 14, 2000; 2007, ch. 54, § 6, effective June 26, 2007; 2007, ch. 85, § 17, effective June 26, 2007; 2013, ch. 22, § 9, effective June 25, 2013; 2018 ch. 128, § 1, effective January 1, 2019.

NOTES TO DECISIONS

Cited in:

Wellman v. Blanton, 927 S.W.2d 347, 1996 Ky. App. LEXIS 138 (Ky. Ct. App. 1996).

Opinions of Attorney General.

This section does not confer jurisdiction on the Kentucky Law Enforcement Council to regulate the training of instructors of private police officers or to issue or withhold certificates for such instructors. OAG 72-328 .

15.315. Kentucky Law Enforcement Council.

The Kentucky Law Enforcement Council is hereby established as an independent administrative body of state government to be made up as follows:

  1. The Attorney General of Kentucky, the commissioner of the Department of Kentucky State Police, the commissioner of the Department of Criminal Justice Training, the chief of police of the Louisville Metro Police Department, the chief of police of the Lexington-Fayette Urban County Division of Police, the director of the Southern Police Institute of the University of Louisville, the dean of the College of Justice and Safety of Eastern Kentucky University, the president of the Kentucky Peace Officers Association, the president of the Kentucky Association of Chiefs of Police, the Kentucky president of the Fraternal Order of Police, the president of the Kentucky Women’s Law Enforcement Network, and the president of the Kentucky Sheriffs’ Association shall be ex officio members of the council, as full voting members of the council by reason of their office. The United States attorneys for the Eastern and Western Districts of Kentucky may confer and designate a local law enforcement liaison who shall serve on the council in an advisory capacity only without voting privileges. Each ex officio member may designate in writing a person to represent him or her and to vote on his or her behalf. Designees of the Department of Kentucky State Police, Department of Criminal Justice Training, Louisville Metro Police Department, and the Lexington-Fayette Urban County Division of Police shall be the head of the agency’s training division or the agency’s deputy chief or deputy commissioner.
  2. Twelve (12) members shall be appointed by the Governor for terms of four (4) years from the following classifications: a city manager or mayor, a county judge/executive, three (3) Kentucky sheriffs, a member of the Kentucky State Bar Association, five (5) chiefs of police, and a citizen of Kentucky not coming within the foregoing classifications. No person shall serve beyond the time he or she holds the office or employment by reason of which he or she was initially eligible for appointment. Vacancies shall be filled in the same manner as the original appointment and the successor shall be appointed for the unexpired term. Any member may be appointed for additional terms.
  3. No member may serve on the council with the dual membership as the representative of more than one (1) of the aforementioned groups or the holder of more than one (1) of the aforementioned positions. In the event that an existing member of the council assumes a position entitling him to serve on the council in another capacity, the Governor shall appoint an additional member from the group concerned to prevent dual membership.
  4. Membership on the council does not constitute a public office, and no member shall be disqualified from holding public office by reason of his membership.

History. Enact. Acts 1968, ch. 129, § 2; 1974, ch. 74, Art. V, § 31; 1978, ch. 384, § 534, effective June 17, 1978; 1988, ch. 56, § 1, effective July 15, 1988; 1998, ch. 606, § 79, effective July 15, 1998; 2002, ch. 200, § 1, effective July 15, 2002; 2007, ch. 85, § 18, effective June 26, 2007; 2013, ch. 72, § 8, effective June 25, 2013; 2019 ch. 71, § 1, effective June 27, 2019.

Opinions of Attorney General.

The use of the term “chief of police” in subsection (2) of this section does not include the director of security of the park rangers of the Kentucky Department of Parks, so that one appointed to the Kentucky Law Enforcement Council as one of the five police chiefs required by this section was not eligible for reappointment when he resigned his position as chief of police to take the job of director of the park rangers. OAG 72-70 .

When KRS 18.140 (see now KRS 18A.115 ) is considered along with KRS 18.130 (repealed) it is apparent that the Kentucky Law Enforcement Council, as an entity, is covered by the merit system; however, the members of the Kentucky Law Enforcement Council, its executive director and his secretary are exempt from the merit system under subsection (1)(c) of KRS 18.140 (see now KRS 18A.115 ). OAG 72-217 .

Where the officer performs such duties by reason of his occupancy of a position, anyone acting legitimately for that officer, even on a temporary basis, falls heir to the right to perform those duties in the absence of a specific statute forbidding the performance of such duties by a deputy or acting officer, so that the acting director of the school of law enforcement of Eastern Kentucky University may sit as a temporary council member of the Kentucky Law Enforcement Council and vote on matters coming before it. OAG 73-693 .

15.320. Meetings of council — Officers — Quorum — Reports.

The business of the council shall be conducted in the following manner:

  1. The council at its initial meeting to be held promptly after the appointment of its members, shall elect a chairman and vice chairman from among its members who shall serve until the first meeting in the succeeding year. Thereafter, the chairman and vice chairman shall be elected at the first meeting of each calendar year.
  2. Ten (10) members of the council shall constitute a quorum for the transaction of business.
  3. The council shall maintain minutes of its meetings and such other records as it deems necessary.
  4. The council shall report at least annually to the Governor and to the General Assembly as to its activities.

History. Enact. Acts 1968, ch. 129, § 3; 2002, ch. 200, § 2, effective July 15, 2002.

15.325. Members to be reimbursed for expenses.

The members of the council shall receive no salary but shall be reimbursed for their reasonable and necessary expenses actually incurred in the performance of their functions.

History. Enact. Acts 1968, ch. 129, § 4.

15.330. Functions and powers of council.

  1. The council is vested with the following functions and powers:
    1. To prescribe standards for the approval and continuation of approval of schools at which law enforcement and telecommunications training courses required under KRS 15.310 to 15.510 , 15.530 to 15.590 , and 15.990 to 15.992 shall be conducted, including but not limited to minimum standards for facilities, faculty, curriculum, and hours of attendance related thereto;
    2. To prescribe minimum qualifications for instructors at such schools, except that institutions of higher education shall be exempt from council requirements;
    3. To prescribe qualifications for attendance and conditions for expulsion from such schools;
    4. To prescribe minimum standards and qualifications for voluntary career development programs for certified peace officers and telecommunicators, including minimum standards for experience, education, and training, and to issue certificates to those meeting the minimum standards;
    5. To approve, to issue, and to revoke for cause certificates to schools and instructors as having met requirements under KRS 15.310 to 15.404 ;
    6. To approve law enforcement officers, telecommunicators, and other persons as having met requirements under KRS 15.310 to 15.510 , 15.530 to 15.590 , and 15.990 to 15.992 ;
    7. To inspect and evaluate schools at any time and to require of schools, instructors, and persons approved or to be approved under the provisions of KRS 15.310 to 15.510, 15.530 to 15.590, and 15.990 to 15.992, any information or documents;
    8. To promulgate reasonable rules and administrative regulations in accordance with KRS Chapter 13A to accomplish the purposes of KRS 15.310 to 15.404 and KRS 158.4414;
    9. To monitor the Law Enforcement Foundation Program as prescribed in KRS 15.410 to 15.510;
    10. To adopt bylaws for the conduct of its business not otherwise provided for; and
    11. The council shall have the authority to certify police officers as set out in this chapter.
  2. The provisions of KRS 15.310 to 15.510 , 15.530 to 15.590 , and 15.990 to 15.992 do not apply to the Department of Kentucky State Police except for the certification requirement established by this chapter.

History. Enact. Acts 1968, ch. 129, § 5; 1974, ch. 74, Art. V, § 32; 1978, ch. 155, § 8, effective June 17, 1978; 1984, ch. 300, § 3, effective July 13, 1984; 1998, ch. 606, § 117, effective July 15, 1998; 2000, ch. 480, § 2, effective July 14, 2000; 2002, ch. 133, § 1, effective July 15, 2002; 2006, ch. 82, § 1, effective July 12, 2006; 2007, ch. 85, § 19, effective June 26, 2007; 2007, ch. 139, § 2, effective June 26, 2007; 2019 ch. 5, § 7, effective March 11, 2019.

Legislative Research Commission Notes.

(6/26/2007). This section was amended by 2007 Ky. Acts chs. 85 and 139, which do not appear to be in conflict and have been codified together.

15.331. Basic law enforcement training to include training on bias-related crime. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 413, § 1, effective July 14, 1992.) was repealed by Act 2005, ch. 132, § 32, effective June 20, 2005.

15.333. Educational program concerning HIV and AIDS for law enforcement officers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 443, § 65, effective July 13, 1990; 1998, ch. 426, § 65, effective July 15, 1998; 2005, ch. 99, § 81, effective June 20, 2005.) was repealed by Act 2005, ch. 132, § 32, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005.) Under KRS 446.260 , the repeal of this section in 2005 Ky. Acts ch. 132 prevails over its amendment in 2005 Ky. Acts ch. 99.

15.334. Mandatory training subjects for law enforcement students — Mandatory in-service training courses for certified peace officers — Administrative regulations — Sexual assault investigation training course — Domestic violence and abuse training.

  1. The Kentucky Law Enforcement Council shall approve mandatory training subjects to be taught to all students attending a law enforcement basic training course that include but are not limited to:
    1. Abuse, neglect, and exploitation of the elderly and other crimes against the elderly, including the use of multidisciplinary teams in the investigation and prosecution of crimes against the elderly;
    2. The dynamics of domestic violence, pediatric abusive head trauma, as defined in KRS 620.020 , child physical and sexual abuse, and rape; child development; the effects of abuse and crime on adult and child victims, including the impact of abuse and violence on child development; legal remedies for protection; lethality and risk issues; profiles of offenders and offender treatment; model protocols for addressing domestic violence, rape, pediatric abusive head trauma, as defined in KRS 620.020 , and child abuse; available community resources and victim services; and reporting requirements. This training shall be developed in consultation with legal, victim services, victim advocacy, and mental health professionals with expertise in domestic violence, child abuse, and rape. Training in recognizing pediatric abusive head trauma may be designed in collaboration with organizations and agencies that specialize in the prevention and recognition of pediatric abusive head trauma approved by the secretary of the Cabinet for Health and Family Services;
    3. Human immunodeficiency virus infection and acquired immunodeficiency virus syndrome;
    4. Identification and investigation of, responding to, and reporting bias-related crime, victimization, or intimidation that is a result of or reasonably related to race, color, religion, sex, or national origin;
    5. The characteristics and dynamics of human trafficking, state and federal laws relating to human trafficking, the investigation of cases involving human trafficking, including but not limited to screening for human trafficking, and resources for assistance to the victims of human trafficking;
    6. Beginning January 1, 2017, the council shall require that a law enforcement basic training course include at least eight (8) hours of training relevant to sexual assault; and
    7. Education on female genital mutilation as defined in KRS 508.125 , including the risk factors associated with female genital mutilation, the criminal penalties for committing female genital mutilation, and the psychological and health effects on a victim of female genital mutilation.
    1. The council shall develop and approve mandatory in-service training courses to be presented to all certified peace officers. The council may promulgate administrative regulations in accordance with KRS Chapter 13A setting forth the deadlines by which all certified peace officers shall attend the mandatory in-service training courses. (2) (a) The council shall develop and approve mandatory in-service training courses to be presented to all certified peace officers. The council may promulgate administrative regulations in accordance with KRS Chapter 13A setting forth the deadlines by which all certified peace officers shall attend the mandatory in-service training courses.
    2. Beginning January 1, 2017, the council shall establish a forty (40) hour sexual assault investigation training course. After January 1, 2019, agencies shall maintain officers on staff who have completed the forty (40) hour sexual assault investigation training course in accordance with the following:
      1. Agencies with more than ten (10) but fewer than twenty-one (21) full- time officers shall maintain one (1) officer who has completed the forty (40) hour sexual assault investigation training course;
      2. Agencies with twenty-one (21) or more but fewer than fifty-one (51) full-time officers shall maintain at least two (2) officers who have completed the forty (40) hour sexual assault investigation training course; and
      3. Agencies with fifty-one (51) or more full-time officers shall maintain at least four (4) officers who have completed the sexual assault investigation course.
    3. An agency shall not make an officer directly responsible for the investigation or processing of sexual assault offenses unless that officer has completed the forty (40) hour sexual assault investigation training course.
    4. The council may, upon application by any agency, grant an exemption from the training requirements set forth in paragraph (b) of this subsection if that agency, by limitations arising from its scope of authority, does not conduct sexual assault investigations.
    5. Any agency failing to comply with paragraph (b) or (c) of this subsection shall, from the date the noncompliance commences, have one (1) year to reestablish the minimum number of trained officers required.
  2. The Justice and Public Safety Cabinet shall provide training on the subjects of domestic violence and abuse and may do so utilizing currently available technology. All certified peace officers shall be required to complete this training at least once every two (2) years.
  3. The council shall promulgate administrative regulations in accordance with KRS Chapter 13A to establish mandatory basic training and in-service training courses.

History. Enact. Acts 2005, ch. 132, § 11, effective June 20, 2005; 2010, ch. 170, § 16, effective July 15, 2010; 2010, ch. 171, § 2, effective July 15, 2010; 2013, ch. 25, § 14, effective June 25, 2013; 2016 ch. 58, § 9, effective April 8, 2016; 2019 ch. 55, § 1, effective June 27, 2019; 2020 ch. 74, § 3, effective April 2, 2020.

Legislative Research Commission Notes.

(4/8/2016). 2016 Ky. Acts ch. 58, sec. 11 provided that that Act shall be known as the Sexual Assault Forensic Evidence (SAFE) Act of 2016. This statute was amended in Section 9 of that Act.

15.335. Residence or voting eligibility not to disqualify peace officer.

No person shall be disqualified from holding a position as a peace officer by reason of his residence or voting eligibility, except as provided in the Constitution.

History. Enact. Acts 1968, ch. 129, § 6.

Compiler’s Notes.

The Kentucky Court of Appeals in Bogard v. Commonwealth , 687 S.W.2d 533 (Ky. Ct. App. 1984) held that the 1980 amendment to KRS 95.440(2) repealed this section by implication.

NOTES TO DECISIONS

1.Section Repealed By Implication.

The 1980 amendment to KRS 95.440(2) repealed by implication this section, and a police officer, who was not a qualified voter of the county containing his city of employment, did not qualify as a police officer of that city. Bogard v. Commonwealth, 687 S.W.2d 533, 1984 Ky. App. LEXIS 597 (Ky. Ct. App. 1984), cert. denied, 474 U.S. 843, 106 S. Ct. 130, 88 L. Ed. 2d 106, 1985 U.S. LEXIS 3560 (U.S. 1985).

2.Constitutionality.

Because this section applies equally to the class of all police officers throughout the state and is sufficiently supported by the reason that the safety of the police requires the most competent and qualified individuals available from the largest applicant pool, it is not special legislation and does not violate Ky. Const., § 59. City of Ashland v. Ashland F.O.P. #3, 888 S.W.2d 667, 1994 Ky. LEXIS 114 ( Ky. 1994 ).

3.Residency Requirement.

The county residency requirement of KRS 61.300(2), does not apply to city police officers and does not conflict with or repeal by implication this section, but merely carves out an exception. City of Ashland v. Ashland F.O.P. #3, 888 S.W.2d 667, 1994 Ky. LEXIS 114 ( Ky. 1994 ).

Opinions of Attorney General.

Under Ky. Const., § 234, a policeman is required to reside within the city in which he is employed. OAG 68-358 .

The provisions herein repeal by implication the residential requirements of KRS 88.170 (repealed) with respect to a town marshal of a city of the sixth class. The town marshal is no longer required to be a resident and legal voter of such city. OAG 70-3 .

The provisions herein repeal by implication the residential requirements of KRS 61.300 (1)(b) with respect to a deputy sheriff. Thus a deputy sheriff is no longer required to meet the terms of KRS 61.300 (1)(b) as to residence. OAG 70-34 . (Opinion prior to 1980 amendment of KRS 61.300).

A person would not be disqualified from serving as chief of police of a city of the third class where he has only resided in the city and county for one day and is not a qualified voter of either the city or the county. OAG 70-49 .

No person is disqualified from holding a position as a peace officer by reason of his residency or voting eligibility except as provided in the Constitution. OAG 70-49 .

A deputy constable is not disqualified from serving in that capacity because of his residing in a district other than that in which the constable resides. OAG 70-187 .

Neither the marshal, deputy marshal nor policemen are required to possess the residential and voting qualifications required under KRS 88.170 (repealed) or Ky. Const., § 234, since the enactment of this section. OAG 71-336 .

In view of the repealing effect of this section on KRS 88.170 (repealed) and since Ky. Const., § 234 only applies to those officers directly named and designated in the Constitution, the marshal is not required to live within the city boundaries of the city in which he is marshal. OAG 73-634 .

A chief of police is a “peace officer” and not a “city officer” and does not have to reside within the city he serves as chief. OAG 73-834 .

A county police officer is not a constitutional officer for the purpose of residency under the Kentucky Constitution; thus, pursuant to this section, limiting residency and voting qualifications to constitutional officers, the residency requirements of KRS 61.300 and 70.540 do not apply. OAG 74-581 .

This section repeals by implication KRS 61.300 and, since a deputy sheriff is not an officer named and designated in the text of the Constitution, he is not required by Ky. Const., § 234 to reside in the county in which he serves. OAG 75-52 .

Since peace officers are not disqualified from holding their positions by reason of residency, a city of the sixth class could employ a town marshal who does not live within the city limits. OAG 76-188 .

This section remains effective irrespective of the subsequent amendments to KRS 61.300 , 63.180 , and 95.710 and consequently controls the residency requirements for police officers in cities of the fifth class. OAG 79-505 .

The legislative intent in passing this section was to eliminate any and all residency requirements for elected and nonelected peace officers as long as they are not mentioned in the Constitution, thereby permitting the employment of policemen in all classes of cities regardless of where they reside as long as it is in Kentucky. OAG 79-505 .

A county ordinance requiring deputy sheriffs to complete a two-week peace officer course at the Kentucky Bureau of Training within six months of appointment, qualify on a pistol range and purchase a minimum of $100,000 professional liability insurance as minimum qualifications for deputy sheriffs is invalid since it conflicts with the various requirements of KRS 70.030 , KRS 61.300 , and this section which preempt the field of deputy qualifications. OAG 81-35 .

This section is not in conflict with Ky. Const., §§ 100, 101 or 234, as relates to the sheriff and constable, since the waiver of residency requirement is expressly declared to be not effective for constitutional officers. OAG 82-105 .

KRS 61.300(2), which establishes a two-year residency requirement for certain peace officers, repeals by implication this section, which waives the residency requirements for peace officers, to the extent of their conflict; thus a deputy sheriff is required to have resided in the county of appointment for a period of at least two years. OAG 83-491 .

A city council may pass an ordinance requiring employes to be city residents but policemen would be exempt from such requirement under this section. OAG 84-76 .

KRS 95.440 was amended subsequent to the enactment of this section, and the amended statute repealed by implication the provisions of this section, even though the amendment did not relate to residency; as a consequence, police officers are governed by KRS 95.440 and 95.710 , requiring county residency. The statutory requirement, that of county residency for police officers, cannot be altered by a city ordinance requiring city residency, as such would constitute a direct conflict. OAG 85-2 , withdrawing opinions to the contrary — see OAG 71-246 , 73-461, 73-556, 76-416, 78-268, 79-369, 79-505, 80-68, 82-225.

15.340. Availability of facilities and services.

Subject to approval by the secretary, the department may make its facilities and services available upon the following terms:

  1. The department may determine to which law enforcement agencies, corrections agencies, and court agencies and its officers it will offer training;
  2. In determining the law enforcement officers for which it will offer training and in allocating available funds, the department shall give first priority to “police officers” as defined by KRS 15.420(2), public airport authority security officers, and campus police;
  3. Fire investigators shall be offered training by the department;
  4. Except for the officers described in subsection (2) of this section, the department may determine whether persons to whom it offers training or agencies employing such persons must bear any or all costs of such training.

HISTORY: Enact. Acts 1968, ch. 129, § 7; 1974, ch. 74, Art. V, § 33; 1976, ch. 300, § 9; 1978, ch. 155, § 9, effective June 17, 1978; 1986, ch. 386, § 1, effective July 15, 1986; 2018 ch. 128, § 2, effective January 1, 2019.

Opinions of Attorney General.

The Kentucky Law Enforcement Council is not required to train airport security guards at its expense; however, it may do so pursuant to the authority of this statute, at the employer’s expense, if the council decides to authorize their training. OAG 73-573 ; 72-728.

15.350. Definitions.

As used in KRS 15.350 to 15.370 :

  1. “Police training” includes all formal police training activities in the Commonwealth with the exception of on-the-job training, training conducted at police roll calls, and training conducted by institutions of higher education. The Kentucky Law Enforcement Council shall, by regulation, define those activities which constitute formal police training and those which do not.
  2. “Police instructor” means any person engaged in conducting, supervising, or teaching in courses of police training as defined in subsection (1) of this section.

History. Enact. Acts 1972, ch. 160, § 1.

15.360. Certification of police instructors.

  1. The Kentucky Law Enforcement Council shall have the power to certify police instructors and to recertify the same. Said certifications shall be done pursuant to regulations issued by the council for the purpose of assuring high quality police instructors in the Commonwealth. Said regulations may include but are not limited to:
    1. The level of formal or other training possessed by the instructor;
    2. The work-related background of the instructor;
    3. The personal background of the instructor with regard to absence of past criminal record; and
    4. Other such matters as the council may deem to be necessary to insure high quality police instruction for the Commonwealth.
  2. The council shall make no charges for certification as a police instructor.

History. Enact. Acts 1972, ch. 160, § 2; 1982, ch. 246, § 13, effective April 1, 1982.

NOTES TO DECISIONS

1.Emergency Clause Valid.

The reason stated in the emergency clause of Acts 1982, ch. 246 which act deals generally with a surcharge upon certain insurance premiums collected in the state which is intended to fund a trust for the payment of incentives to the fire fighters and policemen of the various municipalities, to the effect that the general fund appropriations for fiscal year 1981-82 for the professional fire fighters foundation program fund as provided by KRS 95A.200 through 95A.990 , and the law enforcement foundation program fund as provided by KRS 15.410 through 15.510 , would lapse on June 30, 1982, sufficiently supported the legislative declaration of an emergency. American Ins. Asso. v. Geary, 635 S.W.2d 306, 1982 Ky. LEXIS 265 ( Ky. 1982 ).

15.370. Certification required for police instruction.

No person shall act as a police instructor or engage in police training as defined in KRS 15.350 unless he shall possess a certification or waiver of certification issued by the council.

History. Enact. Acts 1972, ch. 160, § 3; 1984, ch. 111, § 21, effective July 13, 1984.

Officer Certification and Training

15.380. Officers required to be certified — Officers permitted to be certified — Exemptions.

  1. The following officers employed or appointed as full-time, part-time, or auxiliary officers, whether paid or unpaid, shall be certified:
    1. Department of Kentucky State Police officers, but for the commissioner of the Department of Kentucky State Police;
    2. City, county, and urban-county police officers;
    3. Court security officers and deputy sheriffs, except those identified in KRS 70.045 and 70.263(3);
    4. State or public university police officers appointed pursuant to KRS 164.950;
    5. School resource officers as defined in KRS 158.441 and employed or appointed under KRS 158.4414;
    6. Airport safety and security officers appointed under KRS 183.880 ;
    7. Department of Alcoholic Beverage Control investigators appointed under KRS 241.090 ;
    8. Division of Insurance Fraud Investigation investigators appointed under KRS 304.47-040 ;
    9. Fire investigators appointed or employed under KRS 95A.100 or 227.220 ; and
    10. County detectives appointed in accordance with KRS 69.360 after July 1, 2019.
  2. The requirements of KRS 15.380 to 15.404 for certification may apply to all state peace officers employed pursuant to KRS Chapter 18A and shall, if adopted, be incorporated by the Personnel Cabinet for job specifications.
  3. Additional training in excess of the standards set forth in KRS 15.380 to 15.404 for all peace officers possessing arrest powers who have specialized law enforcement responsibilities shall be the responsibility of the employing agency.
  4. The following officers may, upon request of the employing agency, be certified by the council:
    1. Deputy coroners;
    2. Deputy constables;
    3. Deputy jailers;
    4. Deputy sheriffs under KRS 70.045 and 70.263(3);
    5. Officers appointed under KRS 61.360 ;
    6. Officers appointed under KRS 61.902 , except those who are school resource officers as defined in KRS 158.441 and who shall be certified under subsection (1)(e) of this section;
    7. Private security officers;
    8. Employees of a correctional services division created pursuant to KRS 67A.028 and employees of a metropolitan correctional services department created pursuant to KRS 67B.010 to 67B.080 ; and
    9. Investigators employed by the Department of Charitable Gaming in accordance with KRS 238.510 ; and
    10. Commonwealth detectives employed under KRS 69.110 and county detectives employed under KRS 69.360 .
  5. The following officers shall be exempted from the certification requirements but may upon their request be certified by the council:
    1. Sheriffs;
    2. Coroners;
    3. Constables;
    4. Jailers;
    5. Kentucky Horse Racing Commission security officers employed under KRS 230.240 ; and
    6. Commissioner of the State Police.
  6. Federal peace officers cannot be certified under KRS 15.380 to 15.404 .
  7. Local alcoholic beverage control investigators appointed under KRS Chapter 241 on or after April 1, 2019, shall be certified by the council if all minimum standards set forth in KRS 15.380 to 15.404 have been met. Local alcoholic beverage control investigators appointed under KRS Chapter 241 before April 1, 2019, shall be exempt from this requirement.

HISTORY: Enact. Acts 1998, ch. 606, § 99, effective December 1, 1998; 2000, ch. 374, § 18, effective July 14, 2000; 2000, ch. 447, § 7, effective July 14, 2000; 2000, ch. 480, § 3, effective July 14, 2000; 2002, ch. 132, § 1, effective July 15, 2002; 2004, ch. 172, § 2, effective July 13, 2004; 2004, ch. 191, § 53, effective April 22, 2004; 2007, ch. 54, § 7, effective June 26, 2007; 2007, ch. 76, § 4, effective June 26, 2007; 2007, ch. 85, § 20, effective June 26, 2007; 2010, ch. 24, § 16, effective July 15, 2010; 2013, ch. 22, § 10, effective June 25, 2013; 2017 ch. 62, § 114, effective June 29, 2017; 2018 ch. 128, § 3, effective January 1, 2019; 2019 ch. 5, § 8, effective March 11, 2019; 2019 ch. 97, § 1, effective June 27, 2019; 2019 ch. 149, § 2, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). This statute was amended by 2019 Ky. Acts chs. 5, 97, and 149, which do not appear to be in conflict and have been codified together.

(6/26/2007). The amendment to this section in 2007 Ky. Acts ch. 76, sec. 4, effective June 26, 2007, is retroactive to July 1, 2004. See 2007 Ky. Acts ch. 76, sec. 5.

(6/26/2007). This section was amended by 2007 Ky. Acts chs. 54, 76, and 85. There is no conflict with Acts ch. 85. Where Acts chs. 54 and 76 are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 76, which was last enacted by the General Assembly, prevails under KRS 446.250 .

NOTES TO DECISIONS

1.Due process.

Statutory scheme regarding the certification of a law enforcement officer and revocation of that certification, under KRS 15.380 et seq., when the officer’s employment was terminated for certain reasons, clearly envisioned that an officer would obtain his due process rights regarding his certification through the employment termination process. Pangallo v. Ky. Law Enforcement Council, 106 S.W.3d 474, 2003 Ky. App. LEXIS 102 (Ky. Ct. App. 2003).

Opinions of Attorney General.

A county detective employed by a county that does not contain a consolidated local government does not have arrest powers; may, but is not required to be, sworn in and wear a badge; and, if an off-duty police officer, retains arrest powers consistent with the law. OAG 13-008 , 2013 Ky. AG LEXIS 126.

15.382. Minimum qualifications for certification.

A person certified after December 1, 1998, under KRS 15.380 to 15.404 or qualified under the requirements set forth in KRS 15.440(1)(d)6. shall, at the time of becoming certified, meet the following minimum qualifications:

  1. Be a citizen of the United States;
  2. Be at least twenty-one (21) years of age;
    1. Be a high school graduate, regardless of whether the school is accredited or certified by a governing body, provided that the education received met the attendance and curriculum standards of Kentucky law at the time of graduation, as determined by the Kentucky Department of Education; or (3) (a) Be a high school graduate, regardless of whether the school is accredited or certified by a governing body, provided that the education received met the attendance and curriculum standards of Kentucky law at the time of graduation, as determined by the Kentucky Department of Education; or
    2. Possess a High School Equivalency Diploma;
  3. Possess a valid license to operate a motor vehicle;
  4. Be fingerprinted for a criminal background check;
  5. Not have been convicted of any felony;
  6. Not be prohibited by federal or state law from possessing a firearm;
  7. Have received and read the Kentucky Law Enforcement Officers Code of Ethics as established by the council;
  8. Have not received a dishonorable discharge, bad conduct discharge, or general discharge under other than honorable conditions, if having served in any branch of the Armed Forces of the United States;
  9. Have passed a medical examination as defined by the council by administrative regulation and provided by a licensed physician, physician assistant, or advanced practice registered nurse to determine if he can perform peace officer duties as determined by a validated job task analysis. However, if the employing agency has its own validated job task analysis, the person shall pass the medical examination, appropriate to the agency’s job task analysis, of the employing agency. All agencies shall certify passing medical examination results to the council, which shall accept them as complying with KRS 15.310 to 15.510 ;
  10. Have passed a drug screening test administered or approved by the council by administrative regulation. A person shall be deemed to have passed a drug screening test if the results of the test are negative for the use of an illegal controlled substance or prescription drug abuse. Any agency that administers its own test that meets or exceeds this standard shall certify passing test results to the council, which shall accept them as complying with KRS 15.310 to 15.510 ;
  11. Have undergone a background investigation established or approved by the council by administrative regulation to determine suitability for the position of a peace officer. If the employing agency has established its own background investigation that meets or exceeds the standards of the council, as set forth by administrative regulation, the agency shall conduct the background investigation and shall certify background investigation results to the council, which shall accept them as complying with KRS 15.310 to 15.510 ;
  12. Have been interviewed by the employing agency;
  13. Not have had certification as a peace officer permanently revoked in another state;
  14. Have taken a psychological suitability screening administered or approved by the council by administrative regulation to determine the person’s suitability to perform peace officer duties as determined by a council validated job task analysis. However, if the employing agency has its own validated job task analysis, the person shall take that agency’s psychological examination, appropriate to the agency’s job task analysis. All agencies shall certify psychological examination results to the council, which shall accept them as complying with KRS 15.310 to 15.510 ;
  15. Have passed a physical agility test administered or approved by the council by administrative regulation to determine his suitability to perform peace officer duties as determined by a council validated job task analysis. However, if the employing agency has its own validated job task analysis, the person shall take the physical agility examination of the employing agency. All agencies shall certify physical agility examination results to the council, which shall accept them as demonstrating compliance with KRS 15.310 to 15.510 ; and
  16. Have taken a polygraph examination administered or approved by the council by administrative regulation to determine his suitability to perform peace officer duties. Any agency that administers its own polygraph examination as approved by the council shall certify the results that indicate whether a person is suitable for employment as a peace officer to the council, which shall accept them as complying with KRS 15.310 to 15.510 .

History. Enact. Acts 1998, ch. 606, § 100, effective December 1, 1998; 2000, ch. 480, § 4, effective July 14, 2000; 2002, ch. 132, § 2, effective July 15, 2002; 2007, ch. 139, § 3, effective June 26, 2007; 2016 ch. 5, § 1, effective March 18, 2016; 2016 ch. 87, § 1, effective July 15, 2016; 2017 ch. 63, § 3, effective June 29, 2017; 2018 ch. 128, § 12, effective January 1, 2019; 2021 ch. 73, § 6, effective June 29, 2021.

NOTES TO DECISIONS

1.National Guard.

Discharge from the National Guard under other than honorable circumstances would prevent someone from becoming certified as a law enforcement officer, KRS 15.382(9), but the same discharge received by a certified officer did not affect that officer’s certification as long as he remained employed. Pangallo v. Ky. Law Enforcement Council, 106 S.W.3d 474, 2003 Ky. App. LEXIS 102 (Ky. Ct. App. 2003).

Opinions of Attorney General.

A city police department did not violate the Open Records Act in denying a request to inspect all documentation and records related to the requester’s application for the position of police recruit since KRS 15.400(3) prohibits disclosure of specifically described information obtained in the application/certification process to peace officers, unsuccessful applicants who wished to become peace officers, and third parties; the prohibition is, by its own terms, mandatory, and extends not only to background investigations, but also to psychological examinations and polygraph examinations administered pursuant to KRS 15.400(2) and this section. OAG 00-ORD-118.

An applicant for certification as a police officer who has a diploma from a private high school that is not certified by the Kentucky Department of Education may still be certified if that private high school complies with all applicable private secondary school provisions. An agency must either follow its precedents or provide a reasoned analysis for its departure from them. A police agency is liable under KRS § 15.396 for employing a police officer whose certification is subsequently revoked only from the time that the police agency becomes aware that the officer’s certification has been revoked. OAG 2015-06 .

15.383. Marksmanship qualification for certified peace officers.

  1. In order to maintain his or her certification as a peace officer, each certified peace officer shall annually meet the marksmanship qualification requirement for a retired peace officer as specified in KRS 237.140 . Each law enforcement agency or other employing agency whose officers are required to meet the requirements of this subsection shall retain a record of each of its officers having met the annual marksmanship qualification. These records shall be made available upon request to the Kentucky Law Enforcement Council and to the Justice and Public Safety Cabinet in order to carry out its responsibilities under KRS 15.330 and 15.450 .
  2. Any law enforcement or other agency employing a certified peace officer may require the certified peace officer to meet a marksmanship qualification requirement which is in excess of that specified in KRS 237.140 . Failure of a certified peace officer to meet the increased marksmanship qualification requirement specified by his or her employing or appointing agency shall not affect the certification of the officer, but may subject the officer to discipline by the agency, including suspension or dismissal of the officer from the agency.

History. Enact. Acts 2005, ch. 182, § 14, effective March 31, 2005; 2006, ch. 240, § 1, effective July 12, 2006; 2018 ch. 128, § 4, effective January 1, 2019.

15.384. Cost of council administered tests — Waiver.

  1. The council shall administer the physical agility, polygraph, psychological, and drug screen tests at cost for those agencies requesting council-administered tests. Agencies may petition the council for waiver of the costs of these tests upon a showing of undue financial hardship.
  2. An agency may, at its own expense, administer its own physical agility, polygraph, psychological, medical, and drug screen tests, as well as additional tests.

History. Enact. Acts 1998, ch. 606, § 101, effective December 1, 1998.

15.386. Certification categories — Required courses — Status of certification.

The following certification categories shall exist:

  1. “Precertification status” means that the officer is currently employed or appointed by an agency and meets or exceeds all those minimum qualifications set forth in KRS 15.382 , but has not successfully completed a basic training course, except those peace officers covered by KRS 15.400 . Upon the council’s verification that the minimum qualifications have been met, the officer shall have full peace officer powers as authorized under the statute under which he or she was appointed or employed. If an officer fails to successfully complete a basic training course within one (1) year of employment, his or her enforcement powers shall automatically terminate, unless that officer is actively enrolled and participating in a basic training course or, after having begun a basic training course, is on an approved extension of time due to injury or extenuating circumstances;
  2. “Certification status” means that unless the certification is in revoked status or inactive status, the officer is currently employed or appointed by an agency and has met all training requirements. The officer shall have full peace officer powers as authorized under the statute under which he or she was appointed or employed;
    1. “Inactive status” means that unless the certification is in revoked status: (3) (a) “Inactive status” means that unless the certification is in revoked status:
      1. The person has been separated on or after December 1, 1998, from the agency by which he or she was employed or appointed and has no peace officer powers; or
      2. The person is on military active duty for a period exceeding three hundred sixty-five (365) days.
    2. The person may remain on inactive status.A person who is on inactive status and who returns to a peace officer position shall have certification status restored if he or she meets the requirements of KRS 15.400(1) or (2) or has successfully completed a basic training course approved and recognized by the council, has not committed an act for which his or her certified status may be revoked pursuant to KRS 15.391 and successfully completes in-service training as prescribed by the council, as follows:
      1. If the person has been on inactive status for a period of less than three (3) years, and the person was not in training deficiency status at the time of separation, he or she shall complete:
        1. The twenty-four (24) hour legal update Penal Code course;
        2. The sixteen (16) hour legal update constitutional procedure course; and
        3. The mandatory training course approved by the Kentucky Law Enforcement Council, pursuant to KRS 15.334 , for the year in which he or she returns to certification status; or
      2. If the person has been on inactive status for a period of three (3) years or more, or the person was in training deficiency status at the time of separation, he or she shall complete:
        1. The twenty-four (24) hour legal update Penal Code course;
        2. The sixteen (16) hour legal update constitutional procedure course;
        3. The mandatory training course approved by the Kentucky Law Enforcement Council, pursuant to KRS 15.334 , for the year in which he or she returns to certification status; and
        4. One (1) of the following forty (40) hour courses which is most appropriate for the officer’s duty assignment:
          1. Basic officer skills;
          2. Orientation for new police chiefs; or
          3. Mandatory duties of the sheriff.
    3. A person returning from inactive to active certification after June 26, 2007, under KRS 15.380 to 15.404 , shall meet the following minimum qualifications:
      1. Be a citizen of the United States;
      2. Possess a valid license to operate a motor vehicle;
      3. Be fingerprinted for a criminal background check;
      4. Not have been convicted of any felony;
      5. Not be prohibited by federal or state law from possessing a firearm;
      6. Have received and read the Kentucky Law Enforcement Officers Code of Ethics as established by the council;
      7. Have not received a dishonorable discharge, bad conduct discharge, or general discharge under other than honorable conditions, if having served in any branch of the Armed Forces of the United States;
      8. Have been interviewed by the employing agency; and
      9. Not have had certification as a peace officer permanently revoked in another state;
  3. “Training deficiency status” means that unless the certification is in revoked status or inactive status, the officer is currently employed or appointed by an agency and has failed to meet all in-service training requirements. The officer’s enforcement powers shall automatically terminate, and he or she shall not exercise peace officer powers in the Commonwealth until he or she has corrected the in-service training deficiency;
  4. “Revoked status” means that the officer has no enforcement powers and his or her certification has been revoked by the Kentucky Law Enforcement Council under KRS 15.391 ; and
  5. “Denied status” means that a person does not meet the requirements to achieve precertification status or certification status.

The design of a certificate may be changed periodically. When a new certificate is produced, it shall be distributed free of charge to each currently certified peace officer.

History. Enact. Acts 1998, ch. 606, § 102, effective December 1, 1998; 2000, ch. 480, § 6, effective July 14, 2000; 2002, ch. 132, § 3, effective July 15, 2002; 2007, ch. 76, § 2, effective June 26, 2007; 2007, ch. 139, § 4, effective June 26, 2007; 2019 ch. 55, § 2, effective June 27, 2019; 2019 ch. 95, § 2, effective June 27, 2019; 2021 ch. 73, § 7, effective June 29, 2021.

Legislative Research Commission Notes.

(6/27/2019). Under the authority of KRS 7.136(1), the Reviser of Statutes has changed the internal numbering of this statute to correct a manifest clerical or typographical error.

(6/26/2007). The amendment to this section in 2007 Ky. Acts ch. 76, sec. 2, effective June 26, 2007, is retroactive to July 1, 2004. See 2007 Ky. Acts ch. 76, sec. 5.

NOTES TO DECISIONS

1.Revocation.

When a police officer allegedly falsified information to maintain his law enforcement certification, but was allowed to resign from his employment for “personal reasons,” the law enforcement council responsible for certifying police officers could not revoke the officer’s certification based on the alleged falsification of information without giving the officer minimal due process rights to challenge the falsification allegation. Pangallo v. Ky. Law Enforcement Council, 106 S.W.3d 474, 2003 Ky. App. LEXIS 102 (Ky. Ct. App. 2003).

KRS 15.386(4) (now (5)) did not authorize the revocation of a police officer’s certification merely for a resignation for personal reasons. Pangallo v. Ky. Law Enforcement Council, 106 S.W.3d 474, 2003 Ky. App. LEXIS 102 (Ky. Ct. App. 2003).

15.388. Report on certification status for newly employed peace officer or court security officer — Training of person in precertification status — Issuance or denial — Right of appeal — Transfer.

  1. Within five (5) working days of employment or appointment, the chief executive officer of the employing agency, or his designee, shall file a report with the council certifying that the newly employed officer is certified or meets or exceeds the precertification qualifications of KRS 15.382 for peace officers or KRS 15.3971 for court security officers.
  2. If the person is certified, the council shall continue certified status.
  3. If the person is on inactive status, the council shall upgrade to certified status unless the certification is revoked or denied as provided by KRS 15.380 to 15.404 .
  4. If the person is not certified and not on inactive status, but has successfully completed an applicable basic training course or received a basic training credit under KRS 15.440(1)(d)6. approved and recognized by the council, the council shall designate the person as being in certified status unless the certification is revoked or denied as provided by KRS 15.380 to 15.404 .
  5. If the person is not certified and not on inactive status, and has not successfully completed an applicable basic training course approved and recognized by the council, the council shall designate the person as being in precertification status.
  6. A person who is in precertification status shall, upon successful completion of the required basic training, be certified unless he has committed an act that would result in revocation of his certificate in which case he shall be denied certification.
  7. A person who is denied certified status under this section shall have the same right of appeal as a person who has been revoked under KRS 15.380 to 15.404 .
  8. If the certified peace officer has successfully completed the basic training required by KRS 15.404 and transfers from a peace officer or court security officer position from a current employer to a peace officer position for another employer, and both employers have, at least ten (10) working days prior to the effective date of the transfer, notified the council in writing of the transfer, the council shall maintain the officer in certified status.
  9. If the certified court security officer has successfully completed the basic training required by KRS 15.3975 and transfers from a court security officer position from a current employer to a court security officer position for another employer, and both employers have, at least ten (10) working days prior to the effective date of the transfer, notified the council in writing of the transfer, the council shall maintain the officer in certified status.
  10. A certified court security officer who has met the requirements of KRS 15.3971 shall not transfer from a court security officer position to a peace officer position unless the certified court security officer meets all the requirements of a certified peace officer under KRS 15.382 and 15.404(1). If the certified court security officer has met the minimum qualifications of KRS 15.382 , successfully completed the basic training required for certified peace officers under KRS 15.404(1), and transfers from a court security officer position from a current employer to a peace officer position for another employer, and both employers have, at least ten (10) working days prior to the effective date of the transfer, notified the council in writing of the transfer, the council shall maintain the officer in certified status.

History. Enact. Acts 1998, ch. 606, § 103, effective December 1, 1998; 2000, ch. 480, § 7, effective July 14, 2000; 2002, ch. 132, § 4, effective July 15, 2002; 2007, ch. 54, § 8, effective June 26, 2007; 2021 ch. 73, § 8, effective June 29, 2021.

15.390. Appeal upon denial of precertification.

Any person who is aggrieved by a determination by the employing agency or by the council that he fails to meet the requirements for precertification status may:

  1. If the determination was made by the employing agency, appeal the decision in the same manner as other employment appeals within the agency, if an appeals procedure has been established by the employing agency; or
  2. If the determination was made by the council, appeal the decision to the local Circuit Court having jurisdiction over the employing agency.

History. Enact. Acts 1998, ch. 606, § 104, effective December 1, 1998.

15.391. Revocation of peace officer certification — Appeal — Hearing — Mandatory reporting — Administrative regulations.

  1. As used in this section:
    1. “Agency” means any law enforcement agency, or other unit of government listed in KRS 15.380 , that employs a certified peace officer;
    2. “Final order” has the same meaning as in KRS 13B.010 ;
    3. “General employment policy” means a rule, regulation, policy, or procedure commonly applicable to the general workforce or civilian employees that is not unique to law enforcement activities or the exercise of peace officer authority, regardless of whether the rule, regulation, policy, or procedure exists or appears in a manual or handbook that is solely applicable to a law enforcement department or agency within the unit of government employing the officer;
    4. “Investigating agency” means an agency that investigates the use of force by peace officers, including but not limited to the employing agency;
    5. “Professional malfeasance” means engaging in an act in one’s professional capacity as a peace officer that violates a federal, state, or local law or regulation, or any act that involves the following:
      1. The unjustified use of excessive or deadly force, as determined by an investigating agency;
      2. Any intentional action by a peace officer that interferes with or alters the fair administration of justice, including but not limited to tampering with evidence, giving of false testimony, or the intentional disclosure of confidential information in a manner that compromises the integrity of an official investigation; or
      3. Engaging in a sexual relationship with an individual the peace officer knows or should have known is a victim, witness, defendant, or informant in an ongoing criminal investigation in which the peace officer is directly involved;
    6. “Professional nonfeasance” means a failure to perform one’s professional duty as a peace officer through omission or inaction that violates a federal, state, or local law or regulation, or any failure to act that involves the following:
      1. The failure to intervene when it is safe and practical to do so in any circumstance where it is clear and apparent to the peace officer that another peace officer is engaging in the use of unlawful and unjustified excessive or deadly force; or
      2. The intentional failure to disclose exculpatory or impeachment evidence that the peace officer knew or should have known to be materially favorable to an accused for the purpose of altering the fair administration of justice; and
    7. “Regulation” means:
      1. A federal or state administrative regulation adopted by a federal or state executive branch; and
      2. A local rule, regulation, policy, or procedure adopted by ordinance, order, or resolution, or other official action by an agency. However, “regulation” does not mean a general employment policy.
    1. The certification of a peace officer shall be deemed automatically revoked by the council by operation of the law for one (1) or more of the following: (2) (a) The certification of a peace officer shall be deemed automatically revoked by the council by operation of the law for one (1) or more of the following:
      1. Certification that was the result of an administrative error;
      2. Plea of guilty to, conviction of, or entering of an Alford plea to any state or federal felony, or any criminal offense committed in another state that would constitute a felony if committed in this state;
      3. Prohibition by federal or state law from possessing a firearm;
      4. Receipt of a dishonorable discharge or bad conduct discharge from any branch of the Armed Forces of the United States; or
      5. Willful falsification of information to obtain or maintain certification.
      1. A peace officer whose certification is revoked pursuant to paragraph (a) of this subsection may file an appeal at any time with the council. If an appeal is filed, the council shall conduct an administrative hearing pursuant to KRS Chapter 13B to consider the reinstatement of the peace officer’s certification if the revocation was made in error or the condition requiring revocation was removed or remedied. (b) 1. A peace officer whose certification is revoked pursuant to paragraph (a) of this subsection may file an appeal at any time with the council. If an appeal is filed, the council shall conduct an administrative hearing pursuant to KRS Chapter 13B to consider the reinstatement of the peace officer’s certification if the revocation was made in error or the condition requiring revocation was removed or remedied.
      2. The council may impose any reasonable condition upon the reinstatement of the certification it may deem warranted under the facts of the appeal.
      3. Notwithstanding any other provision of law, the council may subpoena or request a court to subpoena records that are necessary to provide evidence that will permit the council to evaluate whether the cause for revocation has been remedied or removed. Any confidential or medical information received by the council under this subparagraph shall retain its confidential character.
      4. The reversal or any other type of invalidation of a conviction by an appellate court shall constitute the removal or remedy of a condition requiring revocation. However, an expungement of a felony offense shall not be considered a removal or remedy that constitutes grounds for the reinstatement of the peace officer’s certification under this paragraph.
      5. A final order issued by the council denying reinstatement of certification may be appealed pursuant to the provisions of KRS 13B.140 .
    1. The certification of a peace officer may be revoked by the council for one (1) or more of the following: (3) (a) The certification of a peace officer may be revoked by the council for one (1) or more of the following:
      1. Termination of the peace officer for failure to meet or maintain training requirements, unless the certification is in inactive status. As used in this subparagraph, “inactive status” has the same meaning as in KRS 15.386 ;
      2. Termination of the peace officer for professional malfeasance or professional nonfeasance by his or her agency;
      3. Termination of the peace officer following the plea of guilty to, conviction of, or entering of an Alford plea to any misdemeanor offense, in this state or out of it, that involves:
        1. Dishonesty;
        2. Fraud;
        3. Deceit;
        4. Misrepresentation;
        5. Physical violence;
        6. Sexual abuse; or
        7. Crimes against a minor or a family or household member;
      4. Receipt of general discharge under other than honorable conditions from any branch of the Armed Forces of the United States that results in the termination of the peace officer from his or her agency; or
      5. Resignation or retirement of the peace officer while he or she is under criminal investigation or administrative investigation for professional malfeasance or professional nonfeasance that, in the judgment of the agency that employed the peace officer, would have likely resulted in the termination of that peace officer had the facts leading to the investigation been substantiated prior to his or her resignation or retirement.
    2. The council shall review reports of events described in paragraph (a) of this subsection to determine whether the event warrants the initiation of proceedings by the council to revoke a peace officer’s certification. If the council determines to initiate proceedings to revoke a peace officer’s certification under this subsection, the administrative hearing shall be conducted pursuant to KRS Chapter 13B. A final order by the council revoking certification may be appealed pursuant to the provisions of KRS 13B.140 .
    1. An agency: (4) (a) An agency:
      1. That has knowledge of a peace officer in its employment who meets any of the revocation conditions outlined in subsection (2) of this section shall report that condition to the council within fifteen (15) days of gaining knowledge;
      2. That terminated a peace officer for any of the revocation conditions outlined in subsection (3)(a)1., 2., 3., or 4. of this section shall report that condition to the council within fifteen (15) days of the termination; and
      3. That would have likely terminated a peace officer for the revocation condition outlined in subsection (3)(a)5. of this section shall report that condition to the council within fifteen (15) days of the peace officer’s resignation or retirement. If an agency reports pursuant to this subparagraph, the agency shall notify the peace officer that a report has been made.
    2. If an agency fails to make a report required by this subsection, the council may suspend the agency from participation in the Kentucky Law Enforcement Foundation Program fund. However, the time that an agency may be suspended by the council under this paragraph shall not exceed five (5) years.
  2. The council may promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.

History. Enact. Acts 2007, ch. 139, § 1, effective June 26, 2007; 2019 ch. 95, § 1, effective June 27, 2019; 2021 ch. 73, § 1, effective June 29, 2021.

15.392. Report on separation from service — Placement of certification on inactive status — Lapse or retirement of certification — Action by council.

  1. Within ten (10) working days from separation from service, the chief executive officer of the employing agency or his designee shall file with the council a summary report that provides the relevant information about the person’s separation from service.
  2. If the person separated from service has successfully completed basic training at a school certified or recognized by the council or has received a basic training credit under KRS 15.440(1)(d)6., the council shall place the certification on inactive status. Placement of certification on inactive status shall not prevent the council from subsequently instituting an action to revoke an officer’s certification in appropriate cases in accordance with KRS 15.391 .
  3. If the person has been separated from service or has not successfully completed basic training at a school certified or recognized by the council and fails to meet the requirements of KRS 15.400(1) or (2), the certification shall lapse.
  4. If the person has been separated due to death, the certification shall be retired.

History. Enact. Acts 1998, ch. 606, § 105, effective December 1, 1998; 2002, ch. 132, § 5, effective July 15, 2002; 2007, ch. 76, § 3, effective June 26, 2007; 2007, ch. 139, § 5, effective June 26, 2007; 2021 ch. 73, §§ 2, 9, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts ch. 73, secs. 2 and 9, which do not appear to be in conflict and have been codified together.

(6/26/2007). The amendment to this section in 2007 Ky. Acts ch. 76, sec. 3, effective June 26, 2007, is retroactive to July 1, 2004. See 2007 Ky. Acts ch. 76, sec. 5.

(6/26/2007). This section was amended by 2007 Ky. Acts chs. 76 and 139. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 139, which was last enacted by the General Assembly, prevails under KRS 446.250 .

15.394. Declaratory judgment action if agency job task analysis deemed invalid.

  1. If the council believes an agency’s job task analysis to be insufficient or erroneous, the council shall file a declaratory action in Franklin Circuit Court to declare the job task analysis invalid.
  2. Until the job task analysis has been declared invalid and all appeals have been exhausted, the council shall accept the agency’s job task analysis.

History. Enact. Acts 1998, ch. 606, § 106, effective December 1, 1998.

15.396. Effect if agency knowingly employs or appoints persons who fail to meet requirements of KRS 15.380 to 15.404.

  1. An agency may be required to pay for all training received by a person from the Department of Criminal Justice Training or any other facility approved by the Kentucky Law Enforcement Council if the agency knowingly employs or appoints a person to be an officer of any type as enumerated in KRS 15.380 and if that person fails to achieve certified status as required by KRS 15.380 to 15.404 .
  2. The agency shall be denied participation in the Kentucky Law Enforcement Foundation Program Fund if the agency knowingly employs or appoints a person to be an officer of any type as enumerated in KRS 15.380 and if that person:
    1. Fails to meet those minimum qualifications set forth in KRS 15.402 ;
    2. Fails to achieve certified status as required by KRS 15.380 to 15.404 ; or
    3. Fails to maintain the minimum training requirements set forth in KRS 15.404 .
  3. An agency that is in violation of subsection (1) or (2) of this section may be relieved of the associated penalty upon:
    1. Termination of the officer who is the source of the violation; or
    2. Correction of the officer’s deficiency.

History. Enact. Acts 1998, ch. 606, § 107, effective December 1, 1998; 2000, ch. 480, § 8, effective July 14, 2000; 2002, ch. 132, § 6, effective July 15, 2002.

OPINIONS OF ATTORNEY GENERAL.

An applicant for certification as a police officer who has a diploma from a private high school that is not certified by the Kentucky Department of Education may still be certified if that private high school complies with all applicable private secondary school provisions. An agency must either follow its precedents or provide a reasoned analysis for its departure from them. A police agency is liable under KRS § 15.396 for employing a police officer whose certification is subsequently revoked only from the time that the police agency becomes aware that the officer’s certification has been revoked. OAG 2015-06 .

15.3971. Court security officers — Minimum qualifications — Exceptions.

  1. A person certified as a court security officer after June 26, 2007, under KRS 15.380 to 15.404 shall, at the time of becoming certified, meet the following minimum qualifications:
    1. Be a citizen of the United States;
    2. Be at least twenty-one (21) years of age;
      1. Be a high school graduate, regardless of whether the school is accredited or certified by a governing body, provided that the education received met the attendance and curriculum standards of Kentucky law at the time of graduation, as determined by the Kentucky Department of Education; or (c) 1. Be a high school graduate, regardless of whether the school is accredited or certified by a governing body, provided that the education received met the attendance and curriculum standards of Kentucky law at the time of graduation, as determined by the Kentucky Department of Education; or
      2. Possess a high school diploma or a High School Equivalency Diploma;
    3. Possess a valid license to operate a motor vehicle;
    4. Be fingerprinted for a criminal background check;
    5. Not have been convicted of any felony;
    6. Not be prohibited by federal or state law from possessing a firearm;
    7. Have received and read the Kentucky Law Enforcement Officers Code of Ethics, as established by the council;
    8. Have not received a dishonorable discharge, a bad conduct discharge, or general discharge under other than honorable conditions if he or she served in any branch of the Armed Forces of the United States;
    9. Have passed a drug screening test administered or approved by the council by administrative regulation. A person shall be deemed to have passed a drug screening test if the results of the test are negative for the use of an illegal controlled substance or prescription drug abuse. Any agency that administers its own test that meets or exceeds this standard shall certify passing test results to the council, which shall accept them as complying with KRS 15.380 to 15.404 ;
    10. Have undergone a background investigation established or approved by the council by administrative regulation to determine suitability for the position of a court security officer. If the employing agency has established its own background investigation that meets or exceeds the standards of the council, as set forth by administrative regulation, the agency shall conduct the background investigation and shall certify background investigation results to the council, which shall accept them as complying with KRS 15.380 to 15.404;
    11. Have been interviewed by the employing agency;
    12. Have taken a psychological suitability screening administered or approved by the council by administrative regulation to determine the person’s suitability to perform court security officer duties; and
    13. Have taken a polygraph examination administered or approved by the council by administrative regulation to determine his or her suitability to perform court security officer duties. Any agency that administers its own polygraph examination as approved by the council shall certify the results that indicate whether a person is suitable for employment as a court security officer to the council, which shall accept them as complying with KRS 15.380 to 15.404.
  2. A court security officer employed on or before June 26, 2007, shall comply with the requirements of subsection (1) of this section within six (6) months of June 26, 2007.
  3. A peace officer who has previously attended law enforcement basic training and met the certification requirements of KRS 15.380 and 15.382 shall not be required to meet the requirements of this section to be appointed a court security officer, but shall meet the requirements of KRS 15.386(3).

HISTORY: Enact. Acts 2007, ch. 54, § 1, effective June 26, 2007; 2016 ch. 5, § 2, effective March 18, 2016; 2017 ch. 63, § 4, effective June 29, 2017.

15.3973. Revocation of court security officer certification.

The certification of a court security officer may, after a hearing held in conformity with KRS Chapter 13B, be revoked by the council for one (1) or more of the following reasons:

  1. Failure to meet or maintain training requirements;
  2. Willful falsification of information to obtain or maintain certified status;
  3. Certification was the result of an administrative error;
  4. Plea of guilty to, conviction of, or entering of an Alford plea to any felony;
  5. Prohibition by federal or state law from possessing a firearm; or
  6. Receipt of a dishonorable discharge, a bad conduct discharge, or general discharge under other than honorable conditions from any branch of the Armed Forces of the United States.

History. Enact. Acts 2007, ch. 54, § 2, effective June 26, 2007.

15.3975. Training requirements for employment — Biennial in-service training — Extension — Loss of status upon failure to complete training — Regaining certification.

  1. A court security officer employed or appointed after June 26, 2007, shall satisfy the basic training requirements for employment if he or she successfully completes law enforcement training developed and approved by the Kentucky Law Enforcement Council and the Administrative Office of the Courts of at least eighty (80) hours.
  2. A court security officer employed or appointed after June 26, 2007, shall successfully complete forty (40) hours of biennial in-service training that has been certified or recognized by the Kentucky Law Enforcement Council, and that is appropriate to the officer’s responsibilities.
  3. In the event of extenuating circumstances beyond the control of a certified court security officer that prevent the officer from completing the basic or in-service training within the time specified in subsections (1) and (2) of this section, the commissioner of the department or his or her designee may grant the officer an extension of time, not to exceed one hundred eighty (180) days in which to complete the training.
  4. Any court security officer who fails to successfully complete basic training within the specified time periods, including extensions, shall lose his or her court security powers and his or her precertification status shall lapse. Any court security officer who fails to successfully complete in-service training within the specified time periods, including extensions, shall lose his or her court security powers and his or her certification status shall be changed to training deficiency status. When a court security officer is deficient in required training, the commissioner of the department or his or her designee shall notify the council, which shall notify the court security officer and his or her agency.
  5. A certified court security officer who has lost his or her court security powers due solely to his or her failure to meet the in-service training requirements of this section may regain his or her certification status and court security powers upon successful completion of the training deficiency.

History. Enact. Acts 2007, ch. 54, § 3, effective June 26, 2007.

15.3977. Certification categories for court security officers.

The following certification categories shall exist for certified court security officers:

  1. “Precertification status” means that the certified court security officer is currently employed or appointed by an agency and meets or exceeds all those minimum qualifications set forth in KRS 15.3971 , but has not successfully completed the training course provided in subsection KRS 15.3975(1). Upon the council’s verification that the minimum qualifications have been met, the officer shall have court security officer powers as authorized under the statute under which he or she was appointed or employed. If an officer fails to successfully complete the training course provided in subsection KRS 15.3975(1) within one (1) year of employment, his or her court security powers shall automatically terminate;
  2. “Certification status” means that unless the certification is in revoked status or inactive status, the certified court security officer is currently employed or appointed by an agency and has met all training requirements. The officer shall have court security officer powers as authorized under the statute under which he or she was appointed or employed;
    1. “Inactive status” means that unless the certification is in revoked status: (3) (a) “Inactive status” means that unless the certification is in revoked status:
      1. The person has been separated on or after December 1, 1998, from the agency by which he or she was employed or appointed and has no peace officer or court security officer powers; or
      2. The person is on military active duty for a period exceeding three hundred sixty-five (365) days.
    2. The person may remain on inactive status. A person who is on inactive status and who returns to a court security officer position shall have certification status restored if he or she has successfully completed the training course under subsection KRS 15.3975(1), has not committed an act for which his or her certified status may be revoked pursuant to KRS 15.3973 , and successfully completes an in-service training course as prescribed in an administrative regulation promulgated by the Kentucky Law Enforcement Council.
    3. A person returning from inactive to active certification as a court security officer after June 26, 2007, under KRS 15.380 to 15.404 shall meet the following minimum qualifications:
      1. Be a citizen of the United States;
      2. Possess a valid license to operate a motor vehicle;
      3. Be fingerprinted for a criminal background check;
      4. Not have been convicted of any felony;
      5. Not be prohibited by federal or state law from possessing a firearm;
      6. Have received and read the Kentucky Law Enforcement Officers Code of Ethics as established by the council;
      7. Have not received a dishonorable discharge, bad conduct discharge, or general discharge under other than honorable conditions, if having served in any branch of the Armed Forces of the United States;
      8. Have been interviewed by the employing agency; and
      9. Not have had certification as a peace officer permanently revoked in another state;
  3. “Training deficiency status” means that unless the certification is in revoked status or inactive status, the certified court security officer is currently employed or appointed by an agency and has failed to meet all in-service training requirements. The officer’s court security powers shall automatically terminate, and he or she shall not exercise court security officer powers in the Commonwealth until he or she has corrected the in-service training deficiency;
  4. “Revoked status” means that the court security officer has no court security powers and his or her certification has been revoked by the Kentucky Law Enforcement Council for any one (1) of the following reasons:
    1. Failure to meet or maintain training requirements;
    2. Willful falsification of information to obtain or maintain certified status;
    3. Certification was the result of an administrative error;
    4. Plea of guilty to, conviction of, or entering of an Alford plea to any felony;
    5. Prohibition by federal or state law from possessing a firearm; or
    6. Receipt of a dishonorable discharge, a bad conduct discharge, or general discharge under other than honorable conditions from any branch of the Armed Forces of the United States; and
  5. “Denied status” means that a person does not meet the requirements to achieve precertification status or certification status as a court security officer.

The design of a certificate may be changed periodically. When a new certificate is produced, it shall be distributed free of charge to each currently certified court security officer.

History. Enact. Acts 2007, ch. 54, § 4, effective June 26, 2007.

15.3979. Court security officer not considered hazardous duty position — Ineligibility for Kentucky Law Enforcement Foundation Program fund.

Except for persons currently employed in a hazardous duty position and who remain in that hazardous duty position while performing certified court security officer functions, the position of certified court security officer shall not be considered as a hazardous duty position within the meaning of KRS 61.592 and shall not be eligible to participate in the Kentucky Law Enforcement Foundation Program Fund unless the officer meets the requirements of KRS 15.382 , 15.404 , and 15.440 .

History. Enact. Acts 2007, ch. 54, § 5, effective June 26, 2007.

15.398. Statutory provisions not superseded by KRS 15.380 to 15.404.

The following Kentucky Revised Statutes and any administrative regulations promulgated thereunder affecting those peace officers required to be certified pursuant to KRS 15.380 to 15.404 shall not be superseded by the provisions of KRS 15.380 to 15.404 , and in all instances the provisions of all statutes specified below shall prevail:

  1. KRS Chapter 16, relating to Department of Kentucky State Police Officers;
  2. KRS Chapter 70, relating to sheriffs, and deputy sheriffs;
  3. KRS Chapter 78, relating to county police;
  4. KRS Chapters 15 and 95, except for KRS 95.955 , relating to city and urban-county police;
  5. KRS Chapter 183, relating to airport safety and security officers;
  6. KRS Chapter 164, relating to State Universities and Colleges; Regional Education and Archaeology officers;
  7. KRS Chapter 18A, relating to all state peace officers;
  8. KRS 241.090 , relating to Department of Alcoholic Beverage Control investigators;
  9. KRS 304.47-040 , relating to Division of Insurance Fraud Investigators; and
  10. Any other statutes affecting peace officers not specifically cited herein.

HISTORY: Enact. Acts 1998, ch. 606, § 108, effective December 1, 1998; 2002, ch. 132, § 7, effective July 15, 2002; 2007, ch. 85, § 21, effective June 26, 2007; 2010, ch. 24, § 17, effective July 15, 2010; 2017 ch. 62, § 115, effective June 29, 2017.

Legislative Research Commission Notes.

(7/15/2002). The Reviser of Statutes has renumbered the subsections of this statute under the authority of KRS 7.136(1)(a).

15.400. Effect of KRS 15.380 to 15.404 on officers employed before or after December 1, 1998 — Exception to Open Records Act.

  1. The effective date of KRS 15.380 to 15.404 shall be December 1, 1998. All peace officers employed as of December 1, 1998, shall be deemed to have met all the requirements of KRS 15.380 to 15.404 and shall be granted certified status as long as they:
    1. Remain in continuous employment of the agency by which they were employed as of December 1, 1998, and are employed within one hundred (100) days by another law enforcement agency subject to the provisions of KRS 15.380 to 15.404;
    2. Retired from employment with certified status on or after July 1, 2008, and are reemployed no later than one hundred (100) days from March 15, 2011, by a law enforcement agency subject to KRS 15.380 to 15.404; or
    3. Have successfully completed an approved basic training course approved and recognized by the Kentucky Law Enforcement Council pursuant to KRS 15.440(1)(d) when seeking employment with another law enforcement agency.
  2. Any peace officers employed after December 1, 1998, shall comply with all minimum standards specified in KRS 15.380 to 15.404 or comply with the requirements set forth in KRS 15.440(1)(d)6.. Persons newly employed or appointed after December 1, 1998, shall have one (1) year within which to gain certified status or they shall lose their law enforcement powers.
  3. The Open Records Act notwithstanding, the person’s home address, telephone number, date of birth, Social Security number, background investigation, medical examination, psychological examination, and polygraph examination conducted for any person seeking certification pursuant to KRS 15.380 to 15.404 shall not be subject to disclosure.

History. Enact. Acts 1998, ch. 606, § 109, effective December 1, 1998; 2002, ch. 132, § 8, effective July 15, 2002; 2002, ch. 137, § 2, effective July 15, 2002; 2007, ch. 76, § 1, effective June 26, 2007; 2011, ch. 25, § 1, effective March 15, 2011; 2021 ch. 73, § 10, effective June 29, 2021.

Legislative Research Commission Notes.

(6/26/2007). The amendment to this section in 2007 Ky. Acts ch. 76, sec. 1, effective June 26, 2007, is retroactive to July 1, 2004. See 2007 Ky. Acts ch. 76, sec. 5.

Opinions of Attorney General.

A city police department did not violate the Open Records Act in denying a request to inspect all documentation and records related to the requester’s application for the position of police recruit since subsection (3) prohibits disclosure of specifically described information obtained in the application/certification process to peace officers, unsuccessful applicants who wished to become peace officers, and third parties; the prohibition is, by its own terms, mandatory, and extends not only to background investigations, but also to psychological examinations and polygraph examinations administered pursuant to subsection (2) and KRS 15.382 . OAG 00-ORD-118.

Because the confidentiality provision codified at KRS 15.400(3) does not extend by its express terms to pre-December 1, 1998, psychological examination records, and because the requester was employed in 1992, KRS 15.400(3) does not apply to psychological records in the City’s custody that relate to the requester. The requester is entitled to inspect and receive copies of her psychological records under authority of KRS 61.878(3). OAG 03-ORD-43.

15.402. Additional requirements by employing agency.

No provisions of KRS 15.380 to 15.404 shall preclude an appointing or employing agency from having requirements that are in excess of or in addition to any requirements specified by KRS 15.380 to 15.404 or an administrative regulation promulgated under KRS 15.380 to 15.404.

History. Enact. Acts 1998, ch. 606, § 110, effective December 1, 1998; 2002, ch. 132, § 9, effective July 15, 2002.

15.404. Basic training and in-service training for peace officers.

    1. Any peace officers employed or appointed after December 1, 1998, who have not successfully completed basic training at a school certified or recognized by the Kentucky Law Enforcement Council, shall within one (1) year of their appointment or employment, successfully complete a basic training course, as established by KRS 15.440 , at a school certified or recognized by the Kentucky Law Enforcement Council or receive a basic training credit approved by the Kentucky Law Enforcement Council under KRS 15.440 (1)(d)6.. (1) (a) Any peace officers employed or appointed after December 1, 1998, who have not successfully completed basic training at a school certified or recognized by the Kentucky Law Enforcement Council, shall within one (1) year of their appointment or employment, successfully complete a basic training course, as established by KRS 15.440, at a school certified or recognized by the Kentucky Law Enforcement Council or receive a basic training credit approved by the Kentucky Law Enforcement Council under KRS 15.440(1)(d)6..
    2. In the event of extenuating circumstances beyond the control of an officer that prevent the officer from completing basic training within one (1) year, the commissioner of the department or his or her designee may grant the officer an extension of time, not to exceed one hundred eighty (180) days, in which to complete the training.
    3. Any peace officer who fails to successfully complete basic training within the specified time periods, including extensions, shall lose his or her law enforcement powers and his or her precertification status shall lapse. Further, the peace officer shall be prohibited from serving as a peace officer for a period of one (1) year from the date that his or her precertification lapses.
    1. All peace officers with active certification status shall successfully complete forty (40) hours of annual in-service training that has been certified or recognized by the Kentucky Law Enforcement Council, that is appropriate to the officer’s rank and responsibility and the size and location of his department. (2) (a) All peace officers with active certification status shall successfully complete forty (40) hours of annual in-service training that has been certified or recognized by the Kentucky Law Enforcement Council, that is appropriate to the officer’s rank and responsibility and the size and location of his department.
    2. In the event of extenuating circumstances beyond the control of an officer that prevent the officer from completing the in-service training within one (1) year, the commissioner of the department or his or her designee may grant the officer an extension of time, not to exceed one hundred eighty (180) days, in which to complete the training. If the officer is unable to complete the in- service training due to injury or illness that prevents him or her from working as a peace officer, the one hundred eighty (180) day extension shall begin on the date that the officer returns to work.
    3. Any peace officer who fails to successfully complete in-service training within the specified time periods, including extensions, shall lose his or her law enforcement powers and his or her certification status shall be changed to training deficiency status.
    4. When a peace officer is deficient in required training, the commissioner of the department or his or her designee shall notify the council, which shall notify the peace officer and his or her agency.
    5. The requirements of this subsection shall be waived for the period of time that a peace officer is serving on active duty in the United States Armed Forces.
    6. This waiver shall be retroactive for peace officers from the date of September 11, 2001.
  1. An officer who has lost his or her law enforcement powers due solely to his or her failure to meet the in-service training requirements of this section may regain his or her certification status and law enforcement powers upon successful completion of the training deficiency.

History. Enact. Acts 2000, ch. 480, § 5, effective July 14, 2000; 2002, ch. 132, § 10, effective July 15, 2002; 2007, ch. 139, § 6, effective June 26, 2007; 2016 ch. 112, § 1, effective July 15, 2016; 2021 ch. 73, § 11, effective June 29, 2021.

15.405. Conditional offer of employment as peace officer pending receipt of certification status and employment records.

  1. As used in this section, “agency” means any law enforcement agency, or other unit of government listed in KRS 15.380 , that employs a certified peace officer.
  2. Subject to subsection (5) of this section, any agency may make a conditional offer of employment to a candidate pending its receipt and evaluation of a response to its request for information from:
    1. The council regarding the certification status of any candidate, including if the council has:
      1. Received any notification under KRS 15.391 (4) related to the candidate;
      2. Initiated hearing procedures under KRS 15.391 against the candidate; or
      3. Started investigating whether to initiate hearing procedures for the revocation of the certification of the candidate under KRS 15.391; or
    2. Any agency that previously employed the candidate for any information the agency is required to provide under subsection (3) of this section.
  3. Any agency that receives an inquiry under subsection (2) of this section from another agency regarding a candidate for a peace officer position who was formerly employed by the agency shall provide the following documentation to the hiring agency:
    1. A complete copy of the peace officer’s personnel file;
    2. Any documentation related to the arrest or prosecution of the peace officer that the agency maintained;
    3. Any documentation related to a completed internal administrative investigation of the peace officer; and
    4. Any documentation related to an incomplete internal administrative investigation of the peace officer that was not completed because of the officer’s resignation or retirement while the investigation was pending.
  4. The council and any agency that receives a request for information shall provide it to the requesting hiring agency no later than fourteen (14) days following the receipt of the request.
  5. The hiring agency that elects to make a conditional offer of employment subject to its receipt and evaluation of information pursuant to this section shall require the candidate to complete a waiver and release of liability authorizing the hiring agency to request the information from all prior agencies, which may include employing agencies outside of the Commonwealth.
  6. The council, any agency, and the employees and officers of the council or any agency shall be immune from any civil liability for disclosing information pursuant to the provisions of this section and from any civil liability for the consequences of such a disclosure unless the information disclosed was knowingly false or deliberately misleading, was rendered with malicious purpose, or was in violation of any civil right of the former employee.

HISTORY: 2021 ch. 73, § 3, effective June 29, 2021.

15.406. Council to provide certification status information to out-of-state law enforcement agency upon request.

If requested by an out-of-state law enforcement agency, the council shall provide the following information regarding the certification status of any candidate for employment, including if the council has:

  1. Received any notification under KRS 15.391(4) related to the candidate;
  2. Initiated hearing procedures under KRS 15.391 against the candidate; or
  3. Started investigating whether to initiate hearing procedures for the revocation of the certification of the candidate under KRS 15.391 .

HISTORY: 2021 ch. 73, § 4, effective June 29, 2021.

Law Enforcement Foundation Program Fund

15.410. Intention of Legislature to assist law enforcement.

It is the intention of the General Assembly to:

  1. Ensure that the criminal laws of the Commonwealth are enforced fairly, uniformly, and effectively throughout the state by strengthening and upgrading law enforcement;
  2. Attract competent, highly qualified young people to the field of law enforcement and to retain qualified and experienced officers for the purpose of providing maximum protection and safety to the citizens of, and the visitors to, this Commonwealth; and
  3. Offer a state monetary supplement for law enforcement officers while upgrading the educational and training standards of the officers.

HISTORY: Enact. Acts 1972, ch. 71, § 1; 2018 ch. 89, § 1, effective July 1, 2018.

NOTES TO DECISIONS

1.Share of KLEFP funds.

Because Western Kentucky University is a state institution of higher education rather than a “local unit of government” as defined in KRS 15.420(1) and its campus police officers are not “police officers” as defined in KRS 15.420(2), campus police officers were not entitled to share in the distribution of funds mandated by KRS 15.460 under the Kentucky Law Enforcement Foundation Program (KLEFP) fund. Wellman v. Blanton, 927 S.W.2d 347, 1996 Ky. App. LEXIS 138 (Ky. Ct. App. 1996).

Cited in:

Policeman’s & Fireman’s Retirement Fund v. Richardson, 522 S.W.2d 452, 1975 Ky. LEXIS 136 ( Ky. 1975 ); Madisonville v. Sisk, 783 S.W.2d 885, 1990 Ky. App. LEXIS 15 (Ky. Ct. App. 1990).

Research References and Practice Aids

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3a) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3b) at 1326.

Kentucky Law Journal.

Stamm, Transfer of Jurisdiction in Juvenile Court: An Analysis of the Proceeding, Its Role in the Administration of Justice, and A Proposal for the Reform of Kentucky Law, 62 Ky. L.J. 122 (1973-1974).

15.420. Definitions for KRS 15.410 to 15.510.

As used in KRS 15.410 to 15.510 , unless the context otherwise requires:

  1. “Cabinet” means the Justice and Public Safety Cabinet;
    1. “Police officer” means: (2) (a) “Police officer” means:
      1. A local officer, limited to:
        1. A full-time:
          1. Member of a lawfully organized police department of county, urban-county, or city government; or
          2. Sheriff or full-time deputy sheriff, including any sheriff providing court security or appointed under KRS 70.030 ; or
        2. A school resource officer as defined in KRS 158.441; and
      2. A state officer, limited to:
        1. A public university police officer;
        2. A Kentucky state trooper;
        3. A Kentucky State Police arson investigator;
        4. A Kentucky State Police hazardous device investigator;
        5. A Kentucky State Police legislative security specialist;
        6. A Kentucky vehicle enforcement officer;
        7. A Kentucky Horse Park mounted patrol officer, subject to KRS 15.460(1)(f);
        8. A Kentucky state park ranger, subject to KRS 15.460(1)(f);
        9. An agriculture investigator;
        10. A charitable gaming investigator;
        11. An alcoholic beverage control investigator;
        12. An insurance fraud investigator;
        13. An Attorney General investigator; and
        14. A Kentucky Department of Fish and Wildlife Resources conservation officer, subject to KRS 15.460(1)(e); who is responsible for the prevention and detection of crime and the enforcement of the general criminal laws of the state;
    2. “Police officer” does not include any sheriff who earns the maximum constitutional salary for this office, any special deputy sheriff appointed under KRS 70.045 , any constable, deputy constable, district detective, deputy district detective, special local peace officer, auxiliary police officer, or any other peace officer not specifically authorized in KRS 15.410 to 15.510 ;
  2. “Police department” means the employer of a police officer;
  3. “Retirement plan” means a defined benefit plan consisting of required employer contributions pursuant to KRS 61.565 , 61.702 , or any other provision of law;
  4. “Unit of government” means any city, county, combination of cities and counties, public university, state agency, local school district, or county sheriff’s office of the Commonwealth; and
  5. “Validated job task analysis” means the core job description that describes the minimum entry level requirements, qualifications, and training requirements for peace officers in the Commonwealth, and that is based upon an actual survey and study of police officer duties and responsibilities conducted by an entity recognized by the council as being competent to conduct such a study.

History. Enact. Acts 1972, ch. 71, § 2; 1984, ch. 300, § 4, effective July 13, 1984; 1998, ch. 244, § 1, effective July 15, 1998; 1998, ch. 510, § 1, effective July 15, 1998; 1998, ch. 606, § 55, effective July 15, 1998; 2007, ch. 85, § 22, effective June 26, 2007; 2018 ch. 89, § 2, effective July 1, 2018; 2019 ch. 5, § 9, effective March 11, 2019.

NOTES TO DECISIONS

1.State Universities.

Because Western Kentucky University is a state institution of higher education rather than a “local unit of government” as defined in subsection (1) of this section and its campus police officers are not “police officers” as defined in subsection (2) of this section, campus police officers were not entitled to share in the distribution of funds mandated by KRS 15.460 under the Kentucky Law Enforcement Foundation Program (KLEFP) fund. Wellman v. Blanton, 927 S.W.2d 347, 1996 Ky. App. LEXIS 138 (Ky. Ct. App. 1996).

Opinions of Attorney General.

A legally constituted police authority is not a local unit of government as it is not a city nor a county and not a combination of cities and counties but the police department of two cities acting together similar to that of a police department of a single city and it has no independent taxing power, condemnation power or power to enact statutes and ordinances, so it cannot operate by itself in the same manner as a political subdivision can. OAG 73-603 .

A part-time police officer in a fourth-class city who receives state funds as part of his salary is not entitled to the protection of a hearing under KRS 15.520 which provides, in subsection (4), that the hearing provision only applies to police officers who receive supplemental pay from the law enforcement foundation fund, since the supplemental pay only applies to “full-time” members of the local police department under this section. OAG 81-200 .

Research References and Practice Aids

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3a) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3b) at 1326.

15.430. Law Enforcement Foundation Program fund — Funds accruing under KRS 42.190 and 136.392 — Trust and agency fund.

  1. There is hereby established the Law Enforcement Foundation Program fund consisting of appropriations from the general fund of the Commonwealth of Kentucky and insurance premium surcharge proceeds that accrue to this fund pursuant to KRS 42.190 and 136.392 . Any other funds, gifts, or grants made available to the state for distribution to units of government in accordance with the provisions of KRS 15.410 to 15.510 also shall be made a part of this fund.
  2. All moneys deposited in this fund, including earnings from their investment, shall be deemed a trust and agency account. Moneys in this account shall not lapse.

HISTORY: Enact. Acts 1972, ch. 71, § 3; 1982, ch. 246, § 8, effective April 1, 1982; 1984, ch. 300, § 5, effective July 13, 1984; 1992, ch. 381, § 12, effective July 14, 1992; 1994, ch. 97, § 5, effective July 15, 1994; 1998, ch. 244, § 7, effective July 15, 1998; 1998, ch. 510, § 7, effective July 15, 1998; 2018 ch. 89, § 3, effective July 1, 2018.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts ch. 244, sec. 7, and ch. 510, sec. 7, which are identical and have been codified together.

NOTES TO DECISIONS

1.Emergency Clause Valid.

The reason stated in the emergency clause of Acts 1982, ch. 246 which act deals generally with a surcharge upon certain insurance premiums collected in the state which is intended to fund a trust for the payment of incentives to the fire fighters and policemen of the various municipalities, to the effect that the general fund appropriations for fiscal year 1981-82 for the professional fire fighters foundation program fund as provided by KRS 95A.200 through 95A.990 , and the law enforcement foundation program fund as provided by KRS 15.410 through 15.510 , would lapse on June 30, 1982, sufficiently supported the legislative declaration of an emergency. American Ins. Asso. v. Geary, 635 S.W.2d 306, 1982 Ky. LEXIS 265 ( Ky. 1982 ).

Research References and Practice Aids

2012-2014 Budget Reference.

See State/Executive Branch Budget, 2012 Ky. Acts ch. 144, Pt. V, F, 1 at 1245.

15.440. Requirements for participation in fund distribution — Service and training in another state — Eligibility of government unit contingent on police department compliance — Deputies — Deadlines.

  1. Each unit of government that meets the following requirements shall be eligible to share in the distribution of funds from the Law Enforcement Foundation Program fund:
    1. Employs one (1) or more police officers;
    2. Pays every police officer at least the minimum federal wage;
    3. Requires all police officers to have, at a minimum, a high school degree, or its equivalent as determined by the council, except that each police officer employed prior to the date on which the officer’s police department was included as a participant under KRS 15.410 to 15.510 shall be deemed to have met the requirements of this subsection;
      1. Requires all police officers to successfully complete a basic training course of nine hundred twenty-eight (928) hours’ duration within one (1) year of the date of employment at a school certified or recognized by the council, which may provide a different number of hours of instruction as established in this paragraph, except that each police officer employed prior to the date on which the officer’s police department was included as a participant under KRS 15.410 to 15.510 shall be deemed to have met the requirements of this subsection. (d) 1. Requires all police officers to successfully complete a basic training course of nine hundred twenty-eight (928) hours’ duration within one (1) year of the date of employment at a school certified or recognized by the council, which may provide a different number of hours of instruction as established in this paragraph, except that each police officer employed prior to the date on which the officer’s police department was included as a participant under KRS 15.410 to 15.510 shall be deemed to have met the requirements of this subsection.
      2. As the exclusive method by which the number of hours required for basic training courses shall be modified from that which is specifically established by this paragraph, the council may, by the promulgation of administrative regulations in accordance with the provisions of KRS Chapter 13A, explicitly set the exact number of hours for basic training at a number different from nine hundred twenty-eight (928) hours based upon a training curriculum approved by the Kentucky Law Enforcement Council as determined by a validated job task analysis.
      3. If the council sets an exact number of hours different from nine hundred twenty-eight (928) in an administrative regulation as provided by this paragraph, it shall not further change the number of hours required for basic training without promulgating administrative regulations in accordance with the provisions of KRS Chapter 13A.
      4. Nothing in this paragraph shall be interpreted to prevent the council, pursuant to its authority under KRS 15.330 , from approving training schools with a curriculum requiring attendance of a number of hours that exceeds nine hundred twenty-eight (928) hours or the number of hours established in an administrative regulation as provided by subparagraphs 2. and 3. of this paragraph. However, the training programs and schools for the basic training of law enforcement personnel conducted by the department pursuant to KRS 15A.070 shall not contain a curriculum that requires attendance of a number of hours for basic training that is different from nine hundred twenty-eight (928) hours or the number of hours established in an administrative regulation promulgated by the council pursuant to the provisions of KRS Chapter 13A as provided by subparagraphs 2. and 3. of this paragraph.
      5. KRS 15.400 and 15.404(1) and subparagraphs 1. to 4. of this paragraph to the contrary notwithstanding, the council may, through the promulgation of administrative regulations in accordance with KRS Chapter 13A, approve basic training credit for:
        1. Years of service credit as a law enforcement officer with previous service in another state; and
        2. Basic training completed in another state.
      6. KRS 15.400 and 15.404(1) and subparagraphs 1. to 4. of this paragraph to the contrary notwithstanding, the council may, through the promulgation of administrative regulations in accordance with KRS Chapter 13A, approve basic training credit for:
        1. Completion of eight hundred forty-eight (848) hours of training at a school established pursuant to KRS 15A.070 ;
        2. A minimum of fifteen (15) years of experience as a certified law enforcement instructor at a school established pursuant to KRS 15A.070;
        3. Completion of an average of forty (40) hours of Kentucky Law Enforcement Council approved in-service training annually from January 1, 1997, through January 1, 2020;
        4. Three (3) years of active, full-time service as a:
          1. City, county, urban-county, charter county, consolidated local, or unified local government police officer;
          2. Sheriff’s deputy, excluding special deputies appointed under KRS 70.045 ;
          3. Department of Kentucky State Police officer; or
          4. Kentucky Department of Fish and Wildlife Resources conservation officer exercising peace officer powers under KRS 150.090 ; and
        5. Completion of the:
          1. Twenty-four (24) hour legal update Penal Code course;
          2. Sixteen (16) hour legal update constitutional procedure course; and
          3. Forty (40) hour basic officer skills course within one (1) year prior to applying for certification;
    4. Requires all police officers to successfully complete each calendar year an in- service training course, appropriate to the officer’s rank and responsibility and the size and location of the officer’s police department, of forty (40) hours’ duration, at a school certified or recognized by the council which may include a four (4) hour course which meets the requirements of paragraph (j) of this subsection. This in-service training requirement shall be waived for the period of time that a peace officer is serving on active duty in the United States Armed Forces. This waiver shall be retroactive for peace officers from the date of September 11, 2001;
    5. Complies with all provisions of law applicable to police officers or police departments, including transmission of data to the centralized criminal history record information system as required by KRS 17.150 and transmission of reports as required by KRS 15.391 ;
    6. Complies with all rules and regulations, appropriate to the size and location of the police department issued by the cabinet to facilitate the administration of the fund and further the purposes of KRS 15.410 to 15.510;
    7. Possesses a written policy and procedures manual related to domestic violence for law enforcement agencies that has been approved by the cabinet. The policy shall comply with the provisions of KRS 403.715 to 403.785 . The policy shall include a purpose statement; definitions; supervisory responsibilities; procedures for twenty-four (24) hour access to protective orders; procedures for enforcement of court orders or relief when protective orders are violated; procedures for timely and contemporaneous reporting of adult abuse and domestic violence to the Cabinet for Health and Family Services, Department for Community Based Services; victim rights, assistance, and service responsibilities; and duties related to timely completion of records;
    8. Possesses by January 1, 2017, a written policy and procedures manual related to sexual assault examinations that meets the standards provided by, and has been approved by, the cabinet, and which includes:
      1. A requirement that evidence collected as a result of an examination performed under KRS 216B.400 be taken into custody within five (5) days of notice from the collecting facility that the evidence is available for retrieval;
      2. A requirement that evidence received from a collecting facility relating to an incident which occurred outside the jurisdiction of the police department be transmitted to a police department with jurisdiction within ten (10) days of its receipt by the police department;
      3. A requirement that all evidence retrieved from a collecting facility under this paragraph be transmitted to the Department of Kentucky State Police forensic laboratory within thirty (30) days of its receipt by the police department;
      4. A requirement that a suspect standard, if available, be transmitted to the Department of Kentucky State Police forensic laboratory with the evidence received from a collecting facility; and
      5. A process for notifying the victim from whom the evidence was collected of the progress of the testing, whether the testing resulted in a match to other DNA samples, and if the evidence is to be destroyed. The policy may include provisions for delaying notice until a suspect is apprehended or the office of the Commonwealth’s attorney consents to the notification, but shall not automatically require the disclosure of the identity of any person to whom the evidence matched; and
    9. Requires all police officers to successfully complete by December 31, 2022, and every two (2) years thereafter, a training course certified by the council of not less than four (4) hours in emergency vehicle operation.
  2. A unit of government which meets the criteria of this section shall be eligible to continue sharing in the distribution of funds from the Law Enforcement Foundation Program fund only if the police department of the unit of government remains in compliance with the requirements of this section.
  3. Deputies employed by a sheriff’s office shall be eligible to participate in the distribution of funds from the Law Enforcement Foundation Program fund regardless of participation by the sheriff.
  4. Failure to meet a deadline established in a policy adopted pursuant to subsection (1)(i) of this section for the retrieval or submission of evidence shall not be a basis for a dismissal of a criminal action or a bar to the admissibility of the evidence in a criminal action.

History. Enact. Acts 1972, ch. 71, § 4; 1974, ch. 74, Art. V, § 24(10); 1976, ch. 105, § 1; 1998, ch. 244, § 2, effective July 15, 1998; 1998, ch. 510, § 2, effective July 15, 1998; 1998, ch. 606, § 120, effective July 15, 1998; 2000, ch. 480, § 9, effective July 14, 2000; 2002, ch. 137, § 1, effective July 15, 2002; 2003, ch. 106, § 2, effective June 24, 2003; 2007, ch. 85, § 23, effective June 26, 2007; 2016 ch. 58, § 2, effective April 8, 2016; 2016 ch. 112, § 2, effective July 15, 2016; 2017 ch. 58, § 2, effective March 21, 2017; 2018 ch. 89, § 4, effective July 1, 2018; 2019 ch. 95, § 3, effective June 27, 2019; 2020 ch. 97, § 2, effective July 15, 2020; 2020 ch. 124, § 2, effective July 15, 2020; 2021 ch. 73, § 5, effective June 29, 2021.

Legislative Research Commission Notes.

(4/8/2016). 2016 Ky. Acts ch. 58, sec. 11 provided that Act shall be known as the Sexual Assault Forensic Evidence (SAFE) Act of 2016. This statute was amended in Section 2 of that Act.

Opinions of Attorney General.

Although two cities have entered into an interlocal agreement with a police authority, such agreement could be mutually dissolved by the cities at any time and no binding effect would result from the contract and any contract between the Kentucky Crime Commission (now Justice Cabinet) through the Kentucky Law Enforcement Foundation Fund would need to be entered into with the actual subdivisions involved. OAG 73-603 .

A city’s participation or lack of it in the Law Enforcement Foundation Program fund is not going to change the legal status of the city’s police officers appointed pursuant to KRS 95.700 (repealed). OAG 77-459 .

The AIDS training requirement of former KRS 15.333 (now repealed) is incorporated into the training required by subdivisions (4) and (5) (see now (1)(d) and (e)) of this section so that a local unit of government, in order to be eligible to participate in the Kentucky Law Enforcement Foundation Program Fund, must require all its police officers, as defined in KRS 15.420(2), to meet the AIDS training requirement. OAG 91-61 .

To retain eligibility relative to participation in the Kentucky Law Enforcement Foundation Program Fund, a police department’s officers must receive the annual training required by KRS 15.333 . OAG 91-61 .

Research References and Practice Aids

2012-2014 Budget Reference.

See State/Executive Branch Budget, 2010 (1st Extra. Sess.) Ky. Acts ch. 1, Pt. I, H, 2, (3) at 42.

15.442. Court security officers and fire investigators ineligible to participate in fund — Appointment of court security officer does not affect eligibility of sheriff or deputy sheriffs.

  1. A court security officer certified pursuant to KRS 15.380 to 15.404 shall not be a deputy sheriff.
  2. A court security officer certified or a fire investigator certified as a peace officer pursuant to KRS 15.380 to 15.404 shall not be eligible for inclusion in the Kentucky Law Enforcement Foundation Program fund.
  3. The appointment of a court security officer, whether certified or not, by a sheriff shall not affect the ability of the sheriff or certified deputy sheriffs to participate in the Kentucky Law Enforcement Foundation Program fund if all other requirements for participation in the fund under KRS 15.410 to 15.510 have been met. A sheriff or deputy sheriff who is otherwise eligible under KRS 15.410 to 15.510 for participation in the Kentucky Law Enforcement Foundation Program fund shall not be deemed ineligible because of the appointment of a court security officer by the sheriff or by any other body.

HISTORY: Enact. Acts 2007, ch. 54, § 15, effective June 26, 2007; 2018 ch. 128, § 5, effective January 1, 2019.

15.450. Fund administered by secretary — Administrative regulations — Reimbursement of administrative costs — Reports.

  1. The secretary or his or her designated representative shall administer the Law Enforcement Foundation Program fund pursuant to the provisions of KRS 15.410 to 15.510 and may promulgate any administrative regulations as necessary to carry out the responsibilities under KRS 15.410 to 15.510 . Administrative hearings promulgated by administrative regulation under authority of this section shall be conducted in accordance with KRS Chapter 13B.
  2. The secretary or the designated representative may withhold or terminate payments to any unit of government that does not comply with the requirements of KRS 15.410 to 15.510 or the administrative regulations issued by the cabinet under KRS 15.410 to 15.510 .
  3. The cabinet shall, from moneys appropriated and accruing to the fund as provided under KRS 15.430 , receive reimbursement for the salaries and other costs of administering the fund, including but not limited to, council operations and expenses and the salary and associated operating expenses of the office of the state school security marshal. The amount to be reimbursed for any given year shall be determined by the council and shall not exceed five percent (5%) of the total amount of funds for that year.
  4. The cabinet shall furnish periodically to the council any reports as may be deemed reasonably necessary.

History. Enact. Acts 1972, ch. 71, § 5; 1974, ch. 74, Art. V, § 34; 1984, ch. 300, § 6, effective July 13, 1984; 1996, ch. 318, § 16, effective July 15, 1996; 2007, ch. 85, § 24, effective June 26, 2007; 2018 ch. 89, § 5, effective July 1, 2018; 2019 ch. 5, § 10, effective March 11, 2019.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, H, 2, (3) at 887.

15.455. Certification of program cost projections to Finance and Administration Cabinet.

Upon receipt of a written request by the Finance and Administration Cabinet for cost projections of the Law Enforcement Foundation Program fund as prescribed in KRS 42.190 , the administrator of the fund shall, within twenty-one (21) calendar days, certify in writing said projections to the Finance and Administration Cabinet.

History. Enact. Acts 1982, ch. 246, § 3, effective April 1, 1982.

NOTES TO DECISIONS

1.Emergency Clause Valid.

The reason stated in the emergency clause of Acts 1982, ch. 246 which act deals generally with a surcharge upon certain insurance premiums collected in the state which is intended to fund a trust for the payment of incentives to the fire fighters and policemen of the various municipalities, to the effect that the general fund appropriations for fiscal year 1981-82 for the professional fire fighters foundation program fund as provided by KRS 95A.200 through 95A.990 , and the law enforcement foundation program fund as provided by KRS 15.410 through 15.510 , would lapse on June 30, 1982, sufficiently supported the legislative declaration of an emergency. American Ins. Asso. v. Geary, 635 S.W.2d 306, 1982 Ky. LEXIS 265 ( Ky. 1982 ).

15.460. Supplemental payments and retirement contributions to local governments from fund — Administrative expense reimbursement — Fringe benefit costs — Conservation officers and Tourism, Arts and Heritage Cabinet peace officers — Supplements to qualified police officers, sheriffs, and deputy sheriffs — Receipt of supplements during period of military activation — Due process disciplinary procedures.

    1. Except as provided in subsection (4)(a) of this section, an eligible unit of government shall be entitled to receive an annual supplement of three thousand dollars ($3,000) for each qualified police officer it employs. The supplement amount shall be increased to four thousand dollars ($4,000) beginning July 1, 2018. (1) (a) Except as provided in subsection (4)(a) of this section, an eligible unit of government shall be entitled to receive an annual supplement of three thousand dollars ($3,000) for each qualified police officer it employs. The supplement amount shall be increased to four thousand dollars ($4,000) beginning July 1, 2018.
      1. In addition to the supplement, the unit of government shall receive an amount equal to the required employer’s contribution on the supplement to the retirement plan and duty category to which the officer belongs. In the case of County Employees Retirement System membership, the retirement plan contribution on the supplement shall be paid whether the officer enters the system under hazardous duty coverage or nonhazardous coverage. (b) 1. In addition to the supplement, the unit of government shall receive an amount equal to the required employer’s contribution on the supplement to the retirement plan and duty category to which the officer belongs. In the case of County Employees Retirement System membership, the retirement plan contribution on the supplement shall be paid whether the officer enters the system under hazardous duty coverage or nonhazardous coverage.
      2. The unit of government shall pay the amount received for retirement plan coverage to the appropriate retirement system to cover the required employer contribution on the pay supplement.
      3. If the foundation program funds are insufficient to pay employer contributions to the system, then the total amount available for retirement plan payments shall be prorated to each eligible government so that each receives the same percentage of required retirement plan costs attributable to the cash salary supplement.
      1. In addition to the payments received under paragraphs (a) and (b) of this subsection, but only if sufficient funds are available to make all payments required under paragraph (b) of this subsection, each unit of government shall receive an administrative expense reimbursement in an amount equal to seven and sixty-five one-hundredths percent (7.65%) of the total annual supplement received greater than three thousand one hundred dollars ($3,100) for each qualified police officer that is a local officer as defined in KRS 15.420 (2)(a)1. that it employs, subject to the cap established by subparagraph 3. of this paragraph. (c) 1. In addition to the payments received under paragraphs (a) and (b) of this subsection, but only if sufficient funds are available to make all payments required under paragraph (b) of this subsection, each unit of government shall receive an administrative expense reimbursement in an amount equal to seven and sixty-five one-hundredths percent (7.65%) of the total annual supplement received greater than three thousand one hundred dollars ($3,100) for each qualified police officer that is a local officer as defined in KRS 15.420 (2)(a)1. that it employs, subject to the cap established by subparagraph 3. of this paragraph.
      2. The unit of government may use the moneys received under this paragraph in any manner it deems necessary to partially cover the costs of administering the payments received under paragraph (a) of this subsection.
      3. The total amount distributed under this paragraph shall not exceed the total sum of five hundred twenty-five thousand dollars ($525,000) for each fiscal year. If there are insufficient funds to provide for full reimbursement as provided in subparagraph 1. of this paragraph, then the amount shall be distributed pro rata to each eligible unit of government so that each receives the same percentage attributable to its total receipt of the cash salary supplement.
    2. In addition to the payments received under paragraphs (a) and (b) of this subsection, each unit of government shall receive the associated fringe benefits costs for the total supplement of four thousand dollars ($4,000) for each qualified police officer that is a state officer as defined in KRS 15.420(2)(a)2. that it employs. Fringe benefits shall be limited to retirement plan contributions and the federal insurance contributions act tax.
    3. Notwithstanding paragraphs (a) to (d) of this subsection, a Kentucky Department of Fish and Wildlife Resources conservation officer appointed pursuant to KRS 150.090(2) and listed in KRS 15.420(2)(a)2.n. shall be a participant in the Kentucky Law Enforcement Foundation Program fund, but shall not receive an annual supplement from that fund. A conservation officer shall receive an annual training stipend commensurate to the annual supplement paid to the police officer as defined in KRS 15.420. The annual training stipend disbursed to a conservation officer shall be paid from the game and fish fund pursuant to KRS 150.150 .
    4. Any peace officer sanctioned by the Tourism, Arts and Heritage Cabinet shall be deemed a police officer solely for the purpose of inclusion in the Law Enforcement Foundation Program fund.
  1. The supplement provided in subsection (1) of this section shall be paid by the unit of government to each police officer whose qualifications resulted in receipt of a supplemental payment. The payment shall be in addition to the police officer’s regular salary and, except as provided in subsection (4)(b) of this section, shall continue to be paid to a police officer who is a member of:
    1. The Kentucky National Guard during any period of activation under Title 10 or 32 of the United States Code or KRS 38.030 ; or
    2. Any reserve component of the United States Armed Forces during any period of activation with the United States Armed Forces.
    1. A qualified sheriff who receives the maximum salary allowed by Section 246 of the Kentucky Constitution and KRS 64.527 shall not receive a supplement. (3) (a) A qualified sheriff who receives the maximum salary allowed by Section 246 of the Kentucky Constitution and KRS 64.527 shall not receive a supplement.
    2. A qualified sheriff who does not receive the maximum salary allowed by Section 246 of the Kentucky Constitution and KRS 64.527, excluding the expense allowance provided by KRS 70.170 , shall upon annual settlement with the fiscal court under KRS 134.192 , receive that portion of the supplement that will not cause his or her compensation to exceed the maximum salary.
    3. A qualified sheriff who seeks to participate in the fund shall forward a copy of the annual settlement prepared under KRS 134.192 to the fund. The sheriff shall reimburse the fund if an audit of the annual settlement conducted pursuant to KRS 134.192 reflects that the sheriff received all or a portion of the supplement in violation of this section. A sheriff who fails to provide a copy of the annual settlement to the fund or to reimburse the fund after correction by audit, if required, shall not be qualified to participate in the fund for a period of two (2) years.
    4. A qualified deputy sheriff shall receive the supplement from the sheriff if the sheriff administers his or her own budget or from the county treasurer if the sheriff pools his or her fees. The failure of a sheriff to comply with the provisions of this section shall not affect the qualification of his or her deputies to participate in the fund.
    1. Eligible units of government shall receive the salary supplement, excluding funds applicable to the employer’s retirement plan contribution, provided in subsection (1) of this section for distribution to a police officer who is eligible under subsection (2) of this section. (4) (a) Eligible units of government shall receive the salary supplement, excluding funds applicable to the employer’s retirement plan contribution, provided in subsection (1) of this section for distribution to a police officer who is eligible under subsection (2) of this section.
    2. A qualified police officer receiving a salary supplement during any period of military activation, as provided in subsection (2) of this section, shall not be entitled to receive the employer’s retirement plan contribution, and the salary supplement shall not be subjected to an employee’s contribution to a retirement plan. The salary supplement shall otherwise be taxable for all purposes.
  2. A unit of government receiving disbursements under this section shall follow all laws applicable to it that may govern due process disciplinary procedures for its officers, but this subsection shall not be interpreted to:
    1. Authorize the department, the cabinet, or the council to investigate, judge, or exercise any control or jurisdiction regarding the compliance of a unit of government with laws that may govern due process disciplinary procedures for its officers, except as otherwise provided by laws;
    2. Create a private right of action for any police officer regarding an agency’s participation in this section;
    3. Authorize a termination of an agency’s participation as a result of a judgment that the unit of government failed to follow its procedures in any independent cause of action brought by the police officer against the unit of government; or
    4. Prevent the adoption, amendment, or repeal of any laws that may govern the due process disciplinary procedures of a unit of government’s police officers.

History. Enact. Acts 1972, ch. 71, § 6; 1974, ch. 74, Art. V, § 24(10); 1980, ch. 297, § 1, effective July 15, 1980; 1982, ch. 246, § 9, effective July 1, 1982; 1988, ch. 11, § 13, effective July 15, 1988; 1988, ch. 366, § 2, effective July 15, 1988; 1998, ch. 244, § 3, effective July 15, 1998; 1998, ch. 510, § 3, effective July 15, 1998; 1998, ch. 606, § 56, effective July 15, 1998; 2009, ch. 10, § 53, effective January 1, 2010; 2012, ch. 86, § 1, effective July 12, 2012; 2018 ch. 89, § 6, effective July 1, 2018; 2019 ch. 167, § 4, effective June 27, 2019.

Legislative Research Commission Notes.

(7/1/2018). An error in this statute has been corrected in codification. In the amendment to this statute in 2018 Ky. Acts ch. 89, sec. 6, subsection (1)(e) contains the phrase “police officer as defined in Section 1 of this Act.” Section 1 amends KRS 15.410 , but no definition of the term “police officer” appears in that statute. It is clear from the context that the definition being referred to appears in Section 2 of the Act, which amends KRS 15.420 . Under the authority of KRS 7.136(1)(f) and (h), the Revisor of Statutes has corrected the reference to read “ KRS 15.420 .”

NOTES TO DECISIONS

1.Emergency Clause Valid.

The reason stated in the emergency clause of Acts 1982, ch. 246 which act deals generally with a surcharge upon certain insurance premiums collected in the state which is intended to fund a trust for the payment of incentives to the fire fighters and policemen of the various municipalities, to the effect that the general fund appropriations for fiscal year 1981-82 for the professional fire fighters foundation program fund as provided by KRS 95A.200 through 95A.990 , and the law enforcement foundation program fund as provided by KRS 15.410 through 15.510 , would lapse on June 30, 1982, sufficiently supported the legislative declaration of an emergency. American Ins. Asso. v. Geary, 635 S.W.2d 306, 1982 Ky. LEXIS 265 ( Ky. 1982 ).

2.State Universities.

Because Western Kentucky University is a state institution of higher education rather than a “local unit of government” as defined in KRS 15.420(1) and its campus police officers are not “police officers” as defined in KRS 15.420(2), campus police officers were not entitled to share in the distribution of funds mandated by this section under the Kentucky Law Enforcement Foundation Program (KLEFP) fund. Wellman v. Blanton, 927 S.W.2d 347, 1996 Ky. App. LEXIS 138 (Ky. Ct. App. 1996).

Opinions of Attorney General.

Pension contributions should be deducted from the fifteen percent (15%) incentive pay paid to police officers from the Kentucky Law Enforcement Foundation Program fund and an officer’s salary on which his pension is based should include such incentive pay. OAG 75-375 ; 76-361.

Since by the Department of Justice (now Justice Cabinet) regulations a police officer’s base salary does not include overtime pay, the fifteen percent (15%) incentive funds reimbursed to a police department would not include fifteen percent (15%) of overtime pay. OAG 77-89 .

Where a city erroneously paid Kentucky Law Enforcement Foundation Program Fund funds to one of its injured policemen, and the policeman subsequently resigned asking for a refund of his contributions to the pension fund pursuant to KRS 95.620(2), the city had to refund the funds to KLEFPF or risk having its participation terminated; the policeman should have also repaid such funds to the city, but if he did not the pension fund trustees could not withhold his contributions to the fund since if the trustees elected to return such contributions they had to refund all of such contributions and could not withhold a sum from the contributions representing what he owed to KLEFPF. OAG 78-385 .

The Kentucky Law Enforcement Foundation Program Fund (KLEFPF) reimburses a police department $2,500 per year for each eligible police officer who must be paid such sum. If such officers work overtime (beyond 40 hours per week), the local police department is required to pay said officer overtime pay, including KLEFPF money in determining such overtime rate, just as it would be so required if none of the officer’s salary were reimbursed by KLEFPF. OAG 83-432 .

The salary supplement which a local unit of government receives from the Kentucky Law Enforcement Foundation Program Fund (KLEFPF) for its qualified police officers in the program should either go to the qualified officers or be refunded to the KLEFPF if overpayment results; the governmental unit has no right to any part of the officers’ money. Accordingly, even though a particular officer received no base salary for the three days he was off (without annual leave or sick leave balance), he was entitled to his KLEFPF incentive pay money for that month. OAG 83-494 .

Research References and Practice Aids

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (2) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3a) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3b) at 1326.

15.470. Purposes for which funds may be used.

Law Enforcement Foundation Program funds made available to units of government shall be received, held, and expended in accordance with the provisions of KRS 15.410 to 15.510 , including the administrative regulations promulgated by the cabinet and the following specific restrictions:

  1. Funds provided shall be used only as a cash salary supplement to police officers, for payments to the retirement plan to which the officer belongs to cover employer retirement costs on the cash salary supplement, and for administrative costs as provided in KRS 15.450 ;
  2. Funds provided shall be used only to compensate police officers who have complied with KRS 15.440(1)(c), (d), and (e);
  3. Each police officer shall be entitled to receive the state supplement that the officer’s qualifications brought to the unit of government;
  4. Funds provided shall not be used to supplant existing salaries or as a substitute for normal salary increases periodically due to police officers;
  5. Each police officer receiving the state supplement who is also a member of the Kentucky National Guard or any reserve component of the United States Armed Forces shall continue to receive the state supplement during any period of military activation, as provided in KRS 15.460(2); and
  6. Funds distributed or received pursuant to subsection (5) of this section shall be excluded from all aspects of the Kentucky Retirement Systems or any other retirement system.

HISTORY: Enact. Acts 1972, ch. 71, § 7; 1974, ch. 74, Art. V, § 24(10); 1984, ch. 300, § 7, effective July 13, 1984; 1988, ch. 11, § 14, effective July 15, 1988; 2002, ch. 137, § 3, effective July 15, 2002; 2007, ch. 85, § 25, effective June 26, 2007; 2012, ch. 86, § 2, effective July 12, 2012; 2018 ch. 89, § 7, effective July 1, 2018.

Opinions of Attorney General.

Where the city of Louisville proposed a normal salary increase for its police officers but the United States Cost of Living Council ruled that the city could not pay any salary increase to its policemen during that year except for the 9.5 percent salary supplement payable by the state, the provision of this section providing that the salary supplement may not supplant the existing salaries or normal periodic pay increases would not prevent the payment of the supplement to the city for the salaries of its police officers, since the city’s failure to grant the normal periodic pay increase was caused not by any act of its own but by the order of the federal Cost of Living Council. OAG 73-542 .

Research References and Practice Aids

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3a) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (3b) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (4a) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (4b) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (4c) at 1326.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, H, 2, (6) at 1326.

15.480. Payment by the Finance and Administration Cabinet.

The Finance and Administration Cabinet, on the certification of the cabinet, shall draw warrants as specified hereinafter on the State Treasurer for the amount of the Law Enforcement Foundation Program fund due each participating unit of government. Checks shall be issued by the State Treasurer and transmitted to the cabinet for distribution to the proper officials of participating units of government that have complied with the provisions of KRS 15.410 to 15.510 and the administrative regulations of the cabinet. On the first day of each month, the share of each eligible and participating unit of government shall be distributed from the Law Enforcement Foundation Program fund.

HISTORY: Enact. Acts 1972, ch. 71, § 8; 1974, ch. 74, Art. II, § 9(1); 1974, ch. 74, Art. V, § 24(10); 2007, ch. 85, § 26, effective June 26, 2007; 2018 ch. 89, § 8, effective July 1, 2018.

15.490. Reports — Compensation as part of salary.

  1. Each participating unit of government shall submit reports to the cabinet on March 31, June 30, September 30, and December 31 of each year containing information relative to number, rank, education, training, and compensation of police officers employed by it and the disposition made of any state or other funds received pursuant to KRS 15.410 to 15.510 . Nothing in this section shall prohibit the cabinet from requiring additional information or reports from participating units of government;
  2. Units of government shall include the additional compensation paid to each police officer from the Law Enforcement Foundation Program fund as a part of the officer’s salary in determining all payroll deductions.

HISTORY: Enact. Acts 1972, ch. 71, § 9; 1974, ch. 74, Art. V, § 24(10); 2007, ch. 85, § 27, effective June 26, 2007; 2018 ch. 89, § 9, effective July 1, 2018.

NOTES TO DECISIONS

1.Computation of Deductions.

Since a city is required to include the additional compensation paid to each police officer from the Law Enforcement Foundation Program fund as a part of the officer’s salary in determining all payroll deductions, such additional compensation is subject to deduction for the officer’s contribution to the policemen’s retirement fund. Policeman's & Fireman's Retirement Fund v. Richardson, 522 S.W.2d 452, 1975 Ky. LEXIS 136 ( Ky. 1975 ).

Opinions of Attorney General.

All deductions, including state and federal income tax, social security, city payroll tax, pension funds, hospitalization, or any other authorized deductions, shall be computed on the officer’s salary which shall include any amounts paid to the officer from the Law Enforcement Program fund. OAG 73-833 .

Where a city has failed to make the four percent (4%) deduction for pension fund purposes, prescribed by KRS 95.580 , from the incentive pay paid policemen from KLEFPF funds, there is a responsibility on the part of the city and any current police officer to make the four percent (4%) contribution retroactively. OAG 75-649 .

Where police officers who have already retired under KRS 95.550 or 95.560 received during their active service incentive pay from KLEFPF funds, but the city and the officers did not deduct nor contribute the four percent (4%) for pension fund purposes prescribed by KRS 95.580 and the officers’ pensions do not include credit for the incentive pay, the officers, if they make the required contributions retroactively, which they may not be compelled to do, are entitled to an adjustment in their annuities crediting them with the incentive pay and the city is obligated to make its contributions retroactively. OAG 75-649 .

When a city which has a pension fund under KRS 95.520 begins to participate in KLEFPF, the police officers of such city must make donations to the pension fund in accordance with subsection (2) of this section at the inception of the incentive pay program. OAG 76-361 .

Kentucky Law Enforcement Foundation Program Fund payments must be taken into account in computing pension and retirement contributions by the city and the police officers and when a city begins to participate in the KLEFPF program, the city and police officers must make additional payments to the pension fund retroactive to the time the city joined the program. OAG 76-361 .

A fourth-class city which instituted a retirement program for city police officers, under which the city contributes four percent of each officer’s gross salary monthly to the pension fund, is required to consider state supplemental funds received from the Kentucky Law Enforcement Foundation Program fund together with the regular salary for purposes of computing deductions for pension fund purposes, since subsection (2) of this section recognizes supplemental payments as part of salary for payroll deduction purposes. OAG 81-306 .

15.500. Distribution of insufficient funds — Unexpended funds.

  1. If funds appropriated by the General Assembly and otherwise made available to the Law Enforcement Foundation Program fund are insufficient to provide the amount of money required by KRS 15.460 , the cabinet shall establish the rate of assistance to be paid.
  2. Funds unexpended by the cabinet at the close of the fiscal year for which the funds were appropriated and otherwise made available to this fund, pursuant to KRS 15.430 , 42.190 and 136.392 , shall not lapse as provided by KRS 45.229 but shall be carried forward into the following fiscal year and shall be used solely for the purposes specified in KRS 15.410 to 15.500 .

HISTORY: Enact. Acts 1972, ch. 71, § 10; 1974, ch. 74, Art. V, § 24(10); 1976, ch. 105, § 2; 1982, ch. 246, § 10, effective April 1, 1982; 1982, ch. 450, § 51, effective July 1, 1983; 1984, ch. 300, § 8, effective July 13, 1984; 2007, ch. 85, § 28, effective June 26, 2007; 2018 ch. 89, § 10, effective July 1, 2018.

NOTES TO DECISIONS

1.Emergency Clause Valid.

The reason stated in the emergency clause of Acts 1982, ch. 246 which act deals generally with a surcharge upon certain insurance premiums collected in the state which is intended to fund a trust for the payment of incentives to the fire fighters and policemen of the various municipalities, to the effect that the general fund appropriations for fiscal year 1981-82 for the Professional Fire Fighters Foundation Program fund as provided by KRS 95A.200 through 95A.990 , and the Law Enforcement Foundation Program fund as provided by KRS 15.410 through 15.510 , would lapse on June 30, 1982, sufficiently supported the legislative declaration of an emergency. American Ins. Asso. v. Geary, 635 S.W.2d 306, 1982 Ky. LEXIS 265 ( Ky. 1982 ).

15.510. Appeals.

An appeal may be taken from any decision of the Justice and Public Safety Cabinet to withhold or terminate payment from the Law Enforcement Foundation Program fund to any local unit of government. Appeals shall be taken to the Circuit Court of the county where the controversy originates.

History. Enact. Acts 1972, ch. 71, § 11; 1974, ch. 74, Art. V, § 24(10); 2007, ch. 85, § 29, effective June 26, 2007.

15.512. Retention of records of officers having met KRS 15.440(1)(j) biennial training requirements.

Each law enforcement agency or other employing agency whose officers are required to meet the training requirements of KRS 15.440(1)(j) shall retain a record of each of its officers having met the biennial training. These records shall be made available upon request to the Kentucky Law Enforcement Council and to the Justice and Public Safety Cabinet.

HISTORY: 2020 ch. 97, § 4, effective July 15, 2020.

15.515. Participation in the Kentucky Law Enforcement Foundation Program Fund by a police officer who is elected jailer.

  1. A police officer who is elected as a jailer shall retain eligibility for Kentucky Law Enforcement Foundation Program Fund participation following his or her term of office as jailer, subject to the following conditions:
    1. The police officer successfully completed a basic training course approved or recognized by the Kentucky Law Enforcement Council;
    2. The person has been continuously employed as a police officer since basic training and has maintained his or her annual in-service training prior to the police officer’s election to the office of jailer; and
    3. During his or her term of office as jailer, the person has successfully completed forty (40) hours of annual in-service training approved or recognized by the Kentucky Law Enforcement Council.
  2. During his or her term of office, the jailer shall not be eligible to participate in the Kentucky Law Enforcement Foundation Program Fund.
  3. Upon the jailer’s return to a law enforcement agency that is eligible to participate in the Kentucky Law Enforcement Foundation Program Fund, he or she may participate in the fund, if otherwise eligible, without repeating basic training in its entirety. The jailer may be required to complete no more than eighty (80) hours of training as determined by the Kentucky Law Enforcement Council to participate in the fund.
  4. In-service training required of the jailer under this section shall be provided by the Department of Criminal Justice Training without the cost of tuition to the jailer.
  5. The provisions of this section shall apply to any person serving as elected jailer on or after June 21, 2001, regardless of when the initial basic training was completed.
  6. An elected jailer who is in office as of June 21, 2001, and who has successfully completed annual Department of Corrections in-service training during his or her term of office shall be deemed to have met the in-service training requirement of subsection (1) of this section. After June 21, 2001, an elected jailer shall meet the requirements of subsection (1) of this section to retain Kentucky Law Enforcement Foundation Program Fund eligibility.

History. Enact. Acts 2001, ch. 114, § 1, effective June 21, 2001.

15.518. Law Enforcement Professional Development and Wellness Program — Administrative regulations — Confidentiality of program participant’s communications and data — Exceptions — Law Enforcement Professional Development and Wellness Program fund.

  1. As used in this section, unless the context requires otherwise:
    1. “Commissioner” means the commissioner of the department;
    2. “Department” means the Department of Criminal Justice Training of the Justice and Public Safety Cabinet;
    3. “Fund” means the Law Enforcement Professional Development and Wellness Program fund established in subsection (8) of this section; and
    4. “Program” means the Law Enforcement Professional Development and Wellness Program established in this section.
  2. The department shall develop a Law Enforcement Professional Development and Wellness Program.
  3. The program shall use seminar-based peer support and counseling services designed to reduce negative mental and behavioral health outcomes.
  4. The program shall be offered to Kentucky law enforcement officers at least two (2) times each calendar year.
  5. On a limited basis, the program may be offered to law enforcement officers from states other than Kentucky upon application to and approval by the commissioner. However, no Kentucky law enforcement officers may be denied admission to the program if law enforcement officers from another state are admitted to the program.
  6. The department shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section. The administrative regulations shall address, at a minimum:
    1. The required qualifications and duties of any person used by the department to implement or administer the program;
    2. The curriculum, programming, seminar type, and treatment modalities used in the program;
    3. The extent to which a participating officer’s relatives or friends may participate in seminars;
    4. The standards by which law enforcement officers from other states may be accepted into the program by the commissioner; and
    5. A protocol for establishing reciprocity for interagency assistance with other state, federal, and tribal law enforcement agencies and officers in administering the program.
    1. Except as provided in paragraphs (b) and (c) of this subsection, communications, identifying data, and any reports made in the application for or in the course of an officer’s participation in the program shall be confidential and privileged from disclosure in any civil or criminal proceeding and shall not be subject to discovery, disclosure, or production upon the order or subpoena of a court or other agency with subpoena power, regardless of who possesses them. The participating officer is the holder of the privilege. (7) (a) Except as provided in paragraphs (b) and (c) of this subsection, communications, identifying data, and any reports made in the application for or in the course of an officer’s participation in the program shall be confidential and privileged from disclosure in any civil or criminal proceeding and shall not be subject to discovery, disclosure, or production upon the order or subpoena of a court or other agency with subpoena power, regardless of who possesses them. The participating officer is the holder of the privilege.
    2. The department may use anonymous data for research, statistical analysis, and educational purposes.
    3. Any communication making an actual threat of physical violence against a clearly identified or reasonably identifiable victim or an actual threat of some specific violent act may be revealed by the program in order to prevent the commission of any physical violence or violent act using the protocol established in KRS 202A.400 .
    1. There is hereby established in the State Treasury a restricted fund to be known as the Law Enforcement Professional Development and Wellness Program fund. (8) (a) There is hereby established in the State Treasury a restricted fund to be known as the Law Enforcement Professional Development and Wellness Program fund.
    2. The fund shall consist of moneys received from the Kentucky Law Enforcement Foundation Program fund established in KRS 15.430 , grants, gifts, state appropriations, and federal funds.
    3. The fund shall be administered by the department.
    4. Amounts deposited in the fund shall be used only for administration of the program.
    5. Notwithstanding KRS 45.229 , fund amounts not expended at the close of a fiscal year shall not lapse but shall be carried forward to the next fiscal year.
    6. Any interest earnings of the fund shall become a part of the fund and shall not lapse.
    7. Moneys deposited in the fund are hereby appropriated for the purposes set forth in this section and shall not be appropriated or transferred by the General Assembly for any other purposes.

HISTORY: 2018 ch. 104, § 1, effective April 2, 2018.

Complaints Against Police Officers

15.520. Complaints against police officers — Manner of investigation and hearing — Statutory provisions that do not apply.

  1. As used in this section:
    1. “Citizen” means any individual who is not:
      1. A member or supervisor within the law enforcement agency that employs an officer; or
      2. An elected or appointed official within the unit of government under which the law enforcement agency that employs the officer is organized;
    2. “Complaint” means any statement by a citizen, whether written or verbal, that alleges any type of misconduct by an officer, including statements that are submitted or received anonymously;
    3. “Disciplinary action” means termination, demotion, a decrease in pay or grade, suspension without pay, and a written reprimand;
    4. “General employment policies” means the rules, regulations, policies, and procedures commonly applicable to the general workforce or civilian employees that are not unique to law enforcement activities or the exercise of peace officer authority, regardless of whether those rules, regulations, policies, and procedures exist or appear in a departmental manual or handbook that is solely applicable to a law enforcement department or agency within the unit of government employing the officer;
    5. “Interrogation” means a formal investigative interview and does not mean conversations or meetings of supervisory personnel and subordinate officers that are not intended to result in disciplinary action, such as conversations or meetings held for the purpose of providing corrective instruction counseling or coaching;
    6. “Law enforcement procedures” means only those policies, rules, and customs that:
      1. Are specific to the conduct of officers in the exercise of law enforcement powers and functions, including, without limitation: use of force, conduct in the course of pursuits, conduct during stops or detentions of citizens, conduct in the course of interacting with, assisting, or questioning of citizens, and investigative conduct;
      2. Are carried out in the course of peace officer functions;
      3. Are not general employment policies; and
      4. May exist in either written form or in the form of unwritten standards, practices, or protocols generally accepted and applied in the law enforcement profession;
    7. “Misconduct” means any act or omission by an officer that violates criminal law, law enforcement procedures, or the general employment policies of the employing agency; and
    8. “Officer” means a person employed as a full-time peace officer by a unit of government that receives funds under KRS 15.410 to 15.510 , except a state officer listed in KRS 15.420(2)(a)2.b. to f. and n., who has completed any officially established initial probationary period of employment lasting no longer than twelve (12) months not including, unless otherwise specified by the employing agency, any time the officer was employed and completing the basic training required by KRS 15.404 .
  2. In order to establish a minimum system of professional conduct for officers of local units of government of this Commonwealth, the following standards are stated as the intention of the General Assembly to deal fairly and establish administrative due process rights in certain disciplinary matters concerning those officers of an employing unit of government that participates in the Kentucky Law Enforcement Foundation Program fund administered pursuant to KRS 15.430 and, at the same time, to provide a means for redress by the citizens of the Commonwealth for wrongs allegedly done to them by officers covered by this section.
  3. Any complaint taken from a citizen alleging misconduct on the part of any officer shall be taken as follows:
    1. If the complaint alleges criminal activity by an officer, the allegations may be investigated without a signed, sworn complaint of the citizen;
    2. If the complaint alleges any other type of violation not constituting criminal activity, including violations of law enforcement procedures or the general employment policies of the employing agency, an affidavit, signed and sworn to by the citizen, shall be obtained, except as provided by paragraph (c) of this subsection; or
    3. If a complaint is required to be obtained and the citizen, upon request, refuses to make allegations under oath in the form of an affidavit, signed and sworn to, the employing agency may investigate the allegations, but shall bring charges under subsection (6) of this section against the officer only if the employing agency can independently substantiate the allegations absent the sworn statement of the citizen.
    1. When an officer is accused of an act or omission that would constitute a violation of law enforcement procedures by any individual within the law enforcement agency employing the officer, including supervisors and elected or appointed officials of the officer’s employing agency, the employing agency shall conform the conduct of any investigation to the provisions of subsection (5) of this section, shall formally charge the officer in accordance with subsection (6) of this section, and shall conduct a hearing in accordance with subsection (7) of this section before any disciplinary action shall be taken against the officer. (4) (a) When an officer is accused of an act or omission that would constitute a violation of law enforcement procedures by any individual within the law enforcement agency employing the officer, including supervisors and elected or appointed officials of the officer’s employing agency, the employing agency shall conform the conduct of any investigation to the provisions of subsection (5) of this section, shall formally charge the officer in accordance with subsection (6) of this section, and shall conduct a hearing in accordance with subsection (7) of this section before any disciplinary action shall be taken against the officer.
    2. The provisions of this subsection shall not prevent the employing agency from suspending the officer, with or without pay, during an investigation and pending the final disposition of any formal charges, except that an officer suspended without pay shall be entitled to full back pay and benefits for the regular hours he or she would have worked if no formal charges are brought or the hearing authority finds the officer not guilty of the charges.
    3. An employing agency shall not be required to follow the provisions of this section in addressing conduct by the officer that would constitute a violation of the general employment policies of the employing agency.
    1. Any complaint filed by a citizen under subsection (3) of this section or any allegation of conduct that would constitute a violation of law enforcement procedures under subsection (4) of this section shall be investigated by the employing agency or another designated law enforcement agency in accordance with the provisions of this subsection if the employing agency determines that an investigation of the complaint or the alleged conduct is warranted. (5) (a) Any complaint filed by a citizen under subsection (3) of this section or any allegation of conduct that would constitute a violation of law enforcement procedures under subsection (4) of this section shall be investigated by the employing agency or another designated law enforcement agency in accordance with the provisions of this subsection if the employing agency determines that an investigation of the complaint or the alleged conduct is warranted.
    2. No threats, promises, or coercions shall be used at any time against any officer while he or she is a suspect in a criminal case or has been accused of a violation of law enforcement procedures. Suspension from duty with or without pay, or reassignment to other than an officer’s regular duties during the period shall not be deemed coercion. Prior to or within twenty-four (24) hours after suspending the officer pending investigation or disposition of a complaint, the officer shall be advised in writing of the reasons for the suspension.
    3. Unless otherwise agreed to in writing by the officer, no police officer shall be subjected to interrogation for alleged conduct that violates law enforcement procedures, until forty-eight (48) hours have expired from the time the request for interrogation is made to the accused officer, in writing. The notice of interrogation shall include a statement regarding any reason for the interrogation and shall be served on the officer by certified mail, return receipt requested, or by personal delivery.
    4. The interrogation shall be conducted while the officer is on duty. The officer may be required to submit a written report of the alleged incident if the request is made by the employing agency no later than the end of the subject officer’s next tour of duty after the tour of duty during which the employing agency initially was made aware of the complaint.
    5. If an officer is under arrest, or likely to be arrested, or a suspect in any criminal investigation, he or she shall be afforded the same constitutional due process rights that are accorded to any civilian, including, but not limited to, the right to remain silent and the right to counsel, and shall be notified of those rights before any questioning commences.
    1. If it is determined through investigation or other means that the facts alleged in a citizen complaint or in an accusation of a violation of law enforcement procedures warrant charging the officer, the charge shall be made in writing with sufficient specificity so as to fully inform the officer of the nature and circumstances of the alleged violation in order that he or she may be able to properly defend himself or herself. (6) (a) If it is determined through investigation or other means that the facts alleged in a citizen complaint or in an accusation of a violation of law enforcement procedures warrant charging the officer, the charge shall be made in writing with sufficient specificity so as to fully inform the officer of the nature and circumstances of the alleged violation in order that he or she may be able to properly defend himself or herself.
    2. The charge shall be signed by a representative of the employing agency, shall set out the disciplinary action recommended or imposed, and shall be served on the officer in writing by certified mail, return receipt requested, or by personal delivery.
    3. When an officer has been charged with a violation of law enforcement procedures, no public statements shall be made concerning the alleged violation by any person or persons of the employing agency or the officer so charged, until final disposition of the charges.
    4. No officer as a condition of continued employment by the employing agency shall be compelled to speak or testify or be questioned by any person or body of a nongovernmental nature.
  4. Unless waived by the charged officer in writing, a hearing shall be conducted by the officer’s appointing authority to determine whether there is substantial evidence to prove the charges and to determine what, if any, disciplinary action shall be taken if substantial evidence does exist. In conducting a hearing, the following administrative due process rights shall be recognized and these shall be the minimum rights afforded any officer charged, except as otherwise agreed to in writing by the officer and the employing agency:
    1. The accused officer shall be given at least twelve (12) days’ written notice of any hearing. The notice of hearing shall be served on the officer by certified mail, return receipt requested, or by personal delivery;
    2. Copies of any sworn statements or affidavits to be considered by the hearing authority and any exculpatory statements or affidavits shall be furnished to the officer no less than twelve days (12) prior to the time of any hearing;
    3. At any hearing based upon the sworn complaint of a citizen, the citizen shall be notified to appear at the time and place of the hearing by certified mail, return receipt requested, or by personal delivery;
    4. If the return receipt has been returned unsigned, or the individual does not appear, except due to circumstances beyond his or her control he or she cannot appear at the time and place of the hearing, any charge resulting from a complaint made by that citizen shall not be considered by the hearing authority and shall be dismissed with prejudice;
    5. The accused officer shall have the right and opportunity to obtain and have counsel present, and to be represented by counsel;
    6. The appointing authority, legislative body, or other body as designated by the Kentucky Revised Statutes shall subpoena and require the attendance of witnesses and the production by them of books, papers, records, and other documentary evidence at the request of the accused officer or the charging party. If any person fails or refuses to appear under the subpoena, or to testify, or to attend, or produce the books, papers, records, or other documentary evidence lawfully required, the appointing authority, legislative body, or other body as designated by the Kentucky Revised Statutes may report to the Circuit Court or any judge thereof the failure or refusal, and apply for a rule. The Circuit Court, or any judge thereof, may on the application compel obedience by proceedings for contempt as in the case of disobedience of the requirements of a subpoena issued from the court;
    7. The accused officer shall be allowed to present witnesses and any documentary or other relevant evidence the officer wishes to provide to the hearing authority, and may cross-examine all witnesses called by the charging party;
    8. If any officer who has been suspended with or without pay is not given a hearing as provided by this section within seventy-five (75) days of any charge being filed pursuant to this section, the charge shall be dismissed with prejudice and shall not be considered by any hearing authority and the officer shall be reinstated with full back pay and benefits;
    9. Any officer who has been suspended without pay who is found not guilty of the charges by the hearing authority shall be reinstated with the full back pay and benefits for the regular hours he or she would have worked;
    10. The failure to provide any of the rights or to follow the provisions of this section may be raised by the officer with the hearing authority. The hearing authority shall not exclude proffered evidence based on failure to follow the requirements of this section but shall consider whether, because of the failure, the proffered evidence lacks weight or credibility and whether the officer has been materially prejudiced; and
    11. To the extent the provisions of KRS 61.805 to 61.850 are applicable, the hearing authority may conduct the hearing required by this subsection in a closed session, unless the officer requests of the hearing authority in writing at least three (3) days prior to the hearing that the hearing be open to the public.
    1. Any officer who is found guilty by any hearing authority of any charge, may bring an action in the Circuit Court in the county in which the employing agency is located within thirty (30) days of the date written findings are issued to appeal the action of the hearing authority. The appeal shall be initiated by the filing of a complaint in the same manner as any civil action under the Rules of Civil Procedure and shall include a copy of the hearing authority’s final order. The Circuit Court review of the case shall be based solely upon the administrative record created before the hearing authority and any new evidence offered by the officer regarding alleged arbitrariness on the part of the hearing authority. (8) (a) Any officer who is found guilty by any hearing authority of any charge, may bring an action in the Circuit Court in the county in which the employing agency is located within thirty (30) days of the date written findings are issued to appeal the action of the hearing authority. The appeal shall be initiated by the filing of a complaint in the same manner as any civil action under the Rules of Civil Procedure and shall include a copy of the hearing authority’s final order. The Circuit Court review of the case shall be based solely upon the administrative record created before the hearing authority and any new evidence offered by the officer regarding alleged arbitrariness on the part of the hearing authority.
    2. The judgment of the Circuit Court shall be subject to appeal to the Court of Appeals. The procedure as to appeal to the Court of Appeals shall be the same as in any civil action.
  5. The provisions of KRS 90.310 to 90.410 , 95.450 , and 95.765 shall not apply in any proposed disciplinary action arising from a citizen complaint made under subsection (3) of this section or arising from any allegation of conduct that would constitute a violation of law enforcement procedures under subsection (4) of this section. This section shall not be interpreted or construed to alter or impair any of the substantive rights provided to a city police officer under KRS 90.310 to 90.410 , 95.450 , and 95.765 for any proposed disciplinary action or other matters not arising under subsections (3) and (4) of this section, including proposed actions involving alleged violations of general employment policies. To the extent that the provisions of this section are inapplicable to any proposed disciplinary action against a city police officer, the provisions of KRS 90.310 to 90.410, 95.450, and 95.765 shall remain in full force and effect.
  6. As the provisions of this section relate to a minimum system of professional conduct, nothing in this section shall be interpreted or construed to:
    1. Limit or to in any way affect any rights previously afforded to officers of the Commonwealth by statute, collective bargaining or working agreement, or legally adopted ordinance;
    2. Preclude an employing agency from investigating and charging an officer both criminally and administratively;
    3. Prevent the suspension with or without pay or reassignment of an officer during an investigation and pending final disposition charges;
    4. Permit an employing agency to categorize and treat any complaint that originates from a citizen as an internal matter in order to avoid application of all of the provisions of this section to the final disposition of a citizen’s complaint;
    5. Apply any disciplinary action required by this section to actions taken by an employing agency that is not related to misconduct by a law enforcement officer, such as personnel decisions made by the employing agency due to a lack of resources or personnel decisions related to a chief’s management of a police department; or
    6. Prevent an employing agency from electing to apply the provisions of this section, or parts thereof, in circumstances that would not be covered under this section.
  7. This section shall not apply to officers employed by a consolidated local government that receives funds under KRS 15.410 to 15.510 , who shall instead be governed by the provisions of KRS 67C.326 .

HISTORY: Enact. Acts 1980, ch. 333, § 1, effective July 15, 1980; 1986, ch. 313, § 1, effective July 15, 1986; 1990, ch. 127, § 1, effective July 13, 1990; 1994, ch. 383, § 1, effective July 15, 1994; 2015 ch. 119, § 1, effective June 24, 2015; 2018 ch. 89, § 11, effective July 1, 2018.

NOTES TO DECISIONS

Analysis

1.Applicability.

Where a mayor of a city of the fifth class, acting under the discretionary power given him by KRS 83A.080(2), removed the city’s chief of police from office without first holding a due process hearing, this section, which set certain administrative due process rights for police officers, had no application since the chief’s removal was not predicated upon any complaint of professional misconduct or upon any charge involving violation of any local unit of government rule or regulation, and, therefore, the mayor acted within his statutory authority. McCloud v. Whitt, 639 S.W.2d 375, 1982 Ky. App. LEXIS 246 (Ky. Ct. App. 1982).

As a university police officer’s termination from employment was based on an internal departmental investigation rather than being commenced by a citizen’s complaint, KRS 15.520 did not apply. Pearce v. Univ. of Louisville, 2011 Ky. App. LEXIS 230 (Ky. Ct. App. Nov. 18, 2011, sub. op., 2011 Ky. App. Unpub. LEXIS 998 (Ky. Ct. App. Nov. 18, 2011).

Police officer argued that his termination violated the due process and hearing protections afforded to police officers under KRS 15.520 ; however, the appellate court found that KRS 15.520 only applied when disciplinary action was taken against a police officer based upon a citizen complaint, and since the officer’s termination resulted from an internal police investigation without a citizen complaint, the provisions of KRS 15.520 did not apply. Beavers v. City of Berea, 2012 Ky. App. LEXIS 1 (Ky. Ct. App. Jan. 6, 2012).

2.Source of Complaint.

KRS 78.445 and this section do not require that disciplinary proceedings must necessarily emanate from a citizen’s sworn complaint. While disciplinary action may rest upon the sworn allegation of a complaining citizen, this does not preclude disciplinary action by the departmental authority based upon initiation from within and upon any source of information. McDaniel v. Walp, 747 S.W.2d 613, 1987 Ky. App. LEXIS 621 (Ky. Ct. App. 1987), abrogated in part, Pearce v. Univ. of Louisville, 2011 Ky. App. Unpub. LEXIS 998 (Ky. Ct. App. Nov. 18, 2011).

3.Authority of Reviewing Court.

A reviewing court does not have the authority to review the penalty determination of the Civil Service Board and does not have the power to reverse the disciplinary action taken by the Board. Louisville by Kuster v. Milligan, 798 S.W.2d 454, 1990 Ky. LEXIS 114 ( Ky. 1990 ).

4.Judicial Review.

A discharged employee in a Circuit Court upon judicial review is entitled to something less than a trial de novo, a quasi trial de novo as it were; the trial court in its review is to consider both the transcript and additional testimony, and it is limited to a determination of whether the administrative body acted arbitrarily in deciding whether the employee violated the rules and regulations of the police department. Stallins v. Madisonville, 707 S.W.2d 349, 1986 Ky. App. LEXIS 1034 (Ky. Ct. App. 1986).

The function of the hearing body in instances of charges against police officers is to make two determinations: first, whether the officer has violated the rules and regulations of the department and if so, second, it must exercise its discretion in imposing a penalty. The first is subject to judicial review; the second is not. Stallins v. Madisonville, 707 S.W.2d 349, 1986 Ky. App. LEXIS 1034 (Ky. Ct. App. 1986).

Judicial estoppel did not bar an appellate court from considering the applicability of KRS 15.520 to a university police officer’s administrative disciplinary proceeding where the university initially conceded that KRS 15.520 applied, but then it reversed its course before the administrative proceeding was over. Pearce v. Univ. of Louisville, 2011 Ky. App. LEXIS 230 (Ky. Ct. App. Nov. 18, 2011, sub. op., 2011 Ky. App. Unpub. LEXIS 998 (Ky. Ct. App. Nov. 18, 2011).

5.Removal of Officers.

KRS 83A.080(2) and 83A.130(9) permit a local executive authority such as a mayor to terminate the employment of a nonelected city official such as a police officer only if there is no statute which provides otherwise; KRS 95.765 is such a statute, and requires that a disciplinary hearing be conducted before the legislative body rather than before the mayor. Madisonville v. Sisk, 783 S.W.2d 885, 1990 Ky. App. LEXIS 15 (Ky. Ct. App. 1990).

A mayor or other local executive authority may not receive a citizen’s complaint against a police officer and then fire the officer based on that complaint without ever affording the officer a right to publicly defend against the complaint; in such a situation, the officer is entitled to a due process hearing. City of Munfordville v. Sheldon, 977 S.W.2d 497, 1998 Ky. LEXIS 135 ( Ky. 1998 ).

Police officers were not non-elected city officers for purposes of Independence, Ky., Code of Ordinances § 31.35(C), and a police captain was not entitled to a termination hearing before an attorney appointed by the city council; the city’s mayor, as the “appointing authority”, was authorized to conduct the hearing. Howard v. City of Independence, 199 S.W.3d 741, 2005 Ky. App. LEXIS 230 (Ky. Ct. App. 2005), abrogated in part, Pearce v. Univ. of Louisville, 2011 Ky. App. Unpub. LEXIS 998 (Ky. Ct. App. Nov. 18, 2011).

Police captain was afforded due process in his termination hearing where, inter alia, he was represented by counsel at all stages, the hearing was recorded and transcribed, the police captain’s counsel examined and cross-examined witnesses, and many of his motions and objections were sustained. Howard v. City of Independence, 199 S.W.3d 741, 2005 Ky. App. LEXIS 230 (Ky. Ct. App. 2005), abrogated in part, Pearce v. Univ. of Louisville, 2011 Ky. App. Unpub. LEXIS 998 (Ky. Ct. App. Nov. 18, 2011).

Defendants’ motion to dismiss plaintiff police officer’s claim brought under the Police Officer’s Bill of Rights was denied because although the officer might have been generally aware of the reasons for his termination (i.e., the ending criminal charges), there was no indication that actual, written notice of the specific charges against him was provided within 24 hours of his suspension as required by KRS 15.520(1)(b). Thus, the officer stated a viable claim which fell outside the administrative hearing context of KRS 15.520(1)(h). Seger v. City of Lancaster, 930 F. Supp. 2d 821, 2013 U.S. Dist. LEXIS 35540 (E.D. Ky. 2013 ).

6.Dismissal Erroneous.

Where police officer shot at intruder who had broken into his home, and where the shooting was directed in part at a moving car in which the intruder was fleeing, the fact that said officer had 19 years of unblemished service and he testified that he was not only attempting to arrest a fleeing suspect, but that he also believed he was defending his home and a person living in his home who had previously been assaulted by the intruder, under the circumstances, the Civil Service Board had the authority to determine that dismissal was not justified and was clearly erroneous. Louisville by Kuster v. Milligan, 798 S.W.2d 454, 1990 Ky. LEXIS 114 ( Ky. 1990 ).

7.Reinstatement With Pay.

Where the County Police Merit Board erroneously dismissed the police officer’s claim for a hearing without reaching the merits, the officer was entitled to a remand for a trial on the merits, but not to automatic reinstatement with full back pay under KRS 78.460 and subdivision (1)(h)7 of this section. Brown v. Jefferson County Police Merit Bd., 751 S.W.2d 23, 1988 Ky. LEXIS 34 ( Ky. 1988 ).

Defendants’ motion to dismiss plaintiff police officer’s 42 U.S.C.S. § 1983 claim was granted because the officer had not plausibly alleged that the defendants deprived him of a protected property interest without due process. Any technical violation of KRS 15.520(1)(d) was remedied by the officer’s reinstatement with full back pay before termination occurred and before any accompanying hearing was held, and the remedy occurred well within 60 days of plaintiff’s suspension. Seger v. City of Lancaster, 930 F. Supp. 2d 821, 2013 U.S. Dist. LEXIS 35540 (E.D. Ky. 2013 ).

8.Due Process Rights.

Court of Appeals erred in affirming a circuit court's dismissal of two police officers' disciplinary complaints because the officers were improperly denied the due process protections provided by the police officer's Bill of Rights where the statute contained no explicit suggestion that the administrative due process rights provided therein were not available to officers confronting intra-departmental complaints,the very idea of standards and of setting administrative due process rights denoted uniformity. Pearce v. Univ. of Louisville, 448 S.W.3d 746, 2014 Ky. LEXIS 605 ( Ky. 2014 ).

Opinions of Attorney General.

Members of the police and fire departments of an urban county government who have had criminal charges filed against them cannot be suspended from duty by the appointing authority or the head of their departments pending final disposition of the criminal charges, without following the procedures and requirements set forth in KRS 95.450 which require that charges be preferred and hearings conducted by the legislative body in connection with the persons whose suspensions are sought or who have been suspended. OAG 80-655 .

Since the mayor under the councilmanic form of government has the sole authority under KRS 83A.080(2) and 83A.130(9) to remove nonelected officers and employees, he, rather than the council, would have the responsibility of hearing disciplinary charges against a police officer unless he has promulgated a hearing proceeding otherwise that has been approved by the council under KRS 83A.130(4); on the other hand, the council could, under the authority of KRS 83A.080(2) and 83A.130(9), enact an ordinance establishing a hearing board to hear the charges, the members of which are to be appointed by the mayor with the approval of the council under KRS 83A.080(2). OAG 81-48 .

Subsection (1)(h) of this section when read in conjunction with the section as a whole clearly implies that police officers against whom complaints are filed are entitled to a due process hearing as therein provided though admittedly the statutory language of subsection (1)(h) of this section is somewhat ambiguous; the use of the phrase “when a hearing is to be conducted by any appointing authority … ” simply means that a hearing is predicated on the initial finding by the authority or body designated to take action in the matter and that the complaint is not frivolous and thus warrants a full investigation to determine its authenticity. OAG 81-48 .

There is nothing under this section that would prohibit a so-called ranking officer (mayor or police chief) from preferring charges against an officer arising from the same incident involving a citizen who declines to make his complaint under oath, provided sufficient evidence is deemed available relating to the incident outside of that which the citizen has sole knowledge of, but refuses to furnish under oath. OAG 81-48 .

The mayor of a fourth-class city can fire the chief of police for insubordination by executive order, unless the officer is under civil service or the police department is funded under the Law Enforcement Foundation Program, in which case the officer can only be removed pursuant to a hearing as provided in this section. OAG 81-132 .

The mayor of a fifth-class city may not give a police commissioner or any one member of the city council authority to hire and fire on the police force since only the mayor can hire members of the police department or any other nonelective officer with the approval of the city legislative body; however, he may remove members of the police department or other nonelective officers at will, unless the officer is under civil service or the police department participates in the Law Enforcement Foundation Program under this section, or the city legislative body has enacted an ordinance to the effect that no nonelected officer or police officer can be removed without legal cause and a hearing. OAG 81-133 .

Where a complaint against a police officer results in a hearing, the officer must be given notice a minimum of three days before the hearing as required by this section rather than two days prior as required by KRS 95.450 , since this section was the later enacted of the two sections and under general rules of statutory construction the later act prevails where there is a conflict between two acts. OAG 81-134 .

Where charges are filed against a police officer, the requirement that the hearing be held within three days after charges have been filed with the legislative body under KRS 95.450 is superseded by the provisions under this section to the effect that the hearing must be held within 60 days following the filing of any charges. OAG 81-134 .

Where charges are to be filed regarding a complaint against a police officer, such charges must be filed with the clerk of the legislative body as required by KRS 95.450 , since this section appears to be silent as to the person with whom charges are to be filed. OAG 81-134 .

A part-time police officer in a fourth-class city who receives state funds as part of his salary is not entitled to the protection of a hearing under this section which provides, in subsection (4), that the hearing provision only applies to police officers who receive supplemental pay from the Law Enforcement Foundation Program fund, since the supplemental pay only applies to “full-time” members of the local police department under KRS 15.420 . OAG 81-200 .

The purposes of this section are to establish a system of professional conduct for the police officers of units of local government, to establish administrative due process rights for police officers of local units of government and to provide a means of redress by citizens for wrongs allegedly done to them by police officers. OAG 83-114 .

This section, in part, establishes administrative due process rights for municipal police officers charged with professional misconduct or violations of municipal rules and regulations; thus, if a city’s proposed policy of documenting the work performances of its employees involves charging police officers with professional misconduct or with violations of municipal rules and regulations, the city must adhere to the provisions of this section requiring notification to the police officers of the charges and a hearing relative to those charges, assuming the city and its police officers are participating in the Kentucky Law Enforcement Foundation Program fund. OAG 83-114 .

If a city’s police officers are receiving funds from the Law Enforcement Foundation Program fund, then those officers are entitled to the protections afforded police officers by this section. OAG 83-114 .

No due process hearing is required prior to removal of a city police officer in absence of a civil service requirement, even under the terms of this section, except where removal is predicated upon a complaint of professional misconduct in violation of this section, in which case the procedure under this section would have to be followed. OAG 83-231 .

Angel Initiative Program

15.525. Referral program for substance abuse treatment — Information exempt from disclosure under KRS 61.878(1)(a) — Limitation of liability.

  1. A law enforcement agency may create a program to refer persons to treatment for substance use who voluntarily seek assistance from the law enforcement agency.
  2. A person voluntarily seeking assistance through a program created pursuant to this section:
    1. Shall not be placed under arrest;
    2. Shall not be prosecuted for the possession of any controlled substance or drug paraphernalia surrendered to the law enforcement agency. Items surrendered pursuant to this paragraph shall be recorded by the law enforcement agency at the time of surrender and shall be destroyed; and
    3. Shall be promptly referred to a community mental health center, medical provider, or other entity for substance use treatment.
  3. A person is ineligible for placement through a program established pursuant to this section if the person:
    1. Has an outstanding arrest warrant issued by a Kentucky court or an extraditable arrest warrant issued by a court of another state;
    2. Places law enforcement or its representatives in reasonable apprehension of physical injury; or
    3. Is under the age of eighteen (18) and does not have the consent of a parent or guardian.
  4. Information gathered by a program created pursuant to this section related to a person who has voluntarily sought assistance under this section is exempt from disclosure under the Kentucky Open Records Act pursuant to KRS 61.878(1)(a).
  5. Except for intentional misconduct, any law enforcement agency or person that provides referrals or services in accordance with subsection (2) of this section shall be immune from criminal and civil liability.

HISTORY: 2017 ch. 158, § 25, effective June 29, 2017; 2019 ch. 194, § 1, effective April 9, 2019; 2019 ch. 89, § 1, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). This statute was identically amended by 2019 Ky. Acts chs. 89 and 194 and have been codified together.

Law Enforcement Telecommunicator

15.530. Definitions.

For the purposes of KRS 15.530 to 15.590 :

  1. “CJIS” means the Criminal Justice Information System;
  2. “CJIS-full access course” means a training program of forty (40) hours approved by the Kentucky Law Enforcement Council;
  3. “CJIS telecommunicator” means any full-time public employee, sworn or civilian, whose primary responsibility is to dispatch law enforcement units by means of radio communications for an agency that utilizes the Criminal Justice Information System, and is part of or administered by the state or any political subdivision;
  4. “Commissioner” means the commissioner of the Department of Criminal Justice Training;
  5. “Non-CJIS telecommunicator” means any full-time public employee, sworn or civilian, whose primary responsibility is to dispatch law enforcement units by means of radio communications for an agency that does not utilize the Criminal Justice Information System and is part of or administered by the state or any political subdivision;
  6. “Non-CJIS telecommunicator academy” means a training course of one hundred twenty (120) hours approved by the Kentucky Law Enforcement Council; and
  7. “Telecommunications academy” means a training course of one hundred sixty (160) hours approved by the Kentucky Law Enforcement Council.

History. Enact. Acts 1986, ch. 315, § 1, effective July 15, 1986; 1990, ch. 273, § 1, effective July 13, 1990; 2003, ch. 52, § 1, effective June 24, 2003; 2006, ch. 82, § 2, effective July 12, 2006; 2016 ch. 112, § 5, effective July 15, 2016.

15.540. Qualifications for law enforcement telecommunicator — Information not subject to disclosure.

  1. An agency hiring a telecommunicator after July 15, 2006, shall certify to the Department of Criminal Justice Training before admission to the telecommunicator training program that the telecommunicator:
    1. Is a citizen of the United States and has reached the age of majority;
      1. Is a high school graduate, regardless of whether the school is accredited or certified by a governing body, provided that the education received met the attendance and curriculum standards of Kentucky law at the time of graduation, as determined by the Kentucky Department of Education; or (b) 1. Is a high school graduate, regardless of whether the school is accredited or certified by a governing body, provided that the education received met the attendance and curriculum standards of Kentucky law at the time of graduation, as determined by the Kentucky Department of Education; or
      2. Possesses a High School Equivalency Diploma;
    2. Has not been convicted of a felony or other crimes involving moral turpitude as determined by submission of each applicant’s fingerprints to the information systems section of the Department of Kentucky State Police and to the Federal Bureau of Investigation identification division, and by such other investigations as required by the hiring agency;
    3. Has taken a psychological suitability screening administered or approved by the Kentucky Law Enforcement Council to determine his or her suitability to perform the duties of a telecommunicator. Any agency that administers its own suitability screening shall certify the results to the department;
    4. Has taken a polygraph examination administered or approved by the Kentucky Law Enforcement Council to determine his or her suitability to perform the duties of a telecommunicator. Any agency that administers its own polygraph examination shall certify the results to the department; and
    5. Has passed a drug screening administered or approved by the Kentucky Law Enforcement Council. A person shall be deemed to have passed a drug screening if the results are negative for the use of an illegal controlled substance or prescription drug abuse. Any agency that administers its own screening shall certify passing results to the department.
  2. Provisions of the Open Records Act, KRS 61.870 to 61.884 , to the contrary notwithstanding, the applicant’s home address, telephone number, date of birth, Social Security number, and results of any background investigation, psychological suitability screening, and polygraph examination conducted under this section shall not be subject to disclosure.

HISTORY: Enact. Acts 1986, ch. 315, § 2, effective July 15, 1986; 2006, ch. 82, § 3, effective July 12, 2006; 2007, ch. 85, § 30, effective June 26, 2007; 2016 ch. 5, § 3, effective March 18, 2016; 2017 ch. 63, § 5, effective June 29, 2017.

15.550. Law enforcement telecommunicators — Training program.

  1. The basic course offered by the training program shall consist of forty (40) hours of instruction or training and shall consist of subjects appropriate for the basic training of law enforcement telecommunicators in the technique of emergency services communications. The Kentucky Law Enforcement Council shall approve all training curriculum and instructions.
  2. As a portion of the basic course offered, all telecommunicators who receive or dispatch emergency medical service calls shall be trained in telephone cardiopulmonary resuscitation (T-CPR) utilizing nationally recognized emergency cardiovascular care guidelines. At a minimum this training shall incorporate recognition protocols for out-of-hospital cardiac arrest, compression-only CPR instructions for callers, and continuing education as appropriate.
  3. Online training modules based on nationally recognized guidelines that at a minimum incorporate recognition protocols for out of hospital cardiac arrest and compression-only CPR shall be acceptable for telecommunicators who have not been through the training academies or who are not otherwise certified in these protocols.

HISTORY: Enact. Acts 1986, ch. 315, § 3, effective July 15, 1986; 2016 ch. 112, § 6, effective July 15, 2016; 2018 ch. 65, § 1, effective July 14, 2018.

15.560. Certificate of completion of training course required for appointment or retention as law enforcement telecommunicator — Grandfather clause — Annual in-service training course.

  1. No person shall receive an official appointment on a permanent basis as a law enforcement telecommunicator unless the person has previously been awarded a certificate by the Kentucky Law Enforcement Council attesting to such person’s satisfactory completion of a non-CJIS telecommunications academy. Every person who is employed after June 24, 2003, as a law enforcement telecommunicator by any law enforcement agency in this state, regardless of prior experience as a non-CJIS telecommunicator, shall forfeit his or her position as such unless, within twelve (12) months from the date of his or her employment, he or she satisfactorily completes the non-CJIS telecommunications academy and is awarded a certificate attesting thereto. The council shall waive the training requirements listed in this section for all law enforcement telecommunicators who are serving on July 15, 2006, and possess a certificate of completion of an approved law enforcement telecommunicator basic training program.
  2. All non-CJIS telecommunicators, whether originally employed before or after July 15, 2006, shall successfully complete each calendar year an in-service training course, appropriate to their job assignment and responsibility, of eight (8) hours’ duration at a school certified or recognized by the Kentucky Law Enforcement Council.
  3. In the event of extenuating circumstances beyond the control of a non-CJIS telecommunicator that prevent completion of training within the time specified, the commissioner or the commissioner’s designee may grant the non-CJIS telecommunicator an extension of time, not to exceed one hundred eighty (180) days, in which to complete the training.
  4. A non-CJIS telecommunicator who fails to complete the training within a period of twelve (12) months and any extension of time granted under this section shall be terminated by the employing agency and shall not be permitted to serve as a telecommunicator with any governmental agency in the Commonwealth for a period of one (1) year.

History. Enact. Acts 1986, ch. 315, § 4, effective July 15, 1986; 2003, ch. 52, § 2, effective June 24, 2003; 2006, ch. 82, § 4, effective July 12, 2006; 2016 ch. 112, § 7, effective July 15, 2016.

15.565. Certificate of completion of telecommunications academy required for appointment as CJIS telecommunicator — Completion of CJIS-full access course required for non-CJIS telecommunicator employed as CJIS telecommunicator — Grandfather clause — In-service training courses.

  1. No person shall receive an official appointment on a permanent basis as a CJIS telecommunicator unless that person has previously been awarded a certificate by the Kentucky Law Enforcement Council attesting to that person’s satisfactory completion of the CJIS telecommunications academy. Every person who is employed after July 15, 2006, as a CJIS telecommunicator shall forfeit his or her position as such unless, within six (6) months from the date of employment, that person satisfactorily completes the CJIS telecommunications academy and is awarded a certificate attesting thereto. The council shall waive the training requirements listed in this section and award a CJIS telecommunicator certificate for all CJIS telecommunicators who are serving on July 15, 2006, and have successfully completed the CJIS-full access course.
  2. A non-CJIS telecommunicator who gains employment as a CJIS telecommunicator shall successfully complete the CJIS-full access course within six (6) months from the date of his or her employment. A non-CJIS telecommunicator whose employing agency initiates the use of CJIS shall successfully complete the CJIS-full access course within six (6) months from the date that the agency initiates the use of CJIS.
  3. All CJIS telecommunicators, whether originally employed before or after July 15, 2006, shall successfully complete each calendar year an in-service training course, appropriate to their job assignment and responsibility, of eight (8) hours’ duration, of which the number of hours shall not be changed by the Kentucky Law Enforcement Council, at a school certified or recognized by the council.
  4. All CJIS telecommunicators, whether originally employed before or after July 15, 2006, shall successfully complete eight (8) hours of CJIS in-service training every two (2) years at a school certified or recognized by the Kentucky Law Enforcement Council.
  5. Extensions of time in which to complete the training specified in this section may be granted by the commissioner of the Department of Kentucky State Police or the commissioner’s designee.
  6. A CJIS telecommunicator who fails to complete the training within a period of six (6) months and any extension of time granted under this section shall be terminated by the employing agency and shall not be permitted to serve as a telecommunicator with any governmental agency in the Commonwealth for a period of one (1) year.

History. Enact. Acts 2003, ch. 52, § 3, effective June 24, 2003; 2006, ch. 82, § 5, effective July 12, 2006; 2007, ch. 85, § 31, effective June 26, 2007; 2016 ch. 112, § 8, effective July 15, 2016.

15.570. Waiver of basic training program upon satisfactory completion of comparable program.

The secretary of justice and public safety shall, with the approval of the Kentucky Law Enforcement Council, waive the basic telecommunicator training program and certify applicants who furnish evidence of satisfactory completion of a basic law enforcement telecommunicator training program which, in the council’s opinion, is comparable to that of the training program.

History. Enact. Acts 1986, ch. 315, § 5, effective July 15, 1986; 2007, ch. 85, § 32, effective June 26, 2007.

15.580. Roster of certified telecommunicators.

The Kentucky Law Enforcement Council and the Justice and Public Safety Cabinet shall maintain a roster of all certified telecommunicators.

History. Enact. Acts 1986, ch. 315, § 6, effective July 15, 1986; 2006, ch. 82, § 6, effective July 12, 2006.

15.585. Reciprocal agreements to provide telephone cardiopulmonary resuscitation.

  1. A PSAP as defined by KRS 65.750 or an agency receiving or dispatching emergency medical service calls may enter into a reciprocal agreement with another PSAP, dedicated phone line, or call center to provide telephone cardiopulmonary resuscitation (T-CPR) utilizing nationally recognized emergency cardiovascular care guidelines, provided that the PSAP or other agency that accepts the call has telecommunicators trained in T-CPR in accordance with KRS 15.550(2) or (3).
  2. Any employee of a PSAP that answers calls for emergency medical conditions shall, in the appropriate circumstances, provide telephonic assistance in administering CPR directly or transfer calls to a dedicated phone line, call center, or other PSAP with which the transferring PSAP has a reciprocal agreement.

HISTORY: 2018 ch. 65, § 2, effective July 14, 2018.

15.590. Administrative regulations.

  1. KRS 15.530 to 15.590 shall be administered by the Kentucky Law Enforcement Council, which shall promulgate administrative regulations as necessary regarding training, in-service training, and telecommunications practices.
  2. The Kentucky Law Enforcement Council may, by administrative regulations promulgated in accordance with KRS Chapter 13A, explicitly set the exact number at a different number of hours from that established in KRS 15.530 required for completion of the:
    1. Non-CJIS telecommunicators academy; and
    2. Telecommunications academy. If the council sets an exact number of hours at a different number from that established in KRS 15.530 in an administrative regulation as set out in this subsection, it shall not further change the number of hours without promulgating administrative regulations in accordance with the provisions of KRS Chapter 13A to set the exact number of hours required for each of the academies.
  3. Nothing in KRS 15.530 to 15.590 shall be interpreted to permit the Kentucky Law Enforcement Council to increase or decrease the eight (8) hours required to be completed by telecommunicators for in-service training as established in KRS 15.560(2) and 15.565(3) and (4).

History. Enact. Acts 1986, ch. 315, § 7, effective July 15, 1986; 2000, ch. 480, § 10, effective July 14, 2000; 2006, ch. 82, § 7, effective July 12, 2006; 2016 ch. 112, § 9, effective July 15, 2016.

Inspections

15.605. Definitions.

As used in KRS 15.610 to 15.635 unless the context requires otherwise:

  1. “Inspection” means any regular, on-site investigation periodically conducted, or any request for information periodically solicited in lieu of an on-site investigation, by or on behalf of any public agency for the purpose of determining whether to award, renew, alter, suspend or revoke a license, permit, accreditation or rating of a public or private organization, or of any property employed by a public or private organization in conducting its business, in the Commonwealth. The term shall not include inspections conducted by or on behalf of an urban-county department of health or special investigations conducted by law enforcement officers or grand juries, or, upon specific complaint, by public agencies with competent jurisdiction of the subject matter of the complaint, or by members of legislative bodies.
  2. “Duplicative inspection” or “an inspection that duplicates” means one of two or more inspections that are conducted at different times during the same calendar year and that inquire into the same condition of the premises of, or business conducted by, the same public or private organization.
  3. “Inspecting agency” means any agency of the state government or of a political subdivision of the state, other than an urban-county department of health, that conducts inspections within the Commonwealth.
  4. “Conflicting standard” or “a standard that conflicts” means one of two or more standards relating to the quality of a public or private organization, or of the business conducted by such organization, or of property used by such organization in conducting its business, that are employed in the same inspection or in duplicative inspections and which cannot be met simultaneously.

History. Enact. Acts 1976, ch. 46, § 1; 1978, ch. 242, § 1, effective June 17, 1978.

Opinions of Attorney General.

Department of Labor (now Labor Cabinet) inspections of businesses concerning safety hazards and the Department’s inspections to detect violations of the Minimum Wage Law and the Child Labor Laws are not covered by this section’s definition of “inspections.” OAG 76-344 .

The Kentucky Drug Formulary Council is not authorized by law to conduct inspections of pharmacies and while the Division of Consumer Health Protection Services is authorized to inspect pharmacies it may not do so on a regular basis but only when probable cause exists; the Kentucky Board of Pharmacy is the only agency authorized to conduct an inspection of the sort contemplated by subsection (1) of this section. OAG 78-807 .

15.610. Primary jurisdiction.

  1. No inspecting agency shall conduct an inspection or employ a standard relating to a condition over which another inspecting agency or the federal government has primary jurisdiction, except under an agreement with the entity having primary jurisdiction, or an order of the Attorney General, adopted under KRS 15.605 to 15.635 .
  2. If a question of primary jurisdiction over a condition involves two or more governmental agencies, the agencies shall attempt to determine which of the agencies has primary jurisdiction over the condition under existing law. If the inspecting agencies cannot determine which agency has primary jurisdiction, they shall immediately refer the question to the Attorney General, who shall determine, based upon existing law, which of the agencies has primary jurisdiction.

History. Enact. Acts 1976, ch. 46, § 2, effective July 1, 1978.

Opinions of Attorney General.

Where Kentucky Department of Labor (now Labor Cabinet) receives complaints from employees who are faced with choice of driving defective and unsafe vehicles on public highways or being fired, the Department of Labor (now Labor Cabinet) is not restricted in exercising jurisdiction to just “off the road” job site employees, since KRS 338.021 applies labor’s safety jurisdiction to all employers and employees in all places and an occupational safety and health hazard is, under KRS 338.015 , any detrimental practice or condition in a place of employment; however, the Department of Labor (now Labor Cabinet) is not required to enforce standards under these sections, and may refrain from exercising that jurisdiction by agreement under this section with other enforcement agencies which exercise dual and overlapping jurisdictions, and the Department of Labor (now Labor Cabinet) will lose any jurisdiction which it does retain at such time as the bureau of vehicle regulation and the vehicle equipment safety commission promulgate rules, regulations, or a code which supersede the statutes governing the Department of Labor (now Labor Cabinet) jurisdiction. OAG 81-24 .

15.615. Method of consolidating inspections. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 46, § 3) was repealed by Acts 1978, ch. 123, § 4, effective June 17, 1978.

15.620. Eliminating conflicts among standards.

  1. Effective January 1, 1977, no inspecting agency shall employ in its inspections any standard that conflicts with any other standard it employs in the same inspection or with standards employed by another inspecting agency or by the federal government.
  2. Inspecting agencies with conflicting standards may enter into agreements among themselves and with the federal government to eliminate conflicts among their standards. All such agreements shall be in writing and shall be filed with the Attorney General.
  3. If inspecting agencies with conflicting standards cannot agree among themselves or with the federal government on the method for eliminating conflicts among standards, they shall immediately refer the issue to the Attorney General. The Attorney General shall determine the method for resolving the conflict subject to the following requirements:
    1. No inspecting agency shall employ a standard that conflicts with a standard employed by the federal government;
    2. No local governmental inspecting agency shall employ a standard that conflicts with a standard employed by an inspecting agency of the state government;
    3. No city inspecting agency shall employ a standard that conflicts with a standard employed by an inspecting agency of the county in which it is located; and
    4. If two (2) or more inspecting agencies of the same level or unit of government have conflicting standards, only the standard of the inspecting agency with primary jurisdiction over the condition governed by the standard, as determined under KRS 15.610 , shall be employed, unless the inspecting agency with primary jurisdiction is prohibited from employing the standard by paragraph (a), (b), or (c) of this subsection.
  4. In determining the method for eliminating conflicts among standards under subsection (3) of this section, the Attorney General shall select the method that he determines will best protect the public health, safety and welfare.

History. Enact. Acts 1976, ch. 46, § 4.

15.625. Appeal.

  1. Any person aggrieved by a determination of the Attorney General under KRS 15.610 to 15.620 may appeal the determination to the Franklin Circuit Court or to the Circuit Court of the county in which the appellant resides. The court, sitting without a jury, shall dispose of the appeal in a summary manner, except as provided in subsection (2) of this section, being limited to determining whether:
    1. The Attorney General acted without or in excess of his powers;
    2. The determination is in conformity with KRS 15.605 to 15.635 ; and
    3. The findings of fact support the determination.
  2. The Circuit Court, in its discretion, may make further findings of fact and allow the introduction of proof by the interested parties.
  3. The court shall enter its findings on the order book as a judgment of the court.

History. Enact. Acts 1976, ch. 46, § 5.

15.630. Injunctive relief against inspecting agency.

  1. If any inspecting agency conducts or threatens to conduct an inspection, or employs or threatens to employ a standard, in violation of KRS 15.605 to 15.635 , the Attorney General, on his own initiative or upon a sworn complaint with good cause shown by any person aggrieved by the alleged violation, shall apply to the Franklin Circuit Court or to the Circuit Court of the county in which the alleged violation occurred or is likely to occur for injunctive relief against the inspecting agency.
  2. Any person aggrieved by an inspection conducted or about to be conducted, or by the employment of or threat to employ a standard, in violation of KRS 15.605 to 15.635 , may file a sworn complaint with the Attorney General or may apply to the Franklin Circuit Court or the Circuit Court of the county in which the alleged violation occurred or is likely to occur for injunctive relief against the inspecting agency.

History. Enact. Acts 1976, ch. 46, § 6.

Compiler’s Notes.

Section 9 of Acts 1976, ch. 46, provided that: “The provisions of this Act relating to duplicative inspections, including the provisions of Section 7 as related to duplicative inspections, shall become effective July 1, 1978.”

15.635. Effect on conflicting laws.

All sections of the Kentucky Revised Statutes in conflict with KRS 15.605 to 15.630 are repealed to the extent that they are inconsistent with KRS 15.605 to 15.630 .

History. Enact. Acts 1976, ch. 46, § 7, effective July 1, 1978.

Unified and Integrated Prosecutor System

15.700. Unified and integrated prosecutor system established.

It is hereby declared to be the policy of this Commonwealth to encourage cooperation among law enforcement officers and to provide for the general supervision of criminal justice by the Attorney General as chief law enforcement officer of the Commonwealth, in order to maintain uniform and efficient enforcement of the criminal law and the administration of criminal justice throughout the Commonwealth. To this end, a unified and integrated prosecutor system is hereby established with the Attorney General as chief prosecutor of the Commonwealth.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 1, effective January 1, 1978.

NOTES TO DECISIONS

1.Prosecutions.

The Attorney General is the best equipped to prosecute crimes against the State Treasury because of the size of his office and his investigative and financial resources. Thus, when KRS 15.715(4) (see now (6)) is read together with KRS 15.020 and this section, it is reasonable, logical and constitutional. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

Cited in:

In re Kentucky Bar Asso. Amended Advisory Opinion E-291, 710 S.W.2d 852, 1986 Ky. LEXIS 271 ( Ky. 1986 ); Hodge v. Commonwealth, 116 S.W.3d 463, 2003 Ky. LEXIS 174 ( Ky. 2003 ); Commonwealth v. Johnson, 423 S.W.3d 718, 2014 Ky. LEXIS 87 ( Ky. 2014 ).

Notes to Unpublished Decisions

1.Prosecutions.

Unpublished decision: Office of the Attorney General properly prosecuted a capital murder case against defendant, as a presumption of regularity attached in the case, and defendant did not object at trial to the Attorney General prosecuting the case. St. Clair v. Commonwealth, 140 S.W.3d 510, 2004 Ky. LEXIS 44 ( Ky. 2004 ).

Unpublished decision: Office of the Attorney General properly prosecuted a capital murder case against defendant, as a presumption of regularity attached in the case, and defendant did not object at trial to the Attorney General prosecuting the case. St. Clair v. Commonwealth, 140 S.W.3d 510, 2004 Ky. LEXIS 44 ( Ky. 2004 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Kentucky Law Journal.

Note, Judicial v. Legislative Power in Kentucky: A “Comity” of Errors, 71 Ky. L.J. 829 (1982-83).

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.705. Prosecutors Advisory Council.

  1. For the purpose of administration of the unified prosecutorial system, there is hereby created the Prosecutors Advisory Council, hereafter referred to as the council.
  2. The council shall consist of nine (9) members who shall be residents of Kentucky and shall include the Attorney General; three (3) Commonwealth’s attorneys, one (1) from counties containing a consolidated local government, a city with a population of twenty thousand (20,000) or more based on the most recent federal decennial census, or an urban-county government, one (1) from counties containing a city with a population equal to or greater than eight thousand (8,000) but less than twenty thousand (20,000) based on the most recent federal decennial census, and one (1) from the other counties, each of whom shall be appointed by the Governor from a list of three (3) names for each Commonwealth’s attorney position submitted by the Commonwealth’s Attorneys Association; and three (3) county attorneys, one (1) from counties containing a consolidated local government, a city with a population equal to or greater than twenty thousand (20,000) based on the most recent federal decennial census, or an urban-county government, one (1) from counties containing a city with a population equal to or greater than eight thousand (8,000) but less than twenty thousand (20,000) based on the most recent federal decennial census, and one (1) from the other counties, each of whom shall be appointed by the Governor from a list of three (3) names for each county attorney position submitted by the County Attorneys Association; and two (2) nonattorney citizen members. The Attorney General shall serve during his term of office and the other members shall serve at the pleasure of the Governor.
  3. The Attorney General shall be the chairman of the council. Five (5) members shall constitute a quorum for the conduct of business. The council shall promulgate annually a schedule of meetings. Special meetings may be called by the chairman or five (5) members of the council. A minimum of ten (10) days’ notice must be given prior to the call of a special meeting. Such a notice may be waived by a majority of the council.
  4. The council shall be responsible for, but not limited to, the preparation of the budget of the unified prosecutorial system of the Commonwealth of Kentucky and the continuing legal education and program development of the unified prosecutorial system of Kentucky.
  5. Each nonattorney citizen member of the council shall receive twenty-five dollars ($25) per day for attending each meeting. All council members shall be reimbursed for actual expenses incurred in the performance of their duties.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 2, effective January 1, 1977; 1978, ch. 154, § 1, effective June 17, 1978; 2014, ch. 92, § 21, effective January 1, 2015.

Research References and Practice Aids

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.706. Prosecutors Advisory Council to collect data on sexual offenses involving minors.

  1. The Prosecutors Advisory Council shall collect statistical data regarding the investigation, prosecution, dismissal, conviction, or acquittal of any person charged with committing, attempting to commit, or complicity to a sexual offense defined by KRS Chapter 510 involving a minor, human trafficking offenses involving a minor engaged in commercial sexual activity, incest involving a minor, use of a minor in a sexual performance, or unlawful transaction with a minor.
  2. Each Commonwealth’s attorney, each county attorney, the secretary of the Cabinet for Health and Family Services, the commissioner of the Department of Kentucky State Police, each Circuit Court clerk, and the Administrative Office of the Courts shall provide any data requested by the council for this purpose, on a form prescribed by the council, at intervals as the council may direct.
  3. The council may contract with any other public agency to collect the data in lieu of collecting the data itself.
  4. The Prosecutors Advisory Council may promulgate administrative regulations to specify information to be reported.
  5. The information required to be reported by this section shall be provided by each Commonwealth’s attorney and county attorney at the end of each quarter of the calendar year or as otherwise directed by the Prosecutors Advisory Council.
  6. The Prosecutors Advisory Council and the Office of the Attorney General shall compile the information by county and issue a public report at least annually.
  7. The public report shall not contain the name or identifying information of a victim or person not formally charged with the commission of child sexual abuse or human trafficking of a child. Information collected by the Commonwealth’s attorney or county attorney or by the Prosecutors Advisory Council containing data which cannot be published shall be excluded from inspection, unless by court order, from the Open Records Law.
  8. Any Commonwealth’s attorney or any county attorney who fails to report information as defined by this section or administrative regulation shall be subject to salary reduction as authorized by KRS 61.120 .

History. Enact. Acts 1994, ch. 264, § 4, effective July 15, 1994; 1998, ch. 426, § 66, effective July 15, 1998; 2005, ch. 99, § 82, effective June 20, 2005; 2007, ch. 85, § 33, effective June 26, 2007; 2013, ch. 25, § 15, effective June 25, 2013.

15.707. Subpoena power of Prosecutors Advisory Council.

The Prosecutors Advisory Council shall have the power to issue subpoenas requiring the attendance of such witnesses and the production of such records, books, papers, and documents as it may deem necessary for investigation of any matter that it is authorized to consider or reasonably necessary therefor. Subpoenas may be signed and oaths administered by any member of the council. Subpoenas so issued shall be served by any sheriff, constable, police officer, or other peace officer at the request of the council, and a return of subpoena shall be made to the council in the same manner as similar process in the Circuit Court. Any person who refuses to testify, testifies falsely, or fails to appear when subpoenaed, or fails or refuses to produce documents, records, or other such material when subpoenaed, or fails or refuses to serve a subpoena or execute a return thereon, upon citation by the Franklin Circuit Court and after hearing by the court, shall be subject to the same order and penalties to which persons before that court are subject. Any Circuit Court, upon application of the council or the Attorney General, may compel the attendance of witnesses, the production of documents, records, or other such material, and the giving of testimony before the council.

History. Enact. Acts 1990, ch. 419, § 3, effective April 10, 1990.

Opinions of Attorney General.

Commonwealth’s Attorneys are not covered by the provisions of KRS 11A. Rather, KRS 15 contains specific statutory directives regarding ethical consideration related to prosecutorial practice that governs Commonwealth’s Attorneys. OAG 2005-09 .

15.708. Authority of Prosecutors Advisory Council to apply for and receive funds.

The Prosecutors Advisory Council may apply for and receive funds, public or private, for the purpose of assisting Commonwealth’s and county attorneys in providing crime victim assistance or in criminal prosecution. The council may provide matching funds as a condition of any grant.

History. Enact. Acts 1994, ch. 264, § 2, effective July 15, 1994.

15.710. Delegation of functions to Attorney General.

The council in its sole discretion may delegate the following functions to the Office of the Attorney General:

  1. Prepare budget estimates of state appropriations necessary for the maintenance and operation of the unified prosecutorial system and make recommendations in respect thereto.
  2. Collect statistical and other data and make a report to the council relating to the expenditure of public moneys for the maintenance and operation of the unified prosecutorial system and the offices connected therewith.
  3. Carry on a continuous survey and study of the organization, operation, condition of business, practice and procedure of the unified prosecutorial system.
  4. Formulate and submit to the council recommendations of policies for the improvement of the unified prosecutorial system.
  5. Provide for educational programs for the members of the unified prosecutorial system.
  6. Perform such other functions as may be assigned by the council.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 3, effective January 1, 1977.

Research References and Practice Aids

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.715. Intervention in criminal prosecutions by Attorney General — Prosecution of complaint against local prosecutor — Performance of duties of local prosecutor until vacancy filled.

  1. In the event of the incapacity, refusal without sufficient grounds, inability, conflict of interest of the local prosecutor, or his failure to act in a certain case or cases, the council may authorize, by the vote of no less than five (5) of its members, the Attorney General to initiate, intervene, or supersede a local prosecutor for the purpose of prosecuting the criminal business in question of the Commonwealth in that circuit or district after due notice having been given to the local prosecutor.
  2. When the Attorney General shall proceed under subsection (1) of this section, he shall petition the Circuit Court of that circuit to disqualify the county attorney or Commonwealth’s attorney for good cause shown, when the county attorney or Commonwealth’s attorney refuses to disqualify himself. The action of the Circuit Court shall be subject to review according to the Rules of the Supreme Court.
  3. If the Attorney General’s petition to disqualify the local prosecutor was sustained by the Circuit Court, the Attorney General shall file and prosecute a complaint against the local prosecutor pursuant to KRS 61.120 .
  4. If the office of Commonwealth’s attorney or the office of county attorney becomes vacant, the Attorney General or his designee shall perform the duties of that office until such time as the successor of that Commonwealth’s attorney or of that county attorney shall be appointed or elected as elsewhere provided by law or until the Commonwealth’s attorney or county attorney resumes the duties of his office as provided by law.
  5. When the Attorney General has been authorized to participate in a given case pursuant to subsections (1), (2), (3), and (4) of this section, he may, at his own discretion, direct a Commonwealth’s attorney or county attorney from another circuit or district to serve as the special prosecutor, who shall be reimbursed for all of his actual expenses.
  6. The Attorney General shall have the duty, within the Forty-eighth Judicial Circuit, to prosecute any person who receives compensation from the Treasury of the Commonwealth of Kentucky for all violations of the criminal and penal laws arising out of, involving or in connection with state funds, or the sale or transfer of goods or services by or to the Commonwealth or any of its political subdivisions; and specifically including, but not limited to, all violations set forth in KRS Chapters 521 and 522. Nothing herein shall be construed to change the venue provision presently existing under Kentucky law as of July 15, 1980.
  7. Whenever the Attorney General shall undertake any of the actions prescribed in this section, he shall be authorized to exercise all powers and perform all duties in respect to such criminal actions or proceedings which the prosecuting attorney would otherwise perform or exercise, including, but not limited to, the authority to sign, file, and present any and all complaints, affidavits, information, presentments, accusations, indictments, subpoenas, and processes of any kind, and to appear before all grand juries, courts, or tribunals.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 4, effective January 1, 1978; 1980, ch. 42, § 1, effective July 15, 1980; 1990, ch. 419, § 1, effective April 10, 1990.

NOTES TO DECISIONS

1.Constitutionality.

The Attorney General is the best equipped to prosecute crimes against the State Treasury because of the size of his office and his investigative and financial resources. Thus, when subsection (4) (now (6)) of this section is read together with KRS 15.020 and 15.700 , it is reasonable, logical and constitutional. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

Subsection (4) (now (6)) of this section is not local and special legislation contrary to Section 59 of the Kentucky Constitution. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

It could be an undue burden on the county attorney or Commonwealth attorney to represent the Commonwealth in actions described in Subsection (4) (now (6)) of this section. The General Assembly has previously adopted KRS 69.010 , in which relief was given to the local Commonwealth attorney in civil actions. Both legislative decisions are legitimate and logical classifications. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

2.Applicability.

Subsection (4) (now (6)) of this section does not apply exclusively to state employees, but involves any person who receives compensation from the State Treasury. This classification by the Legislature is not unjust or arbitrary and should not be disturbed. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

The Franklin Commonwealth attorney has not been established as a class of one, for the purpose of showing that this section allegedly is special legislation. Subsection (4) (now (6)) of this section applies statewide and can affect all Commonwealth attorneys. Although Franklin County is the logical venue for the prosecution of crimes involving state funds from the State Treasury, the violations and offenses described in the statute may be prosecuted in any county where the offense occurs. Consequently, the statute applies equally to all in a class and may affect any and all Commonwealth attorneys. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

3.Responsibility to Prosecute.

The Attorney General does not have exclusive responsibility in regard to prosecutions under this section. The statute does not specify that the Attorney General has sole responsibility to prosecute these offenses. If the Attorney General does not act for any reason, the Commonwealth attorney may then prosecute. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

4.Writ of Prohibition.

A writ of prohibition was erroneously granted to restrain circuit judge from conducting criminal proceedings against one charged with violating KRS 18A.140 , while the Attorney General was acting as prosecutor, despite defendant’s claim of great injustice and irreparable harm on being forced to stand trial if it were later determined that the Attorney General had no authority to prosecute on grounds that this section was unconstitutional. In cases involving a claimed constitutional defect, as a general rule the remedy of appeal is adequate and prohibition is not proper. Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

Cited in:

Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ).

Opinions of Attorney General.

Inherent in the duty of the county attorney to attend the district court and prosecute all violations of criminal and penal laws within the jurisdiction of that court is the duty of preparing complaints, warrants of arrest, affidavits for search warrants and search warrants. OAG 78-61 .

While the county attorney or special prosecutor in district court must prepare the subpoenas, the circuit clerk has the duty to sign and issue the subpoenas and put them in the hands of peace officers empowered to serve process, usually the county sheriff. OAG 83-206 .

Subsection (4) of this section implicitly authorizes the employees of a former Commonwealth’s attorney to continue their duties. OAG 92-101 .

The individual designated by the Attorney General as a temporary or interim Commonwealth’s attorney pursuant to subsection (4) of this section is not a de facto officer. Such person holds the position pursuant to statutory authorization, and therefore would not be a de jure officer. The law regarding de jure officers is that they are entitled to compensation at the same rate as the officer in whose place they act during the period that they had the responsibilities of that office. OAG 92-101 .

When the office of Commonwealth’s attorney becomes vacant, the responsibilities of that office automatically become the responsibilities of the Attorney General. OAG 92-101 .

While it would be incompatible for a county attorney to hold, at the same time (either through election or appointment) the office of Commonwealth’s attorney, it is not a conflict under Ky. Const., § 165 or under KRS 61.080 for the county attorney, on a temporary basis, to assume the duties of the Commonwealth’s attorney for an interim period until another person can be either appointed or elected to fill the office. OAG 92-162 .

Commonwealth’s Attorneys are not covered by the provisions of KRS 11A. Rather, KRS 15 contains specific statutory directives regarding ethical consideration related to prosecutorial practice that governs Commonwealth’s Attorneys. OAG 2005-09 .

15.717. Development of prosecutor’s manual.

The Attorney General, in consultation with legal, victims services, victim advocacy, and mental health professionals with an expertise in domestic violence, shall develop a prosecutor’s manual for Commonwealth’s Attorneys and county attorneys establishing the policies and procedures for the prosecution of domestic violence related crime. The manual shall be completed no later than January 1 after July 15, 1996, and revised by July 31 of every even numbered year which follows. The Attorney General shall distribute a copy of the manual to every Commonwealth’s Attorney and county attorney.

History. Enact. Acts 1996, ch. 54, § 5, effective July 15, 1996.

15.718. Training and continuing education for Commonwealth’s attorneys and county attorneys and their staffs — Completion requirements.

  1. The Attorney General shall provide initial training courses and, at least once every two (2) years, continuing education courses for Commonwealth’s attorneys and county attorneys and their staffs concerning:
    1. The dynamics of domestic violence, child physical and sexual abuse, rape, effects of crime on adult and child victims, legal remedies for protection, lethality and risk issues, profiles of offenders, model protocols for addressing domestic violence, child abuse, rape, available community resources and victims services, and reporting requirements; and
    2. The appropriate response to victims of human trafficking, including but not limited to screening for victims of human trafficking, federal and state legislation on human trafficking, appropriate services and referrals for victims of human trafficking, working with interpreters, and agency protocol for handling child trafficking cases.
  2. The training shall be developed in consultation with prosecutors, victims services, victim advocacy, and mental health professionals with an expertise in domestic violence, child abuse, human trafficking, and rape.
  3. Each Commonwealth’s Attorney, assistant Commonwealth’s Attorney, county attorney, and assistant county attorney shall successfully complete the training.

History. Enact. Acts 1996, ch. 54, § 6, effective July 15, 1996; 2000, ch. 317, § 6, effective July 14, 2000; 2013, ch. 25, § 16, effective June 25, 2013.

15.720. Reports.

  1. The Attorney General shall submit:
    1. To the Governor and to the General Assembly a biennial report setting forth the activities of the unified prosecutorial system for the preceding fiscal years; to be included in this report are the activities of the Prosecutors Advisory Council, an abstract of the annual report of the local prosecutors, and suggestions and recommendations for the uniform enforcement of the criminal laws of the Commonwealth; and
    2. To the Legislative Research Commission an annual report, by January 15 of each year, setting forth the total number of traffic offenders diverted into county attorney-operated traffic safety programs for the preceding fiscal year categorized by county and by traffic offense, and the fee charged by each county attorney-operated traffic safety program.
  2. Each Commonwealth’s attorney and county attorney shall be required by the council to submit such written reports as are determined necessary for the preceding calendar year.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 5, effective January 1, 1977; 2012, ch. 107, § 2, effective July 12, 2012.

15.725. Duties of Commonwealth’s attorney and county attorneys — Agreements to share or redistribute prosecutorial duties — Circuit clerk’s authority to issue criminal warrants.

  1. The Commonwealth’s attorney shall attend each Circuit Court held in his judicial circuit. He shall, except as provided in KRS 15.715 and KRS Chapter 131, have the duty to prosecute all violations whether by adults or by juveniles subject to the jurisdiction of the Circuit Court of the criminal and penal laws which are to be tried in the Circuit Court in his judicial circuit. In addition, he shall have the primary responsibility within his judicial circuit to present evidence to the grand jury concerning such violations.
  2. The county attorney shall attend the District Court in his county and prosecute all violations whether by adults or by juveniles subject to the jurisdiction of the regular or juvenile session of the District Court of criminal and penal laws, except as provided in KRS Chapter 131, within the jurisdiction of said District Court.
  3. The Commonwealth’s attorney and county attorneys in a judicial circuit shall cooperate in the enforcement of criminal and penal laws of the Commonwealth. When necessary, the Commonwealth’s attorney and county attorney shall assist each other in prosecution within their respective courts. Each Commonwealth’s attorney and county attorney may enter into agreements to share or redistribute prosecutorial duties in the Circuit and District Courts. Any prosecutorial or related duty assigned by statute to the Commonwealth’s attorney may be performed by the county attorney, and any prosecutorial or related duty assigned by statute to the county attorney may be performed by the Commonwealth’s attorney pursuant to these agreements. Copies of the agreements shall when executed be forwarded to the Attorney General, the chief judges of the Circuit and District Courts, and the chief regional judges of the Circuit and District Courts.
  4. The Prosecutors Advisory Council shall in allocating resources between the Commonwealth’s and county attorney take the agreements into account.
  5. In the event of the absence from a county of all District Judges and all Circuit Judges and all trial commissioners, the circuit clerk in each county may issue criminal warrants prepared by the Commonwealth’s attorney or county attorney, who shall certify that there is no District Judge, Circuit Judge, or trial commissioner within the county.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 6, effective January 1, 1978; 1978, ch. 25, § 1, effective June 17, 1978; 1980, ch. 42, § 2, effective July 15, 1980; 1988, ch. 322, § 11, effective July 15, 1988; 1994, ch. 189, § 1, effective July 15, 1994; 1996, ch. 358, § 3, effective July 15, 1997.

Legislative Research Commission Notes.

(7/15/96). Under 1996 Ky. Acts ch. 358, sec. 67(1), the amendment of this statute by Section 3 of that Act becomes effective July 15, 1997.

NOTES TO DECISIONS

1.Extent of Circuit Clerk’s Authority.

Circuit clerks are not at all subject to the supervision of prosecutors, but of the judiciary, and the fact that a warrant must be prepared by the Commonwealth’s or county attorney has nothing to do with the clerk’s exercise of independent judgment in deciding whether probable cause has been shown to justify issuance of warrant; furthermore, the determination of probable cause is made not from the warrant but from the supporting affidavit or affidavits. Commonwealth v. Bertram, 596 S.W.2d 379, 1980 Ky. App. LEXIS 304 (Ky. Ct. App. 1980).

2.County Attorney.

While subsection (4) (now (5)) of this section specifically provides that a county clerk can issue a criminal warrant prepared by a county attorney when no district judge, circuit judge or trial commissioner is available, the authority to sign the judge’s name to an arrest warrant cannot be delegated to the county attorney since Ky. Const., § 28, prohibits anyone in one branch of government from exercising the power in another branch of government, the county attorney being in the executive branch under Ky. Const., § 99, and the judicial branch being under Ky. Const., § 109. Dugger v. Off 2nd, Inc., 612 S.W.2d 756, 1980 Ky. App. LEXIS 425 (Ky. Ct. App. 1980).

Where county attorney issued arrest warrant and signed district judge’s name thereon, he was acting outside the scope of his power under this section and exercising judicial rather than executive branch powers which is prohibited under Ky. Const., § 28, and he was not immune under a theory of judicial immunity, since he is at most entitled to a quasi-judicial immunity and then only when he acts within the scope of his prosecutorial duties. Dugger v. Off 2nd, Inc., 612 S.W.2d 756, 1980 Ky. App. LEXIS 425 (Ky. Ct. App. 1980).

County attorney had standing to challenge a rule by a district court judge that all county attorneys could not object to defense questioning during a preliminary hearing because the ruling impacted the county attorney’s ability to perform his obligation to prosecute offenses in the district court. Delahanty v. Commonwealth ex rel. Maze, 295 S.W.3d 136, 2009 Ky. App. LEXIS 124 (Ky. Ct. App. 2009).

County attorney and the district court did not have the authority to approve a deferred prosecution on a charge of first-degree possession of a controlled substance under KRS 218A.14151 because only the Commonwealth’s attorney and the circuit court had jurisdiction over a felony offense. Commonwealth v. Vibbert, 397 S.W.3d 910, 2013 Ky. App. LEXIS 60 (Ky. Ct. App. 2013).

3.Search Warrants.

The authority to issue “criminal warrants” under subsection (4) (now (5)) of this section would include search warrants, as it seems probable that the word “criminal” was used for the purpose of excluding the type of “administrative” or “civil” warrant that has come into use in connection with the inspection of premises to insure compliance with safety laws. Richmond v. Commonwealth, 637 S.W.2d 642, 1982 Ky. LEXIS 288 ( Ky. 1982 ).

The issuance of a search warrant conformed to Kentucky’s procedural requirements where (1) the county did not have trial commissioners, (2) all of the judges in the county were absent from the county, (3) the Commonwealth’s attorney prepared the search warrant and the affidavit in support thereof, attaching, as required, a certification that all judges were absent from the county, and (4) the circuit court clerk of the county issued the search warrant pursuant to the authority granted by subsection (5) of this section. United States v. Bennett, 170 F.3d 632, 1999 FED App. 0105P, 1999 U.S. App. LEXIS 4835 (6th Cir. Ky. 1999 ).

4.Arrest Warrants.

The petitioner’s request for final disposition of the complaint was properly made to the district court and the county attorney who was the normal prosecuting officer in that court, where the detainer was based upon an arrest warrant from the district court issued upon a criminal complaint filed in that court. Huddleston v. Jennings, 723 S.W.2d 381, 1986 Ky. App. LEXIS 1197 (Ky. Ct. App. 1986).

5.Plea Bargaining.

It could hardly be disputed that the Commonwealth’s attorney is in charge of the prosecution of violations of criminal and penal laws and that plea bargaining is a part of the process. While RCr 8.10 does not expressly state that the plea agreement shall be between the defendant and the Commonwealth’s attorney, such a view is necessarily implied by virtue of the role conferred upon the trial court. Commonwealth v. Corey, 826 S.W.2d 319, 1992 Ky. LEXIS 46 ( Ky. 1992 ).

6.Parties With Standing to Reconsider Sentence.

Widow of victim, killed by defendant subsequently convicted of reckless homicide and leaving the scene of an accident and granted shock probation pursuant to KRS 439.265 , did not have standing under either KRS 439.265 , 421.500 , 421.520(3), or 533.030 to petition the court for writ of mandamus directing the trial judge to reconsider the decision granting shock probation as the Commonwealth is the sole entity which has a judicially recognizable interest in the prosecution of civil cases. Schroering v. McKinney, 906 S.W.2d 349, 1995 Ky. LEXIS 102 ( Ky. 1995 ).

7.Challenge of Statute’s Constitutionality.

Because Kentucky does not have a unified prosecutorial system and Commonwealth’s attorneys do not answer to the Attorney General, the Attorney General, by virtue of his being elected by the public, is in a unique position to defend the constitutionality of an act of the General Assembly and must be given the opportunity at the trial level to do so; therefore the notice requirements of this section must be met in criminal as well as in civil actions. Jacobs v. Commonwealth, 947 S.W.2d 416, 1997 Ky. App. LEXIS 7 (Ky. Ct. App. 1997).

8.Cooperation between Commonwealth’s attorney and county attorney.

A written agreement need not be executed and approved when a county attorney assists, but does not take over the duties of, a Commonwealth’s attorney. Barnett v. Commonwealth, 979 S.W.2d 98, 1998 Ky. LEXIS 127 ( Ky. 1998 ).

9.Nature of Grand Jury.

Nothing in the Kentucky Constitution, statutes, or rules classifies a grand jury as an arm of the Commonwealth’s Attorney; the grand jury is an investigative body acting independently of either prosecuting attorney or judge, and the hallmark of the grand jury is its independence from outside influence. Hoskins v. Maricle, 150 S.W.3d 1, 2004 Ky. LEXIS 196 ( Ky. 2004 ), limited, Gilbert v. McDonald-Burkman, 320 S.W.3d 79, 2010 Ky. LEXIS 193 ( Ky. 2010 ).

10.Probation Revocation.

Commonwealth's Attorney is entitled to receive proper notice of every court-initiated probation hearing, to attend all such hearings, and to participate therein; although the word “Commonwealth” is not mentioned in the statute relating to the modification or revocation of probation, the role of the Commonwealth's attorney is not reduced to a spectator at every court-initiated probation hearing. Commonwealth v. Goff, 472 S.W.3d 181, 2015 Ky. App. LEXIS 139 (Ky. Ct. App. 2015).

Cited in:

Talbott v. Commonwealth, 968 S.W.2d 76, 1998 Ky. LEXIS 41 ( Ky. 1998 ); Flynt v. Commonwealth, 105 S.W.3d 415, 2003 Ky. LEXIS 116 ( Ky. 2003 ); Thacker v. Commonwealth, 115 S.W.3d 834, 2003 Ky. App. LEXIS 225 (Ky. Ct. App. 2003); Copley v. Commonwealth, 361 S.W.3d 902, 2012 Ky. LEXIS 26 ( Ky. 2012 ); Commonwealth v. Johnson, 423 S.W.3d 718, 2014 Ky. LEXIS 87 ( Ky. 2014 ).

Opinions of Attorney General.

Subsection (2) of this section is broad enough to mean that the prosecution of preliminary hearings, involving felonies or misdemeanors, in the district court is a responsibility of the county attorney on and after January 2, 1978; however, since subsection (3) of this section provides that the Commonwealth’s attorney and county attorney in a judicial district shall cooperate in the enforcement of criminal and penal laws, when necessary the Commonwealth’s attorney and the county attorney shall assist each other in the prosecution within their respective courts. OAG 77-125 .

Since contempt of court is an offense against the state, and not against the judge, it would be proper to proceed in the name of the Commonwealth with the Commonwealth’s attorney as prosecutor in a criminal contempt proceeding. OAG 78-22 .

Inherent in the duty of the county attorney to attend the district court and prosecute all violations of criminal and penal laws within the jurisdiction of that court is the duty of preparing complaints, warrants of arrest, affidavits for search warrants and search warrants. OAG 78-61 .

Since the petition for a 60-day involuntary hospitalization must be filed in Circuit Court, the county attorney would have no duties under this section except where it is necessary for him to help the Commonwealth’s attorney. OAG 78-61 .

The county attorney’s duty to cooperate with the Commonwealth’s attorney includes helping him with the grand jury when necessary. OAG 78-61 .

As to criminal appeals from district to circuit court, the Commonwealth’s attorney would handle the appeal for the Commonwealth and when necessary the county attorney could be called upon to handle such appeal. OAG 78-190 .

Since the term criminal warrants embraces search warrants, in the event of the absence from a county of all district judges and all circuit judges and all trial commissioners, the circuit clerk in any county in Kentucky may issue not only arrest warrants but may issue search warrants as well, provided that such warrants are prepared by the Commonwealth’s attorney or county attorney, who shall certify, before such warrants are issued, that there is no district judge, circuit judge, or trial commissioner within the county. OAG 78-362 .

The term “criminal warrants” clearly embraces search warrants. OAG 78-362 .

For a discussion of the major duties and responsibilities of the county attorney, OAG 78-407 .

Since the county attorney must prosecute criminal matters in district court, the duty of drafting the affidavit for a warrant of arrest and the warrant is implicitly his. OAG 78-781 .

The county attorney is required to prosecute violations of municipal ordinances in the district court. OAG 80-34 .

Mutual assistance, when necessary under this section, would include the county attorney’s assisting the Commonwealth’s attorney in presenting criminal matters to the grand jury in Circuit Court. OAG 82-28 .

Subsection (3) of this section requires a cooperative effort and mutual assistance, on the part of the Commonwealth’s attorney and county attorney, in pursuing prosecutions in their respective courts, but the General Assembly has left it up to the Commonwealth’s attorney and county attorney in determining precisely the need and application of mutual assistance. OAG 82-28 .

Neither KRS 69.210 nor this section specifically require the county attorney to advise a joint city-county planning commission, but KRS 69.210 is sufficiently broad to justify an interpretation that the county attorney should advise a city-county planning commission concerning the interests of the county. However, a county attorney would not be expected to render such advice if doing so would create a conflict of interest situation. OAG 82-377 .

If members of fiscal court complain of possible criminal violations, including KRS 61.170 , the grand jury is charged with looking into the matter by hearing witnesses who voluntarily come before it or who are compelled to testify under RCr 5.12. If the county judge/executive or other members of the fiscal court seek to appear before the grand jury, even though the Commonwealth’s attorney, as prosecutor, has reason to believe that no actual commission of crime has occurred, the Commonwealth’s attorney does not have the authority to refuse to allow such fiscal court matters to be presented for the grand jury’s consideration. OAG 82-459 .

Under RCr 5.14 and subsection (1) of this section, the Commonwealth’s attorney may make suggestions to the grand jury, where he has carefully assessed the potential evidence and actually and honestly believes that technically no criminal conduct is involved sufficient to support an indictment, that in his professional opinion no public interest would be subserved by their hearing such proffered witnesses. However, it would then lie within their sound discretion, considering their duty of inquiring into the commission of crime as to whether or not such proffered witnesses would be heard by them. OAG 82-459 .

While the county attorney or special prosecutor in district court must prepare the subpoenas, the circuit clerk has the duty to sign and issue the subpoenas and put them in the hands of peace officers empowered to serve process, usually the county sheriff. OAG 83-206 .

Inherent in the duty of the county attorney to prosecute violations of criminal and penal laws is the duty to prepare complaints, warrants of arrest, affidavits for search warrants, search warrants, and subpoenas for his witnesses. OAG 83-206 .

Where the county attorney is removed from prosecuting a particular case in district court, the Commonwealth’s attorney of his county may be called upon by the county attorney to prosecute the case in question; if for any valid reason the local Commonwealth’s attorney cannot prosecute the case, the county attorney may call upon the Attorney General, under KRS 15.730 , to designate a county attorney or Commonwealth’s attorney, from any county, as a special prosecutor of the Commonwealth in the case in question. OAG 83-206 .

The local county attorney has the usual and ordinary burden of prosecuting a criminal case in the district court. If the county attorney pursuant to KRS 15.730 and 15.735 , and pursuant to KRS 15.733(4), disqualifies himself from a prosecution, or where the court disqualifies him under KRS 15.733(3), the county attorney should, prior to presenting his written certification of disqualification to the Attorney General, tentatively arrange with another county attorney, or a Commonwealth’s attorney, for such county or Commonwealth’s attorney to serve as special prosecutor in the case, subject to the Attorney General’s directive to a specifically named Commonwealth’s attorney or county attorney or an assistant Attorney General to so serve as special prosecutor in the district court criminal case after written certification of disqualification has been lodged with the Attorney General. OAG 83-206 .

While subsection (4) (now (5)) of this section specifically provides that a circuit clerk may issue a criminal warrant prepared by the county attorney or Commonwealth’s attorney, as the case may be, who certifies, if that is the case, that there is no district judge, circuit judge or trial commissioner available for that purpose, nowhere in the rules is the county attorney or Commonwealth’s attorney given the authority to issue a warrant or to sign a judge’s or trial commissioner’s name to such a warrant. OAG 85-31 .

A county attorney or assistant county attorney has no authority to issue a warrant of arrest, nor any authority to sign a judge’s or trial commissioner’s name to a warrant of arrest. OAG 85-31 .

The prohibition in this section against a Commonwealth’s attorney’s representation of defendants does not apply until the prospective Commonwealth’s attorney has taken the oath of office under §§ 228 and 232 of the Constitution; a prospective appointee has a reasonable time within which to qualify by taking the oath. OAG 85-80 .

The county attorney, although a county constitutional officer under § 99 of the Kentucky Constitution, and having county responsibilities under KRS 69.210 , also has state duties pursuant to subsection (2) of this section; in relation to the state prosecutorial duties of the County Attorney, such officer is to be compensated as provided in KRS 15.765 , under a CPI Formula using 1949 as the base year, in accordance with § 246 of the Constitution of Kentucky, which provides for compensation of not more than $12,000 per annum. OAG 92-27 .

The County Attorney has a duty to prosecute all criminal cases in the District Court, and inherent in that duty is a right to be present and heard in all court proceedings conducted that involve criminal prosecution in the District Court. OAG 2007-03 .

Absent a specific statutory provision, a private citizen has no individual right to present evidence directly to a grand jury. OAG 09-010 .

Research References and Practice Aids

Cross-References.

Recreation and retirement land use sales, prosecution of violations, KRS 367.990(14).

Sale of business opportunities, prosecution of violations, KRS 367.990(13).

Kentucky Bench & Bar.

Schatteman, Changes in the Kentucky Rules of Criminal Procedure, Vol. 45, No. 4, July, 1981, Ky. Bench and Bar 20.

Advisory Opinions, Vol 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Kentucky Law Journal.

Kentucky Law Survey, Fortune, Criminal Rules, 70 Ky. L.J. 395 (1981-82).

Kentucky Law Survey, Fortune and Welling, Criminal Procedure, 72 Ky. L.J. 381 (1983-84).

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.727. Duty of Commonwealth’s attorney and county attorney to assist child sexual abuse multidisciplinary team.

Pursuant to KRS 431.600 , each Commonwealth’s attorney and each county attorney shall assist any child sexual abuse multidisciplinary team established in his circuit or county, unless the Prosecutors Advisory Council has voted to relieve him of this responsibility.

History. Enact. Acts 1994, ch. 264, § 3, effective July 15, 1994.

15.728. Notification to Office of Charitable Gaming of investigation or prosecution of violation of charitable gaming laws.

All law enforcement agencies and investigative bodies shall notify the Department of Charitable Gaming of any investigation or prosecution of any violation of the charitable gaming laws as soon as reasonably possible after commencing the investigation or prosecution and shall coordinate any investigation with the department.

History. Enact. Acts 1996, ch. 331, § 1, effective April 10, 1996; 2000, ch. 374, § 1, effective July 14, 2000; 2010, ch. 24, § 18, effective July 15, 2010.

15.730. Commonwealth’s attorneys and county attorneys as special prosecutors.

Each regular Commonwealth’s attorney and county attorney shall be, ex officio, a special prosecutor of the Commonwealth, and as such shall perform such duties and render such services, at such time and places, coextensive with the Commonwealth as may be required by the Attorney General. The duties and services may include, but are not limited to, prosecution of or participation in action outside of his judicial circuit or judicial district when directed by the Attorney General and assisting the Attorney General in preparation and presentation of the Commonwealth’s position in criminal cases appealed to Circuit Court, Court of Appeals, and the Supreme Court.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 7, effective January 1, 1978.

NOTES TO DECISIONS

1.Right to Appeal Adverse Decision.

A County Attorney has the right to appeal an adverse decision or ruling in a criminal action from District to Circuit Court without the prior approval of the Attorney General. Commonwealth v. Wasson, 785 S.W.2d 67, 1990 Ky. App. LEXIS 10 (Ky. Ct. App. 1990).

Cited in:

Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ).

Opinions of Attorney General.

The combined compensation of a county attorney in any one year (prosecutorial work paid by the state and civil work for the county paid by the county) cannot exceed the $12,000 level adjusted to the current Consumer Price Index amount. OAG 77-125 .

The local county attorney has the usual and ordinary burden of prosecuting a criminal case in the district court. If the county attorney pursuant to this section and KRS 15.735 , and pursuant to KRS 15.733(4), disqualifies himself from a prosecution, or where the court disqualifies him under KRS 15.733(3), the county attorney should, prior to presenting his written certification of disqualification to the Attorney General, tentatively arrange with another county attorney, or a Commonwealth’s attorney, for such county or Commonwealth’s attorney to serve as special prosecutor in the case, subject to the Attorney General’s directive to a specifically named Commonwealth’s attorney or county attorney or an Assistant Attorney General to so serve as special prosecutor in the district court criminal case after written certification of disqualification has been lodged with the Attorney General. OAG 83-206 .

Where the county attorney is removed from prosecuting a particular case in district court, the Commonwealth’s attorney of his county may be called upon by the county attorney to prosecute the case in question; if for any valid reason the local Commonwealth’s attorney cannot prosecute the case, the county attorney may call upon the Attorney General, under this section, to designate a county attorney or Commonwealth’s attorney, from any county, as a special prosecutor of the Commonwealth in the case in question. OAG 83-206 .

For the adjustments to salaries of constitutional officers in relation to changes in the Consumer Price Index salary adjustment computations and therefore, the maximum annual compensation allowable by law for such positions in 1994 see OAG 94-7 .

Research References and Practice Aids

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.733. Disqualification of prosecuting attorney — Appointment of a special prosecutor.

  1. For the purposes of this section the following words or phrases shall have the meaning indicated:
    1. “Proceeding” includes pretrial, trial, appellate review, or other stages of litigation;
    2. “Fiduciary” includes such relationships as executor, administrator, conservator, trustee, and guardian;
    3. “Financial interest” means ownership of a legal or equitable interest, however small, or a relationship as director, adviser, or other active participant in the affairs of a party, except that:
      1. Ownership in a mutual or common investment fund that holds securities, or a proprietary interest of a policyholder in a mutual insurance company, of a depositor in a mutual savings association, or a similar proprietary interest, or ownership of government securities is a “financial interest” only if the outcome of the proceeding could substantially affect the value of the interest;
      2. An office in an educational, religious, charitable, fraternal, or civil organization is not a “financial interest” in securities held by the organization.
  2. Any prosecuting attorney shall disqualify himself in any proceeding in which he or his spouse, or a member of his immediate family either individually or as a fiduciary:
    1. Is a party to the proceeding, or an officer, director, or trustee of a party;
    2. Is acting as a lawyer in the proceeding;
    3. Is known by the prosecuting attorney to have an interest that could be substantially affected by the outcome of the proceeding;
    4. Is to the prosecuting attorney’s knowledge likely to be a material witness in the proceeding;
    5. Has served in private practice or government service, other than as a prosecuting attorney, as a lawyer or rendered a legal opinion in the matter in controversy;
    6. Has a financial interest in the subject matter in controversy or in a party to the proceeding, or any other interest that could be substantially affected by the outcome of the proceeding.
  3. Any prosecuting attorney may be disqualified by the court in which the proceeding is presently pending, upon a showing of actual prejudice.
  4. In the event that a prosecuting attorney is disqualified, he shall certify such fact in writing to the Attorney General who may direct another Commonwealth’s attorney or county attorney or an assistant attorney general as a special prosecutor to represent the Commonwealth in that proceeding.

History. Enact. Acts 1976, ch. 59, § 1; repealed and reenact., Acts 1980, ch. 188, § 10, effective July 15, 1980; 1982, ch. 141, § 42, effective July 1, 1982.

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 59, § 1) was formerly compiled as KRS 26A.250 but was repealed and reenacted by Acts 1980, ch. 188, § 10 and renumbered as this section.

This section was amended by § 45 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

NOTES TO DECISIONS

Analysis

1.Actual Prejudice.

Actual prejudice had to be shown before the Commonwealth Attorney’s entire staff would be disqualified from prosecuting charges against a defendant, whose original appointed attorney had moved from the county public defender’s staff to the Commonwealth Attorney’s office; the mere possibility of the appearance of impropriety was not sufficient to disqualify the entire prosecutorial staff. Summit v. Mudd, 679 S.W.2d 225, 1984 Ky. LEXIS 293 ( Ky. 1984 ).

A prosecuting attorney may be disqualified upon a showing of actual prejudice. Vindictiveness is not to be presumed. Clayton v. Commonwealth, 786 S.W.2d 866, 1990 Ky. LEXIS 2 ( Ky. 1990 ).

Defendant could not show that any member of the forum county’s prosecutorial staff conducted substantial and personal preparation involving an exchange of confidential information in connection with defendant’s case where defendant was charged with operating a motor vehicle while under the influence of alcohol, first offense, and carrying a concealed deadly weapon. Since defendant could not show actual prejudice, no member of that staff was required under KRS 15.733 to disqualify himself from prosecuting defendant’s case due to a conflict on interest. Cromer v. Commonwealth, 2011 Ky. App. LEXIS 186 (Ky. Ct. App. Aug. 19, 2011), review denied, ordered not published, 2014 Ky. LEXIS 590 (Ky. Dec. 10, 2014).

2.Extent of Withdrawal.

Whenever a public prosecutor deems it necessary to invoke the provisions of this section, he should also withdraw from any other case, civil or criminal, arising out of the same transaction or occurrence. Kentucky Bar Asso. v. Lovelace, 778 S.W.2d 651, 1989 Ky. LEXIS 75 ( Ky. 1989 ).

3.— Civil Action Arising From Criminal Prosecution.

Defendant’s due process rights were not violated where, after he was tried and convicted for second-degree assault, the prosecutor from defendant’s criminal trial brought on behalf of one of the complaining witnesses and against defendant, a civil action stemming from the same incident. Dick v. Scroggy, 882 F.2d 192, 1989 U.S. App. LEXIS 12120 (6th Cir. Ky. 1989 ).

Any lawyer who undertakes representation of the Commonwealth in a criminal case may not simultaneously represent a party in a civil case arising out of the same transaction or occurrence. Kentucky Bar Asso. v. Lovelace, 778 S.W.2d 651, 1989 Ky. LEXIS 75 ( Ky. 1989 ).

It was not reversible error for the trial judge to deny a continuance in the sentencing hearing or to disqualify the prosecutors in a murder case merely because the prosecutors had become involved in a civil case arising out of the robbery and murders. Neither defendant was a party to the civil action, nor have they alleged or proved actual prejudice arising from the complained of involvement in the civil case. Dunbar v. Commonwealth, 809 S.W.2d 852, 1991 Ky. LEXIS 52 ( Ky. 1991 ).

4.— Criminal Prosecution Arising From Civil Action.

A prosecutor must decline employment in any civil action when there is any reasonable probability that a criminal prosecution might arise from the circumstances of the case and if, after accepting employment in a civil matter, a criminal prosecution arises from the circumstances of the case, the prosecuting attorney must withdraw from the civil proceeding and disqualify himself from handling the prosecution. Kentucky Bar Asso. v. Lovelace, 778 S.W.2d 651, 1989 Ky. LEXIS 75 ( Ky. 1989 ).

5.Prior Contacts.

Defendant’s contention that the prosecutor should have disqualified himself because the defendant’s father had punched the prosecutor on a prior occasion was without merit; the inquiry by the trial judge established that the prosecutor bore no ill feeling toward defendant. Clayton v. Commonwealth, 786 S.W.2d 866, 1990 Ky. LEXIS 2 ( Ky. 1990 ).

No personal and substantial relationship existed between attorney’s representation of defendant in an earlier case, in which retrial conviction was used in the instant persistent felony offender proceeding, and the trial of this case that required any substantive need for disqualification under this section where attorney represented defendant in guilty plea to earlier unrelated charges, conviction was reversed upon appeal, and upon retrial attorney had disqualified himself because he became employed by the Commonwealth Attorney’s office. Brown v. Commonwealth, 892 S.W.2d 289, 1995 Ky. LEXIS 29 ( Ky. 1995 ).

Where prosecutor had represented defendant in his private practice, subsequent to the arson charge, in a bankruptcy proceeding and, as such, had detailed knowledge of her financial situation and since the alleged motive was financial gain, the bankruptcy was integrally related to the matter being prosecuted and the prosecutor should have recused himself from the case. Nunn v. Commonwealth, 896 S.W.2d 911, 1995 Ky. LEXIS 61 ( Ky. 1995 ).

The fact that a county attorney was appointed as the limited guardian for the victim after the crimes at issue did not disqualify him from assisting the Commonwealth attorney in the prosecution of the defendant for robbery and burglary. Barnett v. Commonwealth, 979 S.W.2d 98, 1998 Ky. LEXIS 127 ( Ky. 1998 ).

6.Family Member.

Prosecutor from the Commonwealth Attorney’s office did not have to recuse herself because she was a first cousin of defendant’s half-brothers; first cousins were not contained within the ambit of KRS 15.733(2)’ s criteria for recusal. Thorpe v. Commonwealth, 295 S.W.3d 458, 2009 Ky. App. LEXIS 188 (Ky. Ct. App. 2009).

7.Public Reprimand.

Attorneys’ acceptance of private employment in matter in which they have substantial responsibilities as prosecutors warranted public reprimand. Kentucky Bar Ass'n v. Marcum, 830 S.W.2d 389, 1992 Ky. LEXIS 77 ( Ky. 1992 ).

Cited in:

Bowling v. Commonwealth, 80 S.W.3d 405, 2002 Ky. LEXIS 52 ( Ky. 2002 ).

Notes to Unpublished Decisions

1.Actual Prejudice.

Unpublished decision: Where defendant alleged that the prosecutor was biased against defendant as a result of the prosecutor's work with a detective and defendant's claim to have slept with the detective's wife, the district court did not err when it denied defendant's motion to disqualify the prosecutor, because the record was incomplete and the alleged conflict of interests did not rise to the level of demonstrating actual prejudice. United States v. Willett, 682 Fed. Appx. 375, 2017 FED App. 0152N, 2017 U.S. App. LEXIS 4311 (6th Cir. Ky. 2017 ).

Opinions of Attorney General.

The local county attorney has the usual and ordinary burden of prosecuting a criminal case in the district court. If the county attorney pursuant to KRS 15.730 and 15.735 , and pursuant to subsection (4) of this section, disqualifies himself from a prosecution, or where the court disqualifies him under subsection (3) of this section, the county attorney should, prior to presenting his written certification of disqualification to the Attorney General, tentatively arrange with another county attorney, or a Commonwealth’s attorney, for such county or Commonwealth’s attorney to serve as special prosecutor in the case, subject to the Attorney General’s directive to a specifically named Commonwealth’s attorney or county attorney or an Assistant Attorney General to so serve as special prosecutor in the district court criminal case after written certification of disqualification has been lodged with the Attorney General. OAG 83-206 .

Commonwealth’s Attorneys are not covered by the provisions of KRS 11A. Rather, KRS 15 contains specific statutory directives regarding ethical consideration related to prosecutorial practice that governs Commonwealth’s Attorneys. OAG 2005-09 .

Absent a specific statutory provision, a private citizen has no individual right to present evidence directly to a grand jury. OAG 09-010 .

Research References and Practice Aids

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.734. Disqualification of prosecuting attorney due to indictment on a felony charge — Appointment of special prosecutor for duration of disqualification.

  1. In the event a Commonwealth’s attorney or an assistant Commonwealth’s attorney, or a county attorney or an assistant county attorney is indicted by a duly-empaneled state or federal grand jury on any felony charge under the laws of this Commonwealth, or a similar charge in the federal courts, such charge shall result in his immediate disqualification from further acting as a prosecuting attorney during the pendency of the action in any state or federal court. Such charge or charges shall in no way limit his right to practice civil law, unless the right to do so would contravene some other statute or existing canon of legal ethics, nor shall the charge alone prevent said attorney from receiving the usual salary or allowances for expense of the office, which would otherwise be payable.
  2. In the event such disqualification exists as to an assistant Commonwealth’s attorney or an assistant county attorney, the suspension of acting as a prosecuting attorney shall be exercised and enforced by the duly-elected Commonwealth’s attorney or county attorney as applicable.
  3. In the event the disqualification relates to a Commonwealth’s attorney or county attorney, upon certification of such disqualification to the Attorney General by the circuit judge or district judge of the jurisdiction in which said prosecuting attorney has been duly elected, the Attorney General shall name an attorney to serve as special prosecutor for the Commonwealth for the duration of the disqualification. The attorney, in this instance, need not be a Commonwealth’s attorney or county attorney as provided in KRS 15.730 .
  4. Nothing in this section shall prohibit a duly elected Commonwealth’s attorney or county attorney from being a candidate for reelection if said election is to be held during the period of disqualification, so long as said prosecuting attorney has not been found guilty of a felony or entered a plea of guilty to a felony at the initial trial court level. A final conviction or a plea of guilty at the trial court level to a felony shall act as a bar to being a candidate for reelection.

History. Enact. Acts 1986, ch. 369, § 1, effective April 9, 1986.

15.735. Disqualification — Assignment of another prosecutor.

Upon certification by the Commonwealth’s attorney and county attorneys to the Attorney General and for good cause shown that he, as the regular elected Commonwealth’s attorney or county attorney, and his assistant or assistants, if any, should not participate in a particular prosecution arising in his judicial circuit or district, the Attorney General may direct another Commonwealth’s attorney or county attorney as a special prosecutor for the Commonwealth to prosecute the action. Nothing in this section shall prohibit the appointment of a Commonwealth’s attorney or county attorney pro tem, as provided in KRS 69.060 , where applicable.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 8, effective January 1, 1978.

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Stumbo v. Wilson, 622 S.W.2d 912, 1981 Ky. LEXIS 281 ( Ky. 1981 ).

Opinions of Attorney General.

A county attorney or Commonwealth’s attorney cannot legally serve as a special prosecutor in the case unless and until he receives an administrative order of the Attorney General directing him to so proceed. OAG 83-206 .

The local county attorney has the usual and ordinary burden of prosecuting a criminal case in the District Court. If the county attorney pursuant to KRS 15.730 and this section, and pursuant to KRS 15.733(4), disqualifies himself from a prosecution, or where the court disqualifies him under KRS 15.733(3), the county attorney should, prior to presenting his written certification of disqualification to the Attorney General, tentatively arrange with another county attorney, or a Commonwealth’s attorney, for such county or Commonwealth’s attorney to serve as special prosecutor in the case, subject to the Attorney General’s directive to a specifically named Commonwealth’s attorney or county attorney or an Assistant Attorney General to so serve as special prosecutor in the District Court criminal case after written certification of disqualification has been lodged with the Attorney General. OAG 83-206 .

15.740. Commonwealth’s attorney and county attorney not to represent accused.

The Commonwealth’s attorney and county attorney shall not act as defense counsel in any criminal prosecution in any state or federal court in this Commonwealth, except in cases in which he is a party.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 9, effective January 1, 1978.

NOTES TO DECISIONS

Cited in:

In re Kentucky Bar Asso. Amended Advisory Opinion E-291, 710 S.W.2d 852, 1986 Ky. LEXIS 271 ( Ky. 1986 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Underwood, Advisory Ethics Opinions, Vol. 59, No. 1, Winter 1995, Ky. Bench & Bar 50.

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.745. Construction of KRS Chapter 15.

Nothing in this chapter shall be construed as eliminating or limiting any of the other duties of the Commonwealth’s attorney or county attorney as set out in the Kentucky Revised Statutes.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 10, effective January 1, 1978.

15.750. Budget — Payment of office expenses — Purchase of liability insurance.

  1. Each Commonwealth’s attorney and each county attorney shall submit a proposed budget for his office to the Prosecutors Advisory Council to be included in the total budget of the unified prosecutorial system and submitted as part of the budget of the Office of the Attorney General in accordance with KRS Chapter 48. Nothing contained herein shall be construed as limiting, restricting, or terminating the authority of local governmental units, including cities, counties, and urban counties, to provide financial support for the office of any prosecutor.
  2. Office expenses incurred by the Commonwealth’s attorney in the performance of his duties, as required by the Kentucky Revised Statutes, shall be paid by the Commonwealth.
  3. Office expenses incurred by the county attorney in the performance of his duties as criminal prosecutor shall be paid by the Commonwealth.
  4. Office expenses incurred by the county attorney in the performance of his duties as legal adviser to the county shall be paid by the fiscal court or by the urban-county council as required by the Kentucky Revised Statutes.
  5. The Prosecutors Advisory Council, under such terms and conditions as it deems appropriate, may purchase or authorize the purchase of liability insurance on behalf of county attorneys, Commonwealth’s attorneys, and their employees to protect them from malpractice or otherwise, arising in the course or scope of their official duties. The purchase of liability insurance for or by county attorneys, Commonwealth’s attorneys, and their employees shall not constitute a waiver of any immunity or defense the insured may now or in the future assert under state or federal law, regulation, or rule.

History. Enact. Acts 1976, (Ex. Sess.), ch. 17, § 11; 1982, ch. 450, § 52, effective July 1, 1983; 1988, ch. 235, § 1, effective July 15, 1988.

Opinions of Attorney General.

County attorney could legally conduct a private practice in the county attorney’s office, whether it is located in the courthouse or in a privately owned building as long as he pays the percentage of the rental value corresponding to the percentage of time the property is used for his private practice. OAG 77-756 .

The state and county must separately bear that portion of the county attorney’s office rent based upon the percentage of time spent by him on prosecutorial business (state’s responsibility) and time spent on the county business (county’s responsibility) with the attorney being personally responsible for the remaining time spent on private practice. OAG 77-763 .

The compensation of a grand jury reporter should be paid out of the state treasury in accordance with proper budgetary procedure. OAG 78-27 .

The expense allowance under subsection (3) of this section relates narrowly to prosecutorial work while the expense allowance under KRS 15.765 relates to residual civil functions and neither allowance is compensation nor is formal accountability required except that expenses claimed under this section must be documented as required by the Executive Department for Finance and Administration (now Finance and Administration Cabinet). OAG 78-241 .

Subsection (4) of this section mandates the fiscal court to provide a salary for the secretary of the county attorney in carrying out his work for the county. OAG 78-745 .

This section, KRS 32.011 and KRS 67.083 , when read together, authorize a fiscal court to contribute county money to the payment of the salary of an assistant Commonwealth’s attorney. OAG 79-190 .

Subsections (2) and (3) of this section were designed to provide reimbursement by the Department of Finance (now Finance and Administration Cabinet) to prosecutors for office expenses incurred in performing their prosecutorial functions and travel expenses relating to their prosecutorial function are reimbursable, regardless of whether the travel is within their districts or outside their districts, and formal accountability is necessary by way of documentation as required by the Department of Finance (now Finance and Administration Cabinet); the $500 and $250 (now $1000 and $500) monthly expense allowances, as contained in KRS 15.755(6) and 15.765(2), relate necessarily to residual civil functions performed for the state, and these allowances are not compensation and require no formal accountability. OAG 80-304 .

It is mandatory that the state pay for the services of the grand jury stenographer, and the conclusion is the same where a special grand jury is impaneled pursuant to KRS 29A.220. OAG 80-490 .

Language of 1984 budget bill relating to the “caseload” concept for distribution of state funding of the state prosecutorial system was at variance with the budget law of KRS Ch. 15 and Ch. 48 and such budget bill remarks were unconstitutional. OAG 84-184 .

15.753. Indemnification from financial loss in legal actions for Attorney General, Commonwealth’s attorneys, county attorneys, and their staffs.

  1. This section shall apply to:
    1. The Attorney General and his or her staff;
    2. A county attorney and his or her staff; and
    3. A Commonwealth’s attorney and his or her staff.
  2. A person named in subsection (1) of this section who is sued for any act or omission in the course of his or her duties and who suffers actual financial loss, unreimbursed from any source, including any costs or attorney’s fees awarded as a result of the action, or any costs or reasonable attorney’s fees incurred in defending the action, shall be indemnified by the Commonwealth from funds appropriated to the Finance and Administration Cabinet for the payment of judgments, to the extent of his or her actual financial loss.
  3. The indemnification shall be contingent upon an express determination by the Prosecutor’s Advisory Council that the act or omission which resulted in liability or financial loss was within the scope and course of the officer’s employment and occurred during the performance of duty and was committed or omitted in the good faith belief that the act or omission was lawful and proper.
  4. If the officer seeking indemnification is the Attorney General, the determination referred to in subsection (3) of this section shall be made by the Governor.
  5. The indemnification shall not be construed to abrogate or limit any privilege, immunity, or matter of defense otherwise available to the person claiming indemnification and shall not constitute a waiver of any privilege, immunity, or matter or defense including the sovereign immunity of the Commonwealth.
  6. The indemnification shall not be the subject of comment, directly or indirectly, before any jury hearing any cause of action in which the Attorney General, a county or Commonwealth’s attorney, or a member of their staff is a party, and any comment before the jury shall result in an immediate mistrial.

History. Enact. Acts 1994, ch. 398, § 1, effective July 15, 1994; 2021 ch. 131, § 1, effective June 29, 2021.

15.755. Compensation of Commonwealth’s attorney and staff — Monthly expense allowance — Compensation adjusted — Private law practice regulated.

  1. The compensation of each Commonwealth’s attorney shall be paid out of the State Treasury.
  2. The compensation of the staff of each Commonwealth’s attorney shall be paid out of the State Treasury.
  3. In each judicial circuit containing a consolidated local government, a city with a population equal to or greater than twenty-five thousand (25,000) based on the most recent federal decennial census, or an urban-county government, or a city with a population equal to or greater than eight thousand (8,000) but less than twenty thousand (20,000) based on the most recent federal decennial census and a population of sixty-eight thousand (68,000) or more, or which has a full-time Commonwealth’s attorney, the Commonwealth’s attorney shall not engage in the private practice of law. The population of a judicial circuit shall, for the purpose of this statute, be determined by the most recent federal decennial census enumeration. All other Commonwealth’s attorneys shall not be prohibited from engaging in the private practice of law.
  4. Each Commonwealth’s attorney who is prohibited from engaging in the private practice of law shall receive as compensation for his services the sum of twenty-six thousand dollars ($26,000) per annum.
  5. Each Commonwealth’s attorney who is not prohibited from engaging in the private practice of law shall receive as compensation for his services the sum of fourteen thousand three hundred dollars ($14,300) per annum.
  6. Each full-time Commonwealth’s attorney of the state shall be paid each month the sum of one thousand dollars ($1,000) and each part-time Commonwealth’s attorney shall be paid each month the sum of five hundred dollars ($500), which sums are declared to be the equivalent of the minimum sums that each Commonwealth’s attorney will expend each month in the performance of his official duties directed to be performed for the Commonwealth. The aforementioned sum shall be paid out of the State Treasury.
  7. In order to equate the compensation of Commonwealth’s attorneys with the purchasing power of the dollar, the Department for Local Government shall compute by the second Friday in February of every year the annual increase or decrease in the consumer price index of the preceding year by using 1949 as the base year in accordance with Section 246 of the Constitution of Kentucky which provides that the above elected officials shall be paid at a rate no greater than twelve thousand dollars ($12,000) per annum. The Department for Local Government shall notify the appropriate governing bodies charged by law to fix the compensation of the above elected officials of the annual rate of compensation to which the elected officials are entitled in accordance with the increase or decrease in the consumer price index. Upon notification from the Department for Local Government, the appropriate governing body may set the annual compensation of the above elected officials at a rate no greater than that stipulated by the Department for Local Government.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 12; 1978, ch. 384, § 580, effective June 17, 1978; 1986, ch. 480, § 1, effective January 1, 1988; 1992, ch. 220, § 1, effective January 1, 1994; 1994, ch. 508, § 4, effective July 15, 1994; 1996, ch. 175, § 1, effective July 15, 1996; 1998, ch. 69, § 3, effective July 15, 1998; 2002, ch. 182, § 1, effective July 15, 2002; 2007, ch. 47, § 8, effective June 26, 2007; 2010, ch. 117, § 16, effective July 15, 2010; 2014, ch. 92, § 22, effective January 1, 2015.

Legislative Research Commission Notes.

Acts 1986, ch. 480, § 2 provides: “This Act shall take effect January 1, 1988. Provided, however, that KRS 15.755 [Section 1 of this Act] shall not apply to any Commonwealth’s attorney in office on July 15, 1986 or his successor unless such Commonwealth’s attorney shall notify the Attorney General in writing prior to December 15, 1987, of his intention to serve as a full-time Commonwealth’s attorney commencing on January 1, 1988.”

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Armstrong v. Collins, 709 S.W.2d 437, 1986 Ky. LEXIS 262 ( Ky. 1986 ).

Opinions of Attorney General.

A Commonwealth’s attorney would not be prohibited from acting as a counsel for the county school board. OAG 77-487 .

Following the 1980 adjustment, the maximum compensation permissible for constitutional officers who are in the $12,000 limit category mentioned in Const., § 246 would be $38,640. OAG 80-74 .

The payment of the maximum rubber dollar amount is not automatic under this section. OAG 80-74 .

KRS 15.750 (2) and (3) were designed to provide reimbursement by the Department of Finance (now Finance and Administration Cabinet) to prosecutors for office expenses incurred in performing their prosecutorial functions and travel expenses relating to their prosecutorial function are reimbursable under KRS 15.750 , regardless of whether the travel is within their districts or outside their districts, and formal accountability is necessary by way of documentation as required by the Department of Finance (now Finance and Administration Cabinet); the $500 and $250 (now $1000 and $500) monthly expense allowances, as contained in subsection (6) of this section and KRS 15.765(2), relate necessarily to residual civil functions performed for the state, and these allowances are not compensation and require no formal accountability. OAG 80-304 .

The legislature intended, under subsections (4) and (7) of this section, to place full-time prosecutors under the potential maximum salary subject to adjustment for the consumer price index; and those Commonwealth’s attorneys who are part-time prosecutors should have their annual compensation based upon the application of the annual consumer price index advancement percentage to the prior year’s prosecutorial salary with the starting year base being equivalent to the total compensation received in 1976 by county attorneys, since this section and KRS 15.765 read together should not cause part-time Commonwealth’s attorneys to receive less salary than that maximum state share received by county attorneys as prosecutors. OAG 81-76 .

The annual compensation of Commonwealth’s attorneys who are part-time prosecutors was intended to be based upon the application of the annual Consumer Price Index advancement percentage to the prior year’s prosecutorial salary, with the starting year base being equivalent to the total compensation received in 1976 by county attorneys. OAG 82-80 .

Subsection (5) of this section and subsection (1) of KRS 15.765 are in pari materia and cannot sensibly be read together to require part-time Commonwealth’s attorneys to receive less salary than the maximum state share received by county attorneys as prosecutors; thus, all part-time Commonwealth’s attorneys are to be paid a salary equal to the maximum state share for county attorneys. OAG 82-80 .

Although state officials must, under KRS 64.480 , receive the maximum indexed compensation figure, under this section and 15.765 , the maximum compensation of the Commonwealth attorneys and county attorneys is not mandated. OAG 82-80 .

The maximum annual compensation possible for full-time and part-time Commonwealth’s attorneys for 1988 was $58,101. OAG 88-10 .

The maximum annual compensation possible for full-time Commonwealth attorneys for 1990 would be $63,462 and for part-time Commonwealth attorneys would be $38,077. OAG 90-17 .

The maximum annual compensation as computed by the Department of Local Government for a full-time Commonwealth’s Attorney for 1991 is $67,378, and the part-time Commonwealth’s Attorneys which is to be paid a salary equal to the maximum state share for the County Attorney is $40,427 for 1991. OAG 91-29 .

For an opinion verifying the accuracy of computations to be used in adjusting salaries of constitutional officers in relation to changes in the Consumer Price Index, see OAG 93-21 .

For the adjustments to salaries of constitutional officers in relation to changes in the Consumer Price Index salary adjustment computations and therefore, the maximum annual compensation allowable by law for such positions in 1994 see OAG 94-7 .

For the adjustments to salaries of constitutional officers in relation to change in the Consumer Price Index salary adjustment computations and therefore, the maximum annual compensation allowable for such positions in 1995 see OAG 95-5 . OAG 95-5 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 20, a, (2) at 859.

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.757. Procedure for voluntarily changing status from part-time to full-time Commonwealth’s attorney.

    1. Any part-time Commonwealth’s attorney may voluntarily become a full-time Commonwealth’s attorney effective January 1, 1997, or at the beginning of any subsequent budget cycle by: (1) (a) Any part-time Commonwealth’s attorney may voluntarily become a full-time Commonwealth’s attorney effective January 1, 1997, or at the beginning of any subsequent budget cycle by:
      1. Not engaging in the private practice of law after the time he becomes a full-time Commonwealth’s attorney; and
      2. By giving written notice to the Prosecutors Advisory Council not less than ninety (90) days prior to the beginning of the budget cycle at which he is to become a full-time Commonwealth’s attorney, of his intention to do so.
    2. The Prosecutors Advisory Council shall review all requests from part-time Commonwealth’s attorneys and shall approve such requests based on available funds, population, caseload data, and other relevant information.
  1. A circuit which has been authorized to have a full-time Commonwealth’s attorney shall not revert to part-time status for that position.

History. Enact. Acts 1996, ch. 175, § 2, effective July 15, 1996.

15.760. Staff of Commonwealth’s attorneys — County’s duty to provide grand jury and witness rooms — Victim advocate.

  1. Each Commonwealth’s attorney shall, during the calendar year 1977 and through June 30, 1978, be entitled to at least the number of assistant Commonwealth’s attorney positions, stenographic, secretarial, and clerical staff positions, and investigative and other personnel positions, which he had or was entitled to at the number and salary level in effect on December 1, 1976.
  2. The number of assistant Commonwealth’s attorney positions, stenographic, secretarial, and clerical staff positions, and investigative and other personnel positions, shall be based on real need to be determined with the advice and consent of the Prosecutors Advisory Council.
  3. All assistant Commonwealth’s attorneys shall be licensed practicing attorneys. The full-time assistant Commonwealth’s attorneys shall not be allowed to engage in the private practice of law.
  4. All salaries paid to personnel appointed hereunder shall be paid from the State Treasury. The salaries shall be commensurate with the appointee’s education, experience, training, and responsibility, and be based upon the guidelines established by the Prosecutors Advisory Council, which guidelines shall be comparable with the classification and compensation plan for comparable positions maintained by the state Personnel Cabinet, pursuant to KRS 64.640 .
  5. The fiscal court, consolidated local government, or urban-county government in the county or counties that comprise the judicial circuit shall be responsible for providing the office of the Commonwealth’s attorney with an adequate grand jury room and witness rooms.
    1. Each Commonwealth’s attorney shall be authorized to employ individually or jointly with one (1) or more other Commonwealth’s attorneys at least one (1) victim advocate to counsel and assist crime victims as defined in KRS 421.500 . (6) (a) Each Commonwealth’s attorney shall be authorized to employ individually or jointly with one (1) or more other Commonwealth’s attorneys at least one (1) victim advocate to counsel and assist crime victims as defined in KRS 421.500 .
    2. An individual employed as a victim advocate shall be a person who by a combination of education, professional qualification, training, and experience is qualified to perform the duties of this position. The victim advocate shall be an individual at least eighteen (18) years of age, of good moral character, with at least two (2) years of experience working in the human services field or court system in a position requiring professional contact with children or adults, who has:
      1. Received a baccalaureate degree in social work, sociology, psychology, guidance and counseling, education, religion, criminal justice, or other human service field; or
      2. Received a high school diploma or equivalency certificate, and, in addition to the experience required in this subsection, has at least four (4) years’ experience working in the human services field or court system.
    3. Each Commonwealth’s attorney who employs an individual to serve as a victim advocate shall develop a written job description which describes the duties of the position and shall ensure the victim advocate completes training relating to the appropriate intervention with crime victims, including victims of domestic violence and victims of elder abuse, neglect, or exploitation or other crimes against the elderly. Each victim advocate shall perform those duties necessary to insure compliance with the crime victim’s bill of rights contained in KRS 421.500 to 421.530 . No victim advocate shall engage in political activities while in the course of performing his duties as victim advocate or the practice of law as defined in KRS 524.130 . The creation and funding of any new personnel position shall be reviewed and approved by the Prosecutors Advisory Council.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 13; 1994, ch. 264, § 1, effective July 15, 1994; 1996, ch. 189, § 1, effective July 15, 1996; 1998, ch. 154, § 6, effective July 15, 1998; 2002, ch. 346, § 7, effective July 15, 2002; 2005, ch. 132, § 12, effective June 20, 2005.

Opinions of Attorney General.

Through June 30, 1978, only those Commonwealth’s attorneys in counties containing a first or second-class city are entitled to a secretary and after such date the number of secretaries for any of the Commonwealth’s attorneys will be determined with the advice and consent of the Prosecutors Advisory Council. OAG 77-234 .

The Prosecutors Advisory Council has authority under this section to authorize assistant Commonwealth’s attorneys and detectives in any judicial district which needs additional personnel, and the compensation could be made retroactive to January of the year of the appointments. OAG 77-432 .

The compensation of a grand jury reporter should be paid out of the State Treasury under proper budgetary procedure. OAG 78-27 .

An assistant Commonwealth’s attorney is not required to be a resident of the judicial district in which his Commonwealth’s attorney was elected. OAG 78-779 .

The state Personnel Board could select an assistant Commonwealth’s attorney to serve as general counsel and hearing officer for the board without first seeking competitive bidding for the professional services; further, such employment would not involve the attorney in a conflict of interest nor incompatibility of offices. OAG 83-138 .

Research References and Practice Aids

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

15.765. Salary of county attorney — Expense allowance — Compensation adjustment — Private practice of law permitted.

  1. Each county attorney shall receive for prosecutorial duties an annual salary to be paid out of the State Treasury which shall be the total compensation as county attorney which he received during the calendar year 1976, but which in no event shall be less than twenty thousand dollars ($20,000); except, however, the annual salary of each county attorney shall be equal to that of each Commonwealth’s attorney who is not prohibited from the private practice of law as provided in KRS 15.755(5), effective January 1, 1990.
  2. Each county attorney shall be paid each month the sum of five hundred dollars ($500), which sum is declared to be the equivalent of the minimum sum that each county attorney will expend each month in the performance of his official duties directed to be performed for the Commonwealth. The aforementioned sum shall be paid out of the State Treasury.
  3. In order to equate the compensation of county attorneys with the purchasing power of the dollar, the Department for Local Government shall compute by the second Friday in February of every year the annual increase or decrease in the consumer price index of the preceding year by using 1949 as the base year in accordance with Section 246 of the Constitution of Kentucky which provides that the above elected officials shall be paid at a rate no greater than twelve thousand dollars ($12,000) per annum. The Department for Local Government shall notify the appropriate governing bodies charged by law to fix the compensation of the above elected officials of the annual rate of compensation to which the elected officials are entitled pursuant to the increase or decrease in the consumer price index. Upon notification from the Department for Local Government, the appropriate governing body may set the annual compensation of the above elected officials at a rate no greater than that stipulated by the Department for Local Government.
  4. The county attorney shall not be prohibited from engaging in the private practice of law.

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 14, effective January 1, 1978; 1978, ch. 384, § 579, effective June 17, 1978; 1986, ch. 421, § 1, effective July 15, 1986; 1994, ch. 508, § 5, effective July 15, 1994; 1998, ch. 69, § 4, effective July 15, 1998; 2002, ch. 182, § 2, effective July 15, 2002; 2007, ch. 47, § 9, effective June 26, 2007; 2010, ch. 117, § 17, effective July 15, 2010.

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Armstrong v. Collins, 709 S.W.2d 437, 1986 Ky. LEXIS 262 ( Ky. 1986 ).

Opinions of Attorney General.

The phrase “total compensation as county attorney which he received during the calendar year 1976” means “the incumbent county attorney” instead of “he” and therefore, the compensation of that office in 1976 is the measure of the prosecutorial compensation of a county attorney serving in January, 1978, and thereafter, and there is no difference in compensation of a county attorney who was not in office in 1976 and a county attorney who was; the county attorney in 1978, regardless of whether he ever served as county attorney before 1978 or not, should receive from the state for his prosecutorial duties an amount equal to the total compensation received by the incumbent county attorney as compensation for his public duties in that office. OAG 77-125 .

The combined compensation of a county attorney in any one year (prosecutorial work paid by the state and civil work for the county paid by the county) cannot exceed the $12,000 level adjusted to the current Consumer Price Index amount. OAG 77-125 .

Under current law the compensation of county attorneys generally will be funded by the state treasury (prosecutorial duties) and by the county treasury (civil county duties). OAG 78-113 .

There is no legal basis for deducting actual expenses or the expense allowance from a county attorney’s earned and collected fees, commissions and salary. OAG 78-209 .

“Total compensation,” as mentioned in this section, can only refer to the totality of earned and collected fees, commissions and any salary paid out of the county treasury and does not include the county attorney’s expense allowance. OAG 78-209 .

The expense allowance under subsection (2) of this section would not be included in applying the maximum rubber dollar amount of $31,272. OAG 78-241 .

The Legislature intended the $250 per month allowance to relate to residual civil functions performed for the state other than criminal prosecutions; neither this allowance nor the allowance under KRS 15.750 is compensation and no formal accountability is required, except that the expenses claimed under KRS 15.750 (3) must be documented as required by the Executive Department for Finance and Administration (now Finance and Administration Cabinet). OAG 78-241 .

Current legislation does not guarantee, by way of salaries from the state and county, that the county attorney shall receive the annual rubber dollar maximum. OAG 78-243 .

The fiscal court may adjust the salary of a county attorney so long as the amount received for prosecutorial duties plus the payments received from the commonwealth for the performance of civil duties do not exceed the rubber dollar amount for the year. OAG 78-415 .

Following the 1980 adjustment, the maximum compensation permissible for constitutional officers who are in the $12,000 limit category mentioned in Ky. Const., § 246 would be $38,640. OAG 80-74 .

The payment of the maximum rubber dollar amount is not automatic under this section. OAG 80-74 .

KRS 15.750 (2) and (3) were designed to provide reimbursement by the Department of Finance (now Finance and Administration Cabinet) to prosecutors for office expenses incurred in performing their prosecutorial functions and travel expenses relating to their prosecutorial function are reimbursable under KRS 15.750 , regardless of whether the travel is within their districts or outside their districts, and formal accountability is necessary by way of documentation as required by the Department of Finance (now Finance and Administration Cabinet); the $500 and $250 (now $1000 and $500) monthly expense allowances, as contained in KRS 15.755(6) and subsection (2) of this section, relate necessarily to residual civil functions performed for the state, and these allowances are not compensation and require no formal accountability. OAG 80-304 .

Where a fiscal court fixed the salary of the county attorney at $150 per month, commencing January 1, 1978, and after he took office in January, 1978, the fiscal court entered an order raising his salary to $600 per month thereby increasing his annual salary from $1800 per year to $7200 per year, there was no prohibited change in his compensation, as is prohibited by Ky. Const., § 161, since his compensation was merely adjusted to reflect the change in purchasing power of the dollar as reflected in the consumer price index. OAG 80-424 .

The county attorney, who in Kentucky performs the dual function of prosecutor in the district court and civil attorney for the county, has his total compensation from state and county combined geared to the consumer price index formula under subsection (1) of this section and the Legislature intended that the prosecutorial compensation be based upon the total compensation received as county attorney in 1976, subject each year to the actual yearly advancement of the consumer price index and subject to the statutory minimum of $7,200 under subsection (1) of this section; thus, the statutory maximum under subsection (3) of this section for 1981 is $43,429. OAG 81-76 .

The Legislature intended under subsections (4) and (7) of KRS 15.755 to place full-time prosecutors under the potential maximum salary subject to adjustment for the consumer price index; and those commonwealth’s attorneys who are part-time prosecutors should have their annual compensation based upon the application of the annual consumer price index advancement percentage to the prior year’s prosecutorial salary with the starting year base being equivalent to the total compensation received in 1976 by county attorneys, since KRS 15.755 and this section read together should not cause part-time Commonwealth’s attorneys to receive less salary than that maximum state share received by county attorneys as prosecutors. OAG 81-76 .

Although state officials must, under KRS 64.480 , receive the maximum indexed compensation figure, under KRS 15.755 and this section, the maximum compensation of the Commonwealth attorneys and county attorneys is not mandated. OAG 82-80 .

Subsection (5) of KRS 15.755 and subsection (1) of this section are in pari materia and cannot sensibly be read together to require part-time Commonwealth’s attorneys to receive less salary than the maximum state share received by county attorneys as prosecutors; thus, all part-time Commonwealth’s attorneys are to be paid a salary equal to the maximum state share for county attorneys. OAG 82-80 .

The annual compensation of Commonwealth’s attorneys who are part-time prosecutors was intended to be based upon the application of the annual Consumer Price Index advancement percentage to the prior year’s prosecutorial salary, with the starting year base being equivalent to the total compensation received in 1976 by county attorneys. OAG 82-80 .

The county attorney, although a county constitutional officer under Ky. Const., § 99 and KRS 69.210 , has been given a state-wide function in his prosecutorial role and subsection (3) of this section establishes the indexing of the original $12,000 maximum in Ky. Const., § 246 as the maximum compensation possible for the county attorney, regardless of what he receives from the fiscal court as county attorney, the county’s civil advisor, and from the state as a state prosecutor. OAG 83-38 .

The compensation which the county attorney could receive for performing his or her prosecutorial function in 1988 was $34,861. OAG 88-10 .

The maximum annual compensation possible for the county attorney for 1988 was $58,101. OAG 88-10 .

In OAG 89-15 the language of the Budget Bill was misinterpreted and incorrectly applied to the county attorney’s combined maximum compensation; that combined maximum compensation should have been computed pursuant to the formula set out in subsection (3) of this section. The limitation in the 1988 Budget Bill only applies to the county attorney’s maximum compensation for his state prosecutorial duties; it does not apply to his county duties. OAG 89-21 .

The county attorney’s total maximum salary for 1990 would be $63,462, and the maximum compensation which the county attorney may receive for performing his prosecutorial function in 1990 would be $38,077. OAG 90-17 .

In relation to the state prosecutorial duties of the County Attorney under KRS 15.725(2), such officer is to be compensated as provided in this section, under a CPI formula using 1949 as the base year, in accordance with the Kentucky Const., § 246 which provides for compensation of not more than $12,000 per annum, and the Department of Local Government accurately computed the maximum annual compensation for the County Attorney as $67,378. OAG 91-29 .

In relation to the compensation of a County Attorney for his or her prosecutorial duties current compensation for such duties is to be computed based upon the $7200 maximum established by the Kentucky Const., § 246 resulting in maximum allowable compensation for prosecutorial duties in 1991 of $40,427. OAG 91-29 .

The county attorney, although a county constitutional officer under Ky. Const., § 99, and having county responsibilities under KRS 69.210 , also has state duties pursuant to KRS 15.725(2); in relation to the state prosecutorial duties of the County Attorney, such officer is to be compensated as provided in this section, under a CPI Formula using 1949 as the base year, in accordance with Ky. Const., § 246, which provides for compensation of not more than $12,000 per annum. OAG 92-27 .

Because they are for services beyond the official services required of a county attorney, payments to county attorneys or their employees, from funds of Title IV-D of the United States Social Security Act, as reimbursement for salary costs pursuant to federal law, are not subject to Ky. Const., § 246. OAG 92-161 .

For an opinion verifying the accuracy of computations to be used in adjusting salaries of constitutional officers in relation to changes in the Consumer Price Index, see OAG 93-21 .

For the adjustments to salaries of constitutional officers in relation to changes in the Consumer Price Index salary adjustment computations and therefore, the maximum annual compensation allowable by law for such positions in 1994 see OAG 94-7 .

For the adjustments to salaries of constitutional officers in relation to change in the Consumer Price Index salary adjustment computations and therefore, the maximum annual compensation allowable for such positions in 1995 see OAG 95-5 . OAG 95-5 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 20, b, (1) at 859.See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 20, b, (3) at 859.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, A, 19, b, (3) at 1298.

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.770. Assistant county attorneys, stenographers, secretaries, and other staff positions.

  1. Each county attorney, with the approval of the Prosecutors Advisory Council, may appoint one (1) assistant county attorney for each District Judge in excess of one (1) in his judicial district unless prior approval is obtained from the Prosecutors Advisory Council for additional appointments; except no assistant county attorney may be appointed in multicounty judicial districts in which there are fewer District Judges than county attorneys unless prior approval is obtained from the Prosecutors Advisory Council for additional appointments.
  2. The number of assistant county attorney positions, stenographic, secretarial and clerical positions and other personnel positions shall be based on real need to be determined with the advice and consent of the Prosecutors Advisory Council.
  3. Assistant county attorneys shall not be prohibited from engaging in the private practice of law.
  4. Any personnel appointed by the county attorney, under this section, who assist in the prosecutorial duties of District Court, shall be appointed for the duration of the unexpired part of the term of the county attorney, and subject to removal at the discretion of the county attorney.
  5. All salaries paid to personnel appointed under this section shall be paid from the State Treasury to the extent such personnel assist in prosecutorial duties. Such salaries shall be commensurate with the appointee’s education, experience, training and responsibility, and be based upon the guidelines established by the Prosecutors Advisory Council, which guidelines shall be comparable with the classification and compensation plan for comparable positions maintained by the state Personnel Cabinet, pursuant to KRS 64.640 .

History. Enact. Acts 1976 (Ex. Sess.), ch. 17, § 15, effective January 1, 1978; 1998, ch. 154, § 7, effective July 15, 1998.

NOTES TO DECISIONS

Cited in:

In re Kentucky Bar Asso. Amended Advisory Opinion E-291, 710 S.W.2d 852, 1986 Ky. LEXIS 271 ( Ky. 1986 ); Lococo v. Barger, 958 F. Supp. 290, 1997 U.S. Dist. LEXIS 4262 (E.D. Ky. 1997 ).

Opinions of Attorney General.

An assistant county attorney could serve as a lobbyist for a private interest group during the session of the General Assembly so long as it does not interfere or conflict with the duties of his office. OAG 77-773 .

A part-time assistant county attorney who is appointed to the membership of the Kentucky Judicial Retirement and Removal Commission is not eligible to receive per diem compensation for his service on the Commission in light of the clear language of KRS 34.320. OAG 80-127 .

A county attorney is a county constitutional officer, pursuant to Ky. Const., § 99, and, therefore, an assistant county attorney is a statutory county officer for the purpose of considering the general question of incompatibility of offices; since the office of assistant county attorney involves only one office, a county constitutional office, no incompatibility exists even though the county attorney has been given state duties as a prosecutor (KRS 15.725(2)) and county duties as an adviser to fiscal court (KRS 69.210 ). OAG 80-341 .

Assistant county attorneys are county employees when hired by an elected county attorney to work for the county, despite their affiliation with the Unified Prosecutorial System for the purpose of uniform enforcement of criminal law and administration of criminal justice, and they are not subject to the provisions of KRS Chapter 18A on compensation except to the extent that this section requires that salaries established by the Prosecutors Advisory Council be comparable with the classification and compensation plan for comparable positions maintained by the Department of Personnel. OAG 91-218 .

While assistant county attorneys are appointed with the approval of the Prosecutors Advisory Council, salaries are merely comparable with the classification and compensation plan for comparable positions maintained by the state department of personnel, pursuant to KRS 64.640 , not synonymous with them. OAG 91-218 .

Research References and Practice Aids

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

15.775. Educational programs on investigation and prosecution of crimes against the elderly.

  1. The Prosecutors Advisory Council shall develop, in conjunction with the Cabinet for Health and Family Services, educational programs on the investigation and prosecution of abuse, neglect, and exploitation of the elderly and other crimes against the elderly.
  2. A program not less than four (4) hours in length shall be made available to each Commonwealth’s attorney, county attorney, assistant Commonwealth’s attorney, assistant county attorney, Commonwealth’s detective, and county detective within six (6) months of the person’s initial taking of office or beginning of employment. Successful completion of the program shall be required for each officer specified, except for the elected Commonwealth’s attorney and county attorney. The program shall also include the use of a multidisciplinary team in the investigation of crimes specified in subsection (1) of this section.
  3. Each assistant Commonwealth’s attorney, assistant county attorney, Commonwealth’s detective, and county detective shall successfully complete a two (2) hour update on the subjects specified in subsection (1) of this section at least once every five (5) years.

History. Enact. Acts 2005, ch. 132, § 10, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

State Child Sexual Abuse and Exploitation Prevention Board

15.900. Definitions for KRS 15.910 to 15.940.

As used in KRS 15.910 to 15.940 :

  1. “Child” means a person under eighteen (18) years of age;
  2. “Child sexual abuse and exploitation” means harm to a child’s health or welfare by any person, responsible or not for the child’s health or welfare, which harm occurs or is threatened through nonaccidental sexual contact which includes violations of KRS 510.040 to 510.150 , 530.020 , 530.070 , 531.310 , 531.320 , and 531.370 ;
  3. “Local task force” means an organization which meets the criteria described in KRS 15.940 ;
  4. “State board” means the State Child Sexual Abuse and Exploitation Prevention Board created in KRS 15.910 ;
  5. “Prevention program” means a system of direct provision of child sexual abuse and exploitation prevention services to a child, parent, or guardian, but shall not include research programs related to prevention of child sexual abuse and exploitation; and
  6. “Trust fund” means the child victims’ trust fund established in the Office of the State Treasurer.

History. Enact. Acts 1984, ch. 382, § 1, effective July 13, 1984.

Research References and Practice Aids

Northern Kentucky Law Review.

Armstrong & Gillig, Responding to Child Sexual Abuse and Exploitation: The Kentucky Approach, 16 N. Ky. L. Rev. 17 (1988).

15.905. State Child Sexual Abuse and Exploitation Prevention Board.

  1. The State Child Sexual Abuse and Exploitation Prevention Board is created as an autonomous agency within the Office of the Attorney General.
  2. The state board may appoint an executive director of the state board to exercise the powers and carry out the duties of the state board.

History. Enact. Acts 1984, ch. 382, § 2, effective July 13, 1984.

15.910. Members of board — Terms — Chairman — Expenses.

  1. The state board shall be composed of the following members:
    1. The secretary of the Cabinet for Health and Family Services, the secretary of the Finance and Administration Cabinet, the chief state school officer, the commissioner of the Department of Kentucky State Police, and the Attorney General, or designees authorized to speak on their behalf; and
    2. Ten (10) public members appointed by the Governor. It is recommended that, as a group, the public members shall demonstrate knowledge in the area of child sexual abuse and exploitation prevention; shall be representative of the demographic composition of this state; and, to the extent practicable, shall be representative of all the following categories: parents, school administrators, law enforcement, the religious community, the legal community, the medical community, professional providers of child sexual abuse and exploitation prevention services, and volunteers in child sexual abuse and exploitation prevention services.
  2. The term of each public member shall be three (3) years, except that of the public members first appointed, three (3) shall serve for three (3) years, three (3) for two (2) years, and four (4) for one (1) year. A public member shall not serve more than two (2) consecutive terms, whether partial or full. A vacancy shall be filled for the balance of the unexpired term in the same manner as the original appointment.
  3. The Attorney General shall serve as chairman or designate a chairperson of the state board in which case the chairperson shall serve in that position at the pleasure of the Attorney General. The state board may elect other officers and committees as it considers appropriate.
  4. There shall be no per diem compensation; however, the schedule for reimbursement of expenses for the public members of the state board shall be the same as for state employees. The reimbursement, executive director and staff salaries, and all actual and necessary operating expenses of the state board shall be paid from the trust fund, pursuant to an authorization as provided in KRS 15.935 .

History. Enact. Acts 1984, ch. 382, § 3, effective July 13, 1984; 1992, ch. 27, § 1, effective March 2, 1992; 1998, ch. 426, § 67, effective July 15, 1998; 2005, ch. 99, § 83, effective June 20, 2005; 2007, ch. 85, § 34, effective June 26, 2007.

Research References and Practice Aids

Northern Kentucky Law Review.

Armstrong & Gillig, Responding to Child Sexual Abuse and Exploitation: The Kentucky Approach, 16 N. Ky. L. Rev. 17 (1988).

15.915. Public meetings and records.

  1. The business which the state performs shall be conducted at a public meeting of the state board held in compliance with the Open Meetings Act.
  2. A writing prepared, owned, used, in the possession of, or retained by the state board of the performance in an official function shall be made available to the public in compliance with the Open Records Act.

History. Enact. Acts 1984, ch. 382, § 4, effective July 13, 1984.

Research References and Practice Aids

Cross References.

Open Meetings Act, KRS 61.805 to 61.850 .

Open Records Act, KRS 61.870 to 61.884 .

15.920. Duties of board.

  1. The state board shall do all of the following:
    1. Meet not less than twice annually at the call of the chairperson;
    2. One (1) year after the original appointment of the state board, and biennially thereafter, develop a state plan for the distribution of funds from the trust fund. In developing the plan, the state board shall review already existing prevention programs. The plan shall assure that an equal opportunity exists for establishment of prevention programs and receipt of trust fund money among all geographic areas in this state. The plan shall be transmitted to the clerk of the House of Representatives, to the clerk of the Senate, and to the Governor;
    3. Provide for the coordination and exchange of information on the establishment and maintenance of prevention programs;
    4. Develop and publicize criteria for the receipt of trust fund money by eligible local task forces and eligible prevention programs;
    5. Review, approve, and monitor the expenditure of trust fund money by local task forces and prevention programs;
    6. Provide statewide educational and public informational seminars for the purpose of developing appropriate public awareness regarding the prevention of child sexual abuse and exploitation; encourage professional persons and groups to recognize and deal with prevention of child sexual abuse and exploitation; encourage and coordinate the development of local task forces; make information about the prevention of child sexual abuse and exploitation available to the public and organizations and agencies which deal with problems of child sexual abuse and exploitation; and encourage the development of community prevention programs; and
    7. Establish a procedure for an annual, internal evaluation of the functions, responsibilities, and performance of the state board. In a year in which the biennial state plan is prepared, the evaluation shall be coordinated with the preparation of the state plan.
  2. The state board may enter into contracts with public or private agencies to fulfill the requirements of this section. The state board shall utilize existing state resources and staff of participating departments whenever practicable.

History. Enact. Acts 1984, ch. 382, § 5, effective July 13, 1984.

Research References and Practice Aids

Northern Kentucky Law Review.

Armstrong & Gillig, Responding to Child Sexual Abuse and Exploitation: The Kentucky Approach, 16 N. Ky. L. Rev. 17 (1988).

15.925. Recommendations of board.

The state board may recommend to the Governor and the General Assembly changes in state programs, statutes, policies, budgets, and standards which will reduce the problem of child sexual abuse and exploitation, improve coordination among state agencies that provide prevention services and improve the condition of children and parents or guardians who are in need of prevention program services.

History. Enact. Acts 1984, ch. 382, § 6, effective July 13, 1984.

Research References and Practice Aids

Northern Kentucky Law Review.

Armstrong & Gillig, Responding to Child Sexual Abuse and Exploitation: The Kentucky Approach, 16 N. Ky. L. Rev. 17 (1988).

15.930. Use of funds.

The state board may accept federal funds granted by the Congress or executive order for the purposes of KRS 15.900 to 15.940 as well as gifts and donations from individuals, private organizations, or foundations. All funds received in the manner described in this section shall be transmitted to the State Treasurer for deposit in the trust fund, and shall be made available for expenditure as appropriated by the General Assembly.

History. Enact. Acts 1984, ch. 382, § 7, effective July 13, 1984.

Research References and Practice Aids

Northern Kentucky Law Review.

Armstrong & Gillig, Responding to Child Sexual Abuse and Exploitation: The Kentucky Approach, 16 N. Ky. L. Rev. 17 (1988).

15.935. Purposes for disbursement of funds.

  1. The state board may authorize the disbursement of available money from the trust fund, upon legislative appropriations, for exclusively the following purposes, which are listed in the order of preference for expenditure:
    1. To fund a private nonprofit or public organization in the development or operation of a prevention program if at least all of the following conditions are met:
      1. The appropriate local task force has reviewed and approved the program. This subparagraph does not apply if a local task force does not exist for the geographic area to be served by the program;
      2. The organization agrees to match fifty percent (50%) of the amount requested from the trust fund. At least ten percent (10%) of the amount requested shall be matched through dollars, and the remaining match shall be through in-kind contributions. The type of contributions shall be subject to the approval of the state board;
      3. The organization demonstrates a willingness and ability to provide program models and consultation to organizations and communities regarding program development and maintenance; and
      4. Other conditions that the state board may deem appropriate;
    2. To fund the cost of medical examinations of victims of suspected child sexual abuse to the extent the fee for an examination is a service not eligible to be paid for by Medicaid or private insurance. The fees paid for this examination shall not exceed reasonable, usual, and customary charges as set by the state board;
    3. To fund the cost of counseling and other mental health services to victims of child sexual abuse to the extent the fees for counseling and mental health services are services not eligible to be paid for by Medicaid or private insurance. The fees paid for counseling and mental health services shall not exceed reasonable, usual, and customary charges as set by the state board;
    4. To fund local task forces;
    5. To fund a statewide public education and awareness campaign on child sexual abuse, making use of electronic and print media to inform the public about the nature of child sexual abuse, legal reporting requirements, victim rights, legal remedies, agency services, and prevention strategies;
    6. To fund and evaluate the comparative success of statewide comprehensive approaches to prevention education making use of multiple approaches; and
    7. To fund the state board created in KRS 15.905 for the actual and necessary operating expenses that the board incurs in performing its duties.
  2. Authorizations for disbursement of trust fund money under subsection (1)(g) of this section shall be kept at a minimum in furtherance of the primary purpose of the trust fund which is to disburse money under subsections (1)(a), (b), (c), (d), (e), and (f) of this section to encourage the direct provision of services to prevent child abuse and exploitation, and to provide medical examination and counseling or other mental health services for victims of child sexual abuse.

History. Enact. Acts 1984, ch. 382, § 8, effective July 13, 1984; 1994, ch. 113, § 1, effective July 15, 1994; 1996, ch. 366, § 11, effective July 15, 1996.

15.940. Criteria for making grants to local task forces.

In making grants to a local task force, the state board shall consider the degree to which the local task force meets the following criteria:

  1. Has as its primary purpose the development and facilitation of a collaborative community prevention program in a specific geographical area. The prevention program shall utilize trained volunteers and existing community resources wherever practicable;
  2. Is comprised of local law enforcement and social services representatives and does not exclude any organization or person that the state board deems necessary;
  3. Demonstrates a willingness and ability to provide prevention program models and consultation to organizations and communities regarding prevention program development and maintenance;
  4. Agrees to match fifty percent (50%) of the amount requested from the trust fund. At least ten percent (10%) of the amount requested shall be matched through dollars, and the remaining match shall be through in-kind contributions. The amount and types of in-kind services are subject to the approval of the state board; and
  5. Other criteria that the state board deems appropriate.

History. Enact. Acts 1984, ch. 382, § 9, effective July 13, 1984; 1996, ch. 366, § 10, effective July 15, 1996.

15.942. Training plan for investigation of child sexual abuse and protection of victims.

The Justice and Public Safety Cabinet, the Attorney General, the Administrative Office of the Courts, and the Cabinet for Health and Family Services shall develop a training plan for investigation of child sexual abuse cases and protection of child sexual abuse victims within the Commonwealth. They may seek assistance from any educational, legal, and mental and physical health-care professionals needed for implementation of training programs.

History. Enact. Acts 1992, ch. 351, § 2, effective July 14, 1992; 1998, ch. 426, § 68, effective July 15, 1998; 2005, ch. 99, § 84, effective June 20, 2005; 2007, ch. 85, § 35, effective June 26, 2007.

15.944. Repealed, 2000.

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 351, § 3, effective July 14, 1992; 1998, ch. 426, § 69, effective July 15, 1998) was repealed by Acts 2000, ch. 317, § 8, effective July 14, 2000. For present law, see KRS 403.705 For comparable provisions, see now KRS 15.718 .

15.946. In-service training for peace officers on child sexual abuse.

The Kentucky Law Enforcement Council shall provide an in-service training program for peace officers in child development, the dynamics of physical and sexual abuse, the impact of violence on child development, the treatment of offenders, and related issues. Each peace officer desiring to participate in the Kentucky Law Enforcement Foundation Fund program, if eligible to participate, shall successfully complete the in-service training.

History. Enact. Acts 1992, ch. 351, § 4, effective July 14, 1992.

15.948. Attorney General to have staff available specially trained in child sexual abuse — Assistance to prosecutors.

The Attorney General shall have staff available who are specially trained in child sexual abuse. Commonwealth’s attorneys and county attorneys may request assistance in the investigation and prosecution of child sexual abuse cases in accordance with provisions of this chapter.

History. Enact. Acts 1992, ch. 351, § 10, effective July 14, 1992.

Penalties

15.990. Penalties.

Any person who knowingly or willfully makes any false or fraudulent statement or representation in any record, report, or application to the council, department, or other agency of the Justice and Public Safety Cabinet under KRS 15.410 to 15.510 shall be fined not less than one hundred dollars ($100) nor more than five hundred dollars ($500), or imprisoned for not less than thirty (30) days nor more than ninety (90) days, or both.

History. Enact. Acts 1972, ch. 71, § 12; 1974, ch. 74, Art. V, § 35; 2007, ch. 85, § 36, effective June 26, 2007.

15.992. Penalties.

Any person who knowingly violates any of the provisions of KRS 15.350 to 15.370 shall be fined not less than twenty-five dollars ($25) nor more than one thousand dollars ($1,000).

History. Enact. Acts 1972, ch. 160, § 4.

CHAPTER 15A Justice and Public Safety Cabinet

15A.010. Justice Cabinet established — Secretary. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. V, § 1) was repealed by Acts 1992, ch. 13, § 13, effective July 14, 1992. For present law see KRS 12.270 .

15A.011. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Cabinet” means the Justice and Public Safety Cabinet;
  2. “Commissioner” means the commissioner of the Department of Juvenile Justice;
  3. “Department” means the Department of Juvenile Justice;
  4. “Facility” means any facility operating under the authority or control of the Department of Juvenile Justice; and
  5. “Secretary” means the secretary of the Justice and Public Safety Cabinet.

History. Enact. Acts 1998, ch. 443, § 8, effective July 15, 1998; 2007, ch. 85, § 38, effective June 26, 2007.

15A.015. Deputy secretaries of justice and public safety.

Deputy secretaries of justice and public safety shall be appointed by and directly responsible to the secretary and shall be the principal assistants and advisors to the secretary for all policies, programs and operations of the cabinet.

History. Enact. Acts 1978, ch. 155, § 17, effective June 17, 1978; 1982, ch. 343, § 1, effective July 15, 1982; 2007, ch. 85, § 39, effective June 26, 2007.

NOTES TO DECISIONS

1.State Police.

Disciplinary actions against members of the state police, who are subject to the provisions of KRS Chapter 16, are not to be interfered with or usurped by the Secretary of Justice acting under color of KRS Chapter 15A. Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

15A.020. Organization of Justice and Public Safety Cabinet.

  1. The Justice and Public Safety Cabinet shall have the following departments:
    1. Department of Corrections;
    2. Department of Criminal Justice Training, which shall have the following divisions:
      1. Training Operations Division; and
      2. Administrative Division;
    3. Department of Juvenile Justice, which shall have the following offices:
      1. Office of Program Operations, which shall have the following divisions:
        1. Division of Western Region;
        2. Division of Eastern Region; and
        3. Division of Placement Services;
      2. Office of Support Services, which shall have the following divisions:
        1. Division of Administrative Services;
        2. Division of Program Services; and
        3. Division of Medical Services; and
      3. Office of Community and Mental Health Services, which shall have the following divisions:
        1. Division of Professional Development; and
        2. Division of Community and Mental Health Services;
    4. Department of Kentucky State Police, which shall have the following offices and divisions:
      1. Office of Administrative Services, which shall be headed by an executive director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the commissioner;
        1. Division of Operational Support, which shall be headed by a director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the executive director of the Office of Administrative Services; and
        2. Division of Management Services, which shall be headed by a director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the executive director of the Office of Administrative Services;
      2. Office of Operations, which shall be headed by an executive director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the commissioner;
        1. Division of West Troops, which shall be headed by a director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the executive director of the Office of Operations;
        2. Division of East Troops, which shall be headed by a director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the executive director of the Office of Operations;
        3. Division of Special Enforcement, which shall be headed by a director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the executive director of the Office of Operations; and
        4. Division of Commercial Vehicle Enforcement, which shall be headed by a director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the executive director of the Office of Operations; and
      3. Office of Technical Services, which shall be headed by an executive director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the commissioner;
        1. Division of Forensic Services, which shall be headed by a director who shall have a minimum of a bachelor’s degree in a natural science and at least seven (7) years of experience in an accredited forensic laboratory, who shall be appointed by the commissioner of the Department of Kentucky State Police, and who shall report to the executive director of the Office of Technical Services; and
        2. Division of Information Technology, which shall be headed by a director who shall be appointed by the commissioner of the Department of Kentucky State Police and who shall report to the executive director of the Office of Technical Services; and
    5. Department of Public Advocacy, which shall have the following divisions:
      1. Protection and Advocacy Division;
      2. Division of Law Operations;
      3. Division of Trial Services;
      4. Division of Post-Trial Services; and
      5. Division of Conflict Services.
  2. Each department, except for the Department of Public Advocacy, shall be headed by a commissioner who shall be appointed by the secretary of the Justice and Public Safety Cabinet with the approval of the Governor as required by KRS 12.040 . Each commissioner shall be directly responsible to the secretary and shall have such functions, powers, and duties as provided by law and as the secretary may prescribe. The Department of Public Advocacy shall be headed by the public advocate, appointed as required by KRS 31.020, who shall be directly responsible to the Public Advocacy Commission. The Department of Public Advocacy is an independent state agency which shall be attached to the Justice and Public Safety Cabinet for administrative purposes only. The Justice and Public Safety Cabinet shall not have control over the Department of Public Advocacy’s information technology equipment and use unless granted access by court order.
  3. The Justice and Public Safety Cabinet shall have the following offices and divisions:
    1. Office of the Secretary, which shall be headed by a deputy secretary appointed pursuant to KRS 12.050 and responsible for the direct administrative support for the secretary and other duties as assigned by the secretary, and which, with the approval of the secretary, may employ such staff as necessary to perform the duties, functions, and responsibilities of the office;
    2. Office of Human Resource Management, which shall be headed by an executive director appointed pursuant to KRS 12.050 who shall be responsible to and report to the secretary and be responsible for all matters relating to human resources, and who, with the approval of the secretary, may employ such staff as necessary to perform the duties, functions, and responsibilities of the office;
      1. Division of Human Resource Administration, which shall be headed by a director appointed pursuant to KRS 12.050 who shall report to the executive director of the Office of Human Resource Management; and
      2. Division of Employee Management, which shall be headed by a director appointed pursuant to KRS 12.050 who shall report to the executive director of the Office of Human Resource Management;
    3. Office of Legal Services, which shall be headed by an executive director appointed pursuant to KRS 12.050 and 12.210 , that:
      1. Shall provide legal representation and services for the cabinet; and
      2. May investigate all complaints regarding the facilities, staff, treatment of juveniles, and other matters relating to the operation of the Justice and Public Safety Cabinet. If it appears that there is a violation of statutes, administrative regulations, policies, court decisions, the rights of juveniles who are subject to the orders of the department, or any other matter relating to the Justice and Public Safety Cabinet, the office shall report to the secretary of the Justice and Public Safety Cabinet who shall, if required, refer the matter to a law enforcement agency, Commonwealth’s attorney, county attorney, the Attorney General, or federal agencies, as appropriate. The office may be used to investigate matters in which there is a suspicion of violation of written policy, administrative regulation, or statutory law within the Department of Public Advocacy only when the investigation will have no prejudicial impact upon a person who has an existing attorney-client relationship with the Department of Public Advocacy. Notwithstanding the provisions of this subparagraph, investigation and discipline of KRS Chapter 16 personnel shall continue to be conducted by the Department of Kentucky State Police pursuant to KRS Chapter 16. The office shall conduct no other investigations under the authority granted in this subparagraph. The secretary may, by administrative order, assign the investigative functions in this subparagraph to a branch within the office. The executive director shall be directly responsible to and report to the secretary and, with the approval of the secretary, may employ such attorneys appointed pursuant to KRS 12.210 and other staff as necessary to perform the duties, functions, and responsibilities of the office;
    4. Office of Legislative and Intergovernmental Services, which shall be headed by an executive director appointed pursuant to KRS 12.050 who shall be responsible for all matters relating to the provision of support to the Criminal Justice Council, legislative liaison services, and functions and duties vested in the Criminal Justice Council as described in KRS 15A.030 . The executive director shall be directly responsible to and report to the secretary and may employ such staff as necessary to perform the duties, functions, and responsibilities of the office;
    5. Office of Communications, which shall be headed by an executive director appointed by the secretary of the Justice and Public Safety Cabinet pursuant to KRS 12.050 who shall be responsible to report to the secretary and be responsible for all matters relating to communications, and who, with the approval of the secretary, may employ such staff as necessary to perform the duties, functions, and responsibilities of the office;
      1. Information and Technology Services Division, which shall be headed by a director appointed by the secretary of the Justice and Public Safety Cabinet pursuant to KRS 12.050 who shall report to the executive director of the Office of Communications;
    6. Office of Financial Management Services, which shall be headed by an executive director appointed by the secretary of the Justice and Public Safety Cabinet pursuant to KRS 12.050 who shall be responsible to report to the secretary and be responsible for all matters relating to fiscal functions, and who, with the approval of the secretary, may employ such staff as necessary to perform the duties, functions, and responsibilities of the office;
      1. Division of Financial Management, which shall be headed by a director appointed by the secretary of the Justice and Public Safety Cabinet pursuant to KRS 12.050 who shall report to the executive director of the Office of Financial Management Services;
    7. Grants Management Division, which shall be headed by a director appointed by the secretary of the Justice and Public Safety Cabinet pursuant to KRS 12.050 who shall be responsible to report to the secretary and be responsible for all matters relating to state and federal grants management, and who, with the approval of the secretary, may employ such staff as necessary to perform the duties, functions, and responsibilities of the office;
    8. Office of the Kentucky State Medical Examiner, which shall be headed by a chief medical examiner appointed pursuant to KRS 72.240 who shall be responsible for all matters relating to forensic pathology and forensic toxicology and other duties as assigned by the secretary. The executive director appointed pursuant to KRS 12.050 shall be responsible for all matters related to the administrative support of the Office of the State Medical Examiner. The executive director shall report directly to the secretary and with the approval of the secretary may employ such administrative support staff as necessary to perform the administrative duties, functions, and responsibilities of the office. The chief medical examiner shall be directly responsible to and report to the secretary and may employ such staff as necessary to perform the forensic duties, functions, and responsibilities of the office; and
    9. Office of Drug Control Policy, which shall be headed by an executive director appointed pursuant to KRS 12.050 who shall be responsible for all matters relating to the research, coordination, and execution of drug control policy and for the management of state and federal grants, including but not limited to the prevention and treatment related to substance abuse. By December 31 of each year, the Office of Drug Control Policy shall review, approve, and coordinate all current projects of any substance abuse program which is conducted by or receives funding through agencies of the executive branch. This oversight shall extend to all substance abuse programs which are principally related to the prevention or treatment, or otherwise targeted at the reduction, of substance abuse in the Commonwealth. The Office of Drug Control Policy shall promulgate administrative regulations consistent with enforcing this oversight authority. The executive director shall be directly responsible to and report to the secretary and may employ such staff as necessary to perform the duties, functions, and responsibilities of the office.

History. Enact. Acts 1974, ch. 74, Art. V, § 2; 1982, ch. 343, § 2, effective July 15, 1982; 1986, ch. 64, § 3, effective July 15, 1986; 1994, ch. 227, § 2, effective July 15, 1994; 2001, ch. 64, § 1, effective June 21, 2001; 2007, ch. 85, § 40, effective June 26, 2007; 2009, ch. 15, § 2, effective June 25, 2009; 2009, ch. 75, § 12, effective June 25, 2009; 2012, ch. 151, § 1, effective July 12, 2012; 2013, ch. 72, § 10, effective June 25, 2013; 2018 ch. 192, § 1, effective July 14, 2018; 2021 ch. 82, § 2, effective June 29, 2021.

Legislative Research Commission Notes.

(6/26/2007). Although 2007 Ky. Acts ch. 85, sec. 40, contains references to the “Department of Public Advocacy,” the entity created by 2007 Ky. Acts ch. 85, secs. 7 and 40, and Executive Order 2006-805 is the “Department for Public Advocacy.” In accordance with 2007 Ky. Acts ch. 85, sec. 335, and KRS 7.136 , the erroneous references in this section have been corrected in codification.

(6/26/2007). Although subsection (3)(d) of this section states that the Criminal Justice Council is “described in KRS 15A.030 ,” the Criminal Justice Council is actually created and described in 2007 Ky. Acts ch. 85, sec. 37, codified as KRS 15A.075 .

15A.030. Additional organizational units in cabinet.

  1. The Justice and Public Safety Cabinet, in addition to the departments, divisions, offices, and branches set forth in KRS 15A.020 , shall consist of the following organizational units:
    1. Kentucky State Corrections Commission, supported by the Department of Corrections;
    2. Criminal Justice Council, supported by the Office of Legislative and Intergovernmental Services; and
    3. Kentucky Parole Board, supported by the cabinet.
  2. Except for the Kentucky Parole Board, which shall be attached to the cabinet for administrative and support services only, each agency specified in this section shall:
    1. Perform its duties as specified by law;
    2. Except as otherwise provided by law, be under the general direction and control of the secretary;
    3. Perform such other duties as may be assigned to the secretary; and
    4. Report to the secretary.

HISTORY: Enact. Acts 1974, ch. 74, Art. V, § 3; 1978, ch. 155, § 13, effective June 17, 1978; 1982, ch. 343, § 3, effective July 15, 1982; 1982, ch. 377, § 5, effective July 15, 1982; 1994, ch. 227, § 3, effective July 15, 1994; 1998, ch. 65, § 2, effective July 15, 1998; 1998, ch. 606, § 26, effective July 15, 1998; 2000, ch. 49, § 1, effective March 3, 2000; 2000, ch. 218, § 1, effective July 14, 2000; 2007, ch. 85, § 41, effective June 26, 2007; 2017 ch. 38, § 2, effective June 29, 2017.

15A.040. Office of the Secretary — Duties.

The Office of the Secretary of the Justice and Public Safety Cabinet shall advise and recommend to the secretary of the Justice and Public Safety Cabinet, the Governor, and the General Assembly policies and direction for long-range planning regarding all elements of the criminal justice system. The office shall also:

  1. Award state and federal grants and ensure that the grants are consistent with the priorities adopted by the Governor;
  2. Disseminate information on criminal justice issues and crime trends; and
  3. Provide technical assistance to all criminal justice agencies.

History. Enact. Acts 1974, ch. 74, Art. V, § 5; 1998, ch. 606, § 27, effective July 15, 1998; 2000, ch. 218, § 3, effective July 14, 2000; 2000, ch. 220, § 1, effective July 14, 2000; 2000, ch. 534, § 2, effective July 14, 2000; 2005, ch. 85, § 40, effective June 20, 2005; 2007, ch. 85, § 42, effective June 26, 2007.

15A.042. Office of Criminal Justice Council — Divisions — Duties — Executive director. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 218, § 2) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

15A.050. General counsel. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. V, § 6) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

15A.060. Office of Secretary to serve as state planning agency for federal Crime Control and Safe Streets Act.

The Office of Secretary of Justice and Public Safety shall serve as the state planning agency for purposes of compliance with the federal Crime Control and Safe Streets Act of 1968, as amended, or subsequently adopted federal criminal justice legislation.

History. Enact. Acts 1974, ch. 74, Art. V, § 7; 1978, ch. 155, § 14, effective June 17, 1978; 1982, ch. 343, § 4, effective July 15, 1982; 2000, ch. 218, § 4, effective July 14, 2000; 2007, ch. 85, § 43, effective June 26, 2007.

Compiler’s Notes.

The federal Crime Control and Safe Streets Act of 1968 may be found as 42 USCS § 3711 et seq.

15A.061. Interdepartmental collaboration for analysis of juvenile recidivism.

The cabinet shall ensure that all departments within the cabinet collaborate to develop procedures to allow collection and sharing of data necessary to analyze juvenile recidivism. Recidivism includes an adjudication of delinquency by a juvenile court, or a conviction by a District Court or Circuit Court, for an offense committed within three (3) years of release from the custody or control of the Department of Juvenile Justice.

History. Enact. Acts 2014, ch. 132, § 1, effective July 15, 2014.

15A.062. Fiscal incentive program for local efforts to enhance public safety and reduce juvenile justice system costs.

  1. It is the intent of the Commonwealth to maintain public safety and achieve savings through the use of evidence-based treatment programs and practices at the local level and to reinvest a portion of the savings achieved into community-based programs and services.
  2. The cabinet shall, as funds become available, develop a fiscal incentive program to fund local efforts that enhance public safety while reducing juvenile justice system costs.
  3. Funds appropriated to the cabinet for the fiscal incentive program shall be distributed as follows:
    1. Ninety percent (90%) shall be utilized for renewable, competitive grants to be awarded to judicial districts, or groups of judicial districts, for the purpose of establishing community-based sanction and treatment programs that provide alternatives to out-of-home placement; and
    2. Ten percent (10%) shall be made available to judicial districts, or groups of judicial districts, not receiving funds under paragraph (a) of this subsection, to fund individualized interventions on an occasional basis to avoid commitment to the Department of Juvenile Justice for a limited number of youth.
  4. The cabinet shall establish the incentive grant application and award process for funds allocated under subsection (3)(a) of this section that includes but is not limited to:
    1. The requirements for the grant application, including:
      1. The identification of the local committee that will be responsible for the grant application and implementation. The committee shall consist of local individuals or organizations, which may include judges, county attorneys, defense attorneys, educators, treatment providers, mental health or behavioral health service providers, local officials, law enforcement, and other interested persons. The local committee may utilize an existing committee or may be formed for the purpose of the grant application and implementation;
      2. A requirement that the application be signed as “Have Reviewed and Agree” by all juvenile court judges in the applicant’s judicial district or group of judicial districts;
      3. A description of the proposed program region and the juvenile justice need the program is intended to meet;
      4. A description of how the proposed program collaborates with:
        1. Schools;
        2. The Administrative Office of the Courts;
        3. The Cabinet for Health and Family Services;
        4. Private entities serving children and families; and
        5. The department; and
      5. A description of performance measures to be utilized to measure the outcome and overall impact of the program;
    2. The procedure for review of the grant applications and the award of the grants including:
      1. A committee that includes subject matter experts to review the applications;
      2. Criteria to be utilized in awarding of the grants, including but not limited to:
        1. The use of evidence-based practices in program design;
        2. How the program reduces the use of commitments;
        3. How the program reduces the use of out-of-home placements;
        4. How the program reduces recidivism;
        5. How the program establishes or utilizes educational, vocational, substance abuse, behavioral health, mental health, or family intervention services, and local alternatives to detention;
        6. Whether grant funds will be used to leverage existing funding resources or increase access to existing resources;
        7. Geographical distribution;
        8. The number of youth potentially served by the program or service;
        9. The cost of the program or service; and
        10. The existence of similar services in the judicial district; and
      3. A process for awarding the grants that may include objective scoring criteria;
    3. A baseline for calculating reductions for the competitive grant program utilizing 2013 data that combines commitment and detention admissions, and overrides of decisions to allow eligible cases to proceed to diversion; and
    4. Criteria for renewal of a grant awarded under subsection (3)(a) of this section, including:
        1. A twenty percent (20%) reduction in detention admissions, public offense commitment, or combination thereof, as compared to the applicant’s baseline; or 1. a. A twenty percent (20%) reduction in detention admissions, public offense commitment, or combination thereof, as compared to the applicant’s baseline; or
        2. A ten percent (10%) reduction in detention admissions, public offense commitments, or combination thereof and a thirty percent (30%) reduction in the use of prosecutorial override of diversion recommendations as compared to the applicant’s baseline;
      1. If the judicial district meets the reductions required in this subsection, the judicial district may be considered for grant renewal. The grants are not guaranteed to be renewed, and an application shall be submitted for consideration of renewal;
      2. If a judicial district has substantially complied with the requirements of the program, but has not attained the reductions required in this subsection, the judicial district may apply for a grant renewal if there is a fifteen percent (15%) reduction in detention admissions, public offense commitments, or a combination thereof during year one (1) as compared to the applicant’s baseline; and
      3. Detention and public offense commitments for violent offenses as specified in KRS 439.3401 shall not be counted in the calculation of reductions for a judicial district.
    1. A judicial district may apply for the competitive grant program under subsection (3)(a) of this section until: (5) (a) A judicial district may apply for the competitive grant program under subsection (3)(a) of this section until:
      1. The population of detention admissions and public offense commitments is reduced by sixty percent (60%) as compared to the applicant’s baseline; or
      2. The population of detention admissions, public offense commitments, or a combination thereof is reduced by thirty percent (30%) as compared to the applicant’s baseline, and the use of prosecutorial override of diversion recommendations is reduced by ninety percent (90%) as compared to the applicant’s baseline.
    2. If the judicial district meets the reductions described in paragraph (a) of this subsection, the district may continue to apply for funding so long as the reductions required are maintained.
  5. The cabinet shall establish an expedited application and approval process for awarding the one (1) time only funds under subsection (3)(b) of this section, that includes but is not limited to:
    1. A requirement that the application be signed as “Have Reviewed and Agree” by a juvenile court judge in the applicant’s judicial district or group of judicial districts;
    2. A description of the proposed purpose of the grant and the applicant’s need; and
    3. Other requirements as determined appropriate by the cabinet.
  6. The Administrative Office of the Courts shall:
    1. Act as the fiscal agent to receive funds awarded to a judicial district;
    2. Provide technical assistance to the judicial district in developing and writing its grant application; and
    3. Collect and report data the judicial districts are required to report under the fiscal incentive program.
  7. The cabinet shall report annually to the oversight council created in KRS 15A.063 on the fiscal incentive program, outcomes achieved, and cost savings realized through reductions in the use of detention and commitments.

History. Enact. Acts 2014, ch. 132, § 2, effective July 15, 2014.

15A.063. Juvenile Justice Oversight Council — Purpose — Membership — Duties.

  1. The Juvenile Justice Oversight Council is created for the purpose of providing independent review of the state juvenile justice system and providing recommendations to the General Assembly. The council is to actively engage in the implementation of the juvenile justice reforms in 2014 Ky. Acts ch. 132, collect and review performance measurement data, and continue to review the juvenile justice system for changes that improve public safety, hold youth accountable, provide better outcomes for children and families, and control juvenile justice costs.
    1. The membership of the council shall include the following: (2) (a) The membership of the council shall include the following:
      1. The secretary of the Justice and Public Safety Cabinet, ex officio;
      2. The commissioner of the Department for Behavioral Health, Developmental and Intellectual Disabilities, ex officio;
      3. The commissioner of the Department for Community Based Services, ex officio;
      4. The commissioner of the Department of Juvenile Justice, ex officio;
      5. The commissioner of the Department of Education, ex officio;
      6. The director of the Administrative Office of the Courts, ex officio;
      7. The Public Advocate, ex officio;
      8. The Senate chair of the Committee on Judiciary, nonvoting ex officio;
      9. The House chair of the Committee on Judiciary, nonvoting ex officio; and
      10. Five (5) at-large members appointed by the Governor, as follows:
        1. One (1) member representing public schools or an education group or organization;
        2. One (1) District Judge nominated by the Chief Justice of the Kentucky Supreme Court;
        3. One (1) member representing law enforcement;
        4. One (1) member of the County Attorneys’ Association nominated by the Attorney General; and
        5. One (1) member representing community-based organizations, whether for-profit or nonprofit, with experience in programs for juveniles, including substance abuse prevention and treatment, case management, mental health, or counseling.
    2. The chairs of the House and Senate Judiciary Committees shall serve as co-chairs.
    3. At-large members shall be appointed by August 1, 2014, and shall serve a term of two (2) years, and may be reappointed.
    4. Each ex officio member, except for legislative members, may designate a proxy by written notice to the council prior to call of order of each meeting, and the proxy shall be entitled to participate as a full voting member.
    5. Except as otherwise provided by law, members shall not be compensated for being members of the council but shall be reimbursed for ordinary travel expenses, including meals and lodging, incurred while performing council business.
    6. The council shall meet at least quarterly. A quorum, consisting of a majority of the membership of the council, shall be required for the transaction of business. Meetings shall be held at the call of the chair, or upon the written request of two (2) members to the chair.
  2. The council shall:
    1. Oversee the implementation of the reforms contained in 2014 Ky. Acts ch. 132, including:
      1. Review of the performance measures to be adopted and recommend modifications;
      2. Ensure all policies are implemented in accordance with the time frames established;
      3. Ensure the fiscal incentive program established pursuant to KRS 15A.062 is implemented and continue to review the program; and
      4. Review the Department of Juvenile Justice facilities plan submitted following a reduction of population and make recommendations to the General Assembly as to the plan and any changes to the reinvestment of savings achieved from the closure of any facilities;
    2. Collect and review performance data and recommend any additional performance measures needed to identify outcomes in the juvenile justice system;
    3. Review the information received from the Department of Education pursuant to KRS 156.095, and determine whether any action is necessary, including additional performance measures, funding, or legislation;
    4. Continue review of juvenile justice areas determined appropriate by the council, including:
      1. Status offense reform;
      2. Necessary training for school resource officers as defined in KRS 158.441, in juvenile justice best practices, research, and impacts on recidivism and long-term outcomes;
      3. Graduated sanctions protocols in public schools, including their current use and their development statewide;
      4. A minimum age of criminal responsibility;
      5. Competency;
      6. Reforms to the family resource and youth service centers in the Cabinet for Health and Family Services;
      7. Population levels in Department of Juvenile Justice facilities, and the potential for closure of facilities while maintaining staffing ratios necessary to comply with applicable accreditation standards; and
      8. Whether juvenile court hearings should be open to the public; and
    5. Report by November 2014, and by November of each year thereafter, to the Interim Joint Committee on Judiciary and the Governor and make recommendations to the General Assembly for any additional legislative changes the council determines appropriate.
  3. The council shall be attached to the Justice and Public Safety Cabinet for administrative purposes.
  4. The council shall terminate on July 1, 2022, unless the General Assembly extends the term of the council.

History. Enact. Acts 2014, ch. 132, § 3, effective July 15, 2014; 2019 ch. 5, § 11, effective March 11, 2019.

15A.065. Department of Juvenile Justice — Powers and duties — Advisory board.

  1. The Department of Juvenile Justice shall be headed by a commissioner and shall develop and administer programs for:
    1. Prevention of juvenile crime;
    2. Identification of juveniles at risk of becoming status or public offenders and development of early intervention strategies for these children, and, except for adjudicated youth, participation in prevention programs shall be voluntary;
    3. Providing educational information to law enforcement, prosecution, victims, defense attorneys, the courts, the educational community, and the public concerning juvenile crime, its prevention, detection, trial, punishment, and rehabilitation;
    4. The operation of or contracting for the operation of postadjudication treatment facilities and services for children adjudicated delinquent or found guilty of public offenses or as youthful offenders;
    5. The operation or contracting for the operation, and the encouragement of operation by others, including local governments, volunteer organizations, and the private sector, of programs to serve predelinquent and delinquent youth;
    6. Utilizing outcome-based planning and evaluation of programs to ascertain which programs are most appropriate and effective in promoting the goals of this section;
    7. Conducting research and comparative experiments to find the most effective means of:
      1. Preventing delinquent behavior;
      2. Identifying predelinquent youth;
      3. Preventing predelinquent youth from becoming delinquent;
      4. Assessing the needs of predelinquent and delinquent youth;
      5. Providing an effective and efficient program designed to treat and correct the behavior of delinquent youth and youthful offenders;
      6. Assessing the success of all programs of the department and those operated on behalf of the department and making recommendations for new programs, improvements in existing programs, or the modification, combination, or elimination of programs as indicated by the assessment and the research; and
    8. Seeking funding from public and private sources for demonstration projects, normal operation of programs, and alterations of programs.
  2. The Department of Juvenile Justice may contract, with or without reimbursement, with a city, county, or urban-county government, for the provision of probation, diversion, and related services by employees of the contracting local government.
  3. The Department of Juvenile Justice may contract for the provision of services, treatment, or facilities which the department finds in the best interest of any child, or for which a similar service, treatment, or facility is either not provided by the department or not available because the service or facilities of the department are at their operating capacity and unable to accept new commitments. The department shall, after consultation with the Finance and Administration Cabinet, promulgate administrative regulations to govern at least the following aspects of this subsection:
    1. Bidding process; and
    2. Emergency acquisition process.
  4. The Department of Juvenile Justice shall develop programs to:
    1. Ensure that youth in state-operated or contracted residential treatment programs have access to an ombudsman to whom they may report program problems or concerns;
    2. Review all treatment programs, state-operated or contracted, for their quality and effectiveness; and
    3. Provide mental health services to committed youth according to their needs.
    1. The Department of Juvenile Justice shall have an advisory board appointed by the Governor, which shall serve as the advisory group under the Juvenile Justice and Delinquency Prevention Act of 1974, Pub. L. No. 93-415, as amended, and which shall provide a formulation of and recommendations for meeting the requirements of this section not less than annually to the Governor, the Justice and Public Safety Cabinet, the Department of Juvenile Justice, the Cabinet for Health and Family Services, the Interim Joint Committees on Judiciary and on Appropriations and Revenue of the Legislative Research Commission when the General Assembly is not in session, and the Judiciary and the Appropriations and Revenue Committees of the House of Representatives and the Senate when the General Assembly is in session. The advisory board shall develop program criteria for early juvenile intervention, diversion, and prevention projects, develop statewide priorities for funding, and make recommendations for allocation of funds to the Commissioner of the Department of Juvenile Justice. The advisory board shall review grant applications from local juvenile delinquency prevention councils and include in its annual report the activities of the councils. The advisory board shall meet not less than quarterly. (5) (a) The Department of Juvenile Justice shall have an advisory board appointed by the Governor, which shall serve as the advisory group under the Juvenile Justice and Delinquency Prevention Act of 1974, Pub. L. No. 93-415, as amended, and which shall provide a formulation of and recommendations for meeting the requirements of this section not less than annually to the Governor, the Justice and Public Safety Cabinet, the Department of Juvenile Justice, the Cabinet for Health and Family Services, the Interim Joint Committees on Judiciary and on Appropriations and Revenue of the Legislative Research Commission when the General Assembly is not in session, and the Judiciary and the Appropriations and Revenue Committees of the House of Representatives and the Senate when the General Assembly is in session. The advisory board shall develop program criteria for early juvenile intervention, diversion, and prevention projects, develop statewide priorities for funding, and make recommendations for allocation of funds to the Commissioner of the Department of Juvenile Justice. The advisory board shall review grant applications from local juvenile delinquency prevention councils and include in its annual report the activities of the councils. The advisory board shall meet not less than quarterly.
    2. The advisory board shall be chaired by a private citizen member appointed by the Governor and shall serve a term of two (2) years and thereafter be elected by the board. The members of the board shall be appointed to staggered terms and thereafter to four (4) year terms. The membership of the advisory board shall consist of no fewer than fifteen (15) persons and no more than thirty-three (33) persons who have training, experience, or special knowledge concerning the prevention and treatment of juvenile delinquency or the administration of juvenile justice. A majority of the members shall not be full-time employees of any federal, state, or local government, and at least one-fifth (1/5) of the members shall be under the age of twenty-four (24) years at the time of appointment. On July 15, 2002, any pre-existing appointment of a member to the Juvenile Justice Advisory Board and the Juvenile Justice Advisory Committee shall be terminated unless that member has been re-appointed subsequent to January 1, 2002, in which case that member’s appointment shall continue without interruption. The membership of the board shall include the following:
      1. Three (3) current or former participants in the juvenile justice system;
      2. An employee of the Department of Juvenile Justice;
      3. An employee of the Cabinet for Health and Family Services;
      4. A person operating alternative detention programs;
      5. An employee of the Department of Education;
      6. An employee of the Department of Public Advocacy;
      7. An employee of the Administrative Office of the Courts;
      8. A representative from a private nonprofit organization with an interest in youth services;
      9. A representative from a local juvenile delinquency prevention council;
      10. A member of the Circuit Judges Association;
      11. A member of the District Judges Association;
      12. A member of the County Attorneys Association;
      13. A member of the County Judge/Executives Association;
      14. A person from the business community not associated with any other group listed in this paragraph;
      15. A parent not associated with any other group listed in this paragraph;
      16. A youth advocate not associated with any other group listed in this paragraph;
      17. A victim of a crime committed by a person under the age of eighteen (18) not associated with any other group listed in this paragraph;
      18. A local school district special education administrator not associated with any other group listed in this paragraph;
      19. A peace officer not associated with any other group listed in this paragraph; and
      20. A college or university professor specializing in law, criminology, corrections, psychology, or similar discipline with an interest in juvenile corrections programs.
    3. Failure of any member to attend three (3) meetings within a calendar year shall be deemed a resignation from the board. The board chair shall notify the Governor of any vacancy and submit recommendations for appointment.
  5. The Department of Juvenile Justice shall, in cooperation with the Department of Public Advocacy, develop a program of legal services for juveniles committed to the department who are placed in state-operated residential treatment facilities and juveniles in the physical custody of the department who are detained in a state-operated detention facility, who have legal claims related to the conditions of their confinement involving violations of federal or state statutory or constitutional rights. This system may utilize technology to supplement personal contact. The Department of Juvenile Justice shall promulgate an administrative regulation to govern at least the following aspects of this subsection:
    1. Facility access;
    2. Scheduling; and
    3. Access to residents” records.
  6. The Department of Juvenile Justice may, if space is available and conditioned upon the department’s ability to regain that space as needed, contract with another state or federal agency to provide services to youth of that agency.

HISTORY: Enact. Acts 1996, ch. 358, § 1, effective July 15, 1996; 1998, ch. 426, § 70, effective July 15, 1998; 1998, ch. 538, § 4, effective April 13, 1998; 2002, ch. 59, § 2, effective July 15, 2002; 2002, ch. 263, § 1, effective July 15, 2002; 2004, ch. 160, § 1, effective July 13, 2004; 2005, ch. 99, § 85, effective June 20, 2005; 2007, ch. 85, § 44, effective March 23, 2007; 2017 ch. 167, § 3, effective June 29, 2017.

Compiler’s Notes.

The Juvenile Justice and Delinquency Prevention Act of 1974, Pub. L. No. 93-415, referred to in subsection (5)(a), is compiled generally at 42 USCS §§ 5601 et seq.

Legislative Research Commission Notes.

(6/26/2007). 2007 Ky. Acts ch. 85, relating to the creation and organization of the Justice and Public Safety Cabinet, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in that Act. Such a correction has been made in this section.

(7/15/2002). This section was amended by 2002 Ky. Acts chs. 59 and 263. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 263, which was last enacted by the General Assembly, prevails under KRS 446.250 .

15A.0651. Access to juvenile facility records — When permitted — Appeal of denial.

  1. As used in this section, “juvenile facility” means any facility wherein a juvenile or other person under the authority of the Department of Juvenile Justice is confined.
  2. KRS 61.870 to 61.884 to the contrary notwithstanding, a person shall not have access to a record if its disclosure is deemed by the commissioner of the Department of Juvenile Justice or his or her designee to constitute a threat to the security of the juvenile, the juvenile facility, or any other person.
  3. KRS 61.870 to 61.884 to the contrary notwithstanding, the department shall not be required to comply with a request for any record from any person confined in a juvenile facility or any individual on active supervision under the jurisdiction of the department, unless the request is for a record that contains a specific reference to the individual making the request.
  4. KRS 61.870 to 61.884 to the contrary notwithstanding, if a person confined in a juvenile facility wishes to challenge a denial of a request to inspect a public record, he or she shall mail or otherwise send the appropriate documents to the Attorney General within twenty (20) days of the denial pursuant to the procedures set out in KRS 61.880(2) before an appeal can be filed in a Circuit Court.
  5. KRS 61.870 to 61.884 to the contrary notwithstanding, all records relating to juvenile detention containing information expunged pursuant to law shall not be open to the public.
  6. KRS 61.870 to 61.884 to the contrary notwithstanding, upon receipt of a request for a record, the department shall respond to the request within five (5) days after receipt of the request, excepting Saturdays, Sundays, and legal holidays, and shall state whether the record may be inspected or may not be inspected, or that the record is unavailable and when the record is expected to be available.
  7. Nothing in this section shall authorize the department to deny any attorney representing a juvenile access to any record to which the attorney or the juvenile would otherwise be entitled.

History. Enact. Acts 2010, ch. 74, § 1, effective July 15, 2010.

15A.0652. Juvenile justice administrative regulations.

The Department of Juvenile Justice shall promulgate administrative regulations that shall include:

  1. Development or adoption of a validated risk and needs assessment that:
    1. Considers factors such as the severity of the current offense, the child’s previous public offense record, and the child’s assessed criminal risk factors;
    2. Is administered for all children adjudicated on a public offense prior to disposition and at regular intervals thereafter to determine risk levels and to identify intervention needs; and
    3. Is implemented based on policies and practices for utilization of the assessment instrument to objectively guide placement and the length and type of treatment for each child committed to the department or probated to the department or other entity;
  2. The provision of treatment for committed and probated children in accordance with evidence-based practices, including, at a minimum:
    1. Development of a case plan for each child committed to the department or probated to the department that targets the risk factors identified in the assessment, is responsive to individual characteristics, involves the family as appropriate, provides supervision or monitoring of children according to their case plan, and establishes a treatment plan in accordance with subsection (3) of this section; and
    2. Development and implementation of a graduated sanctions protocol of swift, certain, proportionate, and graduated sanctions that a probation officer or employee of the department shall apply in response to a child’s violations of the terms or conditions of probation. The graduated sanctions protocol shall:
      1. Include a continuum of sanctions that take into account factors such as the severity of the current violation, the child’s previous criminal record, the number and severity of any previous probation violations, the child’s assessed risk level, and the extent to which graduated sanctions were imposed for previous violations. The system shall also define positive reinforcements that the probated child may receive for compliance with his or her terms or conditions of probation. A sanction of up to thirty (30) days’ out-of-home placement may be imposed for a violation of the terms of probation. A child shall not be committed or recommitted to the Department of Juvenile Justice for the violation of the conditions of probation;
      2. Provide that judicial review for a probated youth, or an administrative hearing for a committed youth, shall not be necessary to impose graduated sanctions less than out-of-home placement; and
      3. Require that less-restrictive graduated sanctions be utilized prior to requesting judicial review unless there is clear and convincing evidence that there are no graduated sanctions available that are appropriate for the child and the child is an immediate threat to himself, herself, or others;
  3. Development and implementation of treatment plans for committed and probated children that:
    1. Take into consideration the severity of the current offense and the child’s assessed risk and needs as identified by a validated risk and needs assessment;
    2. Involve the family in the treatment plan as appropriate;
    3. Allow a child to complete treatment in the community if resources are available rather than in a secure or nonsecure facility; and
    4. For committed children may include:
      1. A maximum of four (4) months of out-of-home placement if the child was adjudicated for an offense that would be a misdemeanor if committed by an adult, other than a violation of KRS Chapter 510 or an offense involving a deadly weapon;
      2. A maximum of eight (8) months of out-of-home placement if the child was adjudicated for an offense that would be a Class D felony if committed by an adult, other than a violation of KRS Chapter 510 or an offense involving a deadly weapon; and
      3. A provision that if a child has reached the maximum time allowed in out-of-home placement, as specified in subparagraphs 1. and 2. of this paragraph and further out-of-home placement is determined to be necessary for completion of treatment, the child may be held for an additional period only upon approval of the Administrative Transfer Request Committee, or another appropriate entity within the department as designated by the commissioner of the department after review of the facts and circumstances warranting the need for continued out-of-home placement. If the commissioner approves continued out-of-home placement, the maximum time the placement may be continued is the maximum originally allowed under subparagraphs 1. and 2. of this paragraph and the total period of commitment shall not exceed that permitted under KRS 635.060 ;
  4. Development and implementation of professional development programs for department staff who interact with or who are responsible for the treatment, supervision, or placement of children, that includes training on juvenile justice research relating to effectiveness of juvenile justice interventions, impacts of out-of-home placement, alternatives to incarceration, use of graduated sanctions, case planning, administration of a validated risk and needs assessment, and training to address specific issues such as domestic violence, trauma, and family engagement;
  5. Development of procedures for measuring the outcomes of each treatment and intervention program and practice to demonstrate that the program or practice has a documented evidence base and has been evaluated for effectiveness in reducing recidivism for the children it serves, including:
    1. A process for reviewing the objective criteria for evidence-based programs and practices established by the agency providing the program;
    2. A process for auditing the effectiveness of the programs; and
    3. An opportunity for programs that do not meet the criteria based on the audit results to develop and implement a corrective action plan within one hundred eighty (180) days of the audit;
  6. Development of procedures to track juvenile recidivism, which shall include adjudication of a new public offense or conviction of a crime within three (3) years of release from an out-of-home placement or release from commitment, and collaboration with the Department of Corrections and the Administrative Office of the Courts to obtain adult conviction and incarceration information to enable collection of recidivism data;
  7. Development of procedures to track the pre-adjudication and post-adjudication admissions beginning no later than August 1, 2014; and
  8. Development of procedures to ensure maximum utilization of available federal funding resources which may be available to the agency.

As used in this section, “evidence-based practices,” “graduated sanction,” “out-of-home placement,” and “risk and needs assessment” have the same meanings as in KRS 600.020 .

History. Enact. Acts 2014, ch. 132, § 5, effective July 15, 2014.

Legislative Research Commission Notes.

(7/15/14). In subsection (3)(d)3. of this statute, the Reviser of Statutes has changed the words “paragraphs (a) and (b) of this subsection” to read “subparagraphs 1. and 2. of this paragraph.” In an early version of the bill that created this statute (2014 Ky. Acts ch. 132, sec. 5), the phrase “paragraphs (a) and (b) of this subsection” was used in reference to language corresponding to the present subparagraphs 1. and 2. When the bill was redrafted before its final passage, the numbering of the paragraphs was changed, but the reference was inadvertently left unchanged. The Reviser of Statutes has made this correction under the authority of KRS 7.136(1).

15A.0653. Liability insurance for health care professionals employed by or serving department — Authority of commissioner to purchase.

  1. The commissioner of the Department of Juvenile Justice may, with the approval of the Finance and Administration Cabinet, purchase liability insurance for the protection of health care professionals employed by or serving the department to protect them from liability for acts and claims of medical and professional malpractice arising in the course and scope of their employment or service to the department.
  2. The commissioner may purchase the type and amount of liability coverage deemed appropriate to best serve the department’s interest.

History. Enact. Acts 1998, ch. 443, § 9, effective July 15, 1998.

15A.0654. Earmarking of juvenile justice funding for evidence-based practices.

  1. Beginning July 1, 2016, fifty percent (50%) of state moneys expended by the department on programs shall be for programs that are in accordance with evidence-based practices.
  2. Beginning July 1, 2018, and thereafter, seventy-five percent (75%) of state moneys expended by the department on programs shall be for programs that are in accordance with evidence-based practices.

History. Enact. Acts 2014, ch. 132, § 4, effective July 15, 2014.

15A.066. Department of Juvenile Justice employee not required to give personal attendance in out-of-county civil suit — Exception for necessary witness.

No employee of the Department of Juvenile Justice shall be required to give personal attendance as a witness in any civil suit arising out of or related to his or her employment, out of the county of that employee’s assigned work station, but his or her deposition shall be taken in lieu thereof; however, if the court in which the civil action is pending finds that the witness is a necessary witness for trial, that court may order the personal attendance of the witness at trial.

History. Enact. Acts 2002, ch. 263, § 2, effective July 15, 2002.

15A.067. Division of Program Services — Access to educational records — Screening and education of incarcerated youth — Information on educational status and need.

  1. As used in this section, “facility” means any of the facilities specified in KRS 15A.200 operated by a political subdivision of the Commonwealth of Kentucky and juvenile detention facilities operated by the Commonwealth of Kentucky for the care of juveniles alleged to be delinquent or adjudicated delinquent.
    1. There is established within the department a Division of Program Services that shall be responsible for ensuring the delivery of appropriate educational programs to incarcerated youth. Each facility shall provide educational services to youth ordered by the court to remain in the juvenile detention facility. (2) (a) There is established within the department a Division of Program Services that shall be responsible for ensuring the delivery of appropriate educational programs to incarcerated youth. Each facility shall provide educational services to youth ordered by the court to remain in the juvenile detention facility.
    2. Any other statutes to the contrary notwithstanding, the department shall have access to all educational records, public or private, of any juvenile in a facility or program or informal adjustment authorized by law.
    3. The Division of Program Services shall ensure that all incarcerated youth be provided appropriate screening and educational programs as follows:
      1. For students identified before incarceration as having an educational disability, the Division of Program Services shall make specially designed instruction and related services available as required by Kentucky Board of Education administrative regulations applicable to students with disabilities.
      2. For students incarcerated for more than fourteen (14) days, the division shall ensure that appropriate screening is provided to all youth. Screening shall include but not be limited to seeking the juvenile’s educational record.
      3. For students incarcerated for more than thirty (30) days, the division shall ensure that all youth are provided an appropriate education.
    4. The department shall be responsible for providing, in its contracts with non-state-operated juvenile detention facilities, the specific obligations of those entities to provide educational services to incarcerated juveniles consistent with this section, including funding provisions.
    5. The Department of Education and all local school district administrators shall cooperate with officials responsible for the operation of juvenile detention facilities and with the Division of Program Services to ensure that all documents necessary to establish educational status and need shall follow the students who are being held in these facilities so the students can be afforded educational opportunities.
      1. Upon disposition by the juvenile court that an adjudicated juvenile shall stay in a juvenile detention facility for any period of time, the facility shall notify the juvenile’s last resident school district of the student’s whereabouts. (f) 1. Upon disposition by the juvenile court that an adjudicated juvenile shall stay in a juvenile detention facility for any period of time, the facility shall notify the juvenile’s last resident school district of the student’s whereabouts.
      2. Within five (5) days after the juvenile is released, the Division of Program Services shall notify the district in which the student will reside of the youth’s release and educational status and forward any educational records.
    6. The department shall, after consultation with the Department of Education, promulgate an administrative regulation for the effective implementation of this section.

History. Enact. Acts 1996, ch. 358, § 64, effective July 15, 1996; 1996, ch. 362, § 6, effective July 15, 1996; 1998, ch. 606, § 3, effective July 15, 1998; 2000, ch. 8, § 1, effective July 14, 2000; 2000, ch. 534, § 3, effective July 14, 2000; 2001, ch. 64, § 2, effective June 21, 2001; 2002, ch. 257, § 1, effective July 15, 2002; 2014, ch. 132, § 7, effective July 15, 2014.

15A.068. Duties of department if child may be victim of human trafficking — Administrative regulations.

  1. If, during the course of screening, assessing, or providing services to a child committed to or in the custody of the department, there is reasonable cause to believe that the child is a victim of human trafficking as defined in KRS 529.010 , the department shall:
    1. File a report with the Cabinet for Health and Family Services pursuant to KRS 620.030 ;
    2. Notify the child’s attorney that the child may be a victim of human trafficking; and
    3. If the child does not pose a threat to public safety, petition the court to transfer custody from the department to the Cabinet for Health and Family Services.
  2. After consultation with agencies serving victims of human trafficking, the department shall promulgate administrative regulations for the treatment of child victims of human trafficking who are committed to or in the custody of the department and pose a threat to public safety but do not qualify to be in the custody of the Cabinet for Health and Family Services under subsection (1)(c) of this section. The administrative regulations shall include provisions for appropriate screening, assessment, placement, treatment, and services for these children, the training of staff, and collaboration with service providers.

History. Enact. Acts 2013, ch. 25, § 4, effective June 25, 2013.

15A.069. Division of Placement Services — Duties — Reinvestment of juvenile justice facilities’ savings.

  1. There is established within the department a Division of Placement Services that shall be responsible:
    1. For the management, policy direction, and coordination of all matters relating to the classification, evaluation, and placement of juveniles committed to or detained by the department;
    2. For the transportation of juveniles committed to or detained by the department;
    3. If the division places a juvenile in a county other than the county of adjudication or sentencing, for notifying a department caseworker in the county of placement of this fact; and
    4. For notifying the District Court in the county of placement of the juvenile’s complete offense record.
  2. Any savings achieved by the Department of Juvenile Justice as a result of a reduction in the population in Department of Juvenile Justice facilities shall be reinvested as follows:
    1. Fifty percent (50%) of all savings shall be reinvested into Department of Juvenile Justice community supervision and aftercare services;
    2. Twenty-five percent (25%) shall be reinvested in day treatment centers; and
    3. Twenty-five percent (25%) shall be reinvested in the fiscal incentive program established in KRS 15A.062 .

The oversight council established in KRS 15A.063 may recommend to the General Assembly modifications to the allocation of funds under this subsection.

History. Enact. Acts 2014, ch. 132, § 6, effective July 15, 2014.

15A.070. Duties and powers of Department of Criminal Justice Training.

  1. The Department of Criminal Justice Training shall establish, supervise and coordinate training programs and schools for law enforcement personnel, subject to the limitations of KRS 15.440(1)(d) and (e) and 15.560 , and any other justice or nonlaw-enforcement-related personnel as prescribed by the secretary.
  2. The Department of Criminal Justice Training shall make a continuing study of law enforcement training standards and upon request may furnish information relating to standards for recruitment, employment, promotion, organization, management, and operation of any law enforcement agency in Kentucky.
  3. The Department of Criminal Justice Training shall conduct continuing research on criminal law and criminal justice subjects related to law enforcement training.
  4. The Department of Criminal Justice Training may by administrative regulation provide for administrative hearings to be conducted in accordance with KRS Chapter 13B.
  5. The commissioner of the Department of Criminal Justice Training may promulgate administrative regulations in accordance with KRS Chapter 13A.

History. Enact. Acts 1974, ch. 74, Art. V, § 8; 1976 (Ex. Sess.), ch. 14, § 4, effective July 1, 1977; 1978, ch. 155, § 15, effective June 17, 1978; 1980, ch. 295, § 7, effective July 15, 1980; 1982, ch. 343, § 5, effective July 15, 1982; 1986, ch. 64, § 4, effective July 15, 1986; 1996, ch. 318, § 17, effective July 15, 1996; 2000, ch. 480, § 11, effective July 14, 2000; 2016 ch. 112, § 10, effective July 15, 2016.

15A.072. Transfer of Department of Criminal Justice Training contract employees.

  1. Effective May 1, 2017, contract employees of Eastern Kentucky University who are engaged in providing instructional and support services to the mission of the Department of Criminal Justice Training shall be transferred to the Department of Criminal Justice Training within the Justice and Public Safety Cabinet along with the funding associated with those employees. The Personnel Cabinet shall assist in implementing the transfer of employees.
  2. Employees transferred pursuant to subsection (1) of this section shall retain the following:
    1. All salaries and leave time balances accumulated as of the transfer date;
    2. The date of initial contract employment with the Eastern Kentucky University for purposes of determining leave time accumulation; and
    3. The date of initial participation in a state-administered retirement system if the employee has participated or is participating in the Kentucky Employees Retirement System or the Kentucky Teacher’s Retirement System for the purpose of calculating retirement benefits. However, nothing in this paragraph shall be construed to provide additional service credit for an employee prior to the transfer date other than what has already been credited to the appropriate retirement system, and any months of service accrued while employed by Eastern Kentucky University shall not count towards classified or unclassified service as defined in KRS 18A.005 .
  3. As of May 1, 2017, employees transferred pursuant to subsection (1) of this section shall participate in the Kentucky Employees Retirement System as nonhazardous members pursuant to KRS 61.510 to 61.705 .
  4. Employees transferred to the Department of Criminal Justice Training pursuant to this section shall be eligible to participate in the state-sponsored life and health insurance benefit programs administered by the Personnel Cabinet in accordance with KRS Chapter 18A. Employees shall be eligible for coverage under the life and health insurance programs effective May 1, 2017, and shall not be subject to any waiting period that may be otherwise applicable to participation in these programs.

HISTORY: 2017 ch. 58, § 1, effective March 21, 2017.

15A.075. Criminal Justice Council — Membership — Duties — Administrative support.

  1. The Criminal Justice Council is hereby created within the Justice and Public Safety Cabinet.
  2. The council shall undertake such research and other activities as may be authorized or directed by:
    1. The secretary of the Justice and Public Safety Cabinet; or
    2. The General Assembly.
  3. The membership of the council shall consist of:
    1. The secretary of the Justice and Public Safety Cabinet, ex officio;
    2. The Attorney General or his or her designee;
    3. The chair of the Judiciary Committee of the House of Representatives, nonvoting ex officio;
    4. The chair of the Judiciary Committee of the Senate, nonvoting ex officio;
    5. The director of the Administrative Office of the Courts, ex officio;
    6. The public advocate, ex officio;
    7. The president of the Kentucky Association of Criminal Defense Lawyers or his or her designee;
    8. The commissioner of the Department for Behavioral Health, Developmental and Intellectual Disabilities, ex officio;
    9. The commissioner of the Department of Kentucky State Police or his or her designee;
    10. The commissioner of the Department of Corrections, ex officio;
    11. The commissioner of the Department of Juvenile Justice, ex officio;and
    12. Six (6) at-large members appointed by the Governor, as follows:
      1. One (1) District Judge and one (1) Circuit Judge nominated by the Chief Justice of the Kentucky Supreme Court;
      2. One (1) member representing law enforcement;
      3. One (1) member of the County Attorneys” Association;
      4. One (1) member of the Commonwealth Attorneys” Association; and
      5. One (1) member representing community-based organizations, whether for-profit or nonprofit, with experience in programs such as substance abuse prevention and treatment, case management, mental health, or counseling.
  4. The chairs of the House and Senate Judiciary Committees shall serve as co-chairs.
  5. At-large members shall be appointed by August 1, 2017, and shall serve a term of two (2) years, and may be reappointed.
  6. Each ex officio member, except for legislative members, may designate a proxy by written notice to the council prior to call of order of each meeting, and the proxy shall be entitled to participate as a full voting member.
  7. Each member of the council shall have one (1) vote. Members of the council shall serve without compensation but shall be reimbursed for their expenses actually and necessarily incurred in the performance of their duties. The council shall meet at least quarterly. Meetings shall be held at the call of the chair, or upon the written request of two (2) members to the chair.
  8. A simple majority of the members of the council shall constitute a quorum for the conduct of business at a meeting.
  9. The council is authorized to establish committees and appoint additional persons who may not be members of the council, as necessary to effectuate its purposes.
  10. The council’s administrative functions shall be performed by the executive director of the Office of Legislative and Intergovernmental Services, appointed by the secretary of the Justice and Public Safety Cabinet and supported by the administrative, clerical, and other staff as allowed by budgetary limitations and as needed to fulfill the council’s role and mission and to coordinate its activities.

HISTORY: Enact. Acts 2007, ch. 85, § 37, effective June 26, 2007; 2009, ch. 75, § 13, effective June 25, 2009; 2017 ch. 158, § 98, effective June 29, 2017.

Legislative Research Commission Notes.

(6/26/2007). 2007 Ky. Acts ch. 85, sec. 37, proposed to create this section relating to the Criminal Justice Council within the Justice and Public Safety Cabinet as a new section of KRS Chapter 15. However, since KRS Chapter 15 relates to the Department of Law and KRS Chapter 15A relates to the Justice and Public Safety Cabinet, under the authority of KRS 7.136(1)(a), the Reviser of Statutes in codification has placed this section in KRS Chapter 15A rather than KRS Chapter 15.

15A.080. Interrelationship of offices for administrative purposes.

The Kentucky Law Enforcement Council shall be attached to the office of the commissioner, Department of Criminal Justice Training for administrative purposes.

History. Enact. Acts 1974, ch. 74, Art. V, § 9; 1976, ch. 62, § 11; 1978, ch. 155, § 16, effective June 17, 1978; 1982, ch. 343, § 6, effective July 15, 1982; 1986, ch. 64, § 5, effective July 15, 1986.

15A.090. Internal organization.

The secretary shall establish the internal organization of the cabinet not otherwise established by the Governor or the General Assembly and shall organize the cabinet into such organizational units as the secretary deems necessary to perform the functions, powers, and duties of the cabinet, subject to the provisions of KRS Chapter 12.

History. Enact. Acts 1974, ch. 74, Art. V, § 10; 2007, ch. 85, § 45, effective June 26, 2007.

15A.100. Power and authority of secretary in performing functions of cabinet — Deputy.

The secretary shall have any and all necessary power and authority, subject to appropriate provisions of the statutes, to create such positions and to employ the necessary personnel in such positions to enable the secretary to perform the functions of the cabinet. The secretary shall designate a person to act as deputy for him in the exercise of his duties in his absence.

History. Enact. Acts 1974, ch. 74, Art. V, § 11.

NOTES TO DECISIONS

1.State Police.

Disciplinary actions against members of the State Police, who are subject to the provisions of KRS Chapter 16, are not to be interfered with or usurped by the Secretary of Justice acting under color of KRS Chapter 15A. Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

15A.110. Assistants to secretary.

All appointments to positions not in the classified service shall be made pursuant to KRS 12.050 and such appointees shall be major assistants to the secretary and shall assist in the development of policy.

History. Enact. Acts 1974, ch. 74, Art. V, § 12.

15A.120. Transfer of functions to cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. V, § 13; 1982, ch. 343, § 7) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

15A.130. Transfer of funds, credits, assets, etc., to cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. V, § 14; 1982, ch. 343, § 8; 1982, ch. 377, § 6) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

15A.140. Existing rules and regulations effective until modified or repealed. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. V, § 15; 1982, ch. 343, § 9; 1982, ch. 377, § 7) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

15A.150. Administering of programs and grants.

Except as otherwise provided by law, the cabinet shall administer all state programs and all state and federally funded grant programs related to criminal justice.

History. Enact. Acts 1974, ch. 74, Art. V, § 16.

15A.160. Promulgation of administrative regulations — Administration of laws and cabinet functions.

The secretary may promulgate administrative regulations in accordance with KRS Chapter 13A and direct proceedings and actions for the administration of all laws and functions which are vested in the cabinet, except laws and functions vested in the Department of Public Advocacy.

HISTORY: Enact. Acts 1974, ch. 74, Art. V, § 17; 1982, ch. 343, § 10, effective July 15, 1982; 2007, ch. 85, § 46, effective June 26, 2007; 2017 ch. 167, § 4, effective June 29, 2017.

Legislative Research Commission Notes.

(6/26/2007). Although 2007 Ky. Acts ch. 85, sec. 46, contains a reference to the “Department of Public Advocacy,” the entity created by 2007 Ky. Acts ch. 85, secs. 7 and 40, and Executive Order 2006-805 is the “Department for Public Advocacy.” In accordance with 2007 Ky. Acts ch. 85, sec. 335, and KRS 7.136 , the erroneous reference in this section has been corrected in codification.

(10/5/90). Pursuant to KRS 7.136(1), KRS Chapter 13A has been substituted for the prior reference to KRS Chapter 13 in this statute. The sections in KRS Chapter 13 were repealed by 1984 Ky. Acts ch. 417, § 36 and KRS Chapter 13A was created in that same chapter of the 1984 Ky. Acts.

15A.170. Administrative support services — Other related programs. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. V, § 18; 1982, ch. 343, § 11; 1982, ch. 377, § 8) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

15A.180. Retention and protection of reports, documents, records, etc. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. V, § 19; 1982, ch. 343, § 12; 1982, ch. 377, § 9) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

15A.190. Uniform reporting forms to provide statistical information on crimes.

  1. The Justice and Public Safety Cabinet, in consultation with the Cabinet for Health and Family Services, the Kentucky Commission on Women, and any other agency concerned with particular acts of criminal activity, shall design, print, and distribute to all law enforcement agencies in the Commonwealth, a uniform reporting form which provides statistical information relating to the crimes involving domestic violence, child abuse, victimization of the elderly, including but not limited to elder abuse, neglect, and exploitation and other crimes against the elderly, or any other particular area of criminal activity deemed by the secretary of justice and public safety to require research as to its frequency.
  2. The provision of subsection (1) of this section concerning the distribution of forms shall become effective on January 1, 2006.

History. Enact. Acts 1978, ch. 367, § 1, effective June 17, 1978; 1998, ch. 426, § 71, effective July 15, 1998; 2005, ch. 99, § 86, effective June 20, 2005; 2005, ch. 132, § 13, effective June 20, 2005; 2007, ch. 85, § 47, effective June 26, 2007.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, A, 9, (1) at 855.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, A, 9, (1) at 1292.

15A.195. Prohibition against racial profiling — Model policy — Local law enforcement agencies’ policies.

  1. No state law enforcement agency or official shall stop, detain, or search any person when such action is solely motivated by consideration of race, color, or ethnicity, and the action would constitute a violation of the civil rights of the person.
  2. The secretary of the Justice and Public Safety Cabinet, in consultation with the Kentucky Law Enforcement Council, the Attorney General, the Department of Criminal Justice Training, the secretary of the Transportation Cabinet, the Department of Kentucky State Police, the secretary of the Energy and Environment Cabinet, and the secretary of the Public Protection Cabinet, shall design and implement a model policy to prohibit racial profiling by state law enforcement agencies and officials.
  3. The Kentucky Law Enforcement Council shall disseminate the established model policy against racial profiling to all sheriffs and local law enforcement officials, including local police departments, city councils, and fiscal courts. All local law enforcement agencies and sheriffs’ departments are urged to implement a written policy against racial profiling or adopt the model policy against racial profiling as established by the secretary of the Justice and Public Safety Cabinet within one hundred eighty (180) days of dissemination of the model policy. A copy of any implemented or adopted policy against racial profiling shall be filed with the Kentucky Law Enforcement Council and the Kentucky Law Enforcement Foundation Program Fund.
    1. Each local law enforcement agency that participates in the Kentucky Law Enforcement Foundation Program fund under KRS 15.420 in the Commonwealth shall implement a policy banning the practice of racial profiling that meets or exceeds the requirements of the model policy disseminated under subsection (3) of this section. The local law enforcement agency’s policy shall be submitted by the local law enforcement agency to the secretary of the Justice and Public Safety Cabinet within one hundred eighty (180) days of dissemination of the model policy by the Kentucky Law Enforcement Council under subsection (3) of this section. If the local law enforcement agency fails to submit its policy within one hundred eighty (180) days of dissemination of the model policy, or the secretary rejects a policy submitted within the one hundred and eighty (180) days, that agency shall not receive Kentucky Law Enforcement Foundation Program funding until the secretary approves a policy submitted by the agency. (4) (a) Each local law enforcement agency that participates in the Kentucky Law Enforcement Foundation Program fund under KRS 15.420 in the Commonwealth shall implement a policy banning the practice of racial profiling that meets or exceeds the requirements of the model policy disseminated under subsection (3) of this section. The local law enforcement agency’s policy shall be submitted by the local law enforcement agency to the secretary of the Justice and Public Safety Cabinet within one hundred eighty (180) days of dissemination of the model policy by the Kentucky Law Enforcement Council under subsection (3) of this section. If the local law enforcement agency fails to submit its policy within one hundred eighty (180) days of dissemination of the model policy, or the secretary rejects a policy submitted within the one hundred and eighty (180) days, that agency shall not receive Kentucky Law Enforcement Foundation Program funding until the secretary approves a policy submitted by the agency.
    2. If the secretary of the Justice and Public Safety Cabinet approves a local law enforcement agency’s policy, the agency shall not change its policy without obtaining approval of the new policy from the secretary of the Justice and Public Safety Cabinet. If the agency changes its policy without obtaining the secretary’s approval, the agency shall not receive Kentucky Law Enforcement Foundation Program funding until the secretary approves a policy submitted by the agency.
  4. Each local law enforcement agency shall adopt an administrative action for officers found not in compliance with the agency’s policy. The administrative action shall be in accordance with other penalties enforced by the agency’s administration for similar officer misconduct.

History. Enact. Acts 2001, ch. 158, § 1, effective June 21, 2001; 2007, ch. 85, § 48, effective June 26, 2007; 2010, ch. 24, § 19, effective July 15, 2010.

15A.197. Justice and Public Safety Cabinet may provide state personnel, property, and resources to Trooper Island, the Kentucky State Police Foundation, and the Kentucky Law Enforcement Memorial Foundation.

The Justice and Public Safety Cabinet and its agencies may provide state personnel, state property, and state resources to Trooper Island Incorporated, the Kentucky State Police Foundation, and the Kentucky Law Enforcement Memorial Foundation.

History. Enact. Acts 2002, ch. 290, § 3, effective April 9, 2002; 2007, ch. 85, § 49, effective June 26, 2007; 2017 ch. 186, § 1, effective April 11, 2017; 2019 ch. 123, § 1, effective June 27, 2019.

Juvenile Detention Facilities

15A.200. Definitions for KRS 15A.210 to 15A.240 and KRS 15A.990.

As used in KRS 15A.210 to 15A.240 and KRS 15A.990 :

  1. “Certified juvenile facility staff” means individuals who meet the qualifications of, and who have completed a course of education and training developed and approved by, the Department of Juvenile Justice;
  2. “Secure juvenile detention facility” means any facility used for the secure detention of children other than a jail, police station, lockup, or any building which is a part of or attached to any facility in which adult prisoners are confined or which shares staff with a facility in which adult prisoners are confined;
  3. “Youth alternative center” means a nonsecure facility, approved by the Department of Juvenile Justice, for the nonsecure detention of juveniles; and
  4. The term “facility” or “facilities” as used in KRS 15A.210 to 15A.240 shall mean the facilities defined in this section.

History. Enact. Acts 1986, ch. 423, § 172, effective July 1, 1987; 1988, ch. 350, § 130, effective April 10, 1988; 1998, ch. 426, § 72, effective July 15, 1998; 1998, ch. 443, § 1, effective July 15, 1998; 2000, ch. 534, § 4, effective July 14, 2000; 2002, ch. 257, § 2, effective July 15, 2002; 2014, ch. 132, § 8, effective July 15, 2014.

Legislative Research Commission Notes.

(7/15/98). This statute has been amended by 1998 Ky. Acts ch. 443 (making a substantive nonrevisory change) and ch. 426 (which made a name change due to reorganization and is revisory in nature). The nonrevisory change prevails. KRS 7.136(3).

Acts 1986, ch. 423, § 199 provides: “KRS 446.250 to 446.320 to the contrary notwithstanding, Acts 1986, ch. 423 shall prevail in the event of a conflict between Acts 1986, ch. 423 and other Acts passed by the 1986 Regular Session of the General Assembly.”

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Juvenile Court, § 32.24.

Petrilli, Kentucky Family Law, Forms, Juvenile Court, Form 5.4.

15A.210. Administrative regulations governing secure juvenile detention facilities.

  1. The Department of Juvenile Justice shall promulgate and enforce administrative regulations to govern at least the following aspects of the operation of facilities:
    1. Administration;
    2. Personnel;
    3. Training and staff development;
    4. Recordkeeping;
    5. Physical plant;
    6. Security and control;
    7. Safety and emergency procedures;
    8. Sanitation and hygiene;
    9. Medical and health services;
    10. Food services;
    11. Intake and classification;
    12. Programs and services;
    13. Residents’ rights;
    14. Rules and discipline;
    15. Admission procedures;
    16. Communication, including mail, visitation, and telephone;
    17. Release preparation and transfer programs;
    18. Volunteer involvement;
    19. Transfers;
    20. Reimbursement rates and conditions; and
    21. Detention facility rate increases.
  2. Administrative regulations promulgated under this section shall specifically identify new requirements of the law which increase the cost of operating a juvenile facility not operated by the Department of Juvenile Justice. The administrative regulations shall identify the amount and source of funding for compliance with the new requirements.

History. Enact. Acts 1986, ch. 423, § 173, effective July 1, 1987; 1988, ch. 350, § 131, effective April 10, 1988; 1998, ch. 443, § 2, effective July 15, 1998; 2002, ch. 257, § 3, effective July 15, 2002.

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Forms, Juvenile Court, Form 5.5.

15A.220. Requirements for secure juvenile detention facilities — Decertification.

  1. Each person or organization operating a facility shall register with the Department of Juvenile Justice and shall comply with the regulations issued pursuant to KRS 15A.210 .
  2. Each organization operating or seeking to operate or expand a facility shall:
    1. Apply to the Department of Juvenile Justice in a period of time set by administrative regulation prior to the scheduled opening of the facility;
    2. Permit inspection of the facility by the Department of Juvenile Justice not less than thirty (30) days prior to the scheduled opening of the facility; and
    3. Supply to the Department of Juvenile Justice not less than thirty (30) days prior to the scheduled opening of the facility all data, plans, and other materials required by the Department of Juvenile Justice.
  3. No facility shall operate except with the approval of the Department of Juvenile Justice.
  4. The Department of Juvenile Justice shall have the authority, upon thirty (30) days’ written notice to the county judge/executive and jailer of any county that operates a juvenile detention facility and is located within an area served by a state-operated juvenile detention facility, to decertify any juvenile detention facility and that facility shall, at the expiration of the thirty (30) day period, cease detaining juveniles.

History. Enact. Acts 1986, ch. 423, § 174, effective July 1, 1987; 1988, ch. 350, § 132, effective April 10, 1988; 1998, ch. 443, § 3, effective July 15, 1998; 2002, ch. 257, § 4, effective July 15, 2002.

15A.230. Inspection and reporting of secure juvenile detention facilities.

  1. The Department of Juvenile Justice shall inspect, at least annually, each registered facility to assure its compliance with administrative regulations.
  2. The Department of Juvenile Justice may require reports and other data at least annually from each facility.

History. Enact. Acts 1986, ch. 423, § 175, effective July 1, 1987; 1988, ch. 350, § 133, effective April 10, 1988; 1998, ch. 443, § 4, effective July 15, 1998; 2002, ch. 257, § 5, effective July 15, 2002.

15A.240. Enforcement by Department of Juvenile Justice.

  1. The Department of Juvenile Justice shall enforce the provisions of KRS 15A.210 to 15A.230 and the administrative regulations issued thereunder.
  2. The Department of Juvenile Justice may institute legal proceedings including but not limited to injunctive remedies to secure compliance with the provisions of KRS 15A.210 to 15A.230 .

History. Enact. Acts 1986, ch. 423, § 176, effective July 1, 1987; 1998, ch. 443, § 5, effective July 15, 1998.

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Forms, Juvenile Court, Form 5.5.

15A.245. Detention Facility Standards Committee — Membership. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 443, § 28, effective July 15, 1998) was repealed by Acts 2002, ch. 257, § 21, effective July 15, 2002.

Local Alternatives to Detention Fund

15A.250. Local alternatives to detention fund. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 423, § 178, effective July 1, 1987; 1998, ch. 443, § 6, effective July 15, 1998) was repealed by Acts 2002, ch. 257, § 21, effective July 15, 2002.

15A.260. Use of fund. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 423, § 179, effective July 1, 1987; 1988, ch. 350, § 134, effective April 10, 1988) was repealed by Acts 2002, ch. 257, § 21, effective July 15, 2002.

15A.270. Administrative regulations governing fund — Hearings.

  1. The Department of Juvenile Justice shall promulgate and enforce administrative regulations to govern at least the following aspects of the operation of the local alternatives-to-detention fund:
    1. Application procedures, including granting and denying applications;
    2. Program and funding restrictions;
    3. Program and funding reports;
    4. Termination of programs; and
    5. Other related matters.
  2. Administrative hearings promulgated by administrative regulation under authority of this section shall be conducted in accordance with KRS Chapter 13B.

History. Enact. Acts 1986, ch. 423, § 180, effective July 1, 1987; 1988, ch. 350, § 135, effective April 10, 1988; 1996, ch. 318, § 18, effective July 15, 1996; 1998, ch. 443, § 7, effective July 15, 1998.

15A.300. Local juvenile delinquency prevention council — Duties — Administrative regulations.

  1. The Department of Juvenile Justice or a local organization approved by the Department of Juvenile Justice may form local juvenile delinquency prevention councils for the purpose of encouraging the initiation of, or supporting ongoing, interagency cooperation and collaboration in addressing juvenile crime and juvenile status offenses.
  2. The membership of the local council shall be determined by the Department of Juvenile Justice and shall include representatives of law enforcement, the school system, the Department for Community Based Services, the Court of Justice, the Commonwealth’s attorney, the county attorney, a representative of a county juvenile detention facility, and the Department of Public Advocacy. The members of the council shall be appointed as provided by the department by administrative regulation and shall be appointed for not longer than four (4) years, but members may be reappointed for a successive term. A member of the council shall receive no salary for service as a member of the council but may be reimbursed for expenses in the same manner as a state employee.
  3. The duties and responsibilities of a juvenile delinquency prevention council shall include but not be limited to:
    1. Developing a local juvenile justice plan based upon utilization of the resources of law enforcement, the school system, the Department of Juvenile Justice, the Department for Community Based Services, the Administrative Office of the Courts, and others in a cooperative and collaborative manner to prevent or discourage juvenile delinquency and to develop meaningful alternatives to incarceration;
    2. Entering into a written local interagency agreement specifying the nature and extent of contributions that each signatory agency will make in achieving the goals of the local juvenile justice plan;
    3. Sharing of information as authorized by law to carry out the interagency agreements;
    4. Applying for and receiving public or private grants to be administered by one (1) of the participating cities or counties or other public agencies; and
    5. Providing a forum for the presentation of interagency recommendations and the resolution of disagreements relating to the contents of the interagency agreement or the performance by the parties of their respective obligations under the agreement.
  4. Training of council members shall be the responsibility of the department.
  5. The Department of Juvenile Justice may provide grants to the councils to establish or enhance prevention programs.
  6. To assist in the development of a local juvenile delinquency prevention plan, juvenile delinquency prevention councils shall be entitled to request and receive statistical information and aggregate data not descriptive of any readily identifiable person from any public agency, as defined in KRS 61.870 .
    1. A request for statistical information and aggregate data from the juvenile delinquency prevention council shall be in writing and signed by the chairperson of the council, and shall include a statement of why the information is being requested, why it is needed, and how it will be used by the council.
    2. Any public agency receiving a written request from the chairperson of a juvenile delinquency prevention council for aggregate data or statistical information shall provide the requested information or respond to the council stating reasons why the requested information cannot be provided, within thirty (30) days of receiving the request.
  7. The department shall promulgate administrative regulations in accordance with KRS Chapter 13A that relate to:
    1. The formation of councils;
    2. The operation of councils;
    3. The duties of councils; and
    4. The administration and operation of the grant program.

HISTORY: Enact. Acts 1998, ch. 606, § 1, effective July 15, 1998; 2000, ch. 14, § 4, effective July 14, 2000; 2002, ch. 257, § 6, effective July 15, 2002; 2017 ch. 167, § 5, effective June 29, 2017.

15A.305. Statewide detention program — Alternatives to secure detention — Notification system — Per diem charge to lodge juveniles in state-owned or contracted preadjudication facilities — Fiscal court approval before state takeover, purchase, or control.

  1. The Department of Juvenile Justice shall, with available funds, develop and administer a statewide detention program and, as each regional facility is constructed and ready for occupancy, shall, within appropriation limitations, provide for:
    1. The operation of preadjudication detention facilities for children charged with public offenses; and
    2. The operation of postadjudication detention facilities for children adjudicated delinquent or found guilty of public offenses.
  2. In each region in which the Department of Juvenile Justice operates or contracts for the operation of a detention facility, the department shall, within appropriation limitations, develop and administer a program for alternatives to secure detention that shall provide for:
    1. The operation of or contracting for the operation of preadjudication alternatives to secure detention and follow-up programs for juveniles who are before the court or who enter pretrial diversion or informal adjustment programs; and
    2. The operation of or contracting for the operation of postadjudication alternatives to secure detention and follow-up programs, including but not limited to community-based programs, mentoring, counseling, and other programs designed to limit the unnecessary use of secure detention and ensure public safety.
  3. The department shall develop and implement a system to immediately notify the Cabinet for Health and Family Services when a status offender or child alleged to be a status offender has been detained for the alleged violation of a valid court order.
  4. The department may, except as provided in KRS 635.060 , charge counties, consolidated local governments, and urban-county governments a per diem not to exceed ninety-four dollars ($94) for lodging juveniles in state-owned or contracted facilities.
  5. Detention rates charged by contracting detention facilities shall not exceed the rate in effect on July 1, 1997, subject to increases approved by the department.
  6. No juvenile detention facility, as defined in KRS 15A.200 , shall be taken over, purchased, or leased by the Commonwealth without prior approval of the fiscal court upon consultation with the jailer in the county where the facility is located. The county, upon consultation with the jailer, may enter into contracts with the Commonwealth for the holding, detention, and transportation of juveniles.

History. Enact. Acts 1998, ch. 606, § 2, effective July 15, 1998; 2002, ch. 257, § 7, effective July 15, 2002; 2002, ch. 346, § 6, effective July 15, 2002; 2008, ch. 87, § 13, effective July 15, 2008; 2014, ch. 132, § 9, effective July 1, 2015.

15A.310. Juvenile data elements for centralized criminal history record information system — Access.

  1. The Department of Juvenile Justice, the Cabinet for Health and Family Services, the Department of Corrections, the Administrative Office of the Courts, and the Department of Kentucky State Police shall be responsible for the recording of those data elements for juveniles that are needed for the development of the centralized criminal history record information system.
  2. The database shall at a minimum contain the information required in KRS 27A.310 to 27A.440.
  3. The Department of Juvenile Justice shall provide access to Commonwealth’s attorneys, county attorneys, law enforcement agencies, the Department of Kentucky State Police, the Department of Corrections, the Cabinet for Health and Family Services, and the Administrative Office of the Courts to its database.

History. Enact. Acts 1998, ch. 606, § 7, effective July 15, 1998; 2005, ch. 99, § 87, effective June 20, 2005; 2007, ch. 85, § 50, effective June 26, 2007.

15A.312. Database update by Department of Juvenile Justice.

The Department of Juvenile Justice shall update its database within thirty (30) days of receipt of information. The update shall include information from the:

  1. Offender records;
  2. Institutional records; and
  3. Administrative records.

History. Enact. Acts 1998, ch. 606, § 8, effective July 15, 1998.

15A.314. Renumbered as 194A.360. [Repealed]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 606, § 9, effective July 15, 1998) was repealed, reenacted and amended as KRS 194A.360 by Acts 2002, ch. 257, § 18, effective July 15, 2002.

15A.320. Youth alternative centers.

  1. Any county, urban-county, or charter county may apply to the Department of Juvenile Justice to construct, operate, or contract for the operation of a youth alternative center.
  2. The youth alternative center shall be a nonsecure facility and shall be under the jurisdiction of that governing body, subject to the provisions of this chapter.
  3. The youth alternative center shall be used only for the detention of juveniles. The youth alternative center shall not be part of a county jail or other facility that houses adult offenders.
  4. The youth alternative center may be used as a place of detention for juveniles by order of a court prior to adjudication and after adjudication regardless of whether the child is a status offender, public offender, or youthful offender.

History. Enact. Acts 2000, ch. 534, § 1, effective July 14, 2000.

Substance Abuse Prevention

15A.340. Kentucky Agency for Substance Abuse Policy (KY-ASAP) — Organization — Purpose — Oversight by Office of Drug Control Policy — Members of KY-ASAP Board — Duties of board.

  1. As used in this section and KRS 15A.342 and 15A.344 , “KY-ASAP” means the Kentucky Agency for Substance Abuse Policy.
  2. The Office of Drug Control Policy shall administer an endowment from interest generated through funds appropriated or gifts, donations, or funds received from any source. The Office of Drug Control Policy may expend endowment principal, if necessary in its discretion, to carry out the purposes of this section and KRS 15A.342 and 15A.344 . These expenditures from the endowment principal are hereby appropriated for this purpose.
    1. The Office of Drug Control Policy shall oversee the activities specified in this section and KRS 15A.342 and 15A.344 and provide administrative support to the seventeen (17) member KY-ASAP Board, which is created to oversee the activities of KY-ASAP. Membership of the board shall be appointed by the Governor and shall consist of the following: (3) (a) The Office of Drug Control Policy shall oversee the activities specified in this section and KRS 15A.342 and 15A.344 and provide administrative support to the seventeen (17) member KY-ASAP Board, which is created to oversee the activities of KY-ASAP. Membership of the board shall be appointed by the Governor and shall consist of the following:
      1. One (1) member representing the Kentucky Family Resource Youth Services Coalition, or a designee;
      2. One (1) member representing the Kentucky Health Department Association, or a designee;
      3. The secretary of the Cabinet for Health and Family Services, or designee;
      4. The secretary of the Justice and Public Safety Cabinet, or a designee;
      5. One (1) member representing the Division of Behavioral Health within the Department for Behavioral Health, Developmental and Intellectual Disabilities, Cabinet for Health and Family Services, or a designee;
      6. The commissioner of the Department for Public Health, Cabinet for Health and Family Services, or a designee;
      7. The commissioner of the Department of Alcoholic Beverage Control, or a designee;
      8. The commissioner of the Department of Education;
      9. The director of the Administrative Office of the Courts, or a designee;
      10. One (1) member representing the Kentucky Association of Regional Programs, or a designee;
      11. One (1) member representing the Kentucky Heart Association, or a designee;
      12. One (1) member representing the Kentucky Lung Association, or a designee;
      13. One (1) member representing the Kentucky Cancer Society, or a designee;
      14. Two (2) members representing local tobacco addiction and substance abuse advisory and coordination boards; and
      15. Two (2) members representing private community-based organizations, whether for-profit or nonprofit, with experience in programs involving smoking cessation or prevention or alcohol or substance abuse prevention and treatment.
    2. Members shall serve for a term of four (4) years, may be reappointed, and may serve no more than two (2) consecutive terms. Members shall not be compensated but shall receive reimbursement for expenses incurred while performing board business.
    3. The board shall meet at least quarterly. A quorum of nine (9) members shall be required for the transaction of business. Meetings shall be held at the call of the chair, or upon the written request of two (2) members to the chair.
    4. The board shall:
      1. Oversee deposits and expenditures from the endowment;
      2. Request, in its discretion, an audit relating to the expenditure of endowment funds;
      3. Receive quarterly reports from the commissioner of the Department of Alcoholic Beverage Control regarding KY-ASAP’s activities;
      4. Progress toward development and implementation of the strategic plan;
      5. Recommend to KY-ASAP the most efficient means for using public funds to coordinate, supplement, and support high quality and ongoing programs of all public agencies and private service providers related to smoking cessation and prevention and alcohol and substance abuse prevention and treatment;
      6. Recommend matters for review and analysis by KY-ASAP; and
      7. Perform other duties as necessary for the oversight of KY-ASAP.
  3. The Office of Drug Control Policy and KY-ASAP shall promote the implementation of research-based strategies that target Kentucky’s youth and adult populations.
  4. The Office of Drug Control Policy and KY-ASAP shall vigorously pursue the philosophy that tobacco in the hands of Kentucky’s youth is a drug abuse problem because of the addictive qualities of nicotine, and because tobacco is the most prevalent gateway drug that leads to later and escalated drug and alcohol abuse.

History. Repealed and reenact., Acts 2007, ch. 85, § 10, effective June 26, 2007; 2010, ch. 24, § 20, effective July 15, 2010; 2012, ch. 146, § 3, effective July 12, 2012; 2012, ch. 158, § 5, effective July 12, 2012.

Compiler’s Notes.

This section was formerly compiled as KRS 12.330 .

Legislative Research Commission Notes.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 146 and 158, which do not appear to be in conflict and have been codified together.

15A.342. Duties of Office of Drug Control Policy and KY-ASAP — Authority for administrative regulations — Reports.

The Office of Drug Control Policy shall be responsible for all matters relating to the research, coordination, and execution of drug control policy and for the management of state and federal grants, including but not limited to the prevention and treatment related to substance abuse. By December 31 of each year, the Office of Drug Control Policy shall review, approve, and coordinate all current projects of any substance abuse program which is conducted by or receives funding through agencies of the executive branch. This oversight shall extend to all substance abuse programs which are principally related to the prevention or treatment, or otherwise targeted at the reduction, of substance abuse in the Commonwealth. The Office of Drug Control Policy shall promulgate administrative regulations consistent with enforcing this oversight authority. In addition, the Office of Drug Control Policy and KY-ASAP shall:

  1. Develop a strategic plan to reduce the prevalence of smoking and drug and alcohol abuse among both the youth and adult populations in Kentucky;
  2. Monitor the data and issues related to youth alcohol and tobacco access, smoking cessation and prevention, and substance abuse policies, their impact on state and local programs, and their flexibility to adapt to the needs of local communities and service providers;
  3. Make policy recommendations to be followed to the extent permitted by budgetary restrictions and federal law, by executive branch agencies that work with smoking cessation and prevention and alcohol and substance abuse issues to ensure the greatest efficiency in agencies and to ensure that a consistency in philosophy will be applied to all efforts undertaken by the administration in initiatives related to smoking cessation and prevention and alcohol and substance abuse;
  4. Identify existing resources in each community that advocate or implement programs for smoking cessation or prevention, or drug and alcohol abuse prevention, education, or treatment;
  5. Encourage coordination among public and private, state and local, agencies, organizations, and service providers, and monitor related programs;
  6. Act as the referral source of information, utilizing existing information clearinghouse resources within the Department for Public Health and CHAMPIONS for a Drug Free Kentucky Office, relating to youth tobacco access, smoking cessation and prevention, and substance abuse prevention, cessation, and treatment programs. The Office of Drug Control Policy and KY-ASAP shall identify gaps in information referral sources;
  7. Search for grant opportunities for existing programs within the Commonwealth;
  8. Make recommendations to state and local agencies and local tobacco addiction and substance abuse advisory and coordination boards;
  9. Observe programs from other states;
  10. Coordinate services among local and state agencies, including but not limited to the Justice and Public Safety Cabinet, the Cabinet for Health and Family Services, the Department of Agriculture, the Public Protection Cabinet, the Administrative Office of the Courts, and the Education and Workforce Development Cabinet;
  11. Assure the availability of training, technical assistance, and consultation to local service providers for programs funded by the Commonwealth that provide services related to tobacco addiction, smoking cessation or prevention, or alcohol or substance abuse;
  12. Review existing research on programs related to smoking cessation and prevention and substance abuse prevention and treatment;
  13. Comply with any federal mandate regarding smoking cessation and prevention and substance abuse, to the extent authorized by state statute;
  14. Establish a mechanism to coordinate the distribution of funds to support any local prevention, treatment, and education program based on the strategic plan developed in subsection (1) of this section that could encourage smoking cessation and prevention through efficient, effective, and research-based strategies;
  15. Oversee a school-based initiative that links schools with community-based agencies and health departments to implement School Programs to Prevent Tobacco Use, based upon the model recommended by the Centers for Disease Control and Prevention. To the extent permitted by resources, the initiative shall involve input by and services from each of the family resource and youth services centers, regional prevention centers, and existing school-based antidrug programs;
  16. Work with community-based organizations to encourage them to work together to establish comprehensive tobacco addiction and substance abuse prevention education programs and carry out the strategic plan developed in this section. These organizations shall be encouraged to partner with district and local health departments and community mental health centers to plan and implement interventions to reach youths before tobacco addiction and substance abuse become a problem in their lives;
  17. Coordinate media campaigns designed to demonstrate the negative impact of smoking and the increased risk of tobacco addiction, substance abuse, and the development of other disease in children, young people, and adults. To accomplish this objective, KY-ASAP shall work with local media to reach all segments of the community quickly and efficiently;
  18. Certify to the Governor, the secretary of the Justice and Public Safety Cabinet, and the General Assembly during the budget request process established under KRS Chapter 48 the extent to which each entity receiving state funds has cooperated with the Office of Drug Control Policy and KY-ASAP, coordinated with community resources, and vigorously pursued the philosophy of the Office of Drug Control Policy and KY-ASAP;
  19. Promulgate, with the approval of the secretary of the Justice and Public Safety Cabinet, any administrative regulations necessary to implement this section and KRS 15A.340 and 15A.344 ; and
  20. Report annually to the Legislative Research Commission and Governor regarding the proper organization of state government agencies that will provide the greatest coordination of services, and report semiannually to the Legislative Research Commission and Governor on the status of the Office of Drug Control Policy and KY-ASAP programs, services, and grants, and on other matters as requested by the Legislative Research Commission and Governor.

History. Repealed and reenact., Acts 2007, ch. 85, § 11, effective June 26, 2007; 2009, ch. 11, § 7, effective June 25, 2009; 2010, ch. 24, § 21, effective July 15, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 12.332 .

15A.344. County tobacco addiction and alcohol and substance abuse advisory and coordination boards — Role of KY-ASAP — Local long-term community strategy.

  1. KY-ASAP shall establish in each county a local tobacco addiction and alcohol and substance abuse advisory and coordination board to assist in planning, overseeing, and coordinating the implementation of local programs related to smoking cessation and prevention and alcohol and substance abuse prevention, cessation, and treatment, although a single board may be established for multiple counties to ensure a comprehensive range of services. The board shall assist with the coordination of programs provided by public and private entities. If the existing programs of private service providers are of high quality, KY-ASAP shall concentrate on providing missing elements and support for those providers. The Cabinet for Health and Family Services shall support the communities’ efforts.
  2. KY-ASAP shall consult with community leaders to solicit the names of residents from the community to serve on each advisory and coordination board. KY-ASAP shall request from each board the submission of reasonable reports on the effectiveness, efficiency, and efforts of each local program, including recommendations for increased or decreased funding, and KY-ASAP shall supply information as necessary to the advisory and coordination board to enable it to carry out its functions.
  3. KY-ASAP shall provide incentives to encourage multicounty advisory and coordination board requests and shall establish a single board to represent all counties making the request. Priority in establishing a board shall be given to existing regional prevention centers or coalitions, community organizations, or local Kentucky Incentives for Prevention (KIP) project coalitions. Membership shall consist of residents from each of the counties.
  4. Each advisory and coordination board shall develop a long-term community strategy that is designed to reduce the incidence of youth and young adult smoking and tobacco addiction, promote resistance to smoking, reduce the incidence of substance abuse, and promote effective treatment of substance abuse. All county resources, both private and public, for-profit and nonprofit, shall be considered in developing this strategy.
    1. Employers, local leaders, schools, family resource and youth services centers, health care providers and institutions, economic developers, and other relevant local and regional entities shall be consulted in the development of the strategy.
    2. An assessment of needs and available services shall be included in the strategy.

History. Enact. Acts 2000, ch. 536, § 27, effective July 14, 2000; 2005, ch. 99, § 75, effective June 20, 2005; repealed and reenact., Acts 2007, ch. 85, § 12, effective June 26, 2007.

Compiler’s Notes.

This section was formerly compiled as KRS 12.334 .

Motorcycle Safety Education

15A.350. Motorcycle safety education program — Standards — Administrative regulations. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 1, effective July 1, 2005; 2007, ch. 85, § 51, effective June 26, 2007; 2018 ch. 39, § 1, effective July 14, 2018; 2021 ch. 188, § 3, effective June 29, 2021; renumbered to KRS § 176.5061 by 2021 ch. 190, § 1, effective June 29, 2021.

15A.352. Motorcycle rider training courses — Exemption from motorcycle driver’s license skill test. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 2, effective July 1, 2005; 2018 ch. 39, § 2, effective July 14, 2018; 2021 ch. 188, § 4, effective June 29, 2021; renumbered to KRS § 176.5062 by 2021 ch. 190, § 2, effective June 29, 2021.

15A.354. Instructors — Requirements for approval — Approval of nonresidents — Review of status every two years. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 3, effective July 1, 2005; 2018 ch. 39, § 3, effective July 14, 2018; 2021 ch. 188, § 5, effective June 29, 2021; renumbered to KRS § 176.5063 by 2021 ch. 190, § 3, effective June 29, 2021.

15A.356. Powers of cabinet. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 4, effective July 1, 2005; renumbered to KRS § 176.5064 by 2021 ch. 190, § 4, effective June 29, 2021.

15A.358. Motorcycle safety education program fund. [Renumbered]

HISTORY: Enact. Acts 2005, ch. 122, § 5, effective July 1, 2005; 2007, ch. 85, § 52, effective June 26, 2007; 2017 ch. 100, § 36, effective January 1, 2019; 2018 ch. 39, § 5, effective July 14, 2018; 2018 ch. 39, § 6, effective January 1, 2019; renumbered to KRS § 176.5065 by 2021 ch. 190, § 5, effective June 29, 2021.

15A.360. Revenues relating to motorcycle safety education program fund — Report. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 6, effective July 1, 2005; 2007, ch. 85, § 53, effective June 26, 2007; renumbered to KRS § 176.5066 by 2021 ch. 190, § 6, effective June 29, 2021.

15A.362. Motorcycle Safety Education Commission — Membership — Terms — Meetings — Commission attached to Office of Highway Safety within the Department of Highways for administrative purposes. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 7, effective July 1, 2005; 2007, ch. 85, § 54, effective June 26, 2007; renumbered to KRS § 176.5067 by 2021 ch. 190, § 7, effective June 29, 2021.

15A.364. Responsibilities of Motorcycle Safety Education Commission. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 8, effective July 1, 2005; 2007, ch. 85, § 55, effective June 26, 2007; renumbered to KRS § 176.5068 by 2021 ch. 190, § 8, effective June 29, 2021.

15A.366. Annual report — Submitted to Governor and Legislative Research Commission and available for public review. [Renumbered]

History. Enact. Acts 2005, ch. 122, § 9, effective July 1, 2005; renumbered to KRS § 176.5069 by 2021 ch. 190, § 9, effective June 29, 2021.

Department of Kentucky Vehicle Enforcement

15A.370. Department of Kentucky Vehicle Enforcement — Employees may be commissioned as peace officers — Enforcement powers — Divisions in department. [Repealed.]

Compiler’s Notes.

This section (Repealed, reenact. and amend., Acts 2007, ch. 85, § 281, effective June 26, 2007) was repealed by Acts 2009, ch. 75, § 22, effective June 25, 2009.

15A.371. Charges against commissioned employees — Procedure — Hearing. [Repealed.]

Compiler’s Notes.

This section (Repealed, reenact. and amend., Acts 2007, ch. 85, § 282, effective June 26, 2007) was repealed by Acts 2009, ch. 75, § 22, effective June 25, 2009.

15A.372. Trial board for hearings on charges against commissioned employees — Right to hearing — Appeals. [Repealed.]

Compiler’s Notes.

This section (Repealed, reenact. and amend., Acts 2007, ch. 85, § 283, effective June 26, 2007) was repealed by Acts 2009, ch. 75, § 22, effective June 25, 2009.

Penalty

15A.990. Penalty.

Any person who intentionally violates the provisions of KRS 15A.210 to 15A.230 or the administrative regulations issued thereunder shall be fined not less than five hundred dollars ($500) nor more than ten thousand dollars ($10,000). Each day of violation shall be a separate offense.

History. Enact. Acts 1986, ch. 423, § 177, effective July 1, 1987; 1988, ch. 350, § 136, effective April 10, 1988.

CHAPTER 16 State Police

Department of Kentucky State Police

16.010. Definitions for KRS 16.010 to 16.199.

As used in KRS 16.010 to 16.199 , unless the context requires otherwise:

  1. “Board” means the Department of Kentucky State Police Personnel Board;
  2. “Cabinet” means the Justice and Public Safety Cabinet;
  3. “Cadet Trooper” means an applicant for employment as an officer who is selected by the commissioner to attend the department training program, and who is employed as a trainee;
  4. “Civilian” means experts, statisticians, clerks, and other assistants who are not peace officers;
  5. “Commissioner” means the commissioner of the Department of Kentucky State Police;
  6. “Continuous service” for participation in and eligibility for the promotional process for each rank of officer commissioned under this chapter means:
    1. For sergeant, service as a commissioned Kentucky State Police officer that has not been interrupted by actual separation from the department, whether in the form of resignation, retirement, or termination;
    2. For lieutenant, service in grade as a sergeant that has not been interrupted by actual separation from the department, whether in the form of resignation, retirement, termination, or by demotion in accordance with KRS 16.140 ; and
    3. For captain, service in grade as lieutenant that has not been interrupted by actual separation from the department, whether in the form of resignation, retirement, termination, or by demotion in accordance with KRS 16.140 ;
  7. “CVE R Class” means any retired Kentucky State Police commercial vehicle enforcement officer commissioned under KRS 16.187 who has become reemployed with the department on a contractual basis pursuant to KRS 16.196 to 16.199 ;
  8. “Department” means the Department of Kentucky State Police;
  9. “Officer” means any member of the Department of Kentucky State Police, other than an individual employed as a Trooper R Class or CVE R Class, who possesses the powers of a peace officer;
  10. “Secretary” means the secretary of Justice and Public Safety Cabinet; and
  11. “Trooper R Class” means any retired Kentucky State Police officer commissioned under this chapter who has become reemployed with the department on a contractual basis pursuant to KRS 16.196 to 16.199 .

History. Enact. Acts 1948, ch. 80, § 1; 1952, ch. 57, § 1; 1966, ch. 255, § 9; 1974, ch. 74, Art. V, § 22; 1976, ch. 299, § 4; 2005, ch. 60, § 1, effective January 1, 2006; 2007, ch. 85, § 56, effective June 26, 2007; 2009, ch. 59, § 1, effective June 25, 2009; 2013, ch. 64, § 8, effective June 25, 2013; 2016 ch. 110, § 6, effective July 15, 2016; 2016 ch. 109, § 5, effective July 15, 2016.

Legislative Research Commission Notes.

(7/15/2016). This statute was amended in 2016 Ky. Acts ch. 109, sec. 5 and ch. 110, sec. 6. 2016 Ky. Acts ch. 110, sec. 15 provided that ch. 110 takes precedence over ch. 109. Chapter 110 was also the later-passed bill. Therefore, 2016 Ky. Acts ch. 110, sec. 6 has been codified and 2016 Ky. Acts ch. 109, sec. 5 has not.

(6/25/2009). A reference in the lead-in language of this statute to “KRS 16.010 to 16.185 and Sections 12 to 15 of this Act” in 2009 Ky. Acts ch. 59, sec. 1, has been changed in codification to “ KRS 16.010 to 16.199 ,” to account for newly created statutes in 2009 Ky. Acts ch. 75, secs. 1 to 10, and 2009 Ky. Acts ch. 59, secs. 12 to 15, all of which have been assigned numbers in KRS Chapter 16 within that range of statutes.

(1/1/2006). 2005 Ky. Acts ch. 60, sec. 3, states that the amendments to this statute made in 2005 Ky. Acts ch. 60, sec. 1, “shall only apply to the 2006 Kentucky State Police sworn promotional process and any sworn promotional processes thereafter.”

Compiler’s Notes.

Section 15 of Acts 2016, ch. 110 read: “Sections 6 to 12 of this Act shall take precedence over the provisions of Sections 5 to 11 of 16 RS HB 535 [Act 109] should that bill be enacted.”

Research References and Practice Aids

Cross-References.

Justice and Public Safety Cabinet, KRS Chapter 15A.

Organization of state departments generally, KRS 12.060 .

Social security for public employees, KRS 61.410 to 61.500 .

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

16.020. Department of State Police created; appointment of commissioner as head. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 80, § 2) was repealed by Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 5.

16.030. Qualifications of commissioner.

The commissioner shall be more than twenty-eight (28) years of age; shall be a citizen of the United States; and shall be selected on the basis of training, experience and qualifications for this position and preferably shall have at least five (5) years experience in public or police administration.

History. Enact. Acts 1948, ch. 80, § 3; 1952, ch. 57, § 6; 1956 (1st Ex. Sess.), ch. 7, Art. X, § 5; 1966, ch. 255, § 10; 1974, ch. 74, Art. V, § 23; 1976, ch. 299, § 5.

Research References and Practice Aids

Cross-References.

Deputy heads of state departments, appointment and compensation, KRS 12.040 .

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

16.040. Organization of department — Qualifications of officers — Investigation of applicants.

  1. The department shall consist of the commissioner and the number of officers, individuals employed as a Trooper R Class, CVE R Class, and civilians, and shall be organized in the manner as the commissioner from time to time determines.
  2. All persons appointed as officers shall at the time of their appointment:
    1. Be not less than twenty-one (21) years of age;
    2. Be of good moral character, and in good health;
    3. Be citizens of the United States and residents of the Commonwealth; and
    4. Possess;
      1. A minimum of sixty (60) hours of credit, or an associate degree, from an accredited college or university;
      2. A high school diploma with at least two (2) years’ experience in the military or in law enforcement; or
      3. A high school diploma or General Educational Development (GED) diploma with additional experience established by the commissioner by administrative regulation promulgated pursuant to KRS Chapter 13A. However, any person appointed under this subparagraph who has not completed the requirements of subparagraph 1. of this paragraph prior to the end of probation as described in KRS 16.140(11) shall be discharged.
  3. The commissioner shall prescribe minimum physical requirements for appointment as an officer of the department and for individuals employed as a Trooper R Class or CVE R Class, and shall conduct such tests and require such physical examinations as deemed necessary to determine the fitness and qualification of each applicant. All other qualifications being equal, preference shall be given to veterans of the Armed Forces of the United States in time of war, who were honorably discharged.
  4. The commissioner shall direct an investigation to be conducted in order to determine an applicant’s suitability for employment as an officer. The contents of the investigation shall be subject to the Open Records Act, KRS 61.870 to 61.884 and KRS 61.991 , except that the identity of any witness or informant involving information relative to this investigation shall remain confidential. The identity of any witness or informant shall be subject to the subpoena power of a court of competent jurisdiction.

HISTORY: Enact. Acts 1948, ch. 80, § 4; 1966, ch. 255, § 11; 1974, ch. 74, Art. V, § 24(3) and (6); 1994, ch. 437, § 1, effective July 15, 1994; 1996, ch. 80, § 1, effective July 15, 1996; 2009, ch. 59, § 2, effective June 25, 2009; 2013, ch. 64, § 9, effective June 25, 2013; 2017 ch. 186, § 2, effective April 11, 2017; 2018 ch. 146, § 1, effective April 10, 2018.

Opinions of Attorney General.

“Pro tanto” credit, one year of high school credit for each year of experience in police administration or law enforcement, should not be given per se, but whether such credit should be given should be determined on a case by case basis in the sound discretion of the commissioner subject to appeal to the board under KRS 16.050(8). OAG 68-249 .

Regulation of board requiring all applicants for trooper to possess a high school diploma and a certificate of their credits is unauthorized and invalid as it would be in conflict with the mandate of KRS 16.040(2)(d). OAG 68-249 .

502 KAR 45:065 Section (5) which mandates absolute confidentiality as to investigations conducted by the State Police to determine an applicant’s suitability for employment, modifies and vitiates the terms of this section which directs disclosure of the contents of the investigation, with the narrow exception of the identities of witnesses and informants, specifically referencing the Open Records Act, and since 502 KAR 45:065 Section (5) and this section cannot be reconciled, the statute controls. 97-ORD-136.

Research References and Practice Aids

Cross-References.

Organization of state departments generally, KRS 12.060 .

16.045. Appointment of deputy commissioner.

The commissioner may appoint a deputy commissioner. The appointee shall have peace officer authority only if that appointee is a current or honorably retired member of the Kentucky State Police.

HISTORY: 2016 ch. 6, § 9, effective March 30, 2016.

16.050. Appointment and compensation of personnel — Department of Kentucky State Police Personnel Board — Organization, duties, and compensation — Repayment of training costs.

  1. The commissioner shall appoint or promote to the ranks and grades and positions of the department such officers as are considered by him or her to be necessary for the efficient administration of the department. The Kentucky State Police shall conduct a biennial salary survey, and the findings of the salary survey shall be included in the department’s budget request submitted to the Kentucky General Assembly.
  2. All initial appointments of officers to the department shall be made for merit and fitness after a competitive examination.
  3. There is created a Department of Kentucky State Police Personnel Board consisting of the commissioner and four (4) other members to be appointed by the Governor, two (2) to be appointed from each of the two (2) major political parties.
  4. The initial appointment of members of the board shall be for terms of one (1), two (2), three (3), and four (4) years. Thereafter each appointment shall be for a term of four (4) years, except that a person appointed to fill a vacancy occurring prior to the expiration of a term shall be appointed for the remainder of that term.
  5. Members of the board may be removed by the Governor only for cause, after being given a copy of charges against them and an opportunity to be heard publicly on such charges before the Governor.
  6. The board shall elect one (1) of its members chairman. It shall meet at such time and place as shall be specified by call of the commissioner. Three (3) members shall constitute a quorum for the transaction of business. Members of the board other than the commissioner shall receive compensation of fifty dollars ($50) and reimbursement of travel expenses for each meeting of the board which they attend.
  7. The board shall promulgate administrative regulations to carry out the purposes herein, which shall include provisions for:
    1. Open competitive examination as to fitness of applicants for employment as officers; and
    2. Establishment of eligible lists as a result of such competitive examinations, from which lists vacancies shall be filled.
  8. The board shall hear appeals from applicants for employment for which examinations are being given or have been conducted and from eligibles on examination registers subject to the procedural rules which the board may adopt pursuant to the provisions of this section.
    1. Prior to appointment as a Cadet Trooper, all applicants shall agree in writing that if, within three (3) years of completing the basic training course offered by the department, he or she accepts employment as a peace officer with another law enforcement agency, or accepts employment with another type of agency or entity in a position that requires law enforcement training to meet the qualifications for the position, he or she will repay to the department the cost incurred by the department in providing training to the officer to the extent repayment has not been made by the agency with which the officer accepts employment under paragraph (b) or (c) of this subsection. (9) (a) Prior to appointment as a Cadet Trooper, all applicants shall agree in writing that if, within three (3) years of completing the basic training course offered by the department, he or she accepts employment as a peace officer with another law enforcement agency, or accepts employment with another type of agency or entity in a position that requires law enforcement training to meet the qualifications for the position, he or she will repay to the department the cost incurred by the department in providing training to the officer to the extent repayment has not been made by the agency with which the officer accepts employment under paragraph (b) or (c) of this subsection.
    2. If the officer accepts employment as a peace officer with another state agency or a state university or educational institution within Kentucky within three (3) years of completing the basic training course offered by the department, the agency, university, or educational institution shall reimburse the department for costs incurred in providing training to the officer.
    3. If the officer accepts employment with a city, county, or other local law enforcement agency within Kentucky within three (3) years of completing the basic training course offered by the department, KRS 70.290 shall apply as well, except that the amount of the reimbursement shall not be prorated as provided in KRS 70.290 .

HISTORY: Enact. Acts 1948, ch. 80, § 5; 1952, ch. 57, § 2; 1966, ch. 255, § 12; 1974, ch. 74, Art. V, § 24(4), 25; 1978, ch. 154, § 2, effective June 17, 1978; 1988, ch. 344, § 1, effective July 15, 1988; 1998, ch. 154, § 8, effective July 15, 1998; 2007, ch. 85, § 57, effective June 26, 2007; 2016 ch. 110, § 8, effective July 15, 2016; 2016 ch. 109, § 7, effective July 15, 2016.

Legislative Research Commission Notes.

(7/15/2016). This statute was amended in 2016 Ky. Acts ch. 109, sec. 7 and ch. 110, sec. 8. 2016 Ky. Acts ch. 110, sec. 15 provided that ch. 110 takes precedence over ch. 109. Chapter 110 was also the later-passed bill. Therefore, 2016 Ky. Acts ch. 110, sec. 8 has been codified and 2016 Ky. Acts ch. 109, sec. 7 has not.

A technical correction has been made in this section by the Reviser of Statutes pursuant to 7.136 .

Compiler’s Notes.

Section 15 of Acts 2016, ch. 110 read: “Sections 6 to 12 of this Act shall take precedence over the provisions of Sections 5 to 11 of 16 RS HB 535 [Act 109] should that bill be enacted.”

Research References and Practice Aids

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

16.052. Salary schedules for Kentucky State Police Officers.

  1. The base compensation of officers shall be determined based on years of service and rank, as provided in this section.
    1. The years-of-service requirements for the salary schedule for ranks below sergeant are as follows: (2) (a) The years-of-service requirements for the salary schedule for ranks below sergeant are as follows:
      1. A Trooper is an officer with less than three (3) years of continuous service as a commissioned officer with the department;
      2. A Senior Trooper shall have:
        1. At least three (3) years of continuous service as a commissioned officer with the department and sixty (60) college credit hours;
        2. At least four (4) years of continuous service as a commissioned officer with the department and thirty-two (32) college credit hours; or
        3. Five (5) years of continuous service as a commissioned officer with the department with no college credit requirement;
      3. A Trooper First Class shall have at least ten (10) years of continuous service as a commissioned officer with the department; and
      4. A Master Trooper shall have at least fifteen (15) years of continuous service as a commissioned officer with the department.
    2. In addition to meeting the years of service requirements established by paragraph (a) of this subsection, officers listed in the salary schedule for officers below the rank of sergeant shall also meet the requirements for promotion in rank established by the commissioner pursuant to KRS 16.050 .
    3. Requirements for promotion to sergeant, lieutenant, and captain are as established by KRS 16.055 .
  2. Any overtime and any salary supplement received from the Law Enforcement Foundation Program pursuant to KRS 15.410 to 15.510 or any comparable supplements received from another funding source shall be in addition to the amounts reflected in the base salary schedules established by subsection (4) of this section.
    1. The salary schedules established in this subsection are based on a combination of officer classification and years of service. (4) (a) The salary schedules established in this subsection are based on a combination of officer classification and years of service.
    2. When “NA” appears in the schedule, it is not possible for an officer to be in that classification and years-of-service combination based upon statutory or regulatory conditions established for promotion or advancement.
    3. Salary increases based on years of service shall be effective on the first day of the month during which the anniversary of the officer’s appointment as a commissioned Kentucky State Police officer falls.
    4. Salary increases based on promotion to a higher rank shall be effective on the first day the officer is promoted.
    5. If an officer is reverted to a previous rank, the officer’s salary shall be adjusted to the salary reflected in the base salary schedule for the officer’s applicable number of years of service and rank. The adjustment shall take effect the first pay period following the pay period in which the reversion occurs.
    6. The base salary for a Cadet Trooper shall be thirty-five thousand dollars ($35,000).

      BASE SALARY SCHEDULE FOR RANKS BELOW SERGEANT

      BASE SALARY SCHEDULE SERGEANT AND ABOVE

  3. Beginning on July 1, 2018, the salary schedule established by subsection (4) of this section shall be adjusted annually to incorporate any increase in the nonseasonally adjusted Consumer Price Index for all urban consumers, U.S. city average, all items, published by the United States Department of Labor, Bureau of Labor Statistics.
  4. The salary schedules shall be applied to officers employed by the department on July 15, 2016, as follows:
    1. Except as provided in paragraph (b) of this subsection:
      1. Any officer whose base salary exceeds the amount established for his or her years of service and rank in subsection (4) of this section shall retain his or her base salary and shall not receive an increase under the salary schedule until the officer’s years of service and rank require a higher base salary than the base salary he or she was receiving on July 15, 2016; and
      2. Any officer whose base salary is below the amount established for his or her years of service and rank in subsection (4) of this section shall receive the base salary he or she qualifies for under the salary schedule for the pay period beginning August 1, 2016; and
    2. Any officer who is receiving compensation under KRS 16.165 shall not receive any years of service or rank increases during any period that he or she is receiving compensation under KRS 16.165 .
  5. The commissioner may establish additional ranks beyond those provided in the salary schedules established by this section, including the ranks of major, lieutenant colonel, colonel, and executive security detail. If the commissioner establishes any of these ranks, the commissioner shall set forth in a policy the conditions under which an officer may be promoted to the rank, and the salary that the officer will receive while serving in that rank.

Years of Service Trooper Salary Steps Based on Trooper Rank Senior First Class Master Base Pay $37,887 $43,014 NA NA 3 years $41,310 NA NA NA 5 years $43,014 $44,216 NA NA 7 years NA $45,452 NA NA 9 years NA $46,726 NA NA 10 years NA NA $47,000 NA 13 years NA NA $49,450 NA 15 years NA NA NA $55,356 17 years NA NA NA $58,224 19 years NA NA NA $61,263 21 years NA NA NA $64,397 23 years NA NA NA $67,716 25 years NA NA NA $68,414 27 years NA NA NA $69,118 29 years NA NA NA $69,829

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Years of Service Salary Steps Based on Rank Sergeant Lieutenant Captain 6 years $45,271 NA NA 7 years $47,271 $53,500 NA 8 years $47,805 NA $59,100 9 years $49,918 $54,500 NA 11 years $50,911 $56,000 $61,199 13 years $53,108 $58,000 $63,798 15 years $56,966 $61,000 $67,188 17 years $61,093 $65,000 $70,747 19 years $65,510 $70,436 $74,845 21 years $70,235 $74,158 $78,409 23 years $75,292 $78,066 $82,529 25 years $80,702 $82,169 $86,755 27 years $85,491 $86,478 $90,306 29 years $90,686 $91,002 $93,998

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HISTORY: 2016 ch. 110, § 7, effective July 15, 2016; enacted by 2016 ch. 109, § 6, effective July 15, 2016; 2017 ch. 186, § 3, effective April 11, 2017.

Legislative Research Commission Notes.

(7/15/2016). This statute was proposed to be created in 2016 Ky. Acts ch. 109, sec. 6 and ch. 110, sec. 7. 2016 Ky. Acts ch. 110, sec. 15 provided that ch. 110 takes precedence over ch. 109. Chapter 110 was also the later-passed bill. Therefore, 2016 Ky. Acts ch. 110, sec. 7 has been codified and 2016 Ky. Acts ch. 109, sec. 6 has not.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, H, 4, (6) at 888.

16.055. Promotions — Terms and conditions.

  1. Promotions to sergeant within the department shall be on the following terms and conditions:
    1. The applicant must have served six (6) years of continuous service as a commissioned State Police officer to be eligible for promotion to sergeant;
    2. The applicant may be excluded from promotion eligibility by the commissioner for up to thirty-six (36) months on the basis of substantiated misconduct, as set forth in department policy;
    3. Promotions shall be based on cumulative scores computed from twenty-five percent (25%) on personnel performance evaluation, thirty percent (30%) on job simulation examination, and forty-five percent (45%) on a written examination on which the applicant achieved at least a minimum score as determined by the commissioner in consultation with the Kentucky State Police Promotional Review Board;
    4. The promotional list shall be valid for one (1) year, shall consist of the numerical scores and rankings of each applicant, and promotions shall be made in consecutive order beginning with the highest numerical ranking to fill an interim vacancy. When two (2) or more applicants receive the same numerical score, the order of placement on the list shall be determined by seniority of service. Upon the determination of a new numerical ranking following a new examination, all previous rankings shall be null and void;
    5. The written examination shall be prepared and administered by an individual designated by the commissioner. The materials and textbooks will be selected by the commissioner and his or her staff. The commissioner will inform all applicants at least three (3) months prior to the examination date of the exact material from which test questions will be taken and the minimum score required to be eligible for placement on the promotional list;
    6. The written test shall be administered to all applicants at the same time. Immediately upon completion of the written test the applicant will receive his or her numerical score. Such numerical score shall remain valid for a period of two (2) years following the date of examination unless the source material upon which the test is based is changed by more than thirty percent (30%), provided that the numerical score meets or exceeds the minimum score set in paragraph (e) of this subsection for the current year’s promotional list;
    7. The job simulation examination shall be evaluated by boards designated by the commissioner consisting of the commissioner or his or her designated appointee not lower than rank of captain, an officer from another police agency of the rank equal to the position for which the applicant is competing, an instructor from an accredited law enforcement education program, a personnel director from private industry, and an officer from the Kentucky State Police of the rank equal to the position for which the applicant is competing;
    8. The designated job simulation examination boards will perform all evaluations under guidelines developed and approved by the commissioner; and
    9. Personnel evaluations shall be made by the appropriate supervisory personnel under procedures established and approved by the commissioner.
  2. Promotions from sergeant to lieutenant within the department shall be on the same terms and conditions as promotions to sergeant. In addition, any applicant for lieutenant must have completed at least one (1) year of continuous service in grade as sergeant.
  3. Promotions from lieutenant to captain within the department shall be on the same terms and conditions as promotions to lieutenant. In addition, any applicant for captain must have completed at least one (1) year of continuous service in grade as lieutenant.
  4. The department will develop and administer only one (1) test for each of the above ranks. All eligible applicants will be permitted to participate in the promotional process to the next highest position of responsibility wherever a vacancy exists.
  5. Officers promoted to rank of sergeant, lieutenant, or captain shall serve a probationary period for one (1) year of continuous service from the effective date of their promotions, and may be reverted to their previous rank with or without cause at any time during this period. If reverted to a previous rank, an individual is ineligible for promotion the next time the promotional process is offered.
  6. The provisions of KRS 16.140 to the contrary notwithstanding, all ranks above the grade of captain are temporary and shall not be subject to the provisions for selection and promotion as required herein. All officers in such temporary positions shall serve at the pleasure of the commissioner and shall revert to their previous permanent rank upon the termination of their temporary appointment.
  7. The total number of supervisory officers of all classifications shall be limited to a ratio not to exceed one (1) supervisor for every five (5) nonsupervisory officers.
  8. No officer of the department, other than temporary positions above the rank of captain, shall be promoted to the next highest rank without competing with other officers as prescribed by this promotional procedure.
  9. There shall be no discrimination based on race, sex, age, national origin, color,religion, creed, or political affiliation with respect to the department promotional system. All personnel actions are to be based solely on merit.

History. Enact. Acts 1976, ch. 39, § 1; 1976 (Ex. Sess.), ch. 2, § 1; 2003, ch. 133, § 1, effective June 24, 2003; 2005, ch. 60, § 2, effective January 1, 2006; 2007, ch. 85, § 58, effective June 26, 2007; 2009, ch. 59, § 3, effective June 25, 2009; 2016 ch. 6, § 1, effective July 15, 2016; 2019 ch. 194, § 2, effective April 9, 2019.

Legislative Research Commission Notes.

(1/1/2006). 2005 Ky. Acts ch. 60, sec. 3, states that the amendments to this statute made in 2005 Ky. Acts ch. 60, sec. 2, “shall only apply to the 2006 Kentucky State Police sworn promotional process and any sworn promotional processes thereafter.”

16.060. Powers and duties of commissioner and officers.

It shall be the duty of the commissioner, each officer of the department, and each individual employed as a Trooper R Class or CVE R Class to detect and prevent crime, apprehend criminals, maintain law and order throughout the state, to collect, classify and maintain information useful for the detection of crime and the identification, apprehension and conviction of criminals and to enforce the criminal, as well as the motor vehicle and traffic laws of the Commonwealth. To this end the commissioner, each officer of the department, and each individual employed as a Trooper R Class or CVE R Class is individually vested with the powers of a peace officer and shall have in all parts of the state the same powers with respect to criminal matters and enforcement of the laws relating thereto as sheriffs, constables and police officers in their respective jurisdictions, and shall possess all the immunities and matters of defense now available or hereafter made available to sheriffs, constables and police officers in any suit brought against them in consequence of acts done in the course of their employment. Any warrant of arrest may be executed by the commissioner, any officer of the department, and each individual employed as a Trooper R Class or CVE R Class.

History. Enact. Acts 1948, ch. 80, § 6; 1974, ch. 74, Art. V, § 24(4); 1976, ch. 151, § 1; 2009, ch. 59, § 4, effective June 25, 2009; 2013, ch. 64, § 10, effective June 25, 2013.

NOTES TO DECISIONS

1.Roadblocks.

Practice of State Police officers setting up a roadblock for motor vehicles for the sole purpose of requiring the driver to display an operator’s license was not an invasion of the individual’s constitutional freedom and the act was not an unlawful arrest or restraint or illegal search contrary to Ky. Const., § 10. Commonwealth v. Mitchell, 355 S.W.2d 686, 1962 Ky. LEXIS 83 ( Ky. 1962 ).

2.Search Warrant.

Search warrant directed “to any sheriff, constables, jailer, marshal or policeman of Harlan County” was properly served by state trooper as he was acting as a police officer when he served it. Parrott v. Commonwealth, 408 S.W.2d 614, 1966 Ky. LEXIS 120 ( Ky. 1966 ).

Cited in:

Commonwealth v. Bentley, 259 S.W.2d 441, 1953 Ky. LEXIS 946 ( Ky. 1953 ); Tackett v. Commonwealth, 261 S.W.2d 298, 1953 Ky. LEXIS 1004 ( Ky. 1953 ); Kentucky ex rel. Gorman v. Comcast Cable, 881 F. Supp. 285, 1995 U.S. Dist. LEXIS 3919 (W.D. Ky. 1995 ); Roy v. Kentucky State Police, 881 F. Supp. 290, 1995 U.S. Dist. LEXIS 4468 (W.D. Ky. 1995 ).

Opinions of Attorney General.

A state policeman, even though he has statewide jurisdiction to make arrests, has gone beyond his jurisdiction when he enters upon the Fort Knox reservation and thereby attempts to exercise his police powers. OAG 60-1007 .

Officers of the State Police had authority to serve warrants in two fourth-class cities in the county as well as in the county as a whole where they had been specifically requested to exercise such function by the officials of the two cities. OAG 61-311 .

The State Police department is not in any way a successor to the Kentucky active militia. OAG 68-409 .

In the absence of the appointment of a specific Kentucky police officer to serve a process in a particular case as authorized by KRS 454.145 , an officer of the Kentucky State Police has no authority to serve process, including a summons, in a civil case. OAG 69-215 .

Officers of the Kentucky State Police may exercise their powers as peace officers in sixth-class cities. OAG 69-544 .

Duly sworn park rangers may carry concealed weapons on or off park property and need not be on duty or in uniform with the only limitations imposed on their powers and duties set out in KRS 16.120 (repealed) in the same manner as those imposed by this section on State Police officers who have for a number of years carried concealed deadly weapons on and off duty throughout the Commonwealth except in those cities which have specifically excluded them from jurisdiction. OAG 73-210 .

Regulations made by the Department of Fish and Wildlife Resources governing the use of shooting ranges at all wildlife areas in the Commonwealth, including a requirement that all persons using the course pass a safety course, are enforceable by the Kentucky State Police as well as by the Department. OAG 76-617 .

A Kentucky state trooper has the authority to investigate places of entertainment as defined by KRS 231.010 even though state troopers are not specifically included under KRS 231.130 , since KRS 231.130 and this section read together make the state trooper a police officer with the equivalent authority of the county sheriff and the county police. OAG 81-77 .

The Kentucky State Police erred in relying on KRS 61.878(1)(h), KRS 61.878(1)(m)1.c., and KRS 61.878(1)(l), incorporating KRS 16.060 into the Open Records Act, to support nondisclosure of the names of the members of the Governor’s Executive Security Detail appearing on fuel receipts. OAG 05-ORD-255.

Research References and Practice Aids

Cross-References.

Accident reports, KRS 189.635 , 189.636 .

Jurors, security, KRS 29A.180.

School buses, design and operation, advice for regulations to govern, KRS 189.540 .

Seizure of canceled motor vehicle plates, KRS 186.181 .

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part VIII, Peace Officers, 52 Ky. L.J. 1 (1963).

16.062. Prohibition against requesting or requiring victim of alleged sexual offense to submit to polygraph or other examination — Other prohibitions.

No officer of the Kentucky State Police shall:

  1. As a condition of proceeding with an investigation or prosecution of a case, request or require a victim of an alleged sexual offense to submit to a polygraph examination or any other device designed for the purpose of determining whether a person is telling the truth; or
  2. Charge or threaten to charge the victim of an alleged sexual offense with prosecution for a criminal offense for refusing to submit to a polygraph examination or other device designed for the purpose of determining whether a person is telling the truth.

History. Enact. Acts 2008, ch. 112, § 1, effective July 15, 2008.

16.065. Additional duties of department.

In addition to the performance of all duties relating to the Department of Kentucky State Police, the department shall perform the following functions:

  1. Security of state facilities located in Frankfort;
  2. Highway enforcement;
  3. Water safety enforcement as provided in KRS Chapter 235; and
  4. Personal protection of a Medal of Honor recipient who:
    1. Is a current Kentucky resident;
    2. Is attending any public event or ceremony occurring within the Commonwealth of Kentucky, to which he or she has received an official written invitation;
    3. Is representing for no reason other than being a recipient of the Medal of Honor; and
    4. Has requested protection, in writing and with a copy of the official invitation, to the department no less than fourteen (14) days prior to the event;

not to exceed six (6) instances of protection per year.

History. Enact. Acts 1980, ch. 295, § 8, effective July 15, 1980; 1982, ch. 343, § 13, effective July 15, 1982; 2007, ch. 85, § 59, effective June 26, 2007; 2019 ch. 174, § 1, effective June 27, 2019.

16.066. Design and availability of forms relating to purchases of metals and objects containing metal — Charges for copies — Copyright — Use of other facsimiles.

  1. The Department of Kentucky State Police shall design the electronic and paper forms utilized in KRS 433.890 (1) and any other forms and instructions necessary to implement KRS 433.890 .
  2. The Department of Kentucky State Police shall make the forms and instructions utilized in subsection (1) of this section available on the department’s Internet Web site for downloading by any person.
  3. The Department of Kentucky State Police shall make single copies of the forms and instructions utilized in subsection (1) of this section available as public records, at the same rate charged for other public records. The department shall not be required to make multiple copies of the forms or instructions for any person, but may do so at the same rate charged for other public records.
  4. Any person may make copies of the forms and instructions required by subsection (1) of this section and may charge for the copies. No person, other than the Commonwealth, shall apply for a copyright on the forms or instructions provided by the Department of Kentucky State Police. The Department of Kentucky State Police may, in the name of the Commonwealth, apply for a copyright on the forms and instructions which it produces pursuant to this section.
  5. A purchaser required to generate, maintain, and transmit records pursuant to KRS 433.890 :
      1. May utilize the forms designed by the Department of Kentucky State Police; or (a) 1. May utilize the forms designed by the Department of Kentucky State Police; or
      2. May generate his or her own forms which shall contain at least the information required by KRS 433.890 and which may contain additional information required by a local government or by the purchaser; or
    1. Shall use a form specified by a local government which has adopted an ordinance in accordance with KRS 65.871 provided the form contains at least the information required by KRS 433.890 and which may contain additional information required by the local government.

History. Enact. Acts 2008, ch. 83, § 6, effective July 15, 2008.

Legislative Research Commission Notes.

(7/15/2008). The Reviser of Statutes has renumbered subsection (5) of the statute under the authority of KRS 7.136(1).

16.068. Fees for fingerprint impressions or photograph requested for professional, trade, or commercial purposes or personal use.

  1. The Department of Kentucky State Police may charge a fee of ten dollars ($10) per set of fingerprint impressions taken and five dollars ($5) per photograph taken or copied when those services are requested by a person for professional, trade, or commercial purposes or for personal use.
  2. If the actual cost of processing fingerprinting and photograph requests rises above the fee amounts set in this section, the Department of Kentucky State Police may set new fees through administrative regulations.
  3. Nothing in this section shall change any other fee allocation allowed by statute.

History. Enact. Acts 2014, ch. 135, § 1, effective July 15, 2014.

16.070. Uniforms, equipment, and facilities.

  1. The commissioner is the head and chief executive officer of the department. He or she shall provide for himself or herself, each officer of the department, and each individual employed as a Trooper R Class or CVE R Class, under the provisions of KRS 45A.045 to 45A.650 , such uniforms, equipment, and facilities, including motor vehicles, necessary to the performance of their respective duties, but all uniforms, equipment, and facilities, including motor vehicles, shall remain the property of the Commonwealth. The commissioner may sell through the Finance and Administration Cabinet, under the provisions of KRS 45A.045 to 45A.650 , such uniforms, equipment, and facilities, including motor vehicles, as become unfit for use, and all moneys received therefrom shall be paid into the State Treasury and credited to a revolving fund to be used by the department.
  2. The commissioner shall keep an inventory and shall charge against each officer and each individual employed as a Trooper R Class or CVE R Class the value of all property of the department issued to him or her, and if it is determined by the commissioner that any loss or destruction of property was due to the carelessness or neglect of an officer or an individual employed as a Trooper R Class, then the value of the property shall be deducted from the pay of the officer or the individual employed as a Trooper R Class or CVE R Class.
  3. By agreement with the commissioner of highways of the Commonwealth, the commissioner of the Department of Kentucky State Police may provide for the leasing of motor vehicles and accessories thereto, radio facilities and equipment, office equipment, and other property or facilities, upon such terms and conditions and for such compensation as said agreement may provide. The commissioner of highways and the commissioner of the Department of Kentucky State Police may further provide, by agreement, for the service and repair at any state garage of motor vehicles or accessories thereto which are owned, operated, or rented by the department, upon such terms and conditions and for such compensation as said agreement may provide. Subject to KRS Chapter 42, the department is authorized, by lease or purchase, to acquire, maintain, and operate motor vehicles, and the officers of said department, including the commissioner and individuals employed as a Trooper R Class or CVE R Class, are authorized and empowered to operate such motor vehicles in the course of their duties, and in carrying out the purposes, responsibilities, and functions provided for in KRS 16.010 to 16.170 .
  4. The commissioner shall establish local headquarters so as to best distribute the officers, individuals employed as a Trooper R Class or CVE R Class, and employees of the department throughout the various sections of the Commonwealth where they will be most efficient in carrying out the provisions of KRS 16.010 to 16.199 .

History. Enact. Acts 1948, ch. 80, § 7; 1956 (1st Ex. Sess.), ch. 7, Art. X, § 6; 1966, ch. 255, § 13; 1974, ch. 74, Art. II, § 9(1), Art. IV, § 20(1), Art. V, § 24(3) to 24(6); 1990, ch. 496, § 24, effective July 13, 1990; 2007, ch. 85, § 60, effective June 26, 2007; 2009, ch. 59, § 5, effective June 25, 2009; 2013, ch. 64, § 11, effective June 25, 2013.

Legislative Research Commission Notes.

(6/25/2009). A reference in subsection (4) of this statute to “KRS 16.010 to 16.185 and Sections 12 to 15 of this Act” in 2009 Ky. Acts ch. 79, sec. 5, has been changed in codification to “KRS 16.010 to 16.199 ,” to account for newly created statutes in 2009 Ky. Acts ch. 75, secs. 1 to 10, and 2009 Ky. Acts ch. 79, secs. 12 to 15, all of which have been assigned numbers in KRS Chapter 16 within that range of statutes.

NOTES TO DECISIONS

1.Aircraft.

Commissioner of State Police had authority to purchase aircraft for use of department of state police under provisions of this section as “motor vehicles” included aircraft. Barnes v. Crowe, 240 S.W.2d 604, 1951 Ky. LEXIS 992 ( Ky. 1951 ).

Research References and Practice Aids

Cross-References.

Inventories of budget units, KRS 45.313 .

16.075. Automobile liability insurance for State Police.

  1. The Department of Kentucky State Police shall secure, or reimburse members of the State Police who purchase a rider on their personal motor vehicle insurance policy to secure, such automobile liability insurance and uninsured and underinsured motorist coverage as will reasonably protect the interest of members of the State Police when in the conduct of official business.
  2. Policies authorized by this section shall be purchased only in accordance with regulations prescribed by the commissioner of insurance and the secretary of the Finance and Administration Cabinet.
  3. The department shall determine the minimum coverage the member must purchase to be eligible for reimbursement under subsection (1) of this section and the maximum amount of reimbursement. The uninsured and underinsured motorist coverage shall be no less than the policy’s liability limits for bodily injury or death.

History. Enact. Acts 1962, ch. 193, § 1; 1974, ch. 74, Art. V, § 24(4); 2007, ch. 85, § 61, effective June 26, 2007; 2008, ch. 56, § 1, effective July 15, 2008; 2010, ch. 24, § 22, effective July 15, 2010.

Opinions of Attorney General.

No provisions of the federal and Kentucky Constitutions are violated by a statute authorizing purchase of insurance for State Police and making an appropriation for this purpose. OAG 63-881 .

16.080. Administrative regulations governing officers and department — Bonds of employees — Oaths — Acquisition of real estate.

  1. The commissioner shall promulgate administrative regulations for the enlistment, training, code of ethics, discipline, and conduct of officers of the department and individuals employed as a Trooper R Class or CVE R Class, and the commissioner may promulgate administrative regulations for the governing and operation of the department as appear to him or her reasonably necessary to carry out the provisions of KRS 16.010 to 16.170 .
  2. The commissioner may require any officer, individual employed as a Trooper R Class or CVE R Class, or civilian who receives or disburses public funds in the course of his or her duties to file a bond, conditioned that he or she will honestly, correctly, and according to law, receive, disburse, and account for all public moneys coming into his or her hands. The commissioner, each officer, and each individual employed as a Trooper R Class or CVE R Class, shall execute a bond to the Commonwealth of Kentucky in the sum of not less than two thousand dollars ($2,000), conditioned upon the faithful discharge of his or her duties. The premium on the bonds shall be paid by the department. The commissioner, each officer of the department, and each individual employed as a Trooper R Class or CVE R Class shall, before entering upon the discharge of their official duties, take the constitutional oath of office.
  3. Subject to the provisions of KRS 56.440 to 56.550 , the commissioner, with the approval of the Governor and the secretary of the Finance and Administration Cabinet, may acquire real estate or interests therein, by purchase, lease, or otherwise, necessary for the purposes of the department, and, with like approval, provide for the acquisition or construction of necessary buildings and other permanent structures and facilities. Title to any real estate acquired shall be taken in the name of the Commonwealth.

History. Enact. Acts 1948, ch. 80, § 8; 1952, ch. 57, § 3; 1966, ch. 255, § 14; 1976, ch. 39, § 2; 2007, ch. 85, § 62, effective June 26, 2007; 2009, ch. 59, § 6, effective June 25, 2009; 2013, ch. 64, § 12, effective June 25, 2013; 2017 ch. 186, § 4, effective April 11, 2017.

NOTES TO DECISIONS

Cited in:

Commonwealth v. Mitchell, 355 S.W.2d 686, 1962 Ky. LEXIS 83 ( Ky. 1962 ).

Research References and Practice Aids

Cross-References.

Bonds of state officers and employees, blanket bonds, KRS 62.170 , 62.190 , 62.200 .

16.090. Training school.

The commissioner is authorized to organize and maintain a training school or schools for officers of the department, and in connection therewith to provide by administrative regulation the course and conduct of such training and the period of time for which any officer, or any applicant therefor, shall attend such school. The commissioner, under such administrative regulations as he or she may promulgate, is further authorized, but shall not be required, to make such training facilities available to any local governing unit within this Commonwealth.

History. Enact. Acts 1948, ch. 80, § 9; 1974, ch. 74, Art. V, § 24(4); 2007, ch. 85, § 63, effective June 26, 2007.

16.095. Officers required to take educational course on AIDS.

  1. The Justice and Public Safety Cabinet shall require all officers employed by them to complete an educational course approved by the Cabinet for Health and Family Services on human immunodeficiency virus infection and acquired immunodeficiency syndrome. The Justice and Public Safety Cabinet shall develop literature on the human immunodeficiency virus infection and acquired immunodeficiency syndrome and a training curriculum of not more than four (4) hours for the instruction of officers. The literature and training curriculum shall include information of known modes of transmission and methods of controlling and preventing these diseases with an emphasis on appropriate behavior and attitude change. This training may be part of any other training required and for which law enforcement officers receive an allowance to attend. However, nonreceipt of allowance does not exclude a law enforcement officer from the training required in this section.
  2. All officers shall successfully complete the training required. Any person holding the position of officer shall not exercise that position for more than one (1) year without successfully completing the required training. If an officer does not successfully complete the required training within the time specified, he or she shall be suspended from further service as an officer until he or she successfully completes the required training.

History. Enact. Acts 1990, ch. 443, § 32, effective July 13, 1990; 1998, ch. 426, § 73, effective July 15, 1998; 2005, ch. 99, § 88, effective June 20, 2005; 2007, ch. 85, § 64, effective June 26, 2007.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

16.100. Travel expenses and per diem allowances.

  1. The commissioner may approve vouchers in payment of expenses, including travel, lodging and meals incurred by officers, individuals employed as a Trooper R Class or CVE R Class, and civilians of the department in the discharge of their duties, and such vouchers shall be audited and paid out of the department’s appropriation in the manner required by law.
  2. The commissioner may, with the approval of the secretary of the Finance and Administration Cabinet, approve payment of a per diem allowance for officers of the department and individuals employed as a Trooper R Class or CVE R Class, payable in a fixed sum for each day the officer or individual employed as a Trooper R Class is on duty. The per diem allowance herein provided shall not be payable when the officer or the individual employed as a Trooper R Class or CVE R Class is on travel status as provided by subsection (1) of this section.

History. Enact. Acts 1948, ch. 80, § 10; 1970, ch. 287, § 1; 2009, ch. 59, § 7, effective June 25, 2009; 2013, ch. 64, § 13, effective June 25, 2013.

Opinions of Attorney General.

Where a police officer was temporarily suspended, he was not entitled to per diem for the period of the suspension. OAG 71-379 .

Research References and Practice Aids

Cross-References.

Expense accounts, regulation of, KRS 45.101 .

16.110. Fees or rewards.

No fee for the performance of an act in line of duty, and no reward offered for the apprehension and conviction of any person or for the recovery of any property may be accepted by any officer, individual employed as a Trooper R Class or CVE R Class, or employee of the department, but any fee or reward to which such officer, individual employed as a Trooper R Class or CVE R Class, or civilian would be entitled, apart from the foregoing provision, shall be paid into the State Treasury and credited to a revolving fund, to be used by the department.

History. Enact. Acts 1948, ch. 80, § 11; 1974, ch. 74, Art. V, § 24(4); 2009, ch. 59, § 8, effective June 25, 2009; 2013, ch. 64, § 14, effective June 25, 2013.

16.120. Powers within cities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 80, § 12; 1950, ch. 94, § 1) was repealed by Acts 1976, ch. 151, § 2.

16.128. The Department of Kentucky State Police is encouraged to receive training on issues pertaining to school and student safety, to meet with local superintendents, and to collaborate with local school districts on policies and procedures for communicating any instances of trauma-exposed students.

  1. The Department of Kentucky State Police is encouraged to receive training on issues pertaining to school and student safety and shall be invited to meet annually with local superintendents to discuss emergency response plans and emergency response concerns.
  2. The Department of Kentucky State Police is encouraged to collaborate with local school districts on policies and procedures for communicating to the school district any instances of trauma-exposed students.

HISTORY: 2019 ch. 5, § 19, effective March 11, 2019; 2020 ch. 5, § 5, effective February 21, 2020.

16.130. Cooperation with other agencies, local officers — Other states and federal government.

  1. The commissioner shall cooperate and exchange information with any other department or agency of this Commonwealth, or with other police forces, both within and without this Commonwealth and with the federal government. The commissioner may, when authorized by the Governor, negotiate with the appropriate officials of other states in the preparation of interstate compacts for police protection as authorized by the Federal Congress, and such compacts as negotiated shall be submitted to the Governor and the General Assembly for approval.
  2. All peace officers of the various political subdivisions of this Commonwealth shall cooperate with the department and the commissioner, and all officers thereof in the enforcement of the laws of this Commonwealth.

History. Enact. Acts 1948, ch. 80, § 13; 1974, ch. 74, Art. V, § 24(4).

Research References and Practice Aids

Kentucky Law Journal.

Owsley, The Kentucky Interlocal Cooperation Act, 51 Ky. L.J. 19 (1962).

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

16.132. Collection of statistical data concerning sexual offenses and sexual assault evidence kits — Tracking process for evidence kits — Public portal for victims to access the system.

  1. The Department of Kentucky State Police shall request from other law enforcement agencies, pursuant to KRS 17.150 , and shall collect statistical data regarding the reporting and investigation of any person charged with committing, attempting to commit, or complicity to a sexual offense as defined by KRS 510.040 , 510.050 , 510.060 , 510.070 , 510.080 , 510.090 , 510.110 , 510.120 , 510.130 , 510.140 , 530.020 , 530.064(1)(a), and 531.310 , and on the number of sexual assault evidence kits, as defined in KRS 216B.400 , which are submitted to law enforcement agencies, the number of such kits submitted to the Department of Kentucky State Police forensic laboratory, and the number of kits tested.
  2. The information collected pursuant to this section for the previous calendar year shall be provided by May 1, 2018, and by each May 1 thereafter to the Sexual Assault Response Team Advisory Committee as defined in KRS 403.707 .
  3. The department shall by July 1, 2020, create and implement a tracking process for sexual assault forensic evidence kits. The department shall by December 1, 2020, promulgate administrative regulations governing the tracking process. The tracking process shall include, and the administrative regulations promulgated pursuant to this subsection shall require, a public portal allowing victims to access the system, and shall provide for the information to be submitted to the Department of Kentucky State Police.

HISTORY: 2016 ch. 58, § 6, effective April 8, 2016; 2019 ch. 51, § 1, effective June 27, 2019.

Legislative Research Commission Notes.

(4/8/2016). 2016 Ky. Acts ch. 58, sec. 11 provided that that Act shall be known as the Sexual Assault Forensic Evidence (SAFE) Act of 2016. This statute was created in Section 6 of that Act.

16.140. Discipline and removal of officers — Grounds and procedure — Removal of civilian employees — Probationary period.

  1. With the exceptions specified in this section, KRS 16.150 , 16.160 , and 16.196 to 16.199 , no officer of the department shall be removed, suspended, reduced in grade or pay for any reason except inefficiency, misconduct, insubordination, or violation of law or of any administrative regulation promulgated by the commissioner. Any person may prefer charges in writing against any officer or individual employed as a Trooper R Class, which shall be filed in the Office of Internal Affairs, which shall be designated by the commissioner as the recipient of charges and shall be administratively responsible for the maintenance of good order within the department through the collection and investigation of charges and the retention of their dispositions. The charges shall be signed by the person making the same, and shall set out with clarity and distinction each and every charge. The commissioner, whenever probable cause appears, shall prefer charges against any officer whom he believes to have been guilty of conduct justifying his removal or punishment, in the interest of public order. Within five (5) days after the filing of charges, the Office of Internal Affairs shall deliver a copy thereof, personally, by certified mail, return receipt requested to the officer offending. Within five (5) days after the receipt thereof, the officer may demand public hearing, or may admit the truth of the charges in whole or in part. If the officer admits the truthfulness of the charges, the commissioner shall remove, suspend, reduce in rank or pay the officer so offending, in proportion to the seriousness of the charges.
  2. If the charges are denied and the officer demands a hearing within the time above specified, he shall make his demand known to the commissioner in writing. After demand for hearing has been made, the commissioner within twenty (20) days from the date thereof shall arrange for a public hearing before a trial board to be constituted in the manner provided in this section. The officer defendant shall be given not less than twenty (20) days’ notice of the time, place, and hour of the hearing.
  3. Upon the hearing, all charges shall be considered traversed and put in issue, and the trial shall be confined and limited to the issues presented by the written charges. The trial board hearing the charges may summon and compel the attendance of witnesses at all hearings or sittings, by subpoena issued by the commissioner and served upon any witness by any sheriff or other person authorized by law to serve process. If any person fails to comply with any lawful order of the department or with process, or if any witness refuses to testify concerning any matter in which he may lawfully be interrogated, any Circuit Judge, upon application of the trial board, or the commissioner, may compel obedience by proceedings for contempt as in the case of disobedience of a subpoena issued from the Circuit Court or a refusal to testify in that court.
  4. The officer defendant shall have the right to subpoena in his behalf any witnesses he may desire, upon furnishing their names to the trial board or to the commissioner. The officer shall likewise have the right to appear in person and by counsel.
  5. All charges against the officer defendant, together with all proceedings before the trial board, shall be transcribed and reduced to writing and a permanent record kept thereof.
  6. In any instance where the commissioner has probable cause to believe that an officer has been guilty of conduct justifying his removal or punishment, he may immediately suspend the officer from duty, or from both pay and duty, pending trial, and the officer shall not be again placed on duty or allowed pay thereafter until a determination of the charges under this section.
  7. The trial board, after hearing the charges, shall fix the punishment of any officer found guilty of any one (1) or more charges, by reprimand or suspension for any length of time not to exceed six (6) months, or by reducing the grade if the officer’s classification warrants same, or by combining any two (2) or more of the punishments, or by reducing the monthly salary of the officer by not more than twenty percent (20%) for not more than six (6) months, or by removing or dismissing from the service of the department any officer so found guilty.
  8. For the purpose of hearing charges against any officer, as set forth in this section, there is created a trial board, which shall consist of the commissioner and of a panel of ten (10) officers of the department appointed by the commissioner. The commissioner shall designate from the panel not less than three (3) nor more than seven (7) members thereof to hear charges against any officer in the manner and under the procedure above set forth. The commissioner may promulgate reasonable administrative regulations governing the procedure before the trial board, which do not conflict with this section. The panel or trial board shall be a continuing body, and the officers designated shall serve thereon in addition to their other duties and without any increase in compensation, except they may be reimbursed for meals, lodging, and traveling expenses incurred while in the performance of their official duties as members of the board. Any officer defendant may for cause challenge the right of any member of the board in the trial of any action against him, and if the remaining members of the board find that the challenge is justifiable, the member of the board shall be excused from hearing the charges, and another member substituted in lieu thereof.
  9. No officer is entitled to a hearing as provided in this section, unless his suspension is for more than twenty (20) days, or his pay reduced more than ten percent (10%); but if the officer receives more than twenty (20) days’ suspension or reduction in salary of more than ten percent (10%) within a period of one (1) year, he shall have the right to such hearing in the manner above provided.
  10. Any civilian employee may be discharged, suspended, or reduced in pay at any time by the commissioner, pursuant to KRS Chapter 18A.
  11. Any officer appointed to the department shall be considered on probation for a period of one (1) year from and after the date of his appointment, and during that period may be discharged or suspended or reduced in rank or pay, with or without cause, by the commissioner. The rights conferred upon an officer for a hearing, as provided in this section, shall not accrue until the officer has been employed by the department for a period of one (1) year or more.

History. Enact. Acts 1948, ch. 80, § 14; 1952, ch. 57, § 4; 1968, ch. 152, § 3; 1974, ch. 74, Art. V, § 24(4); 1974, ch. 315, § 1; 1980, ch. 114, § 2, effective July 15, 1980; 1982, ch. 448, § 74, effective July 15, 1982; 1996, ch. 318, § 19, effective July 15, 1996; 2009, ch. 59, § 9, effective June 25, 2009.

NOTES TO DECISIONS

1.Exclusive Jurisdiction.

The legislature, by enactment of this section, has endowed the trial board of the Bureau of State Police (now Department of State Police) with the exclusive jurisdiction of discipline and removal of officers of the Bureau (now Department) subject only to strict review on appeal by KRS 16.150(4). Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

2.Authority of Secretary of Justice.

Disciplinary actions against members of the state police, which are subject to the provisions of KRS Chapter 16, are not to be interfered with or usurped by the Secretary of Justice acting under color of KRS Chapter 15A. Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

3.Authority of Circuit Court.

The Franklin Circuit Court did not have the authority to dismiss an appeal by a disciplined officer from a decision of the trial board of the state police based on a compromise agreement reached between the officer and the Secretary of Justice which purported to void the trial board’s decision. Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

Opinions of Attorney General.

Where an officer was suspended on June 28 and on July 28 was fined 20 percent of his salary for a period of six months and reinstated, he was entitled to be paid for the temporary suspension period. OAG 71-379 .

The admission by an officer of the truthfulness of the charges does not make the charges forever confidential and when final action is taken on the charges, the charges should be made available for public inspection. OAG 78-133 .

Research References and Practice Aids

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

16.150. Appeal from disciplinary action or removal.

  1. Any officer of the department who shall be found guilty by the trial board of any charge as provided in KRS 16.140 shall have the right, within ten (10) days from the date of judgment of the trial board, to appeal to the Franklin Circuit Court, provided the punishment be a suspension of more than twenty (20) days or his pay be reduced more than ten percent (10%), or if he is reduced in grade, if his classification so warrants, or is removed or dismissed from the department; provided, however, the enforcement of the judgment of the trial board upon said charges shall not be suspended during said appeal.
  2. To perfect said appeal within the time specified, such officer shall file in the office of the clerk of the Franklin Circuit Court a copy of the order, of all the evidence heard, and of all the steps taken by the trial board relative to such charges, but shall first post a bond to secure the cost of the action in a lump sum to be approved by the circuit clerk, with corporate surety approved by the Department of Insurance as to solvency and responsibility and authorized to transact business in this state, or he may post a cash bond. The members of the trial board and the commissioner shall be necessary parties to such appeal. The circuit clerk shall docket the case as though it were a petition in equity and shall immediately issue a summons for the appellee. The summons shall be returnable in the same manner as in equity cases. Service of summons upon the commissioner or acting commissioner shall be deemed service upon the board.
  3. Such action shall be set down for trial as soon as possible, and the hearing thereof shall be expedited in the same manner as a declaratory judgment suit.
  4. No new or additional evidence shall be introduced in the Franklin Circuit Court, except as to fraud or misconduct of some party engaged in the administration of KRS 16.010 to 16.170 , or one (1) who is a member of the trial board, but the court shall otherwise hear the case upon the record as attested by the board, and in all respects dispose of the appeal in a summary manner. Its review shall be limited to determining whether or not:
    1. The board acted without or in excess of its powers;
    2. The order appealed from was procured by fraud; or
    3. If questions of fact are in issue, whether or not any substantial evidence supports the order appealed from. After such a hearing, the court shall enter a judgment sustaining or setting aside the order of the trial board appealed from. The cost of the action shall follow the judgment of the court.
  5. Any party aggrieved by a judgment of the Franklin Circuit Court may appeal to the Court of Appeals in the manner provided in the Rules of Civil Procedure, but such appeal shall be docketed within sixty (60) days from the entry of judgment, unless the time be extended by the Circuit Court, but in no event beyond one hundred twenty (120) days from the entry of judgment.

History. Enact. Acts 1948, ch. 80, § 14; 1952, ch. 84, § 54; 1974, ch. 74, Art. V, § 24(4); 1976, ch. 62, § 12; 2010, ch. 24, § 23, effective July 15, 2010.

NOTES TO DECISIONS

1.Exclusive Jurisdiction.

The legislature, by enactment of KRS 16.140 , has endowed the trial board of the Bureau of State Police (now Department of State Police) with the exclusive jurisdiction of discipline and removal of officers of the Bureau (now Department) subject only to strict review on appeal under subsection (4) of this section. Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

2.Authority of Secretary of Justice.

Disciplinary actions against members of the state police, which are subject to the provisions of KRS Chapter 16, are not to be interfered with or usurped by the Secretary of Justice acting under color of KRS Chapter 15A. Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

3.Authority of Circuit Court.

The Franklin Circuit Court did not have the authority to dismiss an appeal by a disciplined officer from a decision of the trial board of the state police based on a compromise agreement reached between the officer and the Secretary of Justice which purported to void the trial board’s decision. Hughes v. Welch, 664 S.W.2d 205, 1984 Ky. App. LEXIS 451 (Ky. Ct. App. 1984).

Cited in:

EEOC v. Jefferson County Sheriff’s Dep’t, 424 F.3d 467, 2005 U.S. App. LEXIS 20053 (6th Cir. 2005).

Opinions of Attorney General.

A request for the Kentucky State Police’s investigative file in a specified matter was properly denied on the basis that the investigation was still open and ongoing. OAG 00-ORD-70.

Research References and Practice Aids

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

16.160. Restrictions on discipline or removal — Reduction of force.

No officer shall be suspended, reduced in rank or pay, or be discharged or dismissed, except as provided in KRS 16.140 and 16.150 , and with the further exception that when insufficient funds require a reduction in expenditures, the officer or officers junior in point of service shall be first discharged.

History. Enact. Acts 1948, ch. 80, § 14.

16.165. State Police officer disabled on hazardous duty may elect to be retained on payroll — Conditions — Exceptions — Appeal — Disability retirement allowance time may be included in calculation for normal retirement. [See Compiler’s Note below]

Any Department of Kentucky State Police officer, as defined in KRS 16.010 , who becomes disabled after July 1, 1977, as a direct result of an injury or disease arising out of the performance of a hazardous duty in the course of employment with the department may elect to be retained on the regular payroll of the department subject to the following:

    1. For officers who become disabled after July 1, 1977, but prior to July 15, 2016, compensation paid to the officer by the department shall be maintained at the officer’s rate of pay that he or she was receiving on July 15, 2016. (1) (a) For officers who become disabled after July 1, 1977, but prior to July 15, 2016, compensation paid to the officer by the department shall be maintained at the officer’s rate of pay that he or she was receiving on July 15, 2016.
    2. For officers becoming disabled on or after July 15, 2016, compensation paid to the officer by the department shall be maintained at the officer’s regular rate of pay based upon the officer’s rank and tenure with the department on the date he or she elects to be retained on the regular payroll of the department under this section.
    3. On and after July 15, 2016:
      1. Any officer receiving compensation under this section shall not receive any annual increments or increases based on years of service or rank established by the schedules set forth in KRS 16.052 during the period in which the officer receives compensation under this section; and
      2. If the officer returns to full active duty, and the base salary he or she qualifies for at that time exceeds the base salary he or she was receiving under this section, the officer shall receive the base salary he or she qualifies for under the schedules established by KRS 16.052 beginning on the first day of the month following the month that he or she returns to full active duty.
    4. Any compensation paid to an officer by the department under paragraph (a) or (b) of this subsection shall be reduced by the amount of payments received by the officer from workers’ compensation insurance, Social Security benefits, and other federal or state-financed disability programs designed to supplement the officer’s income for which the officer is qualified and elects participation. Final compensation shall not be reduced by payments for medical care. The disabled officer’s regular rate of pay, without the reductions required by this subsection, shall be his or her creditable compensation for purposes of KRS 16.510 to 16.652 ;
  1. The officer shall be assigned by the commissioner of the Department of Kentucky State Police to a position in the department for which the officer is qualified, if the commissioner determines, based upon medical reports and recommendations submitted for that purpose, that the officer is able to perform limited duties. If it is determined that the officer is able to perform limited duties and refuses to accept an assignment from the commissioner, the officer shall not be eligible for the payment of compensation authorized by this section. If the commissioner determines that the officer is unable to perform limited duties, the officer shall be eligible for the payment of compensation authorized by this section without the performance of limited duties. Any officer adversely affected or aggrieved by a final determination of the commissioner pursuant to this section may appeal within thirty (30) days to the local Circuit Court;
    1. For an officer whose participation date in the State Police Retirement System is prior to January 1, 2014, payments made pursuant to this section shall continue until the officer is eligible for normal retirement allowances pursuant to KRS 16.576 or until the officer elects early retirement allowances pursuant to KRS 16.577 or disability retirement allowances pursuant to KRS 16.582 . (3) (a) For an officer whose participation date in the State Police Retirement System is prior to January 1, 2014, payments made pursuant to this section shall continue until the officer is eligible for normal retirement allowances pursuant to KRS 16.576 or until the officer elects early retirement allowances pursuant to KRS 16.577 or disability retirement allowances pursuant to KRS 16.582 .
    2. For an officer whose participation date in the State Police Retirement System is on or after January 1, 2014, payments made pursuant to this section shall continue until the officer is eligible to retire under KRS 16.583(6)(a) or until the officer elects to retire under KRS 16.583(6)(b) or to receive disability retirement allowances pursuant to KRS 16.582.
    3. If the officer receives preretirement payments under this section or KRS 16.167 and subsequently elects disability retirement, the effective date of his disability retirement shall be the first month following the month in which the officer last receives preretirement payments under this section or KRS 16.167 , KRS 16.505(16) to the contrary notwithstanding; and
  2. Any Department of Kentucky State Police officer, disabled prior to July 1, 1977, as a result of severe physical injuries arising out of the performance of duty, who is unable to maintain gainful employment as a result of such injuries, but who was ineligible for retention on the regular payroll because of the date of his injury, shall, if his or her time in active service plus his or her time on disability retirement allowance equal the time necessary for normal retirement pursuant to KRS 16.505(15), have his or her retirement allowance increased to the amount he or she would receive, had he or she been retained on the regular payroll of the department pursuant to this section and had he or she subsequently elected normal retirement pursuant to KRS 16.576 when first eligible, but any survivor option which he or she chose at the time of disability retirement shall not be changed.

History. Enact. Acts 1979 (Ex. Sess.), ch. 16, § 1, effective May 12, 1979; 1986, ch. 257, § 1, effective July 15, 1986; 1994, ch. 485, § 30, effective July 15, 1994; 2007, ch. 85, § 65, effective June 26, 2007; 2013, ch. 120, § 33, effective July 1, 2013; 2016 ch. 110, § 9, effective July 15, 2016; 2016 ch. 109, § 8, effective July 15, 2016.

Legislative Research Commission Notes.

(7/15/2016). This statute was amended in 2016 Ky. Acts ch. 109, sec. 8 and ch. 110, sec. 9. 2016 Ky. Acts ch. 110, sec. 15 provided that ch. 110 takes precedence over ch. 109. Chapter 110 was also the later-passed bill. Therefore, 2016 Ky. Acts ch. 110, sec. 9 has been codified and 2016 Ky. Acts ch. 109, sec. 8 has not.

Compiler’s Notes.

Section 15 of Acts 2016, ch. 110 read: “Sections 6 to 12 of this Act shall take precedence over the provisions of Sections 5 to 11 of 16 RS HB 535 [Act 109] should that bill be enacted.”

NOTES TO DECISIONS

1.3.Transfer based on medical reports.

Circuit court properly upheld the Kentucky State Police Commissioner's transfer of a trooper from injured to limited duty status because the Commissioner was expressly authorized to do so based on "medical reports" and the Commissioner's decision was not subject to the due process requirements mentioned in the statute at issue inasmuch as it fell squarely within the fact-finding investigation exception. Wasson v. Ky. State Police, 542 S.W.3d 300, 2018 Ky. App. LEXIS 77 (Ky. Ct. App. 2018).

16.167. Election of benefits by disabled officer.

Prior to his or her retirement under KRS 16.510 to 16.652 , any Department of Kentucky State Police officer, as defined in KRS 16.010 , who became disabled on or before July 1, 1977, as a result of an injury or disease arising out of the performance of a hazardous duty in the course of his or her employment with the department may elect benefits under KRS 16.165 , if he or she qualifies therefor, or he or she may elect to continue receiving preretirement benefits otherwise available to him or her due to the disability.

History. Enact. Acts 1979 (Ex. Sess.), ch. 16, § 2, effective May 12, 1979; 2007, ch. 85, § 66, effective June 26, 2007.

16.170. Political activity forbidden.

No officer of the department or individual employed as a Trooper R Class or CVE R Class shall, directly or indirectly, give, solicit or receive, or be in any manner concerned in giving, soliciting or receiving, any assessment, subscription or contribution for any political party or political purpose whatever. No officer or individual employed as a Trooper R Class or CVE R Class shall, orally or by letter, solicit or be in any manner concerned in soliciting any assessment, subscription or contribution for any political party or purpose whatever from any person holding a position in the department. No officer of the department or individual employed as a Trooper R Class or CVE R Class shall take any part in political management or affairs or in political campaigns further than to cast his vote and to express privately his opinion. Violation of the provisions hereof shall be grounds for removal.

History. Enact. Acts 1948, ch. 80, § 15; 1952, ch. 57, § 5; 1974, ch. 74, Art. V, § 24(4); 2009, ch. 59, § 11, effective June 25, 2009; 2013, ch. 64, § 15, effective June 25, 2013.

Opinions of Attorney General.

If a state policeman desires to run for political office he must terminate his employment and tenure with the Bureau of State Police (now Department of State Police). OAG 75-713 .

Since this section prohibits an officer of the Bureau of State Police (now Department of State Police) from taking any part in political management or political campaigns, a member of the state police who is on leave of absence is prohibited from seeking election to political office. OAG 75-713 .

A state police officer while on leave of absence may be employed as a district office manager for a U.S. Senator provided he engages in no political activity while so employed. OAG 77-444 .

Research References and Practice Aids

Cross-References.

Political assessments of state employees forbidden, KRS 121.320 .

State employees not to engage in political activity, KRS 18A.140 .

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

16.173. Unit of department to receive and investigate complaints of human trafficking.

The Department of Kentucky State Police shall designate a unit within the department to receive and investigate complaints of human trafficking. The unit shall cooperate with and assist prosecutorial agencies and local and federal law enforcement, as well as law enforcement from other states, in the receipt and investigation of complaints of human trafficking.

History. Enact. Acts 2013, ch. 25, § 17, effective June 25, 2013.

16.175. Abduction of children — Kentucky Amber alert system — Department to operate in cooperation with other agencies.

  1. The Department of Kentucky State Police, in cooperation with the Transportation Cabinet, the Division of Emergency Management, the Kentucky Broadcasters Association, and the Kentucky Press Association, shall operate a system to notify the public when a child has been abducted and the department determines that public notification might aid in the recovery of the child. The system shall be known as the Kentucky Amber alert system.
  2. The system shall utilize existing resources, including but not limited to electronic highway signs, the emergency broadcast system, law enforcement communications systems, and local, regional, and statewide media providers.
  3. No public alert using the system shall be issued unless the department, in consultation with the law enforcement agency in the jurisdiction in which the abduction of a minor occurred, has determined:
    1. That the minor has actually been abducted or that all available evidence strongly indicates that the minor has been abducted;
    2. That public notification is the most appropriate method of recovering the child in a safe and efficient manner; and
    3. The geographic area in which the notification shall be made.
  4. If it is determined by the department that public notification shall be initiated, the department shall notify the public and private agencies and organizations which will actually provide the notification and shall provide those organizations and agencies with the information which the department deems necessary.
  5. All law enforcement agencies in the Commonwealth shall cooperate with the department in the provision and dissemination of information regarding any abducted minor.
  6. No law enforcement agency, other than the department, shall activate the notification system specified in this section without the authority of the department.
  7. The system shall be operated by all agencies of the Commonwealth within existing budgetary appropriations.

History. Enact. Acts 2003, ch. 62, § 1, effective June 24, 2003; 2007, ch. 85, § 67, effective June 26, 2007.

Legislative Research Commission Notes.

(6/26/2007). A technical correction has been made in this section by the Reviser of Statutes pursuant to KRS 7.136 .

Kentucky Blue Alert System

16.177. Operation and administration of Kentucky Blue Alert System — Administrative regulations.

  1. The Department of Kentucky State Police in cooperation with the Justice and Public Safety Cabinet, Transportation Cabinet, the Division of Emergency Management of the Department of Military Affairs, broadcasters, and the news media shall operate a system to notify the public when a peace officer has been killed, injured, or is missing in the line of duty and the department determines that public notification might aid in the apprehension of a suspect or the recovery of the officer. The system shall be known as the Kentucky Blue Alert System.
  2. The Kentucky Blue Alert System shall utilize existing resources, including but not limited to electronic highway signs; the Amber Alert System; law enforcement communications systems; electronic media; local, regional, and statewide media providers; and the Emergency Alert System, if authorized and under conditions permitted by the federal government.
  3. The Department of Kentucky State Police shall promulgate administrative regulations for the operation and administration of the Kentucky Blue Alert System.

History. Enact. Acts 2012, ch. 124, § 1, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). 2012 Ky. Acts ch. 124, sec. 3, provides that the Act, which created this statute and KRS 16.179 , shall be known as the “Trooper Jonathan K. Leonard Kentucky Blue Alert System Act.”

16.179. When public alert may be issued — Duties of requesting agency, department, and all law enforcement agencies in Kentucky.

  1. No public alert using the Kentucky Blue Alert System shall be issued unless requested by a law enforcement agency and, upon consultation with that agency, the department determines:
    1. That a peace officer has been killed, seriously injured, or is missing in the line of duty;
    2. That public notification is the most appropriate method of locating the officer or identifying and locating a suspected offender who poses an imminent threat to the public or other law enforcement personnel;
    3. That there is sufficient information available relating to the officer’s last known location and the physical description of any suspected offender or vehicle involved that could be broadcast to assist in locating the officer or suspected offender; and
    4. The geographic area in which the notification shall be made.
  2. The requesting agency shall provide the information required by administrative regulation to the Department of Kentucky State Police prior to activation of the Kentucky Blue Alert System.
  3. If it is determined by the department that public notification shall be initiated, the department shall notify the public and private agencies and organizations that will provide the notification and provide those agencies and organizations with the information that the department deems necessary.
  4. All law enforcement agencies in the Commonwealth shall cooperate with the department in the provision and dissemination of information regarding any peace officer who has been killed, seriously injured, or is missing in the line of duty.
  5. No law enforcement agency, other than the department, shall activate the Kentucky Blue Alert System without the authority of the department.

History. Enact. Acts 2012, ch. 124, § 2, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). 2012 Ky. Acts ch. 124, sec. 3, provides that the Act, which created this statute and KRS 16.179 , shall be known as the “Trooper Jonathan K. Leonard Kentucky Blue Alert System Act.”

16.180. Transfer of facilities and personnel of Highway Patrol; Continuation of pending proceedings; State Police to replace Highway Patrol. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 80, § 16) was repealed by Acts 1966, ch. 255, § 283.

16.185. Indemnification of State Police officer sued for act or omission in line of duty who suffers financial loss — Construction of indemnification.

  1. Any officer or individual employed as a Trooper R Class who is sued for any act or omission in the line of duty and who has a judgment for monetary damages rendered against him or her in his or her individual capacity, and who personally suffers actual financial loss, unreimbursed from any source, by the enforcement and satisfaction of the judgment, including any costs or attorney fees awarded pursuant thereto, shall be indemnified by the Commonwealth, from funds appropriated to the Finance and Administration Cabinet for the payment of judgments, to the extent of his or her actual financial loss.
  2. The indemnification shall be contingent upon an express determination by the commissioner that the act or omission which resulted in liability was within the scope and course of the officer’s or the individual employed as a Trooper R Class’s employment and occurred during the performance of duty and was committed or omitted in the good faith belief that the act or omission was lawful and proper.
  3. If the officer seeking indemnification is the commissioner, the determination referred to in subsection (2) of this section shall be made by the Governor.
  4. The indemnification shall not be construed to abrogate or limit any privilege, immunity, or matter of defense otherwise available to the officer or individual employed as a Trooper R Class and shall not constitute a waiver of any privilege, immunity, or matter of defense, including the sovereign immunity of the Commonwealth.
  5. The indemnification shall not be the subject of comment, directly or indirectly, before any jury hearing any cause of action in which an officer or individual employed as a Trooper R Class is a party, and any comment before the jury shall result in an immediate mistrial.

History. Enact. Acts 1990, ch. 161, § 1, effective July 13, 1990; 2007, ch. 85, § 68, effective June 26, 2007; 2009, ch. 59, § 10, effective June 25, 2009.

NOTES TO DECISIONS

1.Sovereign Immunity.

Nothing in this section purports to confer sovereign immunity upon state troopers, though it does give relief to state trooper who injured motorist in accident in the form of indemnity for that part of the judgment in favor of the motorist not satisfied by trooper’s insurer. Speck v. Bowling, 892 S.W.2d 309, 1995 Ky. App. LEXIS 19 (Ky. Ct. App. 1995).

Department Employees Other Than State Troopers

16.186. Definitions for KRS 16.186 to 16.195.

As used in KRS 16.186 to 16.195 , unless the context requires otherwise:

  1. “Cabinet” means the Justice and Public Safety Cabinet;
  2. “Secretary” means the secretary of the cabinet;
  3. “Commissioner” means the commissioner of the Department of Kentucky State Police;
  4. “Officer” means any individual appointed to one (1) of the positions established by KRS 16.187 who has the powers of a peace officer;
  5. “Department” means the Department of Kentucky State Police; and
  6. “Continuous service” for participation in and eligibility for the promotional process for each rank of commercial vehicle enforcement officer means:
    1. For sergeant, service as a commissioned officer that has not been interrupted by actual separation from the department, whether in the form of resignation, retirement, or termination;
    2. For lieutenant, service in grade as a sergeant that has not been interrupted by actual separation from the department, whether in the form of resignation, retirement, termination, or by demotion in accordance with KRS 16.192 ; and
    3. For captain, service in grade as a lieutenant that has not been interrupted by actual separation from the department, whether in the form of resignation, retirement, termination, or by demotion in accordance with KRS 16.192 .

History. Enact. Acts 2009, ch. 75, § 1, effective June 25, 2009.

Legislative Research Commission Notes.

(6/25/2009). 2009 Ky. Acts ch. 75 sec. 1, provided that a new KRS Chapter 16A was to be established and a new section thereof was to be created for this statute. In codification, the Reviser of Statutes has instead created new sections of existing KRS Chapter 16 for 2009 Ky. Acts. ch. 75, secs. 1 to 10, under the authority of KRS 7.136(1)(a).

16.187. Positions of commercial vehicle enforcement officer, commercial vehicle enforcement officer R Class, arson investigator officer, hazardous devices investigative officer, facilities security officer, and legislative security specialist created within department.

  1. The following positions shall be created within the Department of Kentucky State Police:
    1. Commercial vehicle enforcement officers;
    2. Commercial vehicle enforcement officers R Class;
    3. Arson investigator officers;
    4. Hazardous devices investigator officers;
    5. Facilities security officers; and
    6. Legislative security specialists.
  2. These positions shall be appointed pursuant to KRS 16.188 and shall be utilized by the commissioner to enforce the laws of the Commonwealth and to comply with federal and state mandates.

HISTORY: Enact. Acts 2009, ch. 75, § 2, effective June 25, 2009; 2013, ch. 64, § 5, effective June 25, 2013; 2016 ch. 6, § 2, effective March 30, 2016.

NOTES TO DECISIONS

1.Termination Proceeding.

State police trial board did not act arbitrarily by conducting a facility security officer's termination proceeding pursuant to Ky. Rev. Stat. Ann. ch. 16. The statute reclassifying the officer's position was in place at the time the incident giving rise to the officer's termination occurred, and the officer received notice of the reclassification prior to being notified of the charges leading to his termination. Ky. State Police v. Conder, 447 S.W.3d 189, 2014 Ky. App. LEXIS 166 (Ky. Ct. App. 2014).

16.188. Appointment to positions created under KRS 16.187.

  1. The following officers shall be appointed by the commissioner:
    1. Commercial vehicle enforcement officers;
    2. Commercial vehicle enforcement officers R Class;
    3. Arson investigator officers;
    4. Hazardous devices investigator officers; and
    5. Legislative security specialists.
  2. Facilities security officers shall be appointed by the secretary as special law enforcement officers under KRS 61.902 .

HISTORY: Enact. Acts 2009, ch. 75, § 3, effective June 25, 2009; 2013, ch. 64, § 6, effective June 25, 2013; 2016 ch. 6, § 3, effective March 30, 2016.

16.189. Powers and duties of officers in positions created under KRS 16.187.

The powers and duties of officers in the positions established by KRS 16.187 shall be as follows:

  1. Commercial vehicle enforcement officers and commercial vehicle enforcement officers R class shall enforce:
    1. Commercial vehicle licensure, operator, traffic, and criminal violations;
    2. Motor vehicle operator, traffic, and criminal law violations on a highway; and
    3. All the laws and administrative regulations of the Commonwealth at the direction of the commissioner;
  2. Arson investigator officers shall enforce:
    1. All criminal laws pertaining to arson; and
    2. All the laws and administrative regulations of the Commonwealth at the direction of the commissioner;
  3. Hazardous devices investigator officers shall enforce:
    1. All criminal laws pertaining to hazardous devices; and
    2. All the laws and administrative regulations of the Commonwealth at the direction of the commissioner;
  4. Facilities security officers shall have the jurisdiction and duties established pursuant to KRS 61.900 to 61.930 ; and
  5. Legislative security specialists shall:
    1. Provide protection and security for the personnel, property, and facilities of the General Assembly and the Legislative Research Commission and make arrests for unlawful activity; and
    2. Enforce all the laws and all of the administrative regulations promulgated as required and in accordance with KRS Chapter 13A at the direction of the commissioner.

HISTORY: Enact. Acts 2009, ch. 75, § 4, effective June 25, 2009; 2013, ch. 64, § 7, effective June 25, 2013; 2016 ch. 6, § 4, effective March 30, 2016.

16.190. False impersonation of officer or employee of state police. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 95, § 1; 1966, ch. 255, § 15) was repealed by Acts 1974, ch. 406, § 336, effective January 1, 1975.

16.1901. Minimum requirements for positions created under KRS 16.187.

  1. At the time of appointment by the department or the secretary, officers shall meet the minimum requirements established by this subsection:
    1. Commercial vehicle enforcement officers shall:
      1. Meet at least one (1) of the following education or experience requirements:
        1. Have completed at least fifty-four (54) semester hours with a college or university;
        2. Possess at least two (2) years experience as a commercial vehicle inspector under the North American Standard Requirements;
        3. Possess at least two (2) years experience as a full-time sworn law enforcement officer; or
        4. Possess at least two (2) years experience in military duty;
      2. Be of good moral character and capable of successfully meeting the physical fitness standards established by the commissioner; and
      3. Meet the minimum qualifications for becoming a certified peace officer as provided by KRS 15.382 ;
    2. Arson investigator officers shall:
      1. Possess at least one (1) year of law enforcement, police, criminal, fire, or arson investigation experience; and
      2. Meet the minimum qualifications for becoming a certified peace officer as provided by KRS 15.382 ;
    3. Hazardous devices investigator officers shall:
      1. Possess at least five (5) years of experience involving explosives or hazardous devices used in the areas of law enforcement, the military, or firefighting; and
      2. Meet the minimum qualifications for becoming a certified peace officer as provided by KRS 15.382;
    4. Facilities security officers shall be commissioned as special law enforcement officers under KRS 61.900 to 61.930 ; and
    5. Legislative security specialists shall:
      1. Possess at least five (5) years of experience as a full-time sworn law enforcement officer; and
      2. Meet the minimum qualifications for a certified peace officer as provided in KRS 15.382.
  2. Upon completion of a probationary period of one (1) year:
    1. Commercial vehicle enforcement officers, arson investigator officers, hazardous devices investigator officers, and legislative security specialists shall have successfully completed the Peace Officer Professional Standards (POPS) certification process through the Kentucky State Police Academy or through the Department of Criminal Justice Training; and
    2. Commercial vehicle enforcement officers shall successfully complete and pass a certified course in General Hazardous Materials and North American Standard Driver/Vehicle Inspection.

HISTORY: Enact. Acts 2009, ch. 75, § 5, effective June 25, 2009; 2016 ch. 6, § 5, effective March 30, 2016.

16.191. Promotions for positions created under KRS 16.187.

  1. Commercial vehicle enforcement officers shall be promoted according to the terms and conditions established by this subsection:
    1. Promotions to commercial vehicle enforcement sergeant within the department shall be on the following terms and conditions:
      1. In order to be eligible for the promotion, the applicant shall have served as a commissioned commercial vehicle enforcement officer for at least six (6) years;
      2. Promotions made by the department for this position shall be based upon the applicant’s cumulative score computed from twenty-five percent (25%) on personnel performance evaluation, thirty percent (30%) on job simulation examination, and forty-five percent (45%) on a written examination;
      3. A promotional list shall be established and shall remain valid for one (1) year. The promotional list shall consist of the numerical scores and rankings of each applicant as provided by subparagraph 2. of this paragraph. Promotions shall be made in consecutive order beginning with the highest numerical ranking to fill an interim vacancy. If two (2) or more applicants receive the same numerical score, the order of placement on the list shall be determined by seniority of service. Upon the determination of a new numerical ranking following a new examination, all previous rankings shall be null and void;
      4. The written examination for the applicant’s cumulative score shall be prepared and administered by an individual designated by the commissioner. Materials and textbooks for the examination shall be selected by the commissioner and his or her staff. At least three (3) months prior to the examination date, the commissioner shall inform all applicants of the exact material and textbooks from which test questions will be taken and the minimum score required to be eligible for placement on the promotional list. The written examination shall be administered to all applicants at the same time and the applicant shall receive his or her numerical score immediately upon completion of the written examination. An applicant’s numerical score shall remain valid for a period of two (2) years following the date of the examination unless the source material used as the basis for the test changes by more than thirty percent (30%), provided the numerical score meets or exceeds the minimum score set in subsection (2)(d) of this section;
      5. The job simulation examination shall be evaluated by boards designated by the commissioner that shall consist of:
        1. The commissioner or his or her designee. The designee shall have a rank no lower than commercial vehicle enforcement captain;
        2. An officer from another police agency of the rank equal to the position for which the applicant is competing;
        3. An instructor from an accredited law enforcement education program;
        4. A personnel director from private industry; and
        5. A commercial vehicle enforcement officer of the rank equal to the position for which the applicant is competing;
      6. The designated job simulation examination boards shall perform all evaluations under guidelines developed and approved by the commissioner; and
      7. Personnel performance evaluations shall be made by the appropriate supervisory personnel under procedures established and approved by the commissioner;
    2. Promotions from commercial vehicle enforcement sergeant to commercial vehicle enforcement lieutenant within the department shall be on the same terms and conditions as promotions to sergeant. In addition, any applicant for lieutenant shall have completed at least one (1) year of continuous service in grade as a sergeant;
    3. Promotions from commercial vehicle enforcement lieutenant to commercial vehicle enforcement captain within the department shall be on the same terms and conditions as promotions to lieutenant. In addition, any applicant for captain shall have completed at least one (1) year of continuous service in grade as a lieutenant;
    4. The department shall develop and administer only one (1) test for each of the ranks established by this subsection. All eligible applicants shall be permitted to participate in the promotional process to the next highest position of responsibility wherever a vacancy exists;
    5. Officers promoted to rank of sergeant, lieutenant, or captain shall serve a probationary period for one (1) year of continuous service from the effective date of their promotions, and may be reverted to their previous rank with or without cause at any time during this period;
    6. Promotions to the rank of commercial vehicle enforcement major are temporary and shall not be subject to the provisions for selection and promotion as required by this subsection. All officers in such temporary positions shall serve at the pleasure of the commissioner and shall revert to their previous permanent rank upon the termination of their temporary appointment;
    7. The total number of supervisory officers of all classifications established by this subsection shall be limited to a ratio not to exceed one (1) supervisor for every five (5) nonsupervisory officers; and
    8. No officer of the department, other than temporary positions above the rank of captain, shall be promoted to the next highest rank without competing with other officers as prescribed by the promotional procedure established by this subsection.
  2. Promotions from hazardous devices investigator officer to hazardous devices supervisor shall be on the following terms and conditions:
    1. The applicant shall have at least seven (7) years of experience involving explosives or hazardous devices used in the areas of law enforcement, the military, or firefighting;
    2. The applicant shall hold a current certification as a hazardous devices technician issued by a national hazardous devices school;
    3. When there is a single applicant for a position, the applicant shall:
      1. For a written examination, complete and achieve at least a minimum score as determined by the commissioner in consultation with the Kentucky State Police Promotional Review Board;
      2. For a job simulation exercise, complete and achieve at least a minimum score as determined by the commissioner in consultation with the Kentucky State Police Promotional Review Board;
      3. For a personnel performance evaluation, achieve a minimum score as determined by the commissioner in consultation with the Kentucky State Police Promotional Review Board; and
      4. Submit to an oral interview before a board of supervisory personnel designated by the commissioner;
    4. When there are multiple applicants for a position, promotions shall be based upon a cumulative score computed from twenty-five percent (25%) on personnel performance evaluation, thirty percent (30%) on job simulation examination, and forty-five percent (45%) on a written examination on which the applicant achieved at least a minimum score as determined by the commissioner in consultation with the Kentucky State Police Promotional Review Board. If an applicant is not employed by the department, job evaluations from past employers shall substitute for the personnel performance evaluation on a scale established by department’s human resources branch;
    5. Personnel performance evaluations shall be made by the appropriate supervisory personnel under procedures established and approved by the commissioner; and
    6. The commissioner may appoint a hazardous devices supervisor from outside of the department if the applicant meets the minimum requirements for promotion from hazardous devices investigator to hazardous devices supervisor as provided by this subsection.
  3. Facilities security officers shall be promoted according to the terms and conditions established by this subsection:
    1. Promotions to facilities security sergeant within the department shall be on the following terms and conditions:
      1. The applicant shall have served as either a facilities security officer for at least two (2) years or possess at least two (2) years of other law enforcement or security services experience;
      2. The applicant shall complete and pass a written examination established by the department;
      3. When there are multiple applicants for a position, promotions shall be based upon a cumulative score computed from sixty percent (60%) on personnel performance evaluation and forty percent (40%) on a written examination. If an applicant is not employed by the department, job evaluations from past employers shall substitute for the personnel performance evaluation on a scale established by the department’s human resources branch; and
      4. Personnel performance evaluations shall be made by the appropriate supervisory personnel under procedures established and approved by the commissioner; and
    2. Promotions or appointments to facilities security lieutenant within the department shall be on the following terms and conditions:
      1. The applicant shall have served as either a facilities security officer for at least three (3) years or possess at least three (3) years of other law enforcement or security services experience;
      2. The applicant shall have at least two (2) years previous supervisory experience in a law enforcement or security services position;
      3. The applicant shall complete and pass a written examination established by the department;
      4. When there are multiple applicants for a position, promotions shall be based upon a cumulative score computed from sixty percent (60%) on personnel performance evaluation and forty percent (40%) on a written examination. If an applicant is not employed by the department, job evaluations from past employers shall substitute for the personnel performance evaluation on a scale established by the department’s human resources branch; and
      5. Personnel performance evaluations shall be made by the appropriate supervisory personnel under procedures established and approved by the commissioner.
  4. There shall be no discrimination based on race, sex, age, national origin, color, religion, creed, or political affiliation with respect to the department promotional system. All personnel actions are to be based solely on merit.

HISTORY: Enact. Acts 2009, ch. 75, § 6, effective June 25, 2009; 2016 ch. 6, § 6, effective March 30, 2016.

16.192. Removal, suspension, or reduction of grade or pay for positions created under KRS 16.187.

  1. With the exceptions specified in this section and KRS 16.193 , no officer commissioned under KRS 16.186 to 16.195 shall be removed, suspended, or reduced in grade or pay for any reason except inefficiency, misconduct, insubordination, or violation of law or of any administrative regulation promulgated by the commissioner. Any person may present charges in writing against any officer, which shall be filed with the Office of Internal Affairs, which shall be designated by the commissioner as the recipient of charges and shall be administratively responsible for the maintenance of good order within the department through the collection and investigation of charges and the retention of their dispositions. The charges shall be signed by the person filing the charges, and shall set out with clarity and distinction each and every charge. The commissioner, whenever probable cause appears, shall present charges against any officer whom he believes to have been guilty of conduct justifying his removal or punishment, in the interest of public order. Within five (5) days after the filing of charges, the Office of Internal Affairs shall deliver a copy thereof, personally, by certified mail, return receipt requested, to the officer offending. Within five (5) days after the receipt thereof, the officer may demand a public hearing, or may admit the truth of the charges in whole or in part. If the officer admits the truthfulness of the charges, the commissioner shall remove, suspend, or reduce in rank or pay the officer so offending, in proportion to the seriousness of the charges.
  2. If the charges are denied and the officer demands a hearing within the time specified by subsection (1) of this section, he shall make his demand known to the commissioner in writing. After a demand for hearing has been made by the officer, the commissioner, within twenty (20) days from the date thereof shall arrange for a public hearing before a trial board to be constituted in the manner provided in this section. The officer defendant shall be given not less than twenty (20) days notice of the time, place, and hour of the hearing.
  3. Upon the hearing, all charges shall be considered traversed and put in issue, and the trial shall be confined and limited to the issues presented by the written charges. The trial board hearing the charges may summon and compel the attendance of witnesses at all hearings or sittings, by subpoena issued by the commissioner and served upon any witness by any sheriff or other person authorized by law to serve process. If any person fails to comply with any lawful order of the department or with process, or if any witness refuses to testify concerning any matter in which he may lawfully be interrogated, any Circuit Judge, upon application of the trial board or the commissioner, may compel obedience by proceedings for contempt as in the case of disobedience of a subpoena issued from the Circuit Court or a refusal to testify in that court.
  4. The officer defendant shall have the right to subpoena in his behalf any witnesses he may desire upon furnishing their names to the trial board or to the commissioner. The officer shall likewise have the right to appear in person and by counsel.
  5. All charges against the officer defendant, together with all proceedings before the trial board, shall be transcribed and reduced to writing and a permanent record kept thereof.
  6. In any instance where the commissioner has probable cause to believe that an officer has been guilty of conduct justifying his removal or punishment, he may immediately suspend the officer from duty, or from both pay and duty, pending trial, and the officer shall not be again placed on duty or allowed pay thereafter until a determination of the charges under this section.
  7. The trial board, after hearing the charges, shall fix the punishment of any officer found guilty of any one (1) or more charges, by reprimand or suspension for any length of time not to exceed six (6) months, or by reducing the grade if the officer’s classification warrants same, or by combining any two (2) or more of the punishments, or by reducing the monthly salary of the officer by not more than twenty percent (20%) for not more than six (6) months, or by removing or dismissing from the service of the department any officer so found guilty.
  8. For the purpose of hearing charges against any officer, as set forth in this section, there is created a trial board, which shall consist of the commissioner and a panel of ten (10) officers of the department appointed by the commissioner which shall be composed of six (6) commercial vehicle enforcement officers, two (2) facilities security officers, one (1) arson investigator officer, and one (1) hazardous devices investigator officer. The commissioner shall designate from the panel seven (7) members consisting of four (4) commercial vehicle enforcement officers, one (1) facilities security officer, one (1) arson investigator officer, and one (1) hazardous devices investigator officer, to hear charges against any officer in the manner and under the procedures established by this section. The commissioner may promulgate reasonable administrative regulations governing the procedure before the trial board that do not conflict with this section. The panel or trial board shall be a continuing body and the officers designated shall serve on the board or panel in addition to their other duties without any increase in compensation, except they may be reimbursed for meals, lodging, and traveling expenses incurred while in the performance of their official duties as members of the board or panel. Any officer defendant may for cause challenge the right of any member of the board in the trial of any action against him, and if the remaining members of the board find that the challenge is justifiable, the member of the board shall be excused from hearing the charges, and another member substituted from the panel.
  9. No officer is entitled to a hearing as provided in this section unless his suspension is for more than twenty (20) days, or his pay reduced more than ten percent (10%), except that if the officer receives more than twenty (20) days suspension or reduction in salary of more than ten percent (10%) within a period of one (1) year, he shall have the right to a hearing as provided by this section.
  10. Any officer appointed to the department under this section shall be considered on probation for a period of one (1) year from and after the date of his appointment, and during that period may be discharged or suspended or reduced in rank or pay, with or without cause, by the commissioner. The rights conferred upon an officer for a hearing, as provided in this section, shall not accrue until the officer has been employed by the department for a period of one (1) year or more.

History. Enact. Acts 2009, ch. 75, § 7, effective June 25, 2009.

NOTES TO DECISIONS

1.Applicability.

State law enforcement officer was no longer entitled to a pretermination hearing when he was reclassified as a state police employee rather than an executive branch employee; thus, the denial of such a hearing was not arbitrary action. Dep't of Ky. State Police v. Garland, 2013 Ky. App. LEXIS 118 (Ky. Ct. App. Aug. 2, 2013), review denied, ordered not published, 2014 Ky. LEXIS 269 (Ky. June 11, 2014).

16.193. Appeal of judgment of trial board to Franklin Circuit Court — Appeal of court’s judgment to Court of Appeals.

  1. Any officer of the department found guilty by the trial board of any charge as provided in KRS 16.192 shall have the right, within ten (10) days from the date of judgment of the trial board, to appeal to the Franklin Circuit Court if the punishment is:
    1. A suspension of more than twenty (20) days;
    2. A pay reduction of more than ten percent (10%);
    3. A grade reduction if his classification so warrants; or
    4. Dismissal from the department. The enforcement of the judgment of the trial board upon said charges shall not be suspended during the appeal.
  2. To perfect the appeal within the specified time, an officer shall file a copy of the order, all the evidence heard, and a full transcribed record relative to the charges with the Franklin County Circuit Clerk. The officer shall first post a bond to secure the cost of the action in a lump-sum amount to be approved by the circuit clerk, with corporate surety approved by the Department of Insurance as to solvency and responsibility and authority to transact business in this state, or the officer may post a cash bond. The members of the trial board and the commissioner shall be necessary parties to the appeal. The circuit clerk shall docket the case as though it were a petition in equity and shall immediately issue a summons for the appellee. The summons shall be returnable in the same manner as in equity cases. Service of summons upon the commissioner or acting commissioner shall be deemed service upon the board.
  3. The appeal shall be scheduled for trial as soon as possible, and the hearing thereof shall be expedited in the same manner as a declaratory judgment suit.
  4. No new or additional evidence shall be introduced in the Franklin Circuit Court, except as to fraud or misconduct of some party involved in the investigation of the charges or a member of the trial board. The court shall sit in appellate jurisdiction and shall not overturn the verdict of the trial board unless it finds:
    1. The board acted without or in excess of its powers;
    2. The order appealed from was procured by fraud; or
    3. If questions of fact are at issue, whether any substantial evidence exists to support the order issued by the trial board. The court shall enter a judgment sustaining or setting aside the order of the trial board. The cost of the action shall follow the judgment of the court.
  5. Any party aggrieved by a judgment of the Franklin Circuit Court may appeal to the Court of Appeals in the manner provided in the Rules of Civil Procedure. The appeal shall be docketed within sixty (60) days from the entry of judgment, unless the time is extended by the Franklin Circuit Court, but in no event beyond one hundred twenty (120) days from the entry of judgment.

History. Enact. Acts 2009, ch. 75, § 8, effective June 25, 2009; 2010, ch. 24, § 24, effective July 15, 2010.

16.194. Retirement system participation for positions governed by KRS 16.186 to 16.195.

Notwithstanding any other provision to the contrary, officers governed by KRS 16.186 to 16.195 shall participate in the following retirement systems:

  1. Commercial vehicle enforcement officers, arson investigator officers, hazardous devices investigator officers, and legislative security specialists shall participate in the Kentucky Employees Retirement System under hazardous duty coverage; and
  2. Facilities security officers shall participate in the Kentucky Employees Retirement System under nonhazardous coverage.

HISTORY: Enact. Acts 2009, ch. 75, § 9, effective June 25, 2009; 2016 ch. 6, § 7, effective March 30, 2016.

16.195. Administration of specified subjects to be same as for state police officers.

For officers governed by KRS 16.186 to 16.195 , the following subjects shall be administered in the same manner as provided for state police officers governed by KRS 16.010 to 16.185 :

  1. Prohibition against requesting or requiring victim of alleged sexual offense to submit to polygraph or other examination, as provided by KRS 16.062 ;
  2. Organization of the department, as provided by KRS 16.040(1);
  3. Additional duties of the department, as provided by KRS 16.065 ;
  4. Uniforms, equipment, and facilities, as provided by KRS 16.070 ;
  5. Automobile liability insurance, as provided by KRS 16.075 ;
  6. Bonds of employees, as provided by KRS 16.080 ;
  7. Training school, as provided by KRS 16.090 ;
  8. Officers required to take educational course on AIDS, as provided by KRS 16.095 ;
  9. Travel expenses and per diem allowances, as provided by KRS 16.100 ;
  10. Fees or rewards, as provided by KRS 16.110 ;
  11. Disabled officer on hazardous duty may elect to be retained on payroll, as provided by KRS 16.165 .
  12. Election of benefits by disabled officer, as provided by KRS 16.167 .
  13. Political activity forbidden, as provided by KRS 16.170 ; and
  14. Indemnification of state police officer sued for act or omission in line of duty who suffers financial loss, as provided by KRS 16.185 .

History. Enact. Acts 2009, ch. 75, § 10, effective June 25, 2009.

Trooper R Class

16.196. Trooper R Class and commercial vehicle enforcement officer R Class positions created within department.

There is created within the Department of Kentucky State Police the positions of Trooper R Class and commercial vehicle enforcement officer R class that shall be utilized by the commissioner to retain retired officers commissioned under this chapter on a contractual basis to supplement the ranks of the Kentucky State Police and commercial vehicle enforcement officers.

History. Enact. Acts 2009, ch. 59, § 12, effective June 25, 2009; 2013, ch. 64, § 1, effective June 25, 2013.

Legislative Research Commission Notes.

(6/25/2009). 2009 Ky. Acts ch. 75 sec. 1, provided that a new KRS Chapter 16A was established and a new section thereof was to be created for this statute. In codification, the Reviser of Statutes has instead created new sections of existing KRS Chapter 16 for 2009 Ky. Acts. ch. 75, secs. 1 to 10, under the authority of KRS 7.136(1)(a).

16.197. Qualifications of individual employed as a Trooper R Class or a commercial vehicle enforcement officer R Class.

An individual employed as a Trooper R Class or a commercial vehicle enforcement officer R class shall:

  1. Be a retired officer who prior to retirement was commissioned as an officer under this chapter;
  2. Be a retired member of the State Police Retirement System established by KRS 16.505 to 16.652 or the Kentucky Employees Retirement System established by KRS 61.510 to 61.705 , who retired with at least twenty (20) years of service credit;
  3. Upon appointment to Trooper R Class or commercial vehicle enforcement officer R class, have been separated from the service of the Department of Kentucky State Police for a period no less than one (1) month nor greater than sixty (60) months following the individual’s effective retirement date from the State Police Retirement System or the Kentucky Employees Retirement System;
  4. Have retired willingly with no administrative charges against the officer pending under KRS 16.140 or 16.192 ; and
  5. Have retired with no pre-existing agreement between the employee and the department prior to the employee’s retirement for the employee to return to work with the department.

History. Enact. Acts 2009, ch. 59, § 13, effective June 25, 2009; 2013, ch. 64, § 2, effective June 25, 2013.

16.198. Appointment, salary, benefits, conditions of employment, and number of individuals employed as a Trooper R Class or a CVE R Class.

The appointment, salary, benefits, and number of individuals employed as a Trooper R Class and CVE R class shall be as follows:

  1. The commissioner may appoint CVE R Class employees. CVE R Class employees shall serve on a contractual basis for a term of one (1) year, and the contract may be renewed annually, by agreement of the parties, for no more than nine (9) additional one (1) year terms. A CVE R Class employee shall be required to pass a physical fitness test every three (3) years.
  2. The commissioner may appoint Trooper R Class employees who shall serve on a contractual basis for a term of one (1) year. The contract may be renewed on an annual basis upon the agreement of both parties. A Trooper R Class employee shall be required to pass a physical fitness test every three (3) years.
  3. The compensation for Trooper R Class employees and CVE R Class employees shall be established by administrative regulation promulgated pursuant to KRS Chapter 13A.
    1. All appointments of individuals employed as a Trooper R Class and CVE R Class shall be based upon agency need as determined by the commissioner. (4) (a) All appointments of individuals employed as a Trooper R Class and CVE R Class shall be based upon agency need as determined by the commissioner.
    2. Work stations for individuals employed as a Trooper R Class and CVE R Class shall be determined by agency need with consideration given to the applicant’s stated preference.
    3. Merit of individuals employed as a Trooper R Class and CVE R Class shall be determined by the applicant’s work performance history.
    4. Fitness of individuals employed as a Trooper R Class and CVE R Class shall be determined by the applicant’s ability to adhere to the agency standards set by the commissioner under this chapter.
  4. The number of individuals employed as a Trooper R Class and CVE R Class by the department shall not:
    1. Exceed one hundred (100); or
    2. Be counted in the total employee cap for the department.
  5. All individuals employed as a Trooper R Class and CVE R Class shall be assigned the job duties of trooper or commercial vehicle enforcement officer and shall not be placed in any supervisory positions.
  6. Notwithstanding any provision of KRS 16.505 to 16.652 , KRS 18A.005 to 18A.228 , and KRS 61.510 to 61.705 to the contrary:
    1. Individuals employed as a Trooper R Class and CVE R Class shall continue to receive all retirement and health insurance benefits provided by the systems administered by Kentucky Retirement Systems to which they were entitled upon retiring from the department as a commissioned officer under this chapter;
    2. Individuals employed as a Trooper R Class and CVE R Class shall not be eligible to receive health insurance coverage or benefits through the department and shall not be eligible to participate in the State Police Retirement System or the Kentucky Employees Retirement System; and
    3. The department shall not pay health insurance contributions to the state health insurance plan for individuals employed as a Trooper R Class or CVE R Class.
  7. Individuals employed as a Trooper R Class or CVE R Class shall be employed on a contractual basis and shall be provided due process pursuant to KRS 16.140 or 16.192 for any disciplinary action imposed by the commissioner. A decision by the commissioner to not renew a contract shall not be considered a disciplinary action for purposes of this section.
  8. The provisions of this section shall not eliminate or reduce any requirements under  KRS 61.637 for the department to pay employer contributions to the retirement systems or to reimburse the retirement systems for the cost of retiree health, on any individual employed as a Trooper R Class or CVE R Class.

History. Enact. Acts 2009, ch. 59, § 14, effective June 25, 2009; 2013, ch. 64, § 3, effective June 25, 2013; 2016 ch. 6, § 8, effective March 30, 2016; 2016 ch. 110, § 10, effective July 15, 2016; 2016 ch. 109, § 9, effective July 15, 2016; 2019 ch. 194, § 3, effective April 9, 2019.

Legislative Research Commission Notes.

(7/15/2016). This statute was amended in 2016 Ky. Acts ch. 109, sec. 9 and ch. 110, sec. 10. 2016 Ky. Acts ch. 110, sec. 15 provided that ch. 110 takes precedence over ch. 109. Chapter 110 was also the later-passed bill. Therefore, 2016 Ky. Acts ch. 110, sec. 10 has been codified and 2016 Ky. Acts ch. 109, sec. 9 has not. This statute was also amended by 2016 Ky. Acts ch. 6, sec. 8. 2016 Ky. Acts chs. 6 and 110 do not appear to be in conflict and have been codified together.

Compiler’s Notes.

Section 15 of Acts 2016, ch. 110 read: “Sections 6 to 12 of this Act shall take precedence over the provisions of Sections 5 to 11 of 16 RS HB 535 [Act 109] should that bill be enacted.”

16.199. Trooper R Class or commercial vehicle enforcement officer R Class to adhere to agency standards of conduct and policy — Complaints.

  1. All individuals employed as a Trooper R Class or commercial vehicle enforcement officer R class shall adhere to the agency standards of conduct and policy.
  2. Any person may proffer charges against an individual employed as a Trooper R Class or commercial vehicle enforcement officer R class by submitting a written complaint, signed by the complainant, with the Office of Internal Affairs within the department.

History. Enact. Acts 2009, ch. 59, § 15, effective June 25, 2009; 2013, ch. 64, § 4, effective June 25, 2013.

Disposition of Property

16.200. Renumbering of property having obscured numbers.

  1. The Department of Kentucky State Police shall administer a program for the investigation of applications filed pursuant to KRS 514.130 and the disposition of property pursuant to KRS 500.090 .
  2. Upon a finding by the department or a local law enforcement agency assigned by the department to investigate an application filed pursuant to KRS 514.120 that the property is lawfully owned by the applicant, the department shall issue, or cause to be issued, in consultation with any state or federal regulatory agency, a suitable identification number to be affixed to the property together with a document stating the number so issued.
  3. Upon a finding by the department or a local law enforcement agency assigned by the department to investigate an application filed pursuant to KRS 514.120 that the property is not lawfully owned by the applicant, the department shall seize the property or cause it to be seized by the local agency and held for disposition by a court of competent jurisdiction.
  4. The department shall promulgate such administrative regulations as are reasonably necessary to enforce the provisions of this section and KRS 500.090 and 514.130 .

History. Enact. Acts 1980, ch. 267, § 7, effective July 15, 1980; 2007, ch. 85, § 69, effective June 26, 2007.

16.210. Delivery to property officer of property taken — Disposition.

  1. Property taken by the Department of Kentucky State Police shall be placed with the property officer of the post to which the officer is assigned.
  2. Property which is forfeited may be disposed of as provided by KRS 500.090 or KRS 500.092 , whichever is applicable; however, the proceeds of any sale shall go to the state or be distributed as otherwise provided by law.
  3. All other property may be disposed of as provided in KRS 67.592 and 67.594 except that all proceeds from any sale shall go to the state.

History. Enact. Acts 1980, ch. 193, § 4, effective July 15, 1980; 1998, ch. 606, § 125, effective July 15, 1998; 2007, ch. 85, § 70, effective June 26, 2007; 2009, ch. 100, § 9, effective June 25, 2009.

16.220. Public auction of confiscated firearms — Disposition of proceeds — Department of Kentucky State Police treatment of transferred firearms.

  1. Subject to the duty to return confiscated firearms to innocent owners pursuant to KRS 500.090 , all firearms confiscated by the Department of Kentucky State Police and not retained for official use pursuant to KRS 500.090 shall be sold at public auction to federally licensed firearms dealers holding a license appropriate for the type of firearm sold. Any provision of KRS Chapter 45 or 45A relating to disposition of property to the contrary notwithstanding, the Department of Kentucky State Police shall:
    1. Conduct any auction specified by this section;
    2. Retain for departmental use twenty percent (20%) of the gross proceeds from any auction specified by this section; and
    3. Transfer remaining proceeds of the sale to the account of the Kentucky Office of Homeland Security for use as provided in subsection (4) of this section.
  2. Prior to the sale of any firearm, the Department of Kentucky State Police shall make an attempt to determine if the firearm to be sold has been stolen or otherwise unlawfully obtained from an innocent owner and return the firearm to its lawful innocent owner, unless that person is ineligible to purchase a firearm under federal law.
  3. The Department of Kentucky State Police shall receive firearms and ammunition confiscated by or abandoned to every law enforcement agency in Kentucky. The department shall dispose of the firearms received in the manner specified in subsection (1) of this section. However, firearms which are not retained for official use, returned to an innocent lawful owner, or transferred to another government agency or public museum shall be sold as provided in subsections (1) and (3) of this section.
  4. The proceeds of firearms sales shall be utilized by the Kentucky Office of Homeland Security to provide grants to city, county, charter county, unified local government, urban-county government, and consolidated local government police departments; university safety and security departments organized pursuant to KRS 164.950; school districts that employ special law enforcement officers as defined in KRS 61.900 ; and sheriff’s departments for the purchase of:
    1. Body armor for sworn peace officers of those departments and service animals, as defined in KRS 525.010 , of those departments;
    2. Firearms or ammunition;
    3. Electronic control devices, electronic control weapons, or electro-muscular disruption technology; and
    4. Body-worn cameras. In awarding grants under this section, the Kentucky Office of Homeland Security shall give first priority to providing and replacing body armor and second priority to providing firearms and ammunition, with residual funds available for the purchase of body-worn cameras, electronic control devices, electronic control weapons, or electro-muscular disruption technology. Body armor purchased by the department receiving grant funds shall meet or exceed the standards issued by the National Institute of Justice for body armor. No police or sheriff’s department shall apply for a grant to replace existing body armor unless that body armor has been in actual use for a period of five (5) years or longer. Any department applying for grant funds for body-worn cameras shall develop a policy for their use and shall submit that policy with its application for the grant funds to the Office of Homeland Security as part of the application process.
  5. The Department of Kentucky State Police may transfer a machine gun, short-barreled shotgun, short-barreled rifle, silencer, pistol with a shoulder stock, any other weapon, or destructive device as defined by the National Firearms Act which is subject to registration under the National Firearms Act and is not properly registered in the national firearms transfer records for those types of weapons, to the Bureau of Alcohol, Tobacco, and Firearms of the United States Department of Justice, after a reasonable attempt has been made to transfer the firearm to an eligible state or local law enforcement agency or to an eligible museum and no eligible recipient will take the firearm or weapon. National Firearms Act firearms and weapons which are properly registered and not returned to an innocent lawful owner or retained for official use as provided in this section shall be sold to properly licensed dealers under subsection (3) of this section.

History. Enact. Acts 1998, ch. 606, § 124, effective July 15, 1998; 2000, ch. 405, § 3, effective July 14, 2000; 2002, ch. 281, § 1, effective July 15, 2002; 2004, ch. 86, § 2, effective July 13, 2004; 2005, ch. 85, § 41, effective June 20, 2005; 2007, ch. 47, § 10, effective June 26, 2007; 2007, ch. 85, § 71, effective June 26, 2007; 2008, ch. 96, § 1, effective July 15, 2008; 2014, ch. 120, § 2, effective July 15, 2014; 2014, ch. 126, § 1, effective July 15, 2014; 2016 ch. 95, § 1, effective July 15, 2016.

Legislative Research Commission Notes.

(7/15/2014). This statute was amended by 2014 Ky. Acts chs. 120, sec. 2, and 126, sec. 1, which are identical and have been codified together.

State Police Retirement System

16.505. Definitions for KRS 16.505 to 16.652. [Declared void — See LRC Note Below]

As used in KRS 16.505 to 16.652 , unless the context otherwise requires:

  1. “System” means the State Police Retirement System created by KRS 16.505 to 16.652 ;
  2. “Board” means the board of trustees of the Kentucky Retirement Systems;
  3. “Employer” or “State Police” means the Department of Kentucky State Police, or its successor;
  4. “Current service” means the number of years and completed months of employment as an employee subsequent to July 1, 1958, for which creditable compensation was paid by the employer and employee contributions deducted except as otherwise provided;
  5. “Prior service” means the number of years and completed months of employment as an employee prior to July 1, 1958, for which creditable compensation was paid to the employee by the Commonwealth. Twelve (12) months of current service in the system are required to validate prior service;
  6. “Service” means the total of current service and prior service;
  7. “Accumulated contributions” at any time means the sum of all amounts deducted from the compensation of a member and credited to his individual account in the member’s account, including employee contributions picked up after August 1, 1982, pursuant to KRS 16.545(4), together with interest credited on such amounts as provided in KRS 16.505 to 16.652 , and any other amounts the member shall have contributed, including interest credited. For members who begin participating on or after September 1, 2008, “accumulated contributions” shall not include employee contributions that are deposited into accounts established pursuant to 26 U.S.C. sec. (h) within the funds established in KRS 16.510 and 61.515 , as prescribed by KRS 61.702(3)(b);
  8. “Creditable compensation”:
    1. Means all salary and wages, including payments for compensatory time, paid to the employee as a result of services performed for the employer or for time during which the member is on paid leave, which are includable on the member’s federal form W-2 wage and tax statement under the heading “wages, tips, other compensation,” including employee contributions picked up after August 1, 1982, pursuant to KRS 16.545(4);
    2. Includes:
      1. Lump-sum bonuses, severance pay, or employer-provided payments for purchase of service credit, which shall be averaged over the employee’s total service with the system in which it is recorded if it is equal to or greater than one thousand dollars ($1,000);
      2. Lump-sum payments for creditable compensation paid as a result of an order of a court of competent jurisdiction, the Personnel Board, or the Commission on Human Rights, or for any creditable compensation paid in anticipation of settlement of an action before a court of competent jurisdiction, the Personnel Board, or the Commission on Human Rights, including notices of violations of state or federal wage and hour statutes or violations of state or federal discrimination statutes, which shall be credited to the fiscal year during which the wages were earned or should have been paid by the employer. This subparagraph shall also include lump-sum payments for reinstated wages pursuant to KRS 61.569 , which shall be credited to the period during which the wages were earned or should have been paid by the employer;
      3. Amounts which are not includable in the member’s gross income by virtue of the member having taken a voluntary salary reduction provided for under applicable provisions of the Internal Revenue Code; and
      4. Elective amounts for qualified transportation fringes paid or made available on or after January 1, 2001, for calendar years on or after January 1, 2001, that are not includable in the gross income of the employee by reason of 26 U.S.C. sec. 132(f)(4) ; and
    3. Excludes:
      1. Living allowances, expense reimbursements, lump-sum payments for accrued vacation leave, and other items determined by the board;
      2. For employees who begin participating on or after September 1, 2008, lump-sum payments for compensatory time; and
      3. Any salary or wages paid to an employee for services as a Kentucky State Police school resource officer as defined by KRS 158.441;
  9. “Final compensation” means:
    1. For a member who begins participating before September 1, 2008, the creditable compensation of a member during the three (3) fiscal years he was paid at the highest average monthly rate divided by the number of months of service credit during the three (3) year period, multiplied by twelve (12); the three (3) years may be fractional and need not be consecutive. If the number of months of service credit during the three (3) year period is less than twenty-four (24), one (1) or more additional fiscal years shall be used; or
    2. For a member who begins participating on or after September 1, 2008, but prior to January 1, 2014, the creditable compensation of the member during the three (3) complete fiscal years he or she was paid at the highest average monthly rate divided by three (3). Each fiscal year used to determine final compensation must contain twelve (12) months of service credit. If the member does not have three (3) complete fiscal years that each contain twelve (12) months of service credit, then one (1) or more additional fiscal years, which may contain less than twelve (12) months of service credit, shall be added until the number of months in the final compensation calculation is at least thirty-six (36) months;
  10. “Final rate of pay” means the actual rate upon which earnings of a member were calculated during the twelve (12) month period immediately preceding the member’s effective retirement date, including employee contributions picked up after August 1, 1982, pursuant to KRS 16.545(4). The rate shall be certified to the system by the employer and the following equivalents shall be used to convert the rate to an annual rate: two thousand eighty (2,080) hours for eight (8) hour workdays, one thousand nine hundred fifty (1,950) hours for seven and one-half (7-1/2) hour workdays, two hundred sixty (260) days, fifty-two (52) weeks, twelve (12) months, or one (1) year;
  11. “Retired member” means any former member receiving a retirement allowance or any former member who has filed the necessary documents for retirement benefits and is no longer contributing to the retirement system;
  12. “Retirement allowance” means the retirement payments to which a retired member is entitled;
  13. “Actuarial equivalent” means a benefit of equal value when computed upon the basis of actuarial tables adopted by the board. In cases of disability retirement, the options authorized by KRS 61.635 shall be computed by adding ten (10) years to the age of the member, unless the member has chosen the Social Security adjustment option as provided for in KRS 61.635 (8), in which case the member’s actual age shall be used. For members who began participating in the system prior to January 1, 2014, no disability retirement option shall be less than the same option computed under early retirement;
  14. “Authorized leave of absence” means any time during which a person is absent from employment but retained in the status of an employee in accordance with the personnel policy of the Department of Kentucky State Police;
  15. “Normal retirement date” means:
    1. For a member who begins participating before September 1, 2008, the first day of the month following a member’s fifty-fifth birthday, except that for members over age fifty-five (55) on July 1, 1958, it shall mean January 1, 1959; or
    2. For a member who begins participating on or after September 1, 2008, the first day of the month following a member’s sixtieth birthday;
  16. “Disability retirement date” means the first day of the month following the last day of paid employment;
  17. “Dependent child” means a child in the womb and a natural or legally adopted child of the member who has neither attained age eighteen (18) nor married or who is an unmarried full-time student who has not attained age twenty-two (22). Solely in the cases where a member dies as a direct result of an act in line of duty as defined in this section, dies as a result of a duty-related injury as defined in KRS 61.621 , becomes totally and permanently disabled as a direct result of an act in the line of duty as defined in this section, or becomes disabled as a result of a duty-related injury as defined in Section 3 of this Act and is eligible for the benefits provided by subsection (5)(a) of Section 3 of this Act, “dependent child” also means a naturally or legally adopted disabled child of the member, regardless of the child’s age, if the child has been determined to be eligible for federal Social Security disability benefits or is being claimed as a qualifying child for tax purposes due to the child’s total and permanent disability;
  18. “Optional allowance” means an actuarially equivalent benefit elected by the member in lieu of all other benefits provided by KRS 16.505 to 16.652 ;
  19. “Act in line of duty” means:
    1. A single act occurring or a single thing done, which, as determined by the board, was required in the performance of the duties specified in KRS 16.060 ;
    2. For employees in hazardous positions under KRS 61.592 , a single act occurring which was required in the performance of the principal duties of the position as defined by the job description; or
    3. For employees participating in the State Police Retirement System and for employees who are in hazardous positions under KRS 61.592 , a single act of violence committed against the employee that is found to be related to his or her job duties, whether or not it occurs at his or her job site;
  20. “Early retirement date” means:
    1. For a member who begins participating before September 1, 2008, the retirement date declared by a member who is not less than fifty (50) years of age and has fifteen (15) years of service; or
    2. For a member who begins participating on or after September 1, 2008, but prior to January 1, 2014, the retirement date declared by a member who is not less than fifty (50) years of age and has fifteen (15) years of service credited under KRS 16.543(1) or 61.543(1) or another state-administered retirement system;
  21. “Member” means any officer included in the membership of the system as provided under KRS 16.520 whose membership has not been terminated under KRS 61.535 ;
  22. “Regular full-time officers” means the occupants of positions as set forth in KRS 16.010 ;
  23. “Hazardous disability” as used in KRS 16.505 to 16.652 means a disability which results in an employee’s total incapacity to continue as an employee in a hazardous position, but the employee is not necessarily deemed to be totally and permanently disabled to engage in other occupations for remuneration or profit;
  24. “Current rate of pay” means the member’s actual hourly, daily, weekly, biweekly, monthly, or yearly rate of pay converted to an annual rate as defined in final rate of pay. The rate shall be certified by the employer;
  25. “Beneficiary” means the person, persons, estate, trust, or trustee designated by the member in accordance with KRS 61.542 or 61.705 to receive any available benefits in the event of the member’s death. As used in KRS 61.702 , “beneficiary” does not mean an estate, trust, or trustee;
  26. “Recipient” means the retired member, the person or persons designated as beneficiary by the member and drawing a retirement allowance as a result of the member’s death, or a dependent child drawing a retirement allowance. An alternate payee of a qualified domestic relations order shall not be considered a recipient, except for purposes of KRS 61.623 ;
  27. “Person” means a natural person;
  28. “Retirement office” means the Kentucky Public Pensions Authority office building in Frankfort, unless otherwise designated by the Kentucky Public Pensions Authority;
  29. “Vested” for purposes of determining eligibility for purchasing service credit under KRS 61.552 means the employee has at least forty-eight (48) months of service if age sixty-five (65) or older or at least sixty (60) months of service if under the age of sixty-five (65). For purposes of this subsection, “service” shall mean service in the systems administered by the Kentucky Retirement Systems and County Employees Retirement System;
  30. “Last day of paid employment” means the last date employer and employee contributions are required to be reported in accordance with KRS 16.543 or 61.543 to the retirement office in order for the employee to receive current service credit for the month. Last day of paid employment does not mean a date the employee receives payment for accrued leave, whether by lump sum or otherwise, if that date occurs twenty-four (24) or more months after previous contributions;
  31. “Objective medical evidence” means reports of examinations or treatments; medical signs which are anatomical, physiological, or psychological abnormalities that can be observed; psychiatric signs which are medically demonstrable phenomena indicating specific abnormalities of behavior, affect, thought, memory, orientation, or contact with reality; or laboratory findings which are anatomical, physiological, or psychological phenomena that can be shown by medically acceptable laboratory diagnostic techniques, including but not limited to chemical tests, electrocardiograms, electroencephalograms, X-rays, and psychological tests;
  32. “Fiscal year” of the system means the twelve (12) months from July 1 through the following June 30, which shall also be the plan year. The “fiscal year” shall be the limitation year used to determine contribution and benefit limits established by 26 U.S.C. sec. 415 ;
  33. “Participating” means an employee is currently earning service credit in the system as provided in KRS 16.543 ;
  34. “Month” means a calendar month;
  35. “Membership date” means the date upon which the member began participating in the system as provided by KRS 16.543 ;
  36. “Participant” means a member, as defined by subsection (21) of this section, or a retired member, as defined by subsection (11) of this section;
  37. “Qualified domestic relations order” means any judgment, decree, or order, including approval of a property settlement agreement, that:
    1. Is issued by a court or administrative agency; and
    2. Relates to the provision of child support, alimony payments, or marital property rights to an alternate payee;
  38. “Alternate payee” means a spouse, former spouse, child, or other dependent of a participant, who is designated to be paid retirement benefits in a qualified domestic relations order;
  39. “Accumulated employer credit” means the employer pay credit deposited to the member’s account and interest credited on such amounts as provided by KRS 16.583 ;
  40. “Accumulated account balance” means:
    1. For members who began participating in the system prior to January 1, 2014, the member’s accumulated contributions; or
    2. For members who began participating in the system on or after January 1, 2014, in the hybrid cash balance plan as provided by KRS 16.583 , the combined sum of the member’s accumulated contributions and the member’s accumulated employer pay credit; and
  41. “Monthly average pay” means:
    1. In the case of a member who dies as a direct result of an act in line of duty as defined in this section or who dies as a result of a duty-related injury as defined in Section 3 of this Act, the higher of the member’s monthly final rate of pay or the average monthly creditable compensation earned by the deceased member during his or her last twelve (12) months of employment; or
    2. In the case where a member becomes totally and permanently disabled as a direct result of an act in line of duty as defined in this section or becomes disabled as a result of a duty-related injury as defined in Section 3 of this Act and is eligible for the benefits provided by subsection (5)(a) of Section 3 of this Act, the higher of the member’s monthly final rate of pay or the average monthly creditable compensation earned by the disabled member during his or her last twelve (12) months of employment prior to the date the act in line of duty or duty-related injury occurred.

HISTORY: Enact. Acts 1958, ch. 94, § 1; 1964, ch. 91, § 1; 1966, ch. 33, § 1; 1968, ch. 25, § 1; 1970, ch. 76, § 1; 1972, ch. 116, § 1; 1974, ch. 74, Art. V, § 24(3); 1974, ch. 128, § 1; 1976, ch. 321, § 1, 40; 1978, ch. 311, § 1, effective June 17, 1978; 1978, ch. 384, § 535, effective June 17, 1978; 1980, ch. 186, § 1, effective July 15, 1980; 1982, ch. 166, § 24, effective July 15, 1982; 1982, ch. 423, § 1, effective July 15, 1982; 1984, ch. 95, § 1, effective July 13, 1984; 1986, ch. 90, § 1, effective July 15, 1986; 1986, ch. 331, § 10, effective July 15, 1986; 1988, ch. 349, § 1, effective July 15, 1988; 1992, ch. 240, § 1, effective July 14, 1992; 1994, ch. 485, § 1, effective July 15, 1994; 1996, ch. 167, § 1, effective July 15, 1996; 1998, ch. 105, § 1, effective July 15, 1998; 1998, ch. 300, § 3, effective July 15, 1998; 2000, ch. 210, § 1, effective July 14, 2000; 2000, ch. 385, § 1, effective July 14, 2000; 2002, ch. 52, § 1, effective July 15, 2002; 2003, ch. 169, § 1, effective March 31, 2003; 2004, ch. 36, § 1, effective July 13, 2004; 2007, ch. 85, § 72, effective June 26, 2007; 2008 (1st Ex. Sess.), ch. 1, § 6, effective June 27, 2008; 2009, ch. 77, § 1, effective June 25, 2009; 2010, ch. 148, § 2, effective July 15, 2010; 2013, ch. 120, § 34, effective July 1, 2013; 2018 ch. 151, § 1, effective April 13, 2018; 2018 ch. 107, § 13, effective July 14, 2018; 2019 ch. 197, § 3, effective April 9, 2019; 2021 ch. 102, § 31, effective April 1, 2021; 2021 ch. 106, § 1, effective June 29, 2021.

Legislative Research Commission Notes.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 107 and 151, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

1.Back Pay.

District Court did not abuse its discretion in declining to deduct unemployment compensation from state troopers’ awards of back-pay in case involving Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55). EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

There was no error in District Court’s decision to deduct net, rather than gross, income from officer’s back-pay awards in case involving Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55); Supreme Court held in earlier case that employees may be reimbursed for earnings lost by reason of the wrongful discharge, but from those earnings should be deducted any net earnings of employees from other employment during back-pay period. EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

2.— Prejudgment Interest.

District Court abused its discretion in setting date on which prejudgment interest was to begin to accrue in case involving the Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55); prejudgment interest should have begun to apply on the first day of the second year of the back-pay award as that approach complied with purpose behind awarding prejudgment interest and conformed to wishes of officers involved who were to choose when prejudgment interest would apply. EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

District Court did not abuse its discretion in awarding prejudgment interest and compounded prejudgment interest in state troopers’ awards of back pay in case involving the Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55). EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

3.— Fringe Benefits.

District Court had legal authority to include overtime pay in state troopers’ awards of back-pay in case involving Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55), as existing precedent held that sick leave, vacation pay, pension benefits and other fringe benefits the claimant would have received but for discrimination should also be awarded, and District Court’s factual findings on the amount of compensatory time to which troopers were entitled was not clearly erroneous. EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

4.Complaints.

District Court abused its discretion in denying Equal Employment Opportunity Commission’s (EEOC) motion to amend its complaint to add the names of three officers who were not included in original complaint because Kentucky’s Retirement Board, which furnished names of potential claimants to EEOC, failed to include the three officer’s names due to fact that officers had retired before their fifty-fifth birthdays in reliance on Kentucky’s mandatory policy of retirement for state troopers in case involving EEOC’s challenge to mandatory retirement of state troopers at age fifty-five (55). Kentucky State Police Department was on notice about the nature of claims that would be brought against it by officers retired under the policy, and to allow officer’s involved to bring their complaints would have posed no hardship to department. EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

5.Damages.

District Court’s finding, that state troopers who retired in reliance on state’s mandatory retirement policy mitigated their damages, was not clearly erroneous in case involving Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55). EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

6.Age Discrimination.

Subsection (15) of this section mandatorily retires state troopers on the first day of the month following their fifty-fifth birthday, and, as such, it facially discriminates between troopers younger than fifty-five (55) years of age and those older than fifty-five (55) years of age: therefore, a claim becomes ripe when this section is applied, as when the state trooper is mandatorily retired. (Decided prior to 2008 amendment) EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

7.— Tolling of Statute of Limitations.

District Court abused its discretion by not tolling the statute of limitations period beginning April 6, 1978, the date the Age Discrimination in Employment Act became applicable to states and localities, where it had previously decided that the limitations period should be tolled for troopers retired between 1979 and 1981, in case involving Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55). EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

Equitable tolling of statute of limitation in case involving Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55) was proper where officers involved did not learn of their rights under the Age Discrimination in Employment Act (ADEA) until Supreme Court’s 1983 decision in EEOC v. Wyoming; the District Court found that troopers lacked constructive notice of their rights under ADEA because of department’s failure to post required notices, that department policy manual omitted age discrimination as part of affirmation action policy, and that officers involved were diligent in pursuing their rights. EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

8.— Evidence.

In case involving the Equal Employment Opportunity Commission’s challenge to mandatory retirement of state troopers at age fifty-five (55), where Kentucky State Police Department (KSP), admitted that it did not post required Age Discrimination in Employment Act (ADEA) notices and could not prove that the notices in question were actually posted or seen by KSP troopers, even if the lower court’s decision to exclude evidence of the two memos KSP sought to introduce to show that state troopers had constructive knowledge of their right to be free from age discrimination under the (ADEA) and, as such, were not entitled to equitable tolling of the statute of limitations amounted to an abuse of discretion, that decision would not be disturbed on appeal as it did not result in substantial injustice. EEOC v. Kentucky State Police Dep't, 80 F.3d 1086, 1996 FED App. 0108P, 1996 U.S. App. LEXIS 6047 (6th Cir. Ky.), cert. denied, 519 U.S. 963, 117 S. Ct. 385, 136 L. Ed. 2d 302, 1996 U.S. LEXIS 6602 (U.S. 1996).

Research References and Practice Aids

Cross-References.

Social security for public employees, KRS 61.410 to 61.500 .

16.510. Retirement system established — Fund created.

There is hereby created and established:

  1. A retirement system for state police to be known as the “State Police Retirement System” by and in which name it shall, pursuant to the provisions of KRS 16.510 to 16.652 , transact all of its business, and shall have the powers and privileges of a corporation; and
  2. A fund, to be known as the “State Police Retirement Fund,” which shall consist of all the assets of the system as set forth in KRS 16.555 . All assets received in the fund shall be deemed trust funds to be held and applied solely as provided in KRS 16.505 to KRS 16.652 .

History. Enact. Acts 1958, ch. 94, § 2, effective July 1, 1958; 2004, ch. 36, § 2, effective July 13, 2004.

Opinions of Attorney General.

A slight variation in the name of the fund from that directed by the statutes would not invalidate the security or becloud the ownership therein, since former KRS 355.8-308(2) (now repealed) of the Uniform Commercial Code provides that a special indorsement is one that specifies the person to whom the security is transferred. OAG 61-478 .

Securities purchased for the state police retirement system may be registered in the name of “State Police Retirement System of the Commonwealth of Kentucky.” OAG 61-478 .

16.515. Former membership in Kentucky employes retirement system. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 3; 1968, ch. 152, § 4) was repealed by Acts 1974, ch. 128, § 36, effective March 26, 1974.

16.517. Transfer of conservation officers to State Police Retirement System; Conditions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 86) was repealed by Acts 1964, ch. 91, § 19.

16.520. Membership in the system.

  1. Membership in the system shall consist of all regular full-time officers of the Department of Kentucky State Police appointed pursuant to KRS 16.050 who are entitled to exercise the powers of peace officers.
  2. Membership in the system shall not include those employees who are simultaneously participating in another state-administered defined benefit plan within Kentucky other than those administered by the Kentucky Retirement Systems, except for employees who have ceased to contribute to one (1) of the state-administered retirement plans as provided in KRS 21.360.

HISTORY: Enact. Acts 1958, ch. 94, § 4; 1968, ch. 139; 1970, ch. 76, § 2; 1972, ch. 116, § 2; 1974, ch. 74, Art. V, § 24(4); 1974, ch. 128, § 2; 1976, ch. 321, § 2; 1986, ch. 90, § 2, effective July 15, 1986; 1988, ch. 349, § 2, effective July 15, 1988; 1990, ch. 222, § 5, effective July 13, 1990; 1994, ch. 485, § 2, effective July 15, 1994; 1998, ch. 105, § 2, effective July 15, 1998; 2007, ch. 85, § 73, effective June 26, 2007; 2017 ch. 32, § 2, effective June 28, 2017.

Compiler’s Notes.

Section 10 of Acts 1990, ch. 222 provides that: “Any employee or former employee not retired who participated in more than one (1) retirement system administered by the Kentucky Retirement Systems prior to July 15, 1990, may retroactively choose to receive and shall be granted full service credit for time served in one (1) of those systems, and thereby shall relinquish service credit in the other systems for the same time period, and his contributions related to the relinquished credit shall be refunded.”

Research References and Practice Aids

Cross-References.

Employees retirement system, members to elect trustee for, KRS 61.645 .

16.525. Cessation of membership. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 5; 1964, ch. 91, § 2) was repealed by Acts 1972, ch. 116, § 78.

16.527. Reinstatement of lost service credit. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 3; 1972, ch. 116, § 3) was repealed by Acts 1974, ch. 128, § 36, effective March 26, 1974.

16.530. Membership statements and certificates.

Under such rules and regulations as are adopted by the board, each employee becoming a member on July 1, 1958, shall have on file at the retirement office, on such forms as the board may prescribe, a statement of the facts pertaining to his status as a member which shall include a detailed description of all service rendered prior to July 1, 1958. Until such statement is filed, no member shall be entitled to receive any benefits under KRS 16.505 to 16.652 . As soon as practicable after said statement is filed, the system shall ascertain the amount of prior service, if any, to which each member is entitled and shall issue to each member a certificate certifying the length of such service rendered by him.

History. Enact. Acts 1958, ch. 94, § 6, effective July 1, 1958; 1992, ch. 240, § 2, effective July 14, 1992; 2009, ch. 77, § 2, effective June 25, 2009.

16.532. Beneficiaries to be designated by member — Change — Rights. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 33, § 8) was repealed by Acts 1972, ch. 116, § 78.

16.535. Years of service. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 7) was repealed by Acts 1972, ch. 116, § 78.

16.537. Service credit for other public employment by delayed contribution payment — Recalculation of benefits for retirees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 90, § 27) was repealed by Acts 2004, ch. 36, § 36, effective July 13, 2004.

16.540. Leave of absence. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 8; 1960, ch. 165, Part I, § 1) was repealed by Acts 1964, ch. 91, § 19.

16.541. Credit for service in United States armed forces. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 165, Part I, § 2; 1962, ch. 258; 1966, ch. 255, § 16; 1972, ch. 116, § 4; 1974, ch. 48, § 2; 1976, ch. 321, § 3; 1978, ch. 311, § 2, effective June 17, 1978; 1980, ch. 186, § 3, effective July 15, 1980; 1982, ch. 166, § 25, effective July 15, 1982) was repealed by Acts 1986, ch. 90, § 31, effective July 15, 1986.

16.543. Determination of service credit — Picked-up employee contributions — Service earned while on leave — Refund.

  1. Employee contributions shall be deducted from the creditable compensation of each member of the retirement system in the active employment of the Department of Kentucky State Police of the Justice and Public Safety Cabinet as an officer as defined in KRS 16.520 . After August 1, 1982, employee contributions shall be picked up by the employer pursuant to KRS 16.545(4). Service credit shall be allowed for each month such member receives creditable compensation for an average of one hundred (100) hours or more of work per month. If the average number of hours of work is less than one hundred (100) per month, the member shall be allowed credit only for those months he or she receives creditable compensation for one hundred (100) hours of work.
  2. Contributions shall not be made and no service will be earned while on authorized leave except:
    1. A member shall be entitled to service credit in accordance with KRS 61.552 ; and
    2. A member on educational leave, approved by the Personnel Cabinet, who is receiving seventy-five percent (75%) or more of full salary, shall receive service credit and shall pay member contributions or such contributions shall be picked up in accordance with KRS 16.545 and his or her employer shall pay employer contributions in accordance with KRS 61.565 . If a tuition agreement is broken by the member, the member and employer contributions paid or picked up during the period of educational leave shall be refunded.
  3. The retirement office, upon detection, shall refund any erroneous employer and employee contributions made to the retirement system and any interest credited in accordance with KRS 16.560 .

HISTORY: Enact. Acts 1972, ch. 116, § 5; 1974, ch. 74, Art. V, § 24(1), (3); 1976, ch. 321, § 4; 1978, ch. 311, § 3, effective June 17, 1978; 1982, ch. 166, §§ 9, 26, effective July 15, 1982; 1986, ch. 90, § 29, effective July 15, 1986; 1992, ch. 240, § 3, effective July 14, 1992; 1998, ch. 154, § 9, effective July 15, 1998; 2007, ch. 85, § 74, effective June 26, 2007; 2021 ch. 102, § 32, effective April 1, 2021.

16.545. Contributions of members — Picked-up employee contributions.

  1. Except for members over age fifty-five (55) on July 1, 1958, who shall not be required to contribute, each member shall, commencing on July 1, 1998, contribute for each pay period for which he receives compensation, eight percent (8%) of his creditable compensation.
  2. The employer shall cause to be deducted from the compensation of each member for each and every payroll period subsequent to July 1, 1958, the contributions payable by such member as provided in KRS 16.510 to 16.652 .
  3. Every member shall be deemed to consent to deductions made as provided herein; and the payment of salary or compensation less such deduction shall be a full and complete discharge of all claims for services rendered by such person during the period covered by such payment, except as to any benefits provided by KRS 16.510 to 16.652 .
  4. Each employer shall, solely for the purpose of compliance with Section 414(h) of the United States Internal Revenue Code, pick up the employee contributions required by this section for all compensation earned after August 1, 1982, and the contributions so picked up shall be treated as employer contributions in determining tax treatment under the United States Internal Revenue Code and KRS 141.010 . These contributions shall not be included as gross income of the employee until such time as the contributions are distributed or made available to the employee. The picked-up employee contribution shall satisfy all obligations to the retirement system satisfied prior to August 1, 1982, by the employee contribution, and the picked-up employee contribution shall be in lieu of an employee contribution. Each employer shall pay these picked-up employee contributions from the same source of funds which is used to pay earnings to the employee. The employee shall have no option to receive the contributed amounts directly instead of having them paid by the employer to the system. Employee contributions picked up after August 1, 1982, shall be treated for all purposes of KRS 16.510 to 16.652 in the same manner and to the same extent as employee contributions made prior to August 1, 1982.

HISTORY: Enact. Acts 1958, ch. 94, § 9; 1964, ch. 91, § 4; 1968, ch. 25, § 2; 1972, ch. 116, § 6; 1976, ch. 321, § 40; 1982, ch. 166, § 2, effective July 15, 1982; 1986, ch. 90, § 3, effective July 15, 1986; 1990, ch. 476, Pt. VII D, § 641, effective April 11, 1990; 1998, ch. 300, § 4, effective July 15, 1998; 2018 ch. 171, § 64, effective April 14, 2018; 2018 ch. 207, § 64, effective April 27, 2018.

Compiler’s Notes.

Section 414(h) of the United States Internal Revenue Code, referred to in (4), may be found as 26 USCS § 414(h).

Legislative Research Commission Notes.

(6/29/2017). Under the authority of KRS 7.136(1), a reference to “KRS 131.990 (2)” in subsection (1)(b)5. of this statute has been changed to “KRS 131.990 (1)” by the Reviser of Statutes following the enactment of 2017 Ky. Acts ch. 74, sec. 67, which deleted subsection (1) of KRS 131.990 and renumbered the subsequent subsections, but did not amend this statute to conform.

16.550. Contributions of employer. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 10) was repealed by Acts 1964, ch. 91, § 19.

16.551. Employer’s contribution, how determined. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 5; 1972, ch. 116, § 7) was repealed by Acts 1974, ch. 128, § 36, effective March 26, 1974.

16.555. Assets of the system — Accounts.

All the assets of the system shall be held and invested in the State Police Retirement Fund and credited, according to the purpose for which they are held, to one (1) of three (3) accounts: the “members’ account,” the “retirement allowance account,” and accounts established pursuant to 26 U.S.C. sec. 401(h) within the funds established in KRS 16.510 and 61.515 , as prescribed by KRS 61.702(3)(b).

HISTORY: Enact. Acts 1958, ch. 94, § 11, effective July 1, 1958; 2009, ch. 77, § 3, effective June 25, 2009; 2013, ch. 120, § 35, effective July 1, 2013; 2021 ch. 102, § 33, effective April 1, 2021.

16.560. Member account.

  1. The member account shall be the account to which:
    1. All members’ contributions, or contributions picked up by the employer after August 1, 1982, and interest allowances as provided in KRS 16.505 to 16.652 shall be credited, except as provided by KRS 61.702(2)(b); and
    2. For members who begin participating in the system on or after January 1, 2014, the employer pay credit and interest credited on such amounts as provided by KRS 16.583 shall be credited. Only funds from this account shall be used to return accumulated contributions or accumulated account balances of a member when required by reason of any provision of KRS 16.505 to 16.652 . Prior to the member’s retirement, death, or refund in accordance with KRS 61.625 , no funds shall be made available from the member’s account.
  2. Each member’s contribution or contribution picked up by the employer shall be credited to the individual account of the contributing member, except as provided by KRS 61.702(2)(b).
    1. Each member shall have his individual account credited with interest on June 30 of each fiscal year. (3) (a) Each member shall have his individual account credited with interest on June 30 of each fiscal year.
    2. For members who begin participating before September 1, 2008, interest shall be credited to their individual account at a rate determined by the board but not less than two and one-half percent (2.5%) per annum on the accumulated account balance of the member on June 30 of the preceding fiscal year.
    3. For members who begin participating on or after September 1, 2008, but prior to January 1, 2014, interest shall be credited to their individual account at a rate of two and one-half percent (2.5%) per annum on the accumulated account balance of the member on June 30 of the preceding fiscal year.
    4. For members who begin participating on or after January 1, 2014, in the hybrid cash balance plan, interest shall be credited to their individual account in accordance with KRS 16.583 .
    5. The amounts of interest credited to a member’s account under this subsection and KRS 16.583 and the employer pay credit as provided by KRS 16.583 shall be transferred from the retirement allowance account.
    1. Upon the retirement of a member who began participating in the system prior to January 1, 2014, his or her accumulated account balance shall be transferred from the member’s account to the retirement allowance account. (4) (a) Upon the retirement of a member who began participating in the system prior to January 1, 2014, his or her accumulated account balance shall be transferred from the member’s account to the retirement allowance account.
    2. Upon the retirement of a member who began participating in the system on or after January 1, 2014, who elects to annuitize his or her accumulated account balance as prescribed by KRS 16.583(7)(a) or (b), the member’s accumulated account balance shall be transferred to the retirement allowance account.
  3. Included as a part of such member’s account shall be his accumulated account balance in the Kentucky Employees Retirement System, if any, transferred to this system.

History. Enact. Acts 1958, ch. 94, § 12; 1972, ch. 116, § 8; 1976, ch. 321, § 40; 1978, ch. 311, § 4, effective June 17, 1978; 1982, ch. 166, § 27, effective July 15, 1982; 2000, ch. 385, § 2, effective July 14, 2000; 2008 (1st Ex. Sess.), ch. 1, § 7, effective June 27, 2008; 2009, ch. 77, § 4, effective June 25, 2009; 2013, ch. 120, § 36, effective July 1, 2013.

Legislative Research Commission Notes.

(6/27/2008). The Reviser of Statutes has altered the numbering of subsection (3) of this statute from the way it appeared in 2008 (1st Extra. Sess.) Ky. Acts ch. 1, sec. 7, under the authority of KRS 7.136(1)(c).

16.565. Retirement allowance account.

The retirement allowance account shall be the account in which shall be accumulated all employer contributions, amounts transferred from the member account, and to which all income from the investment assets of the system shall be credited. From this account there shall be paid administrative expenses and in addition all benefits payable under KRS 16.510 to 16.652 . There shall be transferred from this account to the member account:

  1. The employer pay credit added monthly to each member’s individual accounts as provided by KRS 16.583 ; and
  2. The interest credited annually to each member’s individual accounts as provided by KRS 16.505 to 16.652 .

History. Enact. Acts 1958, ch. 94, § 13, effective July 1, 1958; 2013, ch. 120, § 37, effective July 1, 2013.

NOTES TO DECISIONS

Cited in:

Commonwealth ex rel. Armstrong v. Collins, 709 S.W.2d 437, 1986 Ky. LEXIS 262 ( Ky. 1986 ).

16.566. Member to file with board upon retirement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 116, § 10) was repealed by Acts 1974, ch. 128, § 36, effective March 26, 1974.

16.567. Calculation of retirement allowance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 116, § 11) was repealed by Acts 1976, ch. 321, § 41.

16.568. Excess benefit plan — Purpose — Excess benefit fund.

  1. There are created and established:
    1. An excess benefit plan to be known as the State Police Retirement System Excess Benefit Plan. The plan is created for the purpose of providing the retirement allowances payable from the retirement system under KRS 16.510 to 16.652 that would otherwise be limited by 26 U.S.C. sec. 415 ; and
    2. A state fund to be known as the “State Police Retirement System Excess Benefit Fund” which shall consist of all the assets of the plan.
  2. The administration and assets of the plan shall be as set forth in KRS 61.652 .

History. Enact. Acts 2000, ch. 385, § 8, effective July 14, 2000.

16.570. Deposits. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 14) was repealed by Acts 1972, ch. 116, § 78.

16.573. Refund of contributions — Conditions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 6; 1972, ch. 116, § 9; 1974, ch. 128, § 3) was repealed by Acts 1976, ch. 321, § 41.

16.575. Minimum benefits. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 15) was repealed by Acts 1964, ch. 91, § 19.

16.576. Normal retirement for members who began participating before January 1, 2014 — Election regarding payment of retirement allowance.

    1. Any member who begins participating before September 1, 2008, who has at least five (5) years of service credit may retire at his normal retirement date, or subsequent thereto, upon written notification to the system, setting forth at what date the retirement is to become effective, if the effective date shall be after his last day of service and subsequent to the filing of the notice at the retirement office. (1) (a) Any member who begins participating before September 1, 2008, who has at least five (5) years of service credit may retire at his normal retirement date, or subsequent thereto, upon written notification to the system, setting forth at what date the retirement is to become effective, if the effective date shall be after his last day of service and subsequent to the filing of the notice at the retirement office.
    2. Any member who begins participating on or after September 1, 2008, who has at least five (5) years of service credited under KRS 16.543(1), 61.543(1), or another state-administered retirement system may retire at his or her normal retirement date, or subsequent thereto, upon written notification to the system, setting forth what date the retirement is to become effective, if the effective date shall be after his or her last day of service and subsequent to the filing of the notice at the retirement office.
  1. The member shall have the right to elect to have his retirement allowance payable under subsection (3), (4), or (6) of this section or any one (1) of the plans set forth in KRS 61.635 .
    1. Effective August 1, 1990, a member of the Kentucky State Police Retirement System may elect to receive an annual retirement allowance, payable monthly during his lifetime, equal to two and five-tenths percent (2.5%) of final compensation for each year of service credit. Effective August 1, 1988, a member of the Kentucky Employees Retirement System covered by this section may elect to receive an annual retirement allowance, payable monthly during his lifetime, equal to two and forty-nine hundredths percent (2.49%) of final compensation for each year of service credit. The annual retirement allowance for a member covered by this section shall not exceed the maximum benefit as set forth in the Internal Revenue Code. (3) (a) Effective August 1, 1990, a member of the Kentucky State Police Retirement System may elect to receive an annual retirement allowance, payable monthly during his lifetime, equal to two and five-tenths percent (2.5%) of final compensation for each year of service credit. Effective August 1, 1988, a member of the Kentucky Employees Retirement System covered by this section may elect to receive an annual retirement allowance, payable monthly during his lifetime, equal to two and forty-nine hundredths percent (2.49%) of final compensation for each year of service credit. The annual retirement allowance for a member covered by this section shall not exceed the maximum benefit as set forth in the Internal Revenue Code.
    2. A member of the State Police Retirement System or a member of the Kentucky Employees Retirement System covered by this section, whose participation begins on or after September 1, 2008, but prior to January 1, 2014, shall receive an annual retirement allowance, payable monthly during his or her lifetime, equal to:
      1. One and three-tenths percent (1.3%) of final compensation for each year of service credit if the employee has earned ten (10) or less years of service at retirement;
      2. One and one-half percent (1.5%) of final compensation for each year of service credit if the employee has earned greater than ten (10) but no more than twenty (20) years of service at retirement;
      3. Two and one-quarter percent (2.25%) of final compensation for each year of service credit if the employee has earned greater than twenty (20) but less than twenty-five (25) years of service at retirement; or
      4. Two and one-half percent (2.5%) of final compensation for each year of service credit if the employee has earned twenty-five (25) or more years of service at retirement.
  2. The member may elect to receive a monthly retirement allowance payable for ten (10) years certain, actuarially equivalent to the retirement allowance payable under subsection (3) of this section. If the member should become deceased prior to the expiration of ten (10) years, his beneficiary, unless the beneficiary is the member’s estate, shall receive the remaining payments monthly for the duration of the ten (10) years. If the member’s estate is the beneficiary, the member’s estate shall receive a lump-sum payment which shall be the actuarial equivalent to the remaining payments. The provisions of KRS 61.702 notwithstanding, the member who retired on June 17, 1978, or thereafter, and his spouse and eligible dependents shall continue to receive the insurance benefits to which they are entitled pursuant to KRS 61.702 after the expiration of ten (10) years. Effective with any insurance contract procured, or self-insurance plan instituted, after July 15, 1990, a member who retired prior to June 17, 1978, and his spouse and eligible dependents shall receive insurance benefits pursuant to KRS 61.702 upon payment by the member or beneficiary of the entire cost of the required insurance premium.
  3. Notwithstanding any other provisions of this section, upon written notification to the system, a member shall have the option to defer his election to receive his retirement allowance. The retirement allowance payable under a deferred option shall be increased to reflect the deferred receipt of benefits.
  4. In lieu of any other benefits due under KRS 16.505 to 16.652 , a member who begins participating before September 1, 2008, who has attained age fifty-five (55) and who has attained at least one (1) month of service credit but no more than fifty-nine (59) months of service credit may elect to receive an annual retirement allowance, payable monthly or less frequently as determined by the board, which shall be determined by multiplying his accumulated contributions by two (2) and converting this amount to an annual retirement allowance based on an annuity rate adopted by the board which would pay the actuarial equivalent of twice his accumulated contributions over the lifetime of the retired member.
  5. Subsections (1) to (6) of this section shall not apply to members who begin participating in the system on or after January 1, 2014. Members who begin participating in the system on or after January 1, 2014, shall receive the retirement benefit calculation prescribed by KRS 16.583 .

HISTORY: Enact. Acts 1964, ch. 91, § 7; 1966, ch. 33, § 2; 1968, ch. 25, § 3; 1970, ch. 76, § 3; 1972, ch. 116, § 12; 1974, ch. 128, § 4; 1976, ch. 321, § 5; 1978, ch. 311, § 5, effective June 17, 1978; 1980, ch. 186, § 4, effective July 15, 1980; 1984, ch. 94, § 1, effective July 13, 1984; 1984, ch. 228, § 1, effective July 13, 1984; 1986, ch. 76, § 1, effective July 15, 1986; 1986, ch. 293, § 3, effective July 15, 1986; 1986, ch. 295, § 2, effective July 15, 1986; 1988, ch. 349, § 6, effective July 15, 1988; 1988, ch. 364, § 1, effective July 15, 1988; 1990, ch. 347, § 1, effective July 13, 1990; 1990, ch. 460, § 3, effective July 13, 1990; 1992, ch. 240, § 4, effective July 14, 1992; 1994, ch. 485, § 4, effective July 15, 1994; 1996, ch. 167, § 2, effective July 15, 1996; 2008 (1st Ex. Sess.), ch. 1, § 8, effective June 27, 2008; 2009, ch. 77, § 5, effective June 25, 2009; 2013, ch. 120, § 38, effective July 1, 2013; 2021 ch. 102, § 35, effective April 1, 2021.

Compiler’s Notes.

The Internal Revenue Code, referred to in (3)(a), is codified throughout Title 26 of the United States Code.

NOTES TO DECISIONS

1.Age Discrimination.

Kentucky’s retirement statutes, KRS 16.582 , 16.576 , 16.577 and 61.595 , do not discriminate against workers who become disabled after becoming eligible for retirement based on age and, thus, do not violate the federal Age Discrimination in Employment Act, 29 USCS § 621 et seq. Age factors into the disability calculation only because the normal retirement rules themselves permissibly consider age. The Plan simply seeks to treat disabled employees as if they had worked until the point at which they would be eligible for a normal pension. Thus, the disparity turns upon pension eligibility and nothing more. Ky. Ret. Sys. v. EEOC, 554 U.S. 135, 128 S. Ct. 2361, 171 L. Ed. 2d 322, 2008 U.S. LEXIS 5032 (U.S. 2008).

Cited in:

EEOC v. Jefferson County Sheriff’s Dep’t, 424 F.3d 467, 2005 U.S. App. LEXIS 20053 (6th Cir. 2005).

16.577. Early retirement for members who began participating before January 1, 2014.

  1. Upon retirement at early retirement date, a member may receive an annual retirement allowance payable monthly during his lifetime which shall be determined in the same manner as for retirement at his normal retirement date, with years of service and final compensation being determined as of the date of his actual retirement, but the amount of the retirement allowance so determined shall be reduced at an amount determined by the board’s actuary to reflect the earlier commencement of benefits.
  2. For a member who begins participating before September 1, 2008, there shall be no reduction in the retirement allowance if the member has twenty (20) or more years of service credit, at least fifteen (15) of which are current service.
  3. For a member who begins participating on or after September 1, 2008, but prior to January 1, 2014, there shall be no reduction in the retirement allowance if the member has twenty-five (25) or more years of service credited under KRS 16.543(1), 61.543(1), or another state-administered retirement system.
  4. Subsections (1) to (3) of this section shall not apply to members who begin participating in the system on or after January 1, 2014. Members who begin participating in the system on or after January 1, 2014, shall receive the retirement benefit calculation prescribed by KRS 16.583 .

HISTORY: Enact. Acts 1970, ch. 76, § 4; 1978, ch. 127, § 1, effective June 17, 1978; 1984, ch. 95, § 2, effective July 13, 1984; 2000, ch. 385, § 3, effective July 14, 2000; 2008 (1st Ex. Sess.), ch. 1, § 9, effective June 27, 2008; 2013, ch. 120, § 39, effective July 1, 2013; 2021 ch. 102, § 36, effective April 1, 2021.

NOTES TO DECISIONS

1.Age Discrimination.

Kentucky’s retirement statutes, KRS 16.582 , 16.576 , 16.577 and 61.595 , do not discriminate against workers who become disabled after becoming eligible for retirement based on age and, thus, do not violate the federal Age Discrimination in Employment Act, 29 USCS § 621 et seq. Age factors into the disability calculation only because the normal retirement rules themselves permissibly consider age. The Plan simply seeks to treat disabled employees as if they had worked until the point at which they would be eligible for a normal pension. Thus, the disparity turns upon pension eligibility and nothing more. Ky. Ret. Sys. v. EEOC, 554 U.S. 135, 128 S. Ct. 2361, 171 L. Ed. 2d 322, 2008 U.S. LEXIS 5032 (U.S. 2008).

Cited in:

EEOC v. Jefferson County Sheriff’s Dep’t, 424 F.3d 467, 2005 U.S. App. LEXIS 20053 (6th Cir. 2005).

16.578. Death before retirement — Beneficiary’s options.

  1. If a member dies prior to the first day of the month in which the member would have received his or her first retirement allowance, the member’s beneficiary shall be eligible for the benefits provided by this section if the member had on file a written designation of a beneficiary with the retirement office as provided by KRS 61.542 and the member met the following conditions at the date of his or her death:
    1. The member was eligible to retire under KRS 16.576 , 16.577 , or 16.583(6);
    2. The member was in active employment or on authorized leave of absence with five (5) or more years of service credit and died prior to his or her normal retirement date; or
    3. The member was not in active employment or on authorized leave of absence with twelve (12) or more years of service credit and died prior to his or her normal retirement date.
  2. If the beneficiary eligible for benefits as provided in subsection (1) of this section is a single person, then the beneficiary may elect to receive:
    1. A monthly benefit payable for the life of the beneficiary that is equal to the benefit that would have been paid had the member retired immediately prior to his or her date of death and elected to receive benefits payable under the survivorship one hundred percent (100%) option as provided in KRS 61.635(2);
    2. A monthly benefit payable for the life of the beneficiary under the beneficiary Social Security adjustment option as provided in KRS 61.635(9) that is the actuarial equivalent to the amount computed under paragraph (a) of this subsection;
    3. A monthly benefit payable for a period of sixty (60) months that is the actuarial equivalent to the amount computed under paragraph (a) of this subsection;
    4. A monthly benefit payable for a period of one hundred twenty (120) months that is the actuarial equivalent to the amount computed under paragraph (a) of this subsection;
    5. If the member began participating in the system prior to January 1, 2014, a monthly benefit payable for:
      1. Sixty (60) months certain;
      2. One hundred twenty (120) months certain;
      3. The actuarial equivalent refund; or
      4. The Social Security adjustment option;

        that is equivalent to the benefit the member would have been entitled to receive based on his or her years of service and final compensation at the date of his or her death reduced by the survivorship fifty percent (50%) factor as provided for in KRS 61.635(4), then reduced by fifty percent (50%), and that is the actuarial equivalent to the amount computed under paragraph (a) of this subsection; or

    6. The higher of a refund of the member’s accumulated account balance and interest as described in KRS 61.625(1) or a one (1) time lump-sum payment which shall be the actuarial equivalent of the amount payable under paragraph (a) of this subsection for a period of sixty (60) months.
  3. If the beneficiary eligible for benefits as provided in subsection (1) of this section are multiple beneficiaries or a trust, then the multiple beneficiaries by consensus or the trustee may elect to receive the actuarial equivalent amounts payable under subsection (2)(c), (d), (e), or (f) of this section using the assumption that the beneficiary’s age is the same as the member’s age.
  4. If the beneficiary eligible for benefits as provided in subsection (1) of this section is the member’s estate, then the beneficiary shall receive the higher of a refund of the member’s accumulated account balance and interest as described in KRS 61.625(1) or the one (1) time lump-sum payment payable under subsection (2)(f) of this section, using the assumption that the beneficiary’s age is the same as the member’s age.
  5. Payments of taxable distributions made pursuant to this section shall be subject to state and federal tax as appropriate.

History. Enact. Acts 1964, ch. 91, § 8; 1966, ch. 33, § 3; 1968, ch. 25, § 4; 1970, ch. 76, § 5; 1974, ch. 128, § 5; 1976, ch. 321, § 6; 1980, ch. 186, § 5, effective July 15, 1980; 1986, ch. 90, § 4, effective July 15, 1986; 1992, ch. 240, § 5, effective July 14, 1992; 1996, ch. 167, § 3, effective July 15, 1996; 2004, ch. 36, § 3, effective July 13, 2004; 2009, ch. 77, § 6, effective June 25, 2009; 2010, ch. 173, § 1, effective July 15, 2010; 2013, ch. 120, § 40, effective July 1, 2013; 2021 ch. 96, § 1, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). 2021 Ky. Acts ch. 96, sec. 12 provides that the amendments to KRS 16.578 in 2021 Ky. Acts ch. 96, sec. 1 are retroactive to June 25, 2009.

(7/13/2004). Although KRS 16.578 was included in 2004 Ky. Acts ch. 36, sec. 3, as having been amended, the change in wording was deleted by House Floor Amendment No. 2 to the House Committee Substitute.

16.579. Death before receiving total retirement allowances — Beneficiary’s options. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 116, § 13; 1974, ch. 128, § 6) was repealed by Acts 1976, ch. 321, § 41.

16.580. Total and permanent disability — Conditions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 16; 1960, ch. 165, Part I, § 3; 1964, ch. 91, § 9; 1976, ch. 321, §§ 7, 40) was repealed by Acts 1994, ch. 485, § 32, effective July 15, 1994.

16.581. Total and permanent disability — Allowances — Exception. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 12; 1966, ch. 33, § 4; 1968m ch, 25, § 5; 1970, ch. 76, § 7; 1972, ch. 116, § 77; 1974, ch. 128, § 8; 1976, ch. 321, § 8; 1979 (Ex. Sess.), ch. 16, § 3, effective May 12, 1979) was repealed by Acts 1994, ch. 485, § 32, effective July 15, 1994.

16.582. Disability retirement.

    1. Total and permanent disability means a disability which results in the member’s incapacity to engage in any occupation for remuneration or profit. Loss by severance of both hands at or above the wrists, or both feet at or above the ankles, or one (1) hand above the wrist and one (1) foot above the ankle, or the complete, irrevocable loss of the sight of both eyes shall be considered as total and permanent. (1) (a) Total and permanent disability means a disability which results in the member’s incapacity to engage in any occupation for remuneration or profit. Loss by severance of both hands at or above the wrists, or both feet at or above the ankles, or one (1) hand above the wrist and one (1) foot above the ankle, or the complete, irrevocable loss of the sight of both eyes shall be considered as total and permanent.
    2. Hazardous disability means a disability which results in the member’s total incapacity to continue as a regular full-time officer or as an employee in a hazardous position, as defined in KRS 61.592 , but which does not result in the member’s total and permanent incapacity to engage in other occupations for remuneration or profit.
    3. In determining whether the disability meets the requirement of this section, any reasonable accommodation provided by the employer as provided in 42 U.S.C. sec. 12111(9) and 29 C.F.R. Part 1630 shall be considered.
    4. If the board determines that the total and permanent disability of a member receiving a retirement allowance under this section has ceased, then the board shall determine if the member has a hazardous disability.
  1. Any person may qualify to retire on disability, subject to the following:
    1. The person shall have sixty (60) months of service, twelve (12) of which shall be current service credited under KRS 16.543(1), 61.543(1), or 78.615(1). The service requirement shall be waived if the disability is a total and permanent disability or a hazardous disability and is a direct result of an act in line of duty;
    2. For a person whose membership date is prior to August 1, 2004, the person shall not be eligible for an unreduced retirement allowance;
    3. The person’s application shall be on file in the retirement office no later than twenty-four (24) months after the person’s last day of paid employment, as defined in KRS 16.505 , as a regular full-time officer or in a regular full-time hazardous position under KRS 61.592 ;
    4. The person shall receive a satisfactory determination pursuant to KRS 61.665 ; and
    5. A person’s disability application based on the same claim of incapacity shall be accepted and reconsidered for disability if accompanied by new objective medical evidence. The application shall be on file in the retirement office no later than twenty-four (24) months after the person’s last day of paid employment as a regular full-time officer or in a regular full-time hazardous position.
  2. Upon the examination of the objective medical evidence by licensed physicians pursuant to KRS 61.665 , it shall be determined that:
    1. The incapacity results from bodily injury, mental illness, or disease. For purposes of this section, “injury” means any physical harm or damage to the human organism other than disease or mental illness;
    2. The incapacity is deemed to be permanent; and
    3. The incapacity does not result directly or indirectly from:
      1. Injury intentionally self-inflicted while sane or insane; or
      2. Bodily injury, mental illness, disease, or condition which pre-existed membership in the system or reemployment, whichever is most recent, unless:
        1. The disability results from bodily injury, mental illness, disease, or a condition which has been substantially aggravated by an injury or accident arising out of or in the course of employment; or
        2. The person has at least sixteen (16) years’ current or prior service for employment with employers participating in the retirement systems administered by the Kentucky Retirement Systems. For purposes of this subparagraph, “reemployment” shall not mean a change of employment between employers participating in the retirement systems administered by the Kentucky Retirement Systems with no loss of service credit.
      1. An incapacity shall be deemed to be permanent if it is expected to result in death or can be expected to last for a continuous period of not less than twelve (12) months from the person’s last day of paid employment in a position as regular full-time officer or a hazardous position. (4) (a) 1. An incapacity shall be deemed to be permanent if it is expected to result in death or can be expected to last for a continuous period of not less than twelve (12) months from the person’s last day of paid employment in a position as regular full-time officer or a hazardous position.
      2. The determination of a permanent incapacity shall be based on the medical evidence contained in the member’s file and the member’s residual functional capacity and physical exertion requirements.
    1. The person’s residual functional capacity shall be the person’s capacity for work activity on a regular and continuing basis. The person’s physical ability shall be assessed in light of the severity of the person’s physical, mental, and other impairments. The person’s ability to walk, stand, carry, push, pull, reach, handle, and other physical functions shall be considered with regard to physical impairments. The person’s ability to understand, remember, and carry out instructions and respond appropriately to supervision, coworkers, and work pressures in a work setting shall be considered with regard to mental impairments. Other impairments, including skin impairments, epilepsy, visual sensory impairments, postural and manipulative limitations, and environmental restrictions, shall be considered in conjunction with the person’s physical and mental impairments to determine residual functional capacity.
    2. The person’s physical exertion requirements shall be determined based on the following standards:
      1. Sedentary work shall be work that involves lifting no more than ten (10) pounds at a time and occasionally lifting or carrying articles such as large files, ledgers, and small tools. Although a sedentary job primarily involves sitting, occasional walking and standing may also be required in the performance of duties.
      2. Light work shall be work that involves lifting no more than twenty (20) pounds at a time with frequent lifting or carrying of objects weighing up to ten (10) pounds. A job shall be in this category if lifting is infrequently required but walking and standing are frequently required, or if the job primarily requires sitting with pushing and pulling of arm or leg controls. If the person has the ability to perform substantially all of these activities, the person shall be deemed capable of light work. A person deemed capable of light work shall be deemed capable of sedentary work unless the person has additional limitations such as the loss of fine dexterity or inability to sit for long periods.
      3. Medium work shall be work that involves lifting no more than fifty (50) pounds at a time with frequent lifting or carrying of objects weighing up to twenty-five (25) pounds. If the person is deemed capable of medium work, the person shall be deemed capable of light and sedentary work.
      4. Heavy work shall be work that involves lifting no more than one hundred (100) pounds at a time with frequent lifting or carrying of objects weighing up to fifty (50) pounds. If the person is deemed capable of heavy work, the person shall also be deemed capable of medium, light, and sedentary work.
      5. Very heavy work shall be work that involves lifting objects weighing more than one hundred (100) pounds at a time with frequent lifting or carrying of objects weighing fifty (50) or more pounds. If the person is deemed capable of very heavy work, the person shall be deemed capable of heavy, medium, light, and sedentary work.
    1. The disability retirement allowance shall be determined as provided in KRS 16.576 , except if the member’s total service credit on his last day of paid employment in a regular full-time position is less than twenty (20) years, service shall be added beginning with his last date of paid employment and continuing to his fifty-fifth birthday. The maximum service credit added shall not exceed the total service the member had on his last day of paid employment, and the maximum service credit for calculating his retirement allowance, including his total service and service added under this section, shall not exceed twenty (20) years. (5) (a) The disability retirement allowance shall be determined as provided in KRS 16.576 , except if the member’s total service credit on his last day of paid employment in a regular full-time position is less than twenty (20) years, service shall be added beginning with his last date of paid employment and continuing to his fifty-fifth birthday. The maximum service credit added shall not exceed the total service the member had on his last day of paid employment, and the maximum service credit for calculating his retirement allowance, including his total service and service added under this section, shall not exceed twenty (20) years.
    2. For a member whose participation begins on or after August 1, 2004, but prior to January 1, 2014, the disability retirement allowance shall be the higher of twenty-five percent (25%) of the member’s monthly final rate of pay or the retirement allowance determined in the same manner as for retirement at his normal retirement date with years of service and final compensation being determined as of the date of his disability.
    3. For a member who begins participating on or after January 1, 2014, in the hybrid cash balance plan as provided by KRS 16.583 , the disability retirement allowance shall be the higher of twenty-five percent (25%) of the member’s monthly final rate of pay or the retirement allowance determined in the same manner as for retirement at his or her normal retirement date under KRS 16.583 .
  3. If the member receives a satisfactory determination of hazardous disability pursuant to KRS 61.665 and the disability is the direct result of an act in line of duty as defined in Section 1 of this Act, the member’s retirement allowance shall be calculated as follows:
    1. For the disabled member, benefits as provided in subsection (5) of this section except that the monthly retirement allowance payable shall not be less than twenty-five percent (25%) of the member’s monthly final rate of pay; and
    2. For each dependent child of the member on his disability retirement date, who is alive at the time any particular payment is due, a monthly payment equal to ten percent (10%) of the disabled member’s monthly final rate of pay; however, total maximum dependent children’s benefit shall not exceed forty percent (40%) of the member’s monthly final rate of pay. The payments shall be payable to each dependent child, or to a legally appointed guardian or as directed by the system.
  4. If the member receives a satisfactory determination of total and permanent disability pursuant to KRS 61.665 and the disability is the direct result of an act in line of duty as defined in Section 1 of this Act, the member’s retirement allowance shall be calculated as follows:
    1. For the disabled member, the benefits as provided in subsection (5) of this section except that the monthly retirement allowance payable shall not be less than seventy-five percent (75%) of the member’s monthly average pay; and
    2. For each dependent child of the member on his or her disability retirement date, who is alive at the time any particular payment is due, a monthly payment equal to ten percent (10%) of the disabled member’s monthly average pay, except that:
      1. Member and dependent children payments under this subsection shall not exceed one hundred percent (100%) of the member’s monthly average pay; and
      2. Total maximum dependent children’s benefits shall not exceed twenty-five percent (25%) of the member’s monthly average pay while the member is living and forty percent (40%) of the member’s monthly average pay after the member’s death. The payments shall be payable to each dependent child, or to a legally appointed guardian or as directed by the system, and shall be divided equally among all dependent children.
  5. No benefit provided in this section shall be reduced as a result of any change in the extent of disability of any retired member who is age fifty-five (55) or older.
  6. If a regular full-time officer or hazardous position member has been approved for benefits under a hazardous disability, the board shall, upon request of the member, permit the member to receive the hazardous disability allowance while accruing benefits in a nonhazardous position, subject to proper medical review of the nonhazardous position’s job description by the system’s medical examiner.
  7. For a member of the State Police Retirement System, in lieu of the allowance provided in subsection (5) to (7) of this section, the member may be retained on the regular payroll and receive the compensation authorized by KRS 16.165 , if he is qualified.

HISTORY: Enact. Acts 1994, ch. 485, § 6, effective July 15, 1994; 1996, ch. 167, § 4, effective July 15, 1996; 1998, ch. 105, § 3, effective July 15, 1998; 2000, ch. 385, § 4, effective July 14, 2000; 2004, ch. 33, § 1, effective July 13, 2004; 2004, ch. 36, § 4, effective July 13, 2004; 2013, ch. 120, § 41, effective July 1, 2013; 2017 ch. 32, § 3, effective June 28, 2017; 2021 ch. 102, § 37, effective April 1, 2021; 2021 ch. 106, § 2, effective June 29, 2021.

NOTES TO DECISIONS

1.Age Discrimination.

Use of a employee’s actual years of service to calculate the employee’s disability retirement pension, rather than imputing additional years of service under KRS 16.582(5)(a), did not violate 29 USCS § 623(a)(1) of the Age Discrimination in Employment Act; additional years of service would have been imputed had the employee become disabled before rather than after reaching retirement age, but the disparity in treatment was based only upon pension eligibility and was not actually motivated by age. Ky. Ret. Sys. v. EEOC, 554 U.S. 135, 128 S. Ct. 2361, 171 L. Ed. 2d 322, 2008 U.S. LEXIS 5032 (U.S. 2008).

16.583. Hybrid cash balance plan for members of State Police Retirement System and Kentucky Employees Retirement System in hazardous duty positions — Member contributions and employer pay credits — Interest credits — Termination of employment — Options upon retirement. — Applicability of statute.

  1. A member of the State Police Retirement System, a member of the Kentucky Employees Retirement System in a hazardous duty position covered by this section, whose participation begins on or after January 1, 2014, or a member making an election pursuant to KRS 61.5955 , shall receive the retirement benefits provided by this section in lieu of the retirement benefits provided under KRS 16.576 and 16.577 . The retirement benefit provided by this section shall be known as the hybrid cash balance plan and shall operate as another benefit tier within the State Police Retirement System and the Kentucky Employees Retirement System.
  2. The hybrid cash balance plan shall provide a retirement benefit based upon the member’s accumulated account balance, which shall include:
    1. Contributions made by the member as provided by KRS 16.505 to 16.652 and 61.510 to 61.705 , except for employee contributions prescribed by KRS 61.702(3)(b);
    2. An employer pay credit of seven and one-half percent (7.5%) of the creditable compensation earned by the employee for each month the employee is contributing to the hybrid cash balance plan provided by this section; and
    3. Interest credits added annually to the member’s accumulated account balance as provided by this section.
    1. Member contributions and employer pay credits as provided by subsection (2)(a) and (b) of this section shall be credited to the member’s account monthly as contributions are reported and posted to the system in accordance with KRS 61.675 . (3) (a) Member contributions and employer pay credits as provided by subsection (2)(a) and (b) of this section shall be credited to the member’s account monthly as contributions are reported and posted to the system in accordance with KRS 61.675 .
    2. Interest credits, as provided by subsection (2)(c) of this section, shall be credited to the member’s account annually on June 30 of each fiscal year, as determined by subsection (4) of this section.
    1. On June 30 of each fiscal year, the system shall determine if the member contributed to the hybrid cash balance plan during the fiscal year. (4) (a) On June 30 of each fiscal year, the system shall determine if the member contributed to the hybrid cash balance plan during the fiscal year.
    2. If the member contributed to the hybrid cash balance plan during the fiscal year, the interest credit added to the member’s account for that fiscal year shall be determined by multiplying the member’s accumulated account balance on June 30 of the preceding fiscal year by a percentage increase equal to:
      1. Four percent (4%); plus
      2. Seventy-five percent (75%) of the system’s geometric average net investment return in excess of a four percent (4%) rate of return.
    3. If the member did not contribute to the hybrid cash balance plan during the fiscal year, the interest credit added to the member’s account for that fiscal year shall be determined by multiplying the member’s accumulated account balance on June 30 of the preceding fiscal year by four percent (4%).
    4. For purposes of this subsection, “system’s geometric average net investment return”:
      1. Means the annual average geometric investment return, net of administrative and investment fees and expenses, over the last five (5) fiscal years as of the date the interest is credited to the member’s account; and
      2. Shall be expressed as a percentage and based upon the system in which the member has an account.
    5. No employer pay credits or interest credits shall be provided to a member who has taken a refund of contributions as provided by KRS 61.625 or who has retired and annuitized his or her accumulated account balance as prescribed by this section.
    1. Upon termination of employment, a member who has less than five (5) years of service credited under KRS 16.543(1), 61.543(1), and 78.615(1), who elects to take a refund of his or her accumulated account balance as provided by KRS 61.625 , shall forfeit the accumulated employer credit, and shall only receive a refund of his or her accumulated contributions. (5) (a) Upon termination of employment, a member who has less than five (5) years of service credited under KRS 16.543(1), 61.543(1), and 78.615(1), who elects to take a refund of his or her accumulated account balance as provided by KRS 61.625 , shall forfeit the accumulated employer credit, and shall only receive a refund of his or her accumulated contributions.
    2. Upon termination of employment, a member who has five (5) or more years of service credited under KRS 16.543(1), 61.543(1), and 78.615(1), who elects to take a refund of his or her accumulated account balance as provided by KRS , shall receive a full refund of his or her accumulated account balance.
  3. A member participating in the hybrid cash balance plan provided by this section may retire:
    1. At his or her normal retirement date, provided he or she has earned five (5) or more years of service credited under KRS 16.543(1), 61.543(1), or 78.615(1), or another state-administered retirement system; or
    2. At any age, provided he or she has earned twenty-five (25) or more years of service credited under KRS 16.543(1), 61.543(1), or 78.615(1), or another state-administered retirement system.
  4. A member eligible to retire under subsection (6) of this section may elect to:
    1. Receive a monthly retirement allowance payable for life by having his or her accumulated account balance annuitized by the retirement systems in accordance with the actuarial assumptions and actuarial methods adopted by the board and in effect on the member’s retirement date;
    2. Receive the actuarial equivalent of his or her retirement allowance calculated under paragraph (a) of this subsection payable under one (1) of the options set forth in KRS 61.635 , except for the option provided by KRS 61.635 (11); or
    3. Take a refund of his or her account balance as provided by KRS 61.625 .
  5. The provisions of this section shall not apply to members who began participating in the Kentucky Employees Retirement System, the County Employees Retirement System, or the State Police Retirement System prior to January 1, 2014, except for those members who make an election pursuant to KRS 61.5955 .

HISTORY: Enact. Acts 2013, ch. 120, § 8, effective July 1, 2013; 2017 ch. 125, § 8, effective March 27, 2017; 2018 ch. 107, § 40, effective July 14, 2018; 2021 ch. 102, § 38, effective April 1, 2021.

Legislative Research Commission Notes.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

16.585. Normal retirement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 17; 1962, ch. 32, § 1) was repealed by Acts 1964, ch. 91, § 19.

16.586. Partial disability, what constitutes. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 11; 1976, ch. 321, §§ 9, 40; 1982, ch. 423, § 2, effective July 15, 1982) was repealed by Acts 1994, ch. 485, § 32, effective July 15, 1994.

16.590. Vested deferred benefits. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 18) was repealed by Acts 1964, ch. 91, § 19.

16.591. Partial disability allowances — Exception. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 12; 1966, ch. 33, § 5; 1970, ch. 76, § 7; 1972, ch. 116, § 77; 1974, ch. 128, § 8, effective March 26, 1974; 1979 (Ex. Sess.), ch. 16, § 4, effective May 12, 1979; 1980, ch. 186, § 2, effective July 15, 1980; 1986, ch. 90, § 5, effective July 15, 1986; 1992, ch. 240, § 6, effective July 14, 1992) was repealed by Acts 1994, ch. 485, § 32, effective July 15, 1994.

16.595. Delayed allowance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 19) was repealed by Acts 1964, ch. 91, § 19.

16.596. Medical examinations after disability retirement [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 13) was repealed by Acts 2004, ch. 36, § 36, effective July 13, 2004.

16.598. Hazardous disability retirement benefits. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 90, § 28, effective July 15, 1986; 1992, ch. 240, § 8, effective July 14, 1992) was repealed by Acts 1994, ch. 485, § 32, effective July 15, 1994. For present law see KRS 16.582 .

16.600. Death in line of duty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 20; 1960, ch. 165, Part I, § 4) was repealed by Acts 1964, ch. 91, § 19.

16.601. Death in the line of duty — Payments to surviving spouse, dependent children, and designated beneficiaries — Election — Receipt of benefits under KRS 16.578 pending final determination.

  1. If a member dies as a direct result of an act in line of duty as defined in KRS 16.505 and is survived by a spouse:
    1. The surviving spouse shall be the beneficiary, and this shall supersede the designation of all previous beneficiaries of the deceased member’s retirement account except as provided in KRS 61.542(2)(e);
    2. The surviving spouse, provided he or she supersedes all previously designated beneficiaries, may elect to receive a lump-sum payment of ten thousand dollars ($10,000) and a monthly payment equal to seventy-five percent (75%) of the member’s monthly average pay beginning in the month following the member’s death and continuing each month until the death of the surviving spouse; and
    3. In addition, if the member is also survived by dependent children, monthly payments shall be made for each dependent child equal to ten percent (10%) of the deceased member’s monthly average pay, except that the combined maximum payment made to the:
      1. Surviving spouse and dependent children under this subsection shall not exceed one hundred percent (100%) of the deceased member’s monthly average pay; and
      2. Dependent children, while the surviving spouse is living, shall not exceed twenty-five percent (25%) of the deceased member’s monthly average pay. Payments made to the dependent children under this subsection shall be divided equally among all the dependent children.
  2. If a member dies as a result of an act in line of duty as defined in KRS 16.505 and is not survived by a spouse but is survived by a dependent child or children, the following benefits shall be paid to the dependent child or children:
    1. Fifty percent (50%) of the deceased member’s monthly average pay, if the deceased member has one (1) dependent child;
    2. Sixty-five percent (65%) of the deceased member’s monthly average pay, if the deceased member has two (2) dependent children; or
    3. Seventy-five percent (75%) of the deceased member’s monthly average pay, if the deceased member has three (3) or more dependent children. Payments made to the dependent children under this subsection shall be divided equally among all the dependent children.
  3. If a member dies as a direct result of an act in line of duty as defined in KRS 16.505 and the member has on file in the retirement office at the time of his or her death a written designation of only one (1) beneficiary other than his or her spouse who has not been superseded by the surviving spouse as provided by subsection (1)(a) of this section, and who is a dependent receiving at least one-half (1/2) of his or her support from the deceased member, the beneficiary may elect to receive a lump-sum payment of ten thousand dollars ($10,000).
  4. The payments provided by this section shall commence in the month following the date of death of the member and shall be payable to the spouse, dependent children, beneficiaries, or to a legally appointed guardian or as directed by the system. Benefits to a dependent child under this section shall be payable notwithstanding an election by a surviving spouse or beneficiary to withdraw the deceased member’s accumulated account balance as provided in KRS 61.625 or to elect benefits under any other provisions of KRS 16.510 to 16.652 .
  5. A surviving spouse or beneficiary eligible for benefits under subsection (1) or (3) of this section who is also eligible for benefits under any other provisions of KRS 16.510 to 16.652 may elect benefits under this section or any other section of KRS 16.510 to 16.652 but cannot elect to receive both.
    1. A surviving spouse or beneficiary applying for benefits under subsection (1) or (3) of this section who is also eligible for benefits under KRS 16.578 may elect to receive benefits under KRS 16.578 (2)(a) or (b) while the application for benefits under subsection (1) or (3) of this section is pending. (6) (a) A surviving spouse or beneficiary applying for benefits under subsection (1) or (3) of this section who is also eligible for benefits under KRS 16.578 may elect to receive benefits under KRS 16.578(2)(a) or (b) while the application for benefits under subsection (1) or (3) of this section is pending.
    2. If a final determination results in a finding of eligibility for benefits under subsection (1) or (3) of this section, the system shall recalculate the benefits due the surviving spouse or beneficiary in accordance with this subsection.
    3. If the surviving spouse or beneficiary has been paid less than the amount of benefits to which the surviving spouse or beneficiary was entitled to receive under this section, the system shall pay the additional funds due to the surviving spouse or beneficiary.
    4. If the surviving spouse or beneficiary has been paid more than the amount of benefits to which the surviving spouse or beneficiary was entitled to receive under this section, the system shall deduct the amount overpaid to the surviving spouse or beneficiary from the ten thousand dollars ($10,000) lump-sum payment and from the monthly retirement allowance payments until the amount owed to the systems has been recovered.

HISTORY: Enact. Acts 1964, ch. 91, § 14; 1968, ch. 25, § 6; 1972, ch. 116, § 76; 1974, ch. 128, § 9, effective March 26, 1974; 1976, ch. 321, § 40; 1978, ch. 311, § 6, effective June 17, 1978; 1992, ch. 240, § 9, effective July 14, 1992; 1996, ch. 167, § 5, effective July 15, 1996; 2000, ch. 385, § 5, effective July 14, 2000; 2002, ch. 176, § 2, effective July 15, 2002; 2013, ch. 120, § 42, effective July 1, 2013; 2016 ch. 114, § 1, effective April 13, 2016; 2018 ch. 107, § 24, effective July 14, 2018; 2018 ch. 151, § 2, effective April 13, 2018; 2020 ch. 46, § 1, effective March 27, 2020.

Legislative Research Commission Notes.

(3/27/2020). KRS 16.601 and 61.621 were amended in 2020 Ky. Acts ch. 46, secs. 1 and 2, respectively. Section 3 of that Act reads as follows:

“Notwithstanding KRS 16.505 to 16.652 , 61.510 to 61.705 , 78.510 to 78.852 , 161.220 to 161.716, or any provision of Section 1 or 2 of this Act to the contrary:

  1. In the month following the effective date of this Act, the surviving spouse, if the spouse is receiving a monthly benefit due to a member's death that was determined by the systems to be a direct result of an act in line of duty as defined in KRS 16.505(19) or whose death resulted from a duty-related injury as defined in Section 2 of this Act, and who following the member's death has subsequently remarried prior to the effective date of this Act and had their retirement benefit reduced due to remarriage, shall have his or her monthly benefit increased to the amount specified by Section 1 or 2 of this Act, as applicable, as if the remarriage had occurred after the effective date of this Act, except that the amount shall not be increased above a level that exceeds one hundred percent (100%) of the member's monthly average pay when combined with any dependent child payments from the systems.
  2. In the month following the effective date of the Act, the surviving spouse of a member whose death was determined by the systems to be a direct result of an act in line of duty as defined in KRS 16.505(19) or whose death resulted from a duty-related injury as defined in Section 2 of this Act, but who chose to receive lifetime monthly benefits otherwise payable under KRS 16.578 or 61.640 in lieu of the benefits payable under subsection (1) of Section 1 of this Act or subsection (3) of Section 2 of this Act, shall have his or her monthly benefit increased to the amount specified by Section 1 or 2 of this Act, as applicable, except that the amount shall not be increased above a level that exceeds one hundred percent (100%) of the member's monthly average pay when combined with any dependent child payments from the systems.
  3. The Kentucky Retirement Systems shall establish by administrative regulation a process by which a surviving spouse of a member who died prior to retirement and prior to April 13, 2018, may apply for the death benefits established by Section 1 and 2 of this Act, provided the surviving spouse:
    1. Is currently receiving a monthly benefit from the systems;
    2. Did not prior to April 13, 2018, seek a determination by the systems of whether or not the death was a direct result of an act in line of duty as defined in KRS 16.505(19) or resulted from a duty-related injury as defined in Section 2; and
    3. Submits an application developed by the systems on or before January 1, 2021
  4. In the month following the effective date of this Act, the surviving spouse, if the spouse is receiving a monthly benefit due to a member's death that was determined by the systems to be a direct result of an act in line of duty as defined in KRS 16.505(19) or whose death resulted from a duty-related injury as defined in Section 2 of this Act, and who following the member's death subsequently remarried prior to April 13, 2018, shall have his or her monthly benefit increased to the amount specified by Section 1 or 2 of the Act, as applicable, except that the amount shall not be increased above a level that exceeds one hundred percent (100%) of the member's monthly average pay when combined with any dependent child payments from the systems.”

If the systems determines the death was a direct result of an act in line of duty as defined in KRS 16.505(19) or resulted from a duty-related injury as defined in Section 2 of this Act, then in the month following the determination, the systems shall adjust the surviving spouse monthly benefits prospectively in accordance with Section 1 or 2 of this Act except that the amount shall not be increased above a level that exceeds one hundred percent (100%) of the members monthly average pay when combined with any dependent child payments from the systems.

(3/27/2020). KRS 16.601 and 61.621 were amended in 2020 Ky. Acts ch. 46, secs. 1 and 2, respectively. Section 4 of that Act reads as follows:

“The provisions of Sections 1 to 3 of this Act shall not reduce any benefits payable to any surviving spouse or dependent children of a member who died prior to the effective date of this Act and whose death was determined by the systems to be the direct result of an act in line of duty as defined in KRS 16.505(19) or resulted from a duty-related injury as defined in Section 2 of this Act.”

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 ( 2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

(4/13/2018). This statute was amended in 2018 Ky. Acts ch. 151, sec. 2. Section 8 of that Act reads as follows:

“Notwithstanding KRS 16.505 to 16.652 , 61.510 to 61.705 , 78.510 to 78.852 , 161.220 to 161.716, or any provision of Sections 1 to 7 of this Act to the contrary, the Kentucky Retirement Systems shall provide the following benefit adjustments to surviving spouses and dependent children of those members who died prior to the effective date of this Act [April 13, 2018] and whose death was determined by the systems to be a direct result of an act in line of duty as defined in subsection (19) of Section 1 of this Act [ KRS 16.505 ] or whose death resulted from a duty-related injury as defined in Section 5 of this Act [ KRS 61.621 ]:

(1) In the month following the effective date of this Act [April 13, 2018], the surviving spouse, if the spouse is receiving a monthly benefit due to a member's death, shall have his or her monthly benefit increased to the amount specified by Section 2 or 5 of this Act [this statute or KRS 61.621 ], as applicable, except that the amount shall not be increased above a level that exceeds 100 percent of the member's monthly average pay when combined with any dependent child payments from the systems;

(2) In the month following the effective date of this Act [April 13, 2018], any dependent child who is receiving a monthly benefit due to a member's death shall have his or her monthly benefit increased to the amount specified by Section 2 or 5 of this Act [this statute or KRS 61.621 ], as applicable, if the member was not married at the time of death;

(3) In the month following the effective date of this Act [April 13, 2018], a surviving spouse who was married to the deceased member at the time of death but who was ineligible for monthly benefits payable to the surviving spouse under KRS 16.601 as codified prior to the effective date of this Act [April 13, 2018], shall receive the monthly benefit payable to the surviving spouse in Section 2 of this Act [this statute], provided the member's death occurred on or after January 1, 2017; and

(4) In the month following the effective date of this Act [April 13, 2018], any surviving spouse and any dependent child of a deceased member who is receiving a monthly benefit shall be eligible for the health benefits specified by Section 6 of this Act [ KRS 61.702 ].

The provisions of this section shall only be construed to provide benefit adjustments to surviving spouses and dependent children of those members who died prior to the effective date of this Act [April 13, 2018] and only in situations where the member's death was determined by the systems to be the direct result of an act in line of duty as defined in subsection (19) of Section 1 of this Act [ KRS 16.505 ] or resulted from a duty-related injury as defined in Section 5 of this Act [ KRS 61.621 ].”

16.605. Total and permanent disability in line of duty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 21; 1960, ch. 165, Part I, § 5) was repealed by Acts 1964, ch. 91, § 19.

16.610. Partial disability in line of duty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 22) was repealed by Acts 1960, ch. 165, Part I, § 6.

16.615. Death not in line of duty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 23) was repealed by Acts 1964, ch. 91, § 19.

16.620. Disability not in line of duty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 24; 1960, ch. 165, Part I, § 7; 1962, ch. 32, § 2) was repealed by Acts 1964, ch. 91, § 19.

16.625. Benefit reductions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 25; 1964, ch. 91, § 15) was repealed by Acts 1968, ch. 25, § 8.

16.630. Death benefits after age 55. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 26) was repealed by Acts 1964, ch. 91, § 19.

16.635. Optional benefits. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 94, § 27) was repealed by Acts 1964, ch. 91, § 19.

16.640. Administration of system.

The government and control of the system is hereby vested in the board of trustees of the Kentucky Retirement Systems. The board shall carry out the provisions of KRS 16.510 to 16.652 in the same manner in which it administers the Kentucky Employees Retirement System. In all matters concerning the administration of KRS 16.510 to 16.652 , the same rights, duties, and obligations shall apply to the board, as now apply under the provisions of KRS 61.510 to 61.692 , except that members of the board, when acting for the State Police Retirement System, shall be paid a per diem of thirty dollars ($30) plus actual expenses.

History. Enact. Acts 1958, ch. 94, § 28; 1960, ch. 165, Part I, § 8; 1964, ch. 91, § 16; 1972, ch. 116, § 15; 1976, ch. 321, § 40; 1978, ch. 384, § 536, effective June 17, 1978; 1980, ch. 186, § 22, effective July 15, 1980; 2000, ch. 385, § 6, effective July 14, 2000.

Legislative Research Commission Notes.

Although this section is included in Acts 1980, ch. 186, the proposed change was deleted by committee amendment.

Opinions of Attorney General.

Eligible members of the Board of Trustees of the Kentucky Retirement Systems may receive per diem payments from each of the three state retirement systems providing they have acted for each of those systems at a particular board meeting and such is specifically reflected in the minutes thereof. OAG 80-10 .

16.642. Board of trustee funds — Investments — Registration of securities — Investment committee of funds — Cap on amount of assets managed by any one investment manager.

  1. The board shall be the trustee of funds created by KRS 16.505 to 16.652 , and KRS 61.701 and shall have full power to invest and reinvest such assets in accordance with federal law.
  2. The board, through adopted written policies, shall maintain ownership and control over its assets held in its unitized managed custodial account.
  3. The board, in keeping with its responsibility as trustee and wherever feasible, shall give priority to the investment of funds in obligations calculated to improve the industrial development and enhance the economic welfare of the Commonwealth.
  4. The investment committee established pursuant to KRS 61.650 shall serve as the investment committee of the funds established by KRS 16.505 to 16.652 .
  5. Based upon market value at the time of purchase, the board shall limit the amount of assets managed by any one (1) active or passive investment manager to fifteen 5 percent (15%) of the assets in the pension and insurance funds.

HISTORY: Enact. Acts 1966, ch. 33, § 7; 1972, ch. 116, § 16; 1974, ch. 128, § 10, effective March 26, 1974; 1976, ch. 321, § 40; 1988, ch. 349, § 4, effective July 15, 1988; 2003, ch. 169, § 2, effective March 31, 2003; 2004, ch. 36, § 5, effective July 13, 2004; 2010, ch. 127, § 3, effective July 15, 2010; 2010, ch. 173, § 2, effective July 15, 2010; 2021 ch. 102, § 75, effective June 29, 2021.

Legislative Research Commission Notes.

(7/15/2010). This section was amended by 2010 Ky. Acts chs. 127 and 173, which do not appear to be in conflict and have been codified together.

(7/12/2006). 2006 Ky. Acts ch. 247 instructs the Reviser of Statutes to adjust KRS references throughout the statutes to conform with the 2006 renumbering of the Financial Services Code, KRS Chapter 286. Such an adjustment has been made in this statute.

16.645. Matters not specified in KRS 16.510 to 16.652.

The following subjects shall be administered in the same manner subject to the same limitations and requirements as provided for the Kentucky Employees Retirement System as follows:

  1. Cessation of membership, as provided for by KRS 61.535 ;
  2. Medical examiners and hearing procedures, as provided for by KRS 61.665 ;
  3. Actuarial bases, as provided for by KRS 61.670 ;
  4. Duties of the employer, as provided for by KRS 61.675 ;
  5. Exemption of benefits of the system for taxation and qualified domestic relations orders, as provided for by KRS 61.690 ;
  6. Retirement allowance increase, as provided for by KRS 61.691 ;
  7. Calculation of retirement allowance, as provided for by KRS 61.599 ;
  8. Beneficiaries to be designated by member, change, rights, as provided for by KRS 61.542 ;
  9. Year of service credit, as provided for by KRS 61.545 ;
  10. Refund of contributions, death after retirement, as provided by KRS 61.630 ;
  11. Custodian of fund, payments made, when, as provided for by KRS 61.660 ;
  12. Credit for service prior to membership date, as provided for by KRS 61.526 ;
  13. Member’s account, confidential, as provided for by KRS 61.661 ;
  14. Cessation of membership, loss of benefits, as provided for by KRS 61.550 ;
  15. Correction of errors in records, as provided for by KRS 61.685 ;
  16. Maximum disability benefit, as provided for by KRS 61.607 ;
  17. Retirement application procedure, effective retirement date, as provided for by KRS 61.590 ;
  18. Employer contributions, as provided for by KRS 61.565 ;
  19. Reinstatement of lost service credit, purchase of service credit, service for Armed Forces, interest paid, and delayed contribution and installment payments, as provided for by KRS 61.552 ;
  20. Reciprocal arrangement between systems, as provided by KRS 61.680 ;
  21. Refund of contributions, conditions, as provided by KRS 61.625 ;
  22. Hospital and medical insurance plan, as provided by KRS 61.702 ;
  23. Death benefit, as provided by KRS 61.705 ;
  24. Disability retirement allowance, reduction, and discontinuance, as provided by KRS 61.615 ;
  25. Reinstated employee, contributions on creditable compensation, as provided for by KRS 61.569 ;
  26. Statement to be made under oath, good faith reliance, as provided for in KRS 61.699 ;
  27. Retirement of persons in hazardous positions, as provided for by KRS 61.592 ;
  28. Direct deposit of recipient’s retirement allowance as provided in KRS 61.623 ;
  29. Payment of small amounts upon death of member, retiree, or recipient without formal administration of the estate as provided in KRS 61.703 ;
  30. Suspension of retirement payments on reemployment, reinstatement, recomputation of allowance, waiver of provisions in certain instances, reemployment in a different position, as provided for by KRS 61.637 ;
  31. Medical examination and financial review after disability retirement, staff review, as provided in KRS 61.610 ; and
  32. Employer payment of increases in creditable compensation and adjustments to creditable compensation during the last five (5) years of employment as provided by KRS 61.598 .

HISTORY: Enact. Acts 1958, ch. 94, § 29; 1972, ch. 116, § 17; 1974, ch. 128, § 11; 1976, ch. 321, § 10, 40; 1978, ch. 311, § 7, effective June 17, 1978; 1982, ch. 423, § 3, effective July 15, 1982; 1986, ch. 90, § 6, effective July 15, 1986; 1988, ch. 349, § 5, effective July 15, 1988; 1990, ch. 346, § 4, effective July 13, 1990; 1992, ch. 240, § 10, effective July 14, 1992; 1998, ch. 105, § 5, effective July 15, 1998; 2000, ch. 385, § 7, effective July 14, 2000; 2001, ch. 7, § 9, effective June 21, 2001; 2002, ch. 52, § 2, effective July 15, 2002; 2003, ch. 169, § 3, effective March 31, 2003; 2004, ch. 36, § 6, effective July 13, 2004; 2009, ch. 77, § 28, effective June 25, 2009; 2010, ch. 148, § 3, effective July 15, 2010; 2013, ch. 120, § 43, effective July 1, 2013; 2017 ch. 125, § 10, effective March 27, 2017; 2018 ch. 107, § 41, effective July 14, 2018; 2021 ch. 102, § 34, effective April 1, 2021.

Legislative Research Commission Notes.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

16.647. Custodian of fund — Payments made, when. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 17; 1966, ch. 33, § 6) was repealed by Acts 1972, ch. 116, § 78.

16.650. Recomputation of benefits in 1972. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 116, § 18) was repealed by Acts 1974, ch. 128, § 36, effective March 26, 1974.

16.651. Recomputation of benefits in 1968. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 91, § 18; 1968, ch. 25, § 7) was repealed by Acts 1972, ch. 116, § 78.

16.652. Benefits not to be reduced or impaired for members who began participating before January 1, 2014 — Exceptions — Amendment of benefits and rights. [Declared void — See LRC Note Below]

  1. For members who begin participating in the State Police Retirement System prior to January 1, 2014, it is hereby declared that in consideration of the contributions by the member, and in further consideration of benefits received by the state from the member’s employment, KRS 16.510 to 16.645 shall constitute an inviolable contract of the Commonwealth, and the benefits provided therein shall not be subject to reduction or impairment by alteration, amendment or repeal, except:
    1. As provided in KRS 6.696 ; and
    2. The General Assembly reserves the right to amend, reduce, or suspend any legislative changes to the provisions of KRS 16.505 to 16.652 that become effective on or after July 1, 2018.
    1. For members who begin participating in the State Police Retirement System on or after January 1, 2014, the General Assembly reserves the right to amend, suspend, or reduce the benefits and rights provided under KRS 16.505 to 16.652 if, in its judgment, the welfare of the Commonwealth so demands, except that the amount of benefits the member has accrued at the time of amendment, suspension, or reduction shall not be affected. (2) (a) For members who begin participating in the State Police Retirement System on or after January 1, 2014, the General Assembly reserves the right to amend, suspend, or reduce the benefits and rights provided under KRS 16.505 to 16.652 if, in its judgment, the welfare of the Commonwealth so demands, except that the amount of benefits the member has accrued at the time of amendment, suspension, or reduction shall not be affected.
    2. For purposes of this subsection, the amount of benefits the member has accrued at the time of amendment, suspension, or reduction shall be limited to the accumulated account balance the member has accrued at the time of amendment, suspension, or reduction.
    3. The provisions of this subsection shall not be construed to limit the General Assembly’s authority to change any other benefit or right specified by KRS 16.505 to 16.652, for members who begin participating in the State Police Retirement System on or after January 1, 2014, except the benefits specified by paragraph (b) of this subsection.
  2. The provisions of this section shall not be construed to limit the General Assembly’s authority to amend, reduce, or suspend the benefits and rights of members of the State Police Retirement System as provided by KRS 16.505 to 16.652 that the General Assembly had the authority to amend, reduce, or suspend, prior to July 1, 2013.

HISTORY: Enact. Acts 1972, ch. 116, § 19; 1978, ch. 384, § 537, effective June 17, 1978; 1993 (1st Ex. Sess.), ch. 4, § 75, effective September 16, 1993; 1996, ch. 167, § 6, effective July 15, 1996; 2013, ch. 120, § 44, effective July 1, 2013; 2018 ch. 107, § 32, effective July 14, 2018.

Legislative Research Commission Notes.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

Opinions of Attorney General.

In light of the contractual obligation created by this section, the General Assembly may now limit retirement benefits to a certain maximum percentage of final annual salary only prospectively as to present nonretired and future members of the retirement plan. OAG 78-4 .

The General Assembly could enact legislation guaranteeing members of this retirement system only the amount each has contributed toward his retirement benefits but such legislation may not have retroactive effect. OAG 78-4 .

Since Chapter 4 of Acts 1993 (1st Ex. Sess.), contained an emergency clause [§ 92] it became effective as a whole when the Governor tendered the bill, which he had signed, to the Secretary of State on February 18, 1993. However, section 87 (13) of Ch. 4 of Acts 1993 (1st Ex. Sess.) provided that, except as provided in §§ 88, 89, and 90, §§ 1 — 84 of the Act should become effective two hundred ten (210) days after the effective date of the Act, September 16, 1993; other subsections within § 87 establish a transition schedule with other specific dates calculated from the effective date of the Act. Such schedule is actually a listing of deadlines within which certain actions called for in § 87 of the Act are to be completed. Such schedule is as follows: “within 45 days of the effective date of the act” = on or before April 5, 1993; “within 60 days of the effective date of the act” = on or before April 19, 1993; “within 75 days of the effective date of the act” = on or before May 4, 1993; “within 90 days of the effective date of the act” = on or before May 19, 1993; “within 150 days of the effective date of the act” = on or before July 19, 1993; “within 180 days of the effective date of the act” = on or before August 17, 1993; “two hundred ten (210) days after the effective date of the act” = September 16, 1993. OAG 93-25 .

Penalties

16.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 95, § 2) was repealed by Acts 1972, ch. 116, § 78 and Acts 1974, ch. 406, § 336, effective January 1, 1975.

CHAPTER 17 Public Safety

General Provisions

17.010. Department of public safety created — Appointment of commissioner — Divisions — Appointment of division heads. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 1; 1960, ch. 68, Art. VIII, § 39; 1966, ch. 255, § 17; 1970, ch. 288, § 1) was repealed by Acts 1974, ch. 74, Art. V, § 28.

17.020. Functions transferred to department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 2) was repealed by Acts 1966, ch. 255, § 283.

17.030. Transfer of records, property, personnel, funds and functions to department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 3) was repealed by Acts 1966, ch. 255, § 283.

17.040. Director of Division of Kentucky State Police — Functions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 4; 1966, ch. 255, § 18) was repealed by Acts 1974, ch. 74, Art. V, § 28.

17.050. Division of fire prevention — State fire marshal — Functions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 7; 1966, ch. 255, § 19) was repealed by Acts 1974, ch. 74, Art. V, § 28.

17.060. Division of driver licensing — Head — Functions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 9; 1966, ch. 255, § 20) was repealed by Acts 1974, ch. 74, Art. V, § 28.

17.065. Insurance advisory committee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. III, § 1) was repealed by Acts 1978, ch. 117, § 66.

17.070. Department to assist and cooperate with other agencies — Governor may transfer other safety functions to department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 15) was repealed by Acts 1974, ch. 74, Art. V, § 28.

17.080. Justice Cabinet may make rules and direct proceedings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. X, § 16; 1974, ch. 74, Art. V, § 24(1)) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

Criminal Records and Statistics

17.110. Report of offense under penal code to department.

  1. All city and county law enforcement agencies shall cause a photograph, a set of fingerprints, and a general description report of all persons arrested on a felony charge to be made and two (2) copies of each item forwarded within thirty (30) days after the arrest to the Department of Kentucky State Police of the Justice and Public Safety Cabinet, in accordance with administrative regulations of the cabinet. Unless the charges are dismissed or withdrawn at that appearance, the judge shall require any adult person appearing before any Circuit Court in the Commonwealth on a felony charge, who has not been arrested, to, if this has not already been done in the case before the court, be photographed and fingerprinted, and have a general description made following his arraignment. Agencies specified above shall furnish any other information involving offenses or in their possession relative to law enforcement upon request by the cabinet.
  2. Each city and county law enforcement agency shall advise the Department of Kentucky State Police of the disposition made of all cases wherein a person has been charged with an offense.

History. Enact. Acts 1958, ch. 129, §§ 1, 2; 1976, ch. 191, § 1; 1992, ch. 427, § 2, effective July 14, 1992; 2007, ch. 85, § 75, effective June 26, 2007.

Opinions of Attorney General.

Although not required, there is no valid objection to fingerprinting in misdemeanor cases. OAG 64-469 .

Peace officers have no authority to fingerprint, photograph or maintain a record of the criminal offenses of juveniles taken into custody for any public offense with the exception of juveniles 16 years of age or older involved in a “moving motor vehicle offense,” who are treated as adults. OAG 66-253 .

Since the taking of a child into custody is not an arrest, this section does not apply to a child who is transferred from juvenile court to Circuit Court for trial until after he has been convicted by the latter court, and fingerprinting and photographing him for record purposes prior to that time would be improper. OAG 66-253 .

Where circumstances exist which allow a juvenile to be tried in Circuit Court, and the juvenile has been convicted in Circuit Court, the defendant may be photographed and fingerprinted even though the offender be a juvenile. OAG 66-253 .

Research References and Practice Aids

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

Stamm, Transfer of Jurisdiction in Juvenile Court: An Analysis of the Proceeding, Its Role in the Administration of Justice, and A Proposal for the Reform of Kentucky Law, 62 Ky. L.J. 122 (1973-1974).

17.115. Criminal identification activities — State institutions and peace officers to cooperate with cabinet.

  1. The Justice and Public Safety Cabinet shall:
    1. Receive and file fingerprints, photographs, and other records pertaining to the investigation of crime and the apprehension of criminals; and
    2. Cooperate with the state, county, and city law enforcing agencies of other states and of the United States in order to develop and carry on an interstate and national system of criminal identification.
  2. Persons in charge of any penal or correctional institution in the state, and all state law enforcement and peace officers operating identification facilities shall cooperate in providing the cabinet with fingerprints and descriptions of all persons lawfully committed to their custody or detained by them in cases where fingerprints and descriptions are taken, together with a report of the disposition of all cases of such persons.

History. Enact. Acts 1962, ch. 106, Art. III, § 2; 1974, ch. 74, Art. V, § 24(1); 2007, ch. 85, § 76, effective June 26, 2007.

Opinions of Attorney General.

Although not required, there is no valid objection to fingerprinting in misdemeanor cases. OAG 64-469 .

Research References and Practice Aids

Kentucky Law Journal.

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part VIII, Peace Officers, 52 Ky. L.J. 1 (1963).

Breckinridge, Law Enforcement in Kentucky, Report to the Committee on the Administration of Justice in the Commonwealth of Kentucky, Part IX, State Police, 52 Ky. L.J. 1 (1963).

17.120. Forwarding reports to federal government.

The Justice and Public Safety Cabinet shall forward one (1) copy of each photograph, set of fingerprints, and general description report received by it in a criminal case to the Federal Bureau of Investigation.

History. Enact. Acts 1958, ch. 129, § 3, effective June 19, 1958; 1974, ch. 74, Art. V, § 24(1); 2007, ch. 85, § 77, effective June 26, 2007.

17.125. Agency sharing of records maintained on juvenile in facility, program, or informal adjustment — Confidentiality — Provision of records — Exception — Violation.

  1. The following agencies are parts of Kentucky’s juvenile justice system and shall, subject to restrictions imposed by state or federal law, disclose and share with each other all information they maintain on a juvenile in a facility or program or informal adjustment authorized by law:
    1. All sheriff’s offices, police departments, and any other law enforcement agency;
    2. All Commonwealth’s attorneys and county attorneys;
    3. The Attorney General;
    4. All jails and juvenile detention facilities, public and private;
    5. All courts and clerks of courts;
    6. The Administrative Office of the Courts;
    7. All departments within the Justice and Public Safety Cabinet;
    8. All departments within the Cabinet for Health and Family Services; and
    9. All family accountability, intervention, and response teams.
  2. Except as provided in this section, all information shared by agencies specified above shall be subject to applicable confidentiality disclosure, redisclosure, and access restrictions imposed by federal or state law.
  3. Once a complaint is filed with a court-designated worker alleging that a child has committed a status offense or public offense, all public or private elementary or secondary schools, vocational or business schools, or institutions of higher education shall provide all records specifically requested in writing, and pertaining to that child, to any of the agencies listed in subsection (1) of this section. Pursuant to the authority granted to the Commonwealth under the Family Educational Rights and Privacy Act, 20 U.S.C. sec. 1232 g, when this section refers to the release of educational records, the purpose of the release shall be limited to providing the juvenile justice system with the ability to effectively serve, prior to adjudication, the needs of the student whose records are sought. The authorities to which the data are released shall certify that any educational records obtained pursuant to this section shall only be released to persons authorized by statute and shall not be released to any other person without the written consent of the parent of the child. The request, certification, and a record of the release shall be maintained in the student’s file.
  4. Any request for records, the provision of records, the sharing of records, the disclosure of records, or the redisclosure of records shall be done for official purposes only, on a bona fide need to know basis, and only in connection with a legitimate investigation, prosecution, treatment program, or educational program.
  5. Information and records relating to pending litigation in Circuit Court, District Court, or a federal court and information and records relating to an ongoing investigation are not subject to disclosure or sharing under this section.
  6. Obtaining or attempting to obtain a record relating to a minor or by sharing or attempting to share a record relating to a minor with an unauthorized person is a violation of this section.

History. Enact. Acts 1998, ch. 606, § 10, effective July 15, 1998; 2005, ch. 99, § 14, effective June 20, 2005; 2007, ch. 85, § 78, effective June 26, 2007; 2014, ch. 132, § 54, effective July 15, 2014.

17.130. Traffic safety coordination committee — Members — Tenure — Compensation — Functions — Powers — Meetings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 87, § 1) has been repealed by Acts 1974, ch. 74, Art. IV, § 21.

17.131. Kentucky Unified Criminal Justice Information System — Committee to design and implement system — Uniform policy — Duties — Automated warrant system — Denial of funds upon failure of agency or officer to participate in system.

  1. There is hereby established the Kentucky Unified Criminal Justice Information System, referred to in this chapter as the “system.” The system shall be a joint effort of the criminal justice agencies, the Courts of Justice, and the Office of Homeland Security. Notwithstanding any statutes, administrative regulations, and policies to the contrary, if standards and technologies other than those set by the Commonwealth Office of Technology are required, the executive director of the Commonwealth Office of Technology shall review, expedite, and grant appropriate exemptions to effectuate the purposes of the unified criminal justice information system. Nothing in this section shall be construed to hamper any public officer or official, agency, or organization of state or local government from furnishing information or data that they are required or requested to furnish and which they are allowed to procure by law, to the General Assembly, the Legislative Research Commission, or a committee of either. For the purposes of this section, “criminal justice agencies” include all departments of the Justice and Public Safety Cabinet except the Department of Public Advocacy, the Unified Prosecutorial System, Commonwealth’s attorneys, county attorneys, the Transportation Cabinet, the Cabinet for Health and Family Services, and any agency with the authority to issue a citation or make an arrest.
  2. The program to design, implement, and maintain the system shall be under the supervision of the executive director of the Office of Homeland Security, in consultation with the executive director of the Commonwealth Office of Technology and the Administrative Office of the Courts.
  3. The executive director of the Office of Homeland Security, the executive director of the Commonwealth Office of Technology, and a representative of the Administrative Office of the Courts, or their respective designees, shall be responsible for recommending standards, policies, and other matters to the secretary of justice and public safety for promulgation of administrative regulations in accordance with KRS Chapter 13A to implement the policies, standards, and other matters relating to the system and its operation.
  4. The uniform policy shall include a system to enable the criminal justice agencies and the courts to share data stored in each other’s information systems. Initially, the uniform policy shall maximize the use of existing databases and platforms through the use of a virtual database created by network linking of existing databases and platforms among the various departments. The uniform policy shall also develop plans for the new open system platforms before the existing platforms become obsolete.
  5. All criminal justice and participating public safety agencies shall follow the policies established by administrative regulation for the exchange of data and connection to the system.
  6. The executive director of the Commonwealth Office of Technology shall review how changes to existing criminal justice agency applications impact the new integrated network. Changes to criminal justice agency applications that have an impact on the integrated network shall be coordinated through and approved by the executive director of the Office of Homeland Security, in consultation with the Commonwealth Office of Technology.
  7. Any future state-funded expenditures by a criminal justice agency for computer platforms in support of criminal justice applications shall be reviewed by the Office of Homeland Security and the Commonwealth Office of Technology.
  8. As part of the unified criminal justice information system, the executive director of the Office of Homeland Security, in consultation with the secretary of the Justice and Public Safety Cabinet, the executive director of the Commonwealth Office of Technology, and the Administrative Office of the Courts, shall design and implement an automated warrant system. The automated warrant system shall be compatible with any similar system required by the federal government for inclusion of state information in federal criminal justice databases.
  9. Any criminal justice and public safety agency that does not participate in the system may be denied access to state and federal grant funds.

HISTORY: Enact. Acts 1998, ch. 606, § 28, effective July 15, 1998; 2000, ch. 506, § 12, effective July 14, 2000; 2000, ch. 536, § 12, effective July 14, 2000; 2005, ch. 85, § 42, effective June 20, 2005; 2005, ch. 99, § 89, effective June 20, 2005; 2007, ch. 85, § 79, effective June 26, 2007; 2017 ch. 167, § 6, effective June 29, 2017.

Legislative Research Commission Notes.

(6/26/2007). Although 2007 Ky. Acts ch. 85, sec. 79, contains a reference to the “Department of Public Advocacy,” the entity created by 2007 Ky. Acts ch. 85, secs. 7 and 40, and Executive Order 2006-805 is the “Department for Public Advocacy.” In accordance with 2007 Ky. Acts ch. 85, sec. 335, and KRS 7.136 , the erroneous reference in this section has been corrected in codification.

17.140. Centralized criminal history record information system.

  1. A centralized criminal history record information system shall be established in the Justice and Public Safety Cabinet under the direction, control and supervision of the commissioner of the Department of Kentucky State Police.
  2. A centralized criminal history records information system means the system including equipment, facilities, procedures, and agreements for the collection, processing, preservation or dissemination of criminal history records maintained by the Justice and Public Safety Cabinet.

History. Enact. Acts 1968, ch. 128, § 1; 1974, ch. 74, Art. V, § 24(9); 1976, ch. 191, § 2; 2007, ch. 85, § 80, effective June 26, 2007.

17.142. Segregation of criminal records.

  1. Each law enforcement or other public agency in possession of arrest records, fingerprints, photographs, or other data whether in documentary or electronic form shall upon written request of the arrestee as provided herein segregate all records relating to the arrestee in its files in a file separate and apart from those of convicted persons, if the person who is the subject of the records:
    1. Is found innocent of the offense for which the records were made; or
    2. Has had all charges relating to the offense dismissed; or
    3. Has had all charges relating to the offense withdrawn.
  2. A person who has been arrested and then has come within the purview of subsection (1) of this section may apply to the court in which the case was tried, or in which it would have been tried in the event of a dismissal or withdrawal of charges, for segregation of the records in the case. Upon receipt of such application the court shall forthwith issue an order to all law enforcement agencies in possession of such records to segregate the records in accordance with the provisions of this section.
  3. Each law enforcement agency receiving an order to segregate records shall forthwith:
    1. Segregate the records in its possession in a file separate and apart from records of convicted persons;
    2. Notify all agencies with which it has shared the records or to which it has provided copies of the records to segregate records; and
    3. All records segregated pursuant to this section shall show disposition of the case.
  4. Records subject to the provisions of KRS 431.076 or 431.078 shall be sealed as provided in those statutes.

History. Enact. Acts 1980, ch. 127, § 1, effective July 15, 1980; 1996, ch. 374, § 2, effective July 15, 1996.

NOTES TO DECISIONS

1.Applicability.

Although not as complete a remedy as expungement, KRS 17.142 was available to a former arrestee who was unable to obtain an expungement under KRS 431.076 of records of charges filed against him in 1996 because the charges were dismissed without prejudice; records could be segregated under KRS 17.142 when all charges were dismissed, regardless of whether the dismissal was without prejudice. Commonwealth v. Holloway, 225 S.W.3d 404, 2007 Ky. App. LEXIS 161 (Ky. Ct. App. 2007).

2.Presentence Investigation Report.

A defendant who was indicted on two counts of first-degree robbery and for being a persistent felony offender, but as to whom one robbery count and the persistent felon count were dismissed as part of a plea bargain, was not entitled to have the dismissed charges segregated from the presentence investigation report in the hands of the Parole Board. Aaron v. Commonwealth, 810 S.W.2d 60, 1991 Ky. App. LEXIS 71 (Ky. Ct. App. 1991).

A presentence investigation report is a court record, and control over court records has been traditionally exempt from legislative control. Thus, a presentence investigation (PSI) report is not controlled by this section. Aaron v. Commonwealth, 810 S.W.2d 60, 1991 Ky. App. LEXIS 71 (Ky. Ct. App. 1991).

3.Public Agencies.

Defendant found innocent was entitled to segregation of his criminal record in the care of public agencies, even though his co-defendant was found guilty and defendant’s name had to be removed from co-defendant’s files. York v. Commonwealth, 815 S.W.2d 415, 1991 Ky. App. LEXIS 109 (Ky. Ct. App. 1991).

4.Court Records.

Defendant was not entitled to have any of his court records segregated, as this section was not intended to apply to the maintenance of court records. York v. Commonwealth, 815 S.W.2d 415, 1991 Ky. App. LEXIS 109 (Ky. Ct. App. 1991).

5.Pretrial Diversion Agreement.

Dismissal of an indictment pursuant to a pretrial diversion agreement constitutes eligibility for segregation of criminal records under subsection (1)(b). Hyatt v. Commonwealth, 17 S.W.3d 121, 2000 Ky. App. LEXIS 31 (Ky. Ct. App. 2000).

Defendant’s record was properly expunged under KRS 431.076 after he successfully completed a felony diversion program because the trial court properly dismissed the charge against defendant with prejudice under RCr 8.04(5), as opposed to KRS 533.258(1); segregation of defendant’s records under KRS 17.142 , in contrast to expungement, was not appropriate based on the plea agreement and the legislative intent behind KRS 533.258(2)Commonwealth v. Shouse, 183 S.W.3d 204, 2006 Ky. App. LEXIS 11 (Ky. Ct. App. 2006).

Opinions of Attorney General.

This record segregation statute does not apply to court records since courts are not included by the term “public agency.” OAG 80-460 .

There is no power vested in the trial court in Kentucky to expunge a criminal record involving a conviction and there is no statute in Kentucky providing for expungement of arrest records; the common-law rule that arrest records are to be kept inviolate prevails except as modified by this section to the extent of its provisions. OAG 82-588 .

17.143. Qualified person to administer system — Personnel.

The commissioner shall appoint a qualified person to administer the centralized criminal history record information system. He shall have statistical training and experience and possess a knowledge of criminal law enforcement and administration and of penal and correctional institutions and methods. He shall be furnished with the necessary facilities and equipment and shall appoint clerical and other assistants necessary for the operation of the centralized criminal history record information system.

History. Enact. Acts 1968, ch. 128, § 2; 1976, ch. 191, § 3.

17.147. Duties of Department of Kentucky State Police.

The Department of Kentucky State Police shall:

  1. Collect data necessary for the operation of the centralized criminal history record information system from all persons and agencies mentioned in KRS 17.150 ;
  2. Prepare and distribute to all such persons and agencies forms to be used in reporting data to the centralized criminal history record information system. The forms shall provide for items of information needed by federal bureaus or departments engaged in the administration of criminal justice programs;
  3. Prescribe the forms and content of records to be kept by such persons and agencies to insure reporting of data to the centralized criminal history record information system;
  4. Instruct such persons and agencies in the installation, maintenance, and use of such records and in the manner of reporting to the centralized criminal history record information system;
  5. Tabulate, analyze, and interpret the data collected;
  6. Supply data, at their request, to participating federal bureaus, departments, or criminal justice agencies engaged in the administration of criminal justice programs; and
  7. Annually present to the Governor, on or before July 1, concerning the criminal statistics of the preceding calendar year, and present at such other times as the commissioner may deem wise, or the Governor may request, reports on special aspects of criminal statistics. A sufficient number of copies of all reports shall be printed for general distribution in the interest of public enlightenment.

History. Enact. Acts 1968, ch. 128, § 3; 1970, ch. 92, § 4; 1974, ch. 74, Art. V, § 24(9); 1976, ch. 191, § 4; 2007, ch. 85, § 81, effective June 26, 2007.

17.148. Duties of Department of Kentucky State Police regarding traffic safety — Control of funds.

  1. The Justice and Public Safety Cabinet, Department of Kentucky State Police, shall:
    1. Coordinate all efforts of the state’s various departments and agencies to promote traffic safety and make recommendations regarding the prevention of unnecessary duplications of these efforts;
    2. Cooperate with all organizations, public or private, in the encouragement and promotion of traffic safety education in all forms; and
    3. Receive, control, and expend, in accordance with the general provisions of the Kentucky Revised Statutes governing financial administration of all state agencies, grants and funds from either public or private sources.
  2. There are hereby transferred to and vested in the Department of Kentucky State Police all functions, powers, duties, funds, personnel, equipment, and supplies relating to the administration of the National Highway Safety Act of 1966 in Kentucky, which responsibility and authority have been conferred upon the Transportation Cabinet.

History. Enact. Acts 1982, ch. 184, § 7, effective July 15, 1982; 2007, ch. 85, § 82, effective June 26, 2007.

Compiler’s Notes.

The National Highway Safety Act of 1966, referred to in (2), may be found as 23 USCS § 401 et seq.

17.150. Reports by law enforcement officers and criminal justice agencies — Public inspection exemptions — Administrative regulations — Information from the Court of Justice.

  1. Every sheriff, chief of police, coroner, jailer, prosecuting attorney, probation officer, parole officer; warden or superintendent of a prison, reformatory, correctional school, mental hospital, or institution for the intellectually disabled; Department of Kentucky State Police; state fire marshal; Board of Alcoholic Beverage Control; Cabinet for Health and Family Services; Transportation Cabinet; Department of Corrections; Department of Juvenile Justice; and every other person or criminal justice agency, except the Court of Justice and the Department of Public Advocacy, public or private, dealing with crimes or criminals or with delinquency or delinquents, when requested by the cabinet, shall:
    1. Install and maintain records needed for reporting data required by the cabinet;
    2. Report to the cabinet as and when the cabinet requests all data demanded by it, except that the reports concerning a juvenile delinquent shall not reveal the juvenile’s or the juvenile’s parents’ identity;
    3. Give the cabinet or its accredited agent access for purpose of inspection; and
    4. Cooperate with the cabinet to the end that its duties may be properly performed.
  2. Intelligence and investigative reports maintained by criminal justice agencies are subject to public inspection if prosecution is completed or a determination not to prosecute has been made. However, portions of the records may be withheld from inspection if the inspection would disclose:
    1. The name or identity of any confidential informant or information which may lead to the identity of any confidential informant;
    2. Information of a personal nature, the disclosure of which will not tend to advance a wholesome public interest or a legitimate private interest;
    3. Information which may endanger the life or physical safety of law enforcement personnel; or
    4. Information contained in the records to be used in a prospective law enforcement action.
  3. When a demand for the inspection of the records is refused by the custodian of the record, the burden shall be upon the custodian to justify the refusal of inspection with specificity. Exemptions provided by this section shall not be used by the custodian of the records to delay or impede the exercise of rights granted by this section.
  4. Centralized criminal history records are not subject to public inspection. Centralized history records mean information on individuals collected and compiled by the Justice and Public Safety Cabinet from criminal justice agencies and maintained in a central location consisting of identifiable descriptions and notations of arrests, detentions, indictments, information, or other formal criminal charges and any disposition arising therefrom, including sentencing, correctional supervision, and release. The information shall be restricted to that recorded as the result of the initiation of criminal proceedings or any proceeding related thereto. Nothing in this subsection shall apply to documents maintained by criminal justice agencies which are the source of information collected by the Justice and Public Safety Cabinet. Criminal justice agencies shall retain the documents and no official thereof shall willfully conceal or destroy any record with intent to violate the provisions of this section.
  5. The provisions of KRS Chapter 61 dealing with administrative and judicial remedies for inspection of public records and penalties for violations thereof shall be applicable to this section.
  6. The secretary of justice and public safety shall adopt the administrative regulations necessary to carry out the provisions of the criminal history record information system and to insure the accuracy of the information based upon recommendations submitted by the commissioner, Department of Kentucky State Police.
  7. The Administrative Office of the Courts may, upon suitable agreement between the Chief Justice and the secretary of justice and public safety, supply criminal justice information and data to the cabinet. No information, other than that required by KRS 27A.350 to 27A.420 and 27A.440, shall be solicited from a circuit clerk, justice or judge, court, or agency of the Court of Justice unless the solicitation or request for information is made pursuant to an agreement which may have been reached between the Chief Justice and the secretary of justice and public safety.

HISTORY: Enact. Acts 1968, ch. 128, § 4; 1974, ch. 74, Art. VI, § 31; 1976, ch. 191, § 5; 1976 (Ex. Sess.), ch. 14, § 5, effective January 2, 1978; 1978, ch. 61, § 1, effective June 17, 1978; 1986, ch. 331, § 11, effective July 15, 1986; 1986, ch. 389, § 27, effective July 15, 1986; 1992, ch. 211, § 5, effective July 14, 1992; 1998, ch. 426, § 74, effective July 15, 1998; 1998, ch. 606, § 14, effective July 15, 1998; 2005, ch. 99, § 15, effective June 20, 2005; 2007, ch. 85, § 83, effective June 26, 2007; 2010, ch. 141, § 2, effective July 15, 2010; 2017 ch. 167, § 7, effective June 29, 2017.

Legislative Research Commission Notes.

(6/26/2007). Although 2007 Ky. Acts ch. 85, sec. 83, contains a reference to the “Department of Public Advocacy,” the entity created by 2007 Ky. Acts ch. 85, secs. 7 and 40, and Executive Order 2006-805 is the “Department for Public Advocacy.” In accordance with 2007 Ky. Acts ch. 85, sec. 335, and KRS 7.136 , the erroneous reference in this section has been corrected in codification.

NOTES TO DECISIONS

1.Administrative Investigations.

This section applies to matters relating to dealings with crimes or criminals not administrative matters and, accordingly, did not require that a newspaper be given access to records concerning complaints against a police officer and investigations thereof. Louisville v. Courier-Journal & Louisville Times Co., 637 S.W.2d 658, 1982 Ky. App. LEXIS 232 (Ky. Ct. App. 1982).

Although subsection (5) of this section provides for common remedies by establishing that “[t]he provisions of KRS Chapter 61 dealing with administrative and judicial remedies for inspection of public records and penalties for violations thereof shall be applicable to this section,” such provision does not automatically equate investigative reports relating to prosecutions (governed by subsection (2) of this section) with those compiled for administrative adjudications (governed by KRS 61.878(1)(f)) (now (1)(h)); these remain separate matters. Louisville v. Courier-Journal & Louisville Times Co., 637 S.W.2d 658, 1982 Ky. App. LEXIS 232 (Ky. Ct. App. 1982).

Cited in:

Lexington H-l Servs. v. Lexington-Fayette Urban County Gov’t, 297 S.W.3d 579, 2009 Ky. App. LEXIS 51 (Ky. Ct. App. 2009).

Opinions of Attorney General.

A request to the police department for records pertaining to the criminal history of a certain person which pertained only to the records of criminal prosecutions which had, as of the day of the request, been completed or in which a determination not to prosecute was made and did not pertain to information gathered for use in respective law enforcement action not yet instituted should have been honored under the Criminal History Records Act, KRS 17.110 through KRS 17.157 and the Open Records Act, KRS 61.870 through KRS 61.884 . OAG 76-424 .

All the records of the police department are subject to public inspection unless they are specifically exempted by a statute and there is no statute which exempts police accident reports from public inspection. OAG 76-478 .

Since police arrest records do not contain information of a personal nature, a city police department cannot withhold inspection of a client’s arrest record from an attorney. OAG 76-511 .

A person has no privacy rights in criminal records. OAG 76-604 .

A prospective employer may not be given a copy of the records pertaining to a prospective employee from the files of the centralized criminal history system since subsection (4) of this section provides that such records are not subject to public inspection; however, since the Open Records Law mandates the sharing of information among departments of state government when the exchange is serving a legitimate governmental need and since the Criminal History Act incorporates the provisions of the Open Records Law, a criminal history check on prospective state employees should be provided at the request of the Department of Personnel. OAG 76-604 modified by OAG 77-28 .

A request for a criminal history check on a named individual by a prospective employer, except the Kentucky Department of Personnel, should be rejected by the centralized criminal history record information system since subsection (4) of this section provides that such records are not subject to public inspection. OAG 76-604 modified by OAG 77-28 .

The “police blotter” or police “incident report” is not exempt from public inspection; if a police department feels it is necessary to withhold certain items from public inspection in order to protect a police officer or an informant, it may do so under this section but the burden is upon the custodian to justify the refusal of inspection with specificity; otherwise records of police departments showing complaints received from citizens in other incidences occurring in its daily operation are open to public inspection. OAG 77-102 .

Reports of criminal investigations are properly exempted from public disclosure under the provisions of this section and subsection (1)(f) to (h) (now (1)(h) to (1)( l )) of KRS 61.878 . OAG 78-639 .

A police department cannot adopt a policy of withholding the names of victims of crime, including the crime of rape. OAG 80-54 .

Where a person who believes himself to be under surveillance makes a request under the Open Records Law as to whether he is under surveillance, whether his phone was tapped, and whether there was a court order on record, the police department could properly exclude any records of police surveillance from the requirement of mandatory disclosure under subsection (1)(f) (now (1)(h)) of KRS 61.878 , which prevents disclosure of information which will be used in a prospective law enforcement action; under subsection (1)(g) (now (1)(i)) of KRS 61.878 , which excludes preliminary drafts, notes and correspondence with private individuals; under subsection (1)(h) (now (1)(j)), which excludes preliminary memoranda which express opinions or policies; and under subsection (1)(j) (now (1)( l )), which excludes public information which the General Assembly has made confidential, with subsection (1)(j) (now (1)( l )) applying because subsection (2) of this section excludes certain information contained in intelligence and investigative reports maintained by criminal justice agencies; further, there is no need for the police to respond to make any indication of whether any such records in fact exist. OAG 81-161 .

Police departments, which are required to maintain daily logs of arrests pursuant to this section, must make all such records, except for intelligence and investigative reports during pre-prosecution periods, available for public inspection. OAG 81-379 .

Inspection of requested records containing identifiable descriptions and notations of arrest, detentions, indictments, information or other formal criminal charges and any disposition arising therefrom, including sentencing, correctional supervision and release and/or all other information local police department may have compiled on a named individual could not be denied on the grounds of “personal privacy.” OAG 82-388 .

Local law enforcement agencies are required to make available for public inspection arrest records of any person, subject to the exceptions stated in subsection (2) of this section. OAG 82-388 .

A coroner’s autopsy report is exempt from the requirement of mandatory public disclosure by KRS 61.878(1)(f) (now (1)(h)). OAG 82-458 .

While a coroner’s verdict filed with the circuit court clerk is open to public inspection, objects and reports, such as autopsy reports, are to be retained by the coroner and the prosecuting authority and are not required to be made open for public inspection until prosecution is completed or a decision not to prosecute has been made. OAG 82-458 .

It is generally within the discretion of the police department to decide when a case is merely inactive or is finally closed. OAG 83-123 .

It is implied in this statute and its companion statute, KRS 61.878(1)(f) (now (1)(h)), that the investigative files which are to be open to public inspection are those pertaining to a named suspect after that suspect has been prosecuted or a decision has been made not to prosecute him; in a case where no suspect has been determined and active investigation has ceased because the investigators can find no other trails to follow, the case has become inactive but is not closed. To hold otherwise would be to open up to public inspection all of the police investigative files where the investigation has become fruitless and indefinitely suspended. OAG 83-123 .

The personal privacy exemption does not apply to police records. OAG 83-212 .

Since the record disclosing the name of a person arrested or incarcerated is open to public inspection and copying, his photograph is also open to public inspection and copying and the personal privacy exemption does not apply to the photograph of a person who is arrested, booked and photographed by the police as far as his photograph is concerned. OAG 83-212 .

If no photograph of arrestee is taken at the time of booking because the police already have a sufficiently up-to-date photograph of the arrestee, that photograph should be made available for public inspection and copying. OAG 83-212 .

The denial of public inspection of reference item in state police investigation file to three persons unconnected with the police investigation was proper pursuant to KRS 61.878(1)(a), as protection against an unwarranted invasion of personal privacy, and pursuant to subdivision (2)(b) of this section because disclosure of such information would not promote a wholesome public interest. OAG 83-260 .

Denial of public inspection of the polygraph test of a named person which was a part of the investigative file of state police was proper under subdivision (2)(b) of this section and under KRS 61.878(1)(a). OAG 83-260 .

Reports and documents involving a criminal prosecution and conviction are subject to discovery by the accused pursuant to Kentucky’s Criminal Rules of Procedure and will be available to the public, unless otherwise properly exempted, once the appealed criminal conviction has been affirmed by the court of last resort to which the conviction is taken. OAG 83-356 .

Once prosecution is complete and final disposition is made, police records of a case are open to public inspection. Prosecution continues until appellate actions are final; therefore, until judgment is rendered by the last appellate court to which the conviction is taken, the prosecution is not complete and the records are not open. Thereafter, inspection is limited by the exemptions stated in subsection (2) of this section. OAG 83-481 .

It is within the discretion of the police to decide whether a case is active, inactive or finally closed, but when a demand for inspection of records is refused the burden is on the police to justify the refusal of the inspection with specificity; therefore, where the missing person’s file had been maintained as an open case (active or inactive as opposed to closed) for almost eight years, the public agency’s mere reference to subdivision (1)(f) (now (1)(h)) of KRS 61.878 and this section, with no additional explanation, did not meet the burden of proof imposed by law relative to a denial of inspection. OAG 86-80 .

Denial of the request to inspect the state police investigative report was proper as the investigation of the fatal accident had not yet been completed and a determination had not yet been made as to whether legal action would be taken. OAG 87-15 .

Denial of the request to inspect certain records in the custody of the commonwealth police was proper, as the investigations pertaining to the death and fire had not yet been completed, and a determination had not yet been made as to whether legal action would be taken; once the investigation was completed, and legal action had been completed or a decision had been made to take no legal action, the documents would be subject to public inspection unless exempted by another statutorily recognized exception to public inspection. OAG 87-35 .

Denial of the request to inspect the records in the custody of the state police was proper whereas the investigations pertaining to the deaths had not yet been completed and a determination had not yet been made as to whether legal action would be taken; however, once the investigations were completed and legal action was completed or a decision was made to take no legal action, the documents would be subject to public inspection unless excluded by another statutorily recognized exception to public inspection. OAG 87-66 .

The refusal of the state police to make available copies of documents setting forth the names of persons not connected with a police investigation was supported by the exceptions to public inspection set forth in subdivision (l)(a) of KRS 61.878 and subdivision (2)(b) of this section. OAG 88-18 .

State Police’s denial of the request to inspect the photographs of the automobile accident was justified pursuant to KRS 61.878(1)(f) and (j) (now (1)(h) and ( l )) and subsection (2) of this section as the investigation pertaining to the accident had not yet been completed and a determination had not yet been made as to whether legal action would be taken. OAG 88-27 .

A local police department may withhold from public inspection those copies of the uniform citations which require court disposition until such time as the legal proceedings involving those citations have been concluded or resolved. OAG 88-58 (supplemented by OAG 88-64 ).

The state police properly withheld from public inspection the arrest records of a particular person which were part of the state police’s centralized criminal history records and which had been collected and compiled from materials supplied by local criminal justice agencies. OAG 88-63 .

The use of subsection (2) of this section by a law enforcement agency in denying public access to a uniform citation is a practice to be avoided; a denial will be upheld only upon a clear and specific showing of the necessity of such action as required by subsection (3) of this section. OAG 88-64 (supplementing OAG 88-58 ).

Where a request was made for portions of taped conversations between a police department hostage negotiation team and an individual who allegedly held his family hostage for several hours until he apparently killed his estranged wife and himself, and where these were all conversations in which the alleged perpetrator himself was a participant, since excepted information could properly be omitted from those portions of the tape, the remaining nonexcepted information had to be produced since the information requested was not so voluminous so as to constitute an unreasonable burden. OAG 90-56 .

Investigative files, reports and other documents maintained by criminal justice agencies are not subject to public inspection until after the prosecution is completed or the investigation has been concluded and a determination has been made not to prosecute. OAG 90-64 .

The right of public inspection afforded by subsection (2) of this section is contingent upon the completion of prosecution or a determination not to prosecute having been made. OAG 90-64 .

KRS 61.878(1)(j) (now (1)( l )) and subsection (2) of this section exempt from open records disclosure, the open files of law enforcement agencies. OAG 90-104 .

It is within the sound discretion of the law enforcement agency to decide when a case is active, merely inactive, or finally closed. OAG 90-143 .

The Kentucky State Police acted consistent with the Open Records Act and subsection (2) of this section by denying a request to inspect death investigative reports in its custody which were part of an active, ongoing investigation, notwithstanding that the investigation was almost one and one-half years old at the time of the request. OAG 90-143 .

Open and active investigative files of the Kentucky State Police are exempt from inspection as are medical or autopsy reports. OAG 91-6 .

A State Police case file is not open for inspection while the investigation is ongoing and, therefore, where prosecution has not been completed the records sought from the State Police file for inspection may be and were properly excluded. OAG 91-8 .

An agency relying on the exemptions under subdivision (2)(b) of this section and KRS 61.878(1)(a) has a duty to provide for inspection, that part of its records that are nonexempt and to justify that part which it has excluded with specificity, briefly explaining how the exception applies to those parts of the record withheld. OAG 91-35 .

Criminal justice agencies must permit public inspection of intelligence and investigative reports, providing prosecution is completed or a determination not to prosecute has been made. OAG 91-35 .

Division of police’s reliance on KRS 61.878(1)(a) to support nondisclosure of identity of suspect in a criminal case that was cleared by exception was misplaced; to the extent that the OAG 91-35 was construed to authorize nondisclosure of the suspect’s identity in all criminal cases that are cleared by exception, that decision is modified. OAG 06-ORD-052.

State Police properly denied request to inspect state police file of murder investigation where victim’s husband had entered a plea of guilty, for until a plea of guilty has been formally accepted and incorporated in a final judgment or order, a defendant is free to seek to withdraw his plea, and the court is free to accept or reject it and the State Police may therefore properly treat this case as active since the defendant has not been sentenced and the “enforcement action” is not “complete.” OAG 91-92 .

Unless the law enforcement action, out of which arrest records are generated, has not been concluded, or another of the exceptions codified in subsection (2) of this section or KRS 61.878(1)(f) (now (1)(h)) applies to the records, the local police department must make them available for public inspection. OAG 91-131 .

Records disclosing the names of persons arrested or incarcerated, and photographs taken at the time of the booking, are open to public inspection. OAG 91-131 .

The general rule of nondisclosure for investigative reports prior to the conclusion of criminal prosecution or a decision not to prosecute does not contain an exception for individuals who are themselves the victims of the crime which spawned the investigation. OAG 91-132 .

Case files involving still open investigations were exempt from inspection and copying pursuant to KRS 61.878(1)(j) (now (1)( l )) and this section. OAG 91-173 .

The Kentucky Revised Statutes provide for such nondisclosure of intelligence and investigative reports maintained by criminal justice agencies prior to the completion of the prosecution or the decision not to prosecute at KRS 17.150(2). That same provision, at subsection (2)(d), exempts such records if inspection would disclose information to be used in a prospective law enforcement action. OAG 92-46 .

A county sheriff erred in withholding a uniform traffic accident report of a fatal accident in its entirety, since only those portions of the report which were investigative in nature and were to be used in a prospective law enforcement action against one of the drivers could properly be withheld, and the remainder of the report had to be disclosed; thus, the sheriff could redact, or mask, the text under the “accident description” portion of the report, the estimated travel speed of the vehicle, the results of blood alcohol test performed on the driver, and the diagram of the accident scene, but was required to release an otherwise unredacted copy of the accident report. OAG 99-ORD-11.

The Kentucky State Police properly denied a request for a copy of a taped interview of a witness conducted by the State Police as the cases in which the interview was used were still active pending exhaustion of the appeals process. OAG 99-ORD-93.

Computerized criminal record data maintained by the Department of Corrections could not be withheld under subsection (4). OAG 00-ORD-206.

Although a public agency cannot indefinitely postpone access to investigative records by labeling an investigation open, three years is not an unreasonable time to investigate and prosecute a case. Having established that the disputed records consist of investigative reports maintained by a criminal justice agency, and that prosecution has not been completed, the Kentucky State Police did not abuse its discretion in invoking KRS 17.150(2) to shield those records from disclosure. OAG 01-ORD-85.

The term “intelligence and investigative reports” in KRS 17.150 is broad enough to extend to forensic test result reports. The forensic test result reports may properly be withheld in an Open Records Act request so long as the possibility of further judicial proceedings in this case remains a significant prospect. OAG 04-ORD-129.

Since there is still a pending appellate proceeding with respect to the criminal matter, the open records request for forensic test results is within the scope of KRS 61.878(1)(l) and KRS 17.150(2), as well as KRS 61.878(1)(h), and records and reports generated in the course of the investigation, including the forensic test result reports, remain exempt from disclosure until the appellate proceeding is completed and so long as the possibility of further judicial proceedings in this case remains a significant prospect. OAG 04-ORD-129.

Where the underlying criminal case remains open at the request of the Commonwealth’s Attorney because the defendants have indicated that they are actively considering an RCr 11.42 motion based on ineffective assistance of counsel, the case is within the scope of KRS 61.878(1)(l) and KRS 17.150(2), as well as KRS 61.878(1)(h) as construed in Skaggs v. Redford, and audio and video taped interviews with the participants in the criminal act remain exempt from an open records request until prosecution is completed. OAG 04-ORD-234.

Portions of the Uniform Offense Report may be withheld where specific harm is shown, but blanket nondisclosure of page two of the report is impermissible. The police department may redact those portions of page two of the report that are categorized under the headings “Synopsis,” “Modus Operandi,” “Accused,” “Suspects,” “Witnesses,” “Evidence and How Marked,” “Evidence Disposition,” and “Attachments,” but only if disclosure of those entries would reveal the identities of informants not otherwise known, or compromise the investigation or prosecution of a case, and only after it advises the requester, in writing, that the request is partially denied on the basis of KRS 61.878(1)(h) and/or KRS 17.150 . OAG 05-ORD-003.

One year is not an unreasonable time to investigate and/or prosecute a case and, having established that the disputed records consisted of investigative records maintained by a criminal justice agency, the Kentucky State Police did not abuse its discretion in invoking KRS 17.150(2) and KRS 61.878(1)(h) to shield those records from disclosure. OAG 05-ORD-58.

The Kentucky State Police properly invoked KRS 61.878(1)(h), and KRS 17.150(2), incorporated into the Open Records Act by operation of KRS 61.878(1)(l), albeit implicitly, in denying access to the requested investigatory records. OAG 05-ORD-103.

The Kentucky State Police did not violate the Open Records Act in denying a request for all reports, tests, and documentation relating to a criminal case sought by the requester for his appeal motion. OAG 05-ORD-246.

State police properly relied upon KRS 61.878(1)(h) and KRS 17.150(2) in denying a request for copies of all records relating to a particular case since the subject investigation was properly characterized as “open” so long as there was a possibility of further judicial proceedings in the case. OAG 06-ORD-051.

17.151. Centralized criminal history record information system to be developed by Department of Kentucky State Police, in cooperation with specified state agencies — Contents — Access — Identification numbers.

  1. The Department of Kentucky State Police shall, in cooperation with the Administrative Office of the Courts, the Department of Juvenile Justice, the Cabinet for Health and Family Services, and the Department of Corrections, be responsible for the recording of those data elements that are needed for development of the centralized criminal history record information system.
  2. The database shall at a minimum contain the information required in KRS 27A.310 to 27A.440.
  3. The Department of Kentucky State Police shall provide access to the Administrative Office of the Courts, the Department of Juvenile Justice, the Cabinet for Health and Family Services, and the Department of Corrections to its database.
  4. The Department of Kentucky State Police, the Department of Juvenile Justice, the Cabinet for Health and Family Services, and the Department of Corrections shall assign the same identification number or other variable to each person whose name appears in the database.

History. Enact. Acts 1986, ch. 389, § 1, effective July 15, 1986; 1992, ch. 211, § 6, effective July 14, 1992; 1998, ch. 606, § 12, effective July 15, 1998; 2005, ch. 99, § 90, effective June 20, 2005; 2007, ch. 85, § 84, effective June 26, 2007.

Legislative Research Commission Notes.

(6/26/2007). The numbering of subsections in this section has been altered by the Reviser of Statutes from the numbering in 2007 Ky. Acts ch. 85, sec. 84, under the authority of KRS 7.136 .

17.152. Citation and personal identification numbers to be supplied by Department of Kentucky State Police, Administrative Office of the Courts, Department of Juvenile Justice, and Cabinet for Health and Family Services.

All data supplied to the centralized criminal history record information system by the Department of Kentucky State Police, Administrative Office of the Courts, the Department of Juvenile Justice, the Cabinet for Health and Family Services, and the Department of Corrections shall be compatible with the system and shall contain both citation and personal identification numbers.

History. Enact. Acts 1986, ch. 389, § 5, effective July 15, 1986; 1992, ch. 211, § 7, effective July 14, 1992; 1998, ch. 606, § 13, effective July 15, 1998; 2005, ch. 99, § 91, effective June 20, 2005; 2007, ch. 85, § 85, effective June 26, 2007.

17.1521. Uniform citation number to be supplied by Administrative Office of Courts.

All data supplied to the centralized criminal history record information system by the Administrative Office of the Courts shall include the uniform citation number applicable to the information reported.

History. Enact. Acts 1986, ch. 389, § 6, effective July 15, 1986.

17.1522. Department of Kentucky State Police to update database within thirty days of receipt of information from certain levels.

The Department of Kentucky State Police shall update the centralized criminal history record information system within thirty (30) days of receipt of information. The update shall include information from the:

  1. Offender level;
  2. Arrest level; and
  3. Informational and evaluational level.

History. Enact. Acts 1986, ch. 389, § 25, effective July 15, 1986; 2007, ch. 85, § 86, effective June 26, 2007.

17.1523. Uniform offense report to provide for indication of bias-related crime — Annual reporting.

  1. The uniform offense report shall contain provisions for obtaining information as to whether or not specific crimes appear from their facts and circumstances to be caused as a result of or reasonably related to race, color, religion, sex, or national origin.
  2. All law enforcement officers, when completing a uniform offense report, shall note thereon whether or not the offense appears to be caused as a result of or reasonably related to race, color, religion, sex, or national origin or attempts to victimize or intimidate another due to any of the foregoing causes.
  3. The Justice and Public Safety Cabinet shall, annually, as a part of the crime reports report on crimes which appear to have been caused by the factors cited in subsections (1) and (2) of this section.

History. Enact. Acts 1992, ch. 413, § 2, effective July 14, 1992; 2007, ch. 85, § 87, effective June 26, 2007.

17.153. Annual report.

  1. The annual report of the department shall contain statistics showing:
    1. The number and type of offenses known to public authorities;
    2. The personal and social characteristics of criminals and delinquents; and
    3. The administrative action taken by law enforcement, judicial, penal, and correctional agencies in dealing with criminals and delinquents.
  2. The department shall also interpret such statistics and so present the information that it may be of value in guiding the Legislature and those in charge of the apprehension, prosecution, and treatment of criminals and delinquents, or those concerned with the prevention of crime and delinquency. The report shall include statistics that are comparable with national criminal statistics published by federal agencies heretofore mentioned.

History. Enact. Acts 1968, ch. 128, § 5; 1974, ch. 74, Art. V, § 24(9); 1976, ch. 191, § 6.

17.1531. Study on racial bias in capital sentencing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 413, § 3) was repealed by Acts 2007, ch. 85, § 334, effective June 26, 2007.

17.157. Funds withheld for failure to comply.

If any public official or employee, except justices, judges, circuit clerks, and employees of the Court of Justice, required to report to the department neglects or refuses to comply with the requests of the department, or its rules governing record systems and their maintenance, the department chief shall give written notice thereof to the person or persons authorized by law to disburse funds of the governmental agency to the public official or employee involved. No funds of the governmental agency shall thereafter be paid to the public official or employee, whether in the form of salary, fees, expenses, compensation, or otherwise, until the department chief notifies the disbursing authority that performance of the required duty has been completed.

History. Enact. Acts 1968, ch. 128, § 6; 1974, ch. 74, Art. V, § 24(9); 1976, ch. 191, § 7; 1978, ch. 61, § 2, effective June 17, 1978; 1978, ch. 384, § 4, effective June 17, 1978.

Legislative Research Commission Notes.

This section was amended by two 1978 Acts which do not appear to be in conflict and which have been compiled together.

17.160. Furnishing potential employer with person’s record of convictions, guilty pleas, and Alford pleas involving specified crimes.

  1. Notwithstanding any other provision of law, an employer may request from the Justice and Public Safety Cabinet or the Administrative Office of the Courts, or both, records of all available convictions involving any felony offense, any misdemeanor offense in KRS Chapter 531 or KRS Chapter 510, any misdemeanor offense under KRS Chapter 218A committed within the five (5) years immediately preceding the application, or any conviction for violating KRS Chapter 189A committed within the five (5) years immediately preceding the application of a person who applies for employment or volunteers for a position in which he or she would have supervisory or disciplinary power over a minor. The cabinet or the Administrative Office of the Courts, as appropriate, shall furnish the information to the requesting employer and shall also send a copy of the information to the applicant.
  2. Any request for records under subsection (1) of this section shall be on a form approved by the cabinet and the Administrative Office of the Courts. No fee shall be charged to the employer or to the person whose records were requested if funding for the record checks provided for in this section is provided through some other mechanism; otherwise the cabinet or the Administrative Office of the Courts may charge a fee to be paid by the organization making the request, not to exceed the actual cost of processing the request.
  3. The cabinet and the Administrative Office of the Courts shall promulgate administrative regulations to implement the provisions of this section. No administrative regulation shall be adopted requiring or authorizing the fingerprinting of applicants.
  4. As used in this section, “employer” means any organization chartered by the Congress of the United States or specified by the Attorney General which employs or uses the services of volunteers or paid employees in positions in which the volunteer or employee has supervisory or disciplinary power over a child or children. An organization which has an administrative office with paid personnel which has jurisdiction over suborganizations in one (1) or more counties shall make application for record checks through the administrative office of the organization and not through each individual suborganization.
  5. Offenses which may be searched for under this section are ones involving any conviction, plea of guilty, or Alford plea, to any offense specified in subsection (1) of this section or the attempted violation of any offense specified in subsection (1) of this section. Conviction for a violation or attempted violation of an offense committed outside the Commonwealth of Kentucky is a crime if such offense would have been a crime in Kentucky under subsection (1) of this section if committed in Kentucky.

History. Enact. Acts 1984, ch. 382, § 10, effective July 13, 1984; 1996, ch. 290, § 1, effective July 15, 1996; 2007, ch. 85, § 88, effective June 26, 2007.

17.165. Definitions — Criminal record check for job applicants at child-care centers — Restrictions on employing violent offenders or persons convicted of sex crimes — Conviction information for applicant seeking employment as child-serving professional.

  1. As used in this section, “sex crime” means a conviction or a plea of guilty to a sex crime specified in KRS 17.500 .
  2. As used in this section, “violent offender” means any person who has been convicted of or pled guilty to the commission of a capital offense, Class A felony, or Class B felony involving the death of the victim, or rape in the first degree or sodomy in the first degree of the victim or serious physical injury to a victim.
  3. As used in this section, “violent crime” shall mean a conviction of or a plea of guilty to the commission of a capital offense, Class A felony, or Class B felony involving the death of the victim, or rape in the first degree or sodomy in the first degree of the victim or serious physical injury to a victim.
  4. As used in this section, “criminal offense against a victim who is a minor” means a conviction of or a plea of guilty to a criminal offense against a victim who is a minor as specified in KRS 17.500(3).
    1. Excluding a child care staff member pursuant to KRS 199.8965 , the provisions of this section shall apply to all applicants for initial employment in a position which involves care and supervision of a minor as a child- serving professional on or after March 27, 2017. (5) (a) Excluding a child care staff member pursuant to KRS 199.8965 , the provisions of this section shall apply to all applicants for initial employment in a position which involves care and supervision of a minor as a child- serving professional on or after March 27, 2017.
    2. Each employer of an applicant for initial employment in a position which involves care and supervision of a minor as a child-serving professional shall request all conviction information for the applicant for employment from the Justice and Public Safety Cabinet or the Administrative Office of the Courts prior to employing the applicant.
    3. This subsection shall not be construed to apply to an employer of a minor.
  5. No employee in a position which involves care and supervision of a minor as a child-serving professional pursuant to subsection (5) of this section shall have been convicted of a violent crime, a criminal offense against a victim who is a minor, or a sex crime, or have been found by the Cabinet for Health and Family Services or a court to have abused or neglected a child.
  6. Each application form, provided by the employer to the applicant, shall conspicuously state the following: “FOR THIS TYPE OF EMPLOYMENT, STATE LAW REQUIRES A CRIMINAL RECORD CHECK AS A CONDITION OF EMPLOYMENT.”
  7. Any request for records under subsection (5) of this section shall be on a form approved by the Justice and Public Safety Cabinet or the Administrative Office of the Courts, and the cabinet may charge a fee to be paid by the applicant in an amount no greater than the actual cost of processing the request.

History. Repealed, reenact. and amend. Acts 1988, ch. 345, § 1, effective July 15, 1988; 2000, ch. 308, § 25, effective July 14, 2000; 2005, ch. 99, § 92, effective June 20, 2005; 2006, ch. 182, § 1, effective July 12, 2006; 2007, ch. 85, § 89, effective June 26, 2007; 2017 ch. 135, § 1, effective March 27, 2017.

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 475, § 1, effective July 15, 1986) was repealed, reenacted and amended by Acts 1988, ch. 345, § 1, effective July 15, 1988.

Opinions of Attorney General.

Those provisions of 1986, ch. 475 (this section and KRS 17.990 ) relating to the State Board of Education and local boards of education and their employees are unconstitutional under Ky. Const., § 51; therefore, references to the State Board of Education and any local board of education of either an independent or county school district in this section, subdivision (3)(b) (former lanugage) of KRS 17.990 , and the reference to any board of education in former subdivision (3)(c) of KRS 17.990 are void. OAG 86-70 .

This section, which exempts church-sponsored day care centers from its requirement that child care centers request a sex crime records check as to their applicants for employment, is unconstitutional as special legislation in violation of Ky. Const. §§ 59 and 60. OAG 87-13 (Opinion prior to 1988 repeal, reenact., and amendment).

17.167. Felony-offender record check for employees and members of fire departments, ambulance services, and rescue squads.

  1. As used in this section, “felony offender” means any person who has been convicted of, entered an Alford plea to, or pleaded guilty to the commission of a capital offense or a felony.
  2. Any paid or volunteer fire department certified by the Kentucky Fire Commission, ambulance service licensed by the Commonwealth of Kentucky, or rescue squad officially affiliated with a local disaster and emergency services organization or with the Division of Emergency Management may apply to the Justice and Public Safety Cabinet or the Administrative Office of the Courts for a felony offender record check on applicants for employment or membership with the fire department, ambulance service, or rescue squad.
  3. Each application form, provided by a fire department, ambulance service, or rescue squad to an applicant for employment or membership, shall conspicuously state the following:

    “FOR EMPLOYMENT WITH OR MEMBERSHIP WITH A FIRE DEPARTMENT, AMBULANCE SERVICE, OR RESCUE SQUAD, STATE LAW PERMITS A CRIMINAL RECORD CHECK AS A CONDITION OF EMPLOYMENT OR MEMBERSHIP.”

  4. Any request for records under this section shall be on a form approved by the Justice and Public Safety Cabinet or the Administrative Office of the Courts. The Justice and Public Safety Cabinet and the Administrative Office of the Courts shall not charge a fee for making record checks.

HISTORY: Enact. Acts 1996, ch. 373, § 1, effective July 15, 1996; 2000, ch. 102, § 2, effective July 14, 2000; 2007, ch. 85, § 90, effective June 26, 2007; 2020 ch. 67, § 2, effective July 15, 2020.

17.169. Definitions for KRS 17.169, 17.170, and 17.175.

As used in this section and KRS 17.170 and 17.175 , the following definitions shall apply:

  1. “DNA sample” or “deoxyribonucleic acid sample” means a blood or swab specimen from a person, as prescribed by administrative regulation, that is required to provide a DNA sample pursuant to KRS 17.170 or 17.510 , that shall be submitted to the Department of Kentucky State Police forensic laboratory for law enforcement identification purposes and inclusion in law enforcement identification databases; and
  2. “Authorized personnel” means an agent of state government who is properly trained in DNA sample collection pursuant to administrative regulation.

History. Enact. Acts 2008, ch. 158, § 9, effective July 1, 2008; repealed and reenact., Acts 2009, ch. 105, § 1, effective March 27, 2009.

17.170. Maintenance of DNA samples collected before March 27, 2009 — Persons required to provide DNA sample — Persons and procedures authorized for DNA sample collection — Administrative regulation — Penalties for refusing to provide DNA sample or tampering with samples or containers.

  1. Any DNA sample collected pursuant to the law in effect prior to March 27, 2009, shall be maintained and used pursuant to this section and KRS 17.175 and 17.510 .
  2. The following persons shall have a DNA sample collected by authorized personnel:
    1. Any person convicted on or after March 27, 2009, of a felony offense under the Kentucky Revised Statutes; or
    2. Any juvenile who was at least fourteen (14) years of age at the time of the commission of the offense and who stands adjudicated delinquent of being a public offender by a court of competent jurisdiction, of:
      1. Any felony offense in KRS Chapter 510;
      2. Incest as defined in KRS 530.020 ;
      3. Criminal attempt or criminal conspiracy to commit an offense identified in subparagraph 1. or 2. of this paragraph; or
      4. Being a juvenile sexual offender under KRS 635.510 .
  3. Any person who is required to register as a sex offender under KRS 17.510 who is not otherwise required to submit to a DNA sample collection under this section or KRS 17.510 , including those persons convicted of a felony or adjudicated as a public offender on offenses in other jurisdictions as identified in KRS 17.510(6) and (7), shall have a DNA sample collected by authorized personnel.
  4. Any person who is required to provide a DNA sample pursuant to subsection (2) of this section and who is released from custody upon sentencing or adjudication shall immediately report to the local probation and parole office and shall have a DNA sample collected by authorized personnel.
  5. A DNA sample shall be obtained in an approved manner by authorized personnel, a physician, registered nurse, phlebotomist, medical technician, or medical technologist, and packaged with supplies and containers provided by the Department of Kentucky State Police forensic laboratory in accordance with administrative regulations promulgated by the cabinet. No civil liability shall attach to any person authorized to obtain the DNA sample as provided by this section as a result of the act of obtaining the DNA sample from any person, provided the procedure was done according to administrative regulations by the cabinet.
  6. Authorized personnel collecting DNA samples under this section or KRS 17.510 are not engaging in the practice of medicine pursuant to KRS 311.550 .
  7. Any person required to provide a DNA sample under this section or KRS 17.510 who, after receiving notice of the requirement to provide a DNA sample, knowingly refuses to provide such DNA sample, shall be guilty of a Class A misdemeanor for each separate violation of the offense.
  8. Any person who tampers or attempts to tamper with any DNA sample collected under this section or its container without lawful authority shall be guilty of a Class D felony.

History. Repealed and reenact. Acts 2009, ch. 105, § 2, effective March 27, 2009.

Compiler’s Notes.

Designation of offenses; penalties, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

Legislative Research Commission Notes.

(7/1/2008). During the processing of the proposed Senate Committee Substitute to House Bill 683, which became 2008 Ky. Acts ch. 158, the reference to “KRS 439.3401(1)” in subsection (2) of this statute was inadvertently changed to “KRS 439.340(1).” After examination of the materials in the bill folder, consultation with the drafter, and examination of KRS 439.340(1) and 439.3401(1), this manifest clerical or typographical error has been corrected during codification by the Reviser of Statutes under the authority of KRS 7.136(1)(h).

NOTES TO DECISIONS

1.Constitutionality.

Collection of juveniles’ DNA samples pursuant to former KRS 17.174 did not violate the juveniles constitutional rights to be free from unreasonable searches and seizures under U.S. Const. amend. IV and Ky. Const. § 10; to privacy under U.S. Const. amend. XIV and Ky. Const. §§ 1, 2, and 11; and to due process of law under U.S. Const. amend. VI and Ky. Const. §§ 2 and 11. Petitioner F v. Brown, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. Feb. 22, 2008, sub. op., 2008 Ky. App. Unpub. LEXIS 532 (Ky. Ct. App. Feb. 22, 2008).

Requiring juveniles adjudicated public offenders for various sex offenses to submit DNA samples in accordance with Kentucky’s DNA sampling statutes, KRS 17.170 through 17.175 (KRS 17.171 through KRS 17.174 are now repealed), does not violate the Fourth Amendment because the juveniles’ privacy interests did not outweigh law enforcement’s interest in solving crimes. Petitioner F v. Brown, 306 S.W.3d 80, 2010 Ky. LEXIS 70 (Ky.), cert. denied, 562 U.S. 985, 131 S. Ct. 422, 178 L. Ed. 2d 329, 2010 U.S. LEXIS 8178 (U.S. 2010).

2.Applicability.

The provisions of KRS 17.170(1) did not apply to a juvenile adjudicated delinquent on charges of sodomy and sexual abuse as a juvenile adjudication was not a conviction of a felony offense. J.D.K. v. Commonwealth, 54 S.W.3d 174, 2001 Ky. App. LEXIS 589 (Ky. Ct. App. 2001) (decided under prior law).

DNA samples could be collected from juveniles because former KRS 17.174 applied to juveniles who were adjudicated public offenders for the commission or attempted commission of offenses defined in KRS 17.170 or former 17.171 . However, former KRS 17.174 did not apply to the offenses found in former KRS 17.172 , i.e., first-degree and second-degree burglary. Petitioner F v. Brown, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. Feb. 22, 2008, sub. op., 2008 Ky. App. Unpub. LEXIS 532 (Ky. Ct. App. Feb. 22, 2008).

3.Public Offender.

While the term “public offender” is not expressly defined, a public offender is a juvenile who commits a public offense action. Public offenders are adjudicated rather than convicted. Petitioner F v. Brown, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. Feb. 22, 2008, sub. op., 2008 Ky. App. Unpub. LEXIS 532 (Ky. Ct. App. Feb. 22, 2008).

4.Implementation.

KRS 13A.120(2)(d) and 17.175(6) did not require the Department of Juvenile Justice to promulgate any administrative regulations to include procedures for collection of DNA samples and the usage and integrity of the DNA database system. Instead, the Secretary of Justice was required to notify the Kentucky Reviser of Statutes of the date on which statutory sections were implemented under former KRS 17.177(3). Petitioner F v. Brown, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. Feb. 22, 2008, sub. op., 2008 Ky. App. Unpub. LEXIS 532 (Ky. Ct. App. Feb. 22, 2008).

Cited in:

Petitioner F v. Brown, — S.W.3d —, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. 2008).

Research References and Practice Aids

Northern Kentucky Law Review.

Lotz, A Survey of Criminal Law Statutes Enacted in 1992, 20 N. Ky. L. Rev. 745 (1993).

Tapp and Tincher, Of Innocents and Offenders: A Survey of Children’s Law in Kentucky, 30 N. Ky. L. Rev. 131 (2003).

17.171. Application of KRS 17.170 to DNA evidence in cases involving minors. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 154, § 5, effective July 15, 2002) was repealed by Acts 2008, ch. 158, § 15, effective July 1, 2008, and Acts 2009, ch. 105, § 7, effective March 27, 2009.

17.172. Application of KRS 17.170 to DNA evidence in burglary cases. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 154, § 6, effective July 15, 2002) was repealed by Acts 2008, ch. 158, § 15, effective July 1, 2008, and Acts 2009, ch. 105, § 7, effective March 27, 2009).

17.173. Application of KRS 17.170 to DNA evidence in capital cases and certain felony cases. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 154, § 7, effective July 15, 2002) was repealed by Acts 2008, ch. 158, § 15, effective July 1, 2008, and Acts 2009, ch. 105, § 7, effective March 27, 2009.

17.174. Application of KRS 17.171 and 17.172 to public offenders. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 154, § 8, effective July 15, 2002) was repealed by Acts 2008, ch. 158, § 15, effective July 1, 2008, and Acts 2009, ch. 105, § 7, effective March 27, 2009.

17.175. Centralized database for DNA identification records — Analysis and classification of evidence — Exemption from KRS 61.870 to 61.884 — Expungement of information and destruction of DNA sample — Penalty for unlawful use of DNA database identification system.

  1. A centralized database of DNA (deoxyribonucleic acid) identification records for convicted or adjudicated offenders, crime scene specimens, unidentified human remains, missing persons, and close biological relatives of missing persons shall be established in the Department of Kentucky State Police under the direction, control, and supervision of the Department of Kentucky State Police forensic laboratory. The established system shall be compatible with the procedures set forth in a national DNA identification index to ensure data exchange on a national level.
  2. The purpose of the centralized DNA database is to assist federal, state, and local criminal justice and law enforcement agencies within and outside the Commonwealth in the identification, detection, or exclusion of individuals who are subjects of the investigation or prosecution of sex-related crimes, violent crimes, or other crimes and the identification and location of missing and unidentified persons.
    1. The Department of Kentucky State Police forensic laboratory shall receive, analyze, and classify DNA samples received from the Department of Corrections, the Department of Juvenile Justice, and other sources, and shall file the DNA results in the centralized databases for law enforcement identification and statistical purposes. The department shall analyze and classify all sexual assault evidence collection kits it receives. In cases where a suspect has been identified, the department may give priority to analysis and classification of sexual assault evidence collection kits where the reference standard for comparison is provided with the kit. Except as provided in paragraph (e) of this subsection, by July 1, 2018, the average completion rate for this analysis and classification shall not exceed ninety (90) days, and by July 1, 2020, the average completion rate for this analysis and classification shall not exceed sixty (60) days. (3) (a) The Department of Kentucky State Police forensic laboratory shall receive, analyze, and classify DNA samples received from the Department of Corrections, the Department of Juvenile Justice, and other sources, and shall file the DNA results in the centralized databases for law enforcement identification and statistical purposes. The department shall analyze and classify all sexual assault evidence collection kits it receives. In cases where a suspect has been identified, the department may give priority to analysis and classification of sexual assault evidence collection kits where the reference standard for comparison is provided with the kit. Except as provided in paragraph (e) of this subsection, by July 1, 2018, the average completion rate for this analysis and classification shall not exceed ninety (90) days, and by July 1, 2020, the average completion rate for this analysis and classification shall not exceed sixty (60) days.
    2. Failure to meet the completion time goals established in paragraph (a) of this subsection shall not be a basis for a dismissal of a criminal action or a bar to the admissibility of evidence.
    3. The Department of Kentucky State Police shall, by August 1 of each year, report to the Legislative Research Commission the yearly average completion rate for the immediately preceding five (5) fiscal years.
    4. With approval by the secretary of the Justice and Public Safety Cabinet in situations in which an equipment casualty necessitates the expedited acquisition or repair of laboratory equipment required for the analysis of evidence, the acquisition or repair shall be exempt from the Finance and Administration Cabinet’s competitive bidding process for both acquisition and repair purposes. Each time the authority granted by this paragraph is used, the equipment acquisition or repair shall be fully documented within thirty (30) days by the agency head in a written or electronic letter to the secretary of the Finance and Administration Cabinet, attached to an ordering or payment document in the state’s procurement system, which shall include:
      1. An explanation of the equipment acquired or repaired;
      2. The name of the vendor selected;
      3. The amount of procurement;
      4. Other price quotations obtained; and
      5. The basis for selection of the vendor.
    5. To the extent appropriated funds are insufficient to meet the average completion time goals established in paragraph (a) of this subsection, the Department of Kentucky State Police forensic laboratory shall no longer be required to meet the average completion time goals.
  3. DNA identification records produced from the samples are not public records but shall be confidential and used only for law enforcement purposes. DNA identification records shall be exempt from the provisions of KRS 61.870 to 61.884 .
  4. A person whose DNA profile has been included in the data bank pursuant to this chapter may request expungement on the grounds that the conviction or adjudication on which the authority for including the DNA profile was based has been reversed and the case dismissed, or that the person successfully completed the pretrial diversion program under KRS 533.258 and the charges were dismissed-diverted. The Department of Kentucky State Police shall expunge all identifiable information in the data bank pertaining to the person and destroy all samples from the person upon receipt of:
    1. A written request for expungement pursuant to this section; and
    2. Either:
      1. A certified copy of the court order reversing and dismissing the conviction or adjudication; or
      2. A certified copy of the court order deeming the charges dismissed-diverted.
  5. The cabinet shall promulgate administrative regulations necessary to carry out the provisions of the DNA database identification system to include procedures for collection of DNA samples and the database system usage and integrity.
  6. The Department of Kentucky State Police shall destroy all DNA samples that are not entered into the DNA database identification system.
  7. Any person who disseminates, receives, or otherwise uses or attempts to use information in the DNA database identification system, knowing that such dissemination, receipt, or use is for a purpose other than authorized by this section, shall be guilty of a Class D felony.

History. Enact. Acts 1992, ch. 175, § 2, effective July 14, 1992; 2002, ch. 154, § 9, effective July 15, 2002; 2007, ch. 85, § 92, effective June 26, 2007; 2008, ch. 158, § 11, effective July 1, 2008; repealed and reenact., Acts 2009, ch. 105, effective March 27, 2009; 2016 ch. 58, § 3, effective April 8, 2016.

Legislative Research Commission Notes.

(4/8/2016). 2016 Ky. Acts ch. 58, sec. 11 provided that that Act shall be known as the Sexual Assault Forensic Evidence (SAFE) Act of 2016. This statute was amended in Section 3 of that Act.

(5/1/2003). KRS 17.177 (2002 Ky. Acts ch. 154, sec. 11) provides that “actual compliance with the provisions of [KRS 17.175 and four other KRS sections] may be delayed until funding is available for their full implementation. . . As a section is implemented, the Reviser of Statutes shall be notified by the Secretary of Justice, in writing, as to the date of implementation.”

In a letter dated April 15, 2003, the Secretary of the Justice Cabinet notified the Reviser of Statutes that KRS 17.175 and the other four KRS sections have been implemented, effective May 1, 2003.

NOTES TO DECISIONS

1.Constitutionality.

Requiring juveniles adjudicated public offenders for various sex offenses to submit DNA samples in accordance with Kentucky’s DNA sampling statutes, KRS 17.170 through 17.175 (KRS 17.171 through KRS 17.174 are now repealed), did not violate the Fourth Amendment because the juveniles’ privacy interests did not outweigh law enforcement’s interest in solving crimes. Petitioner F v. Brown, 306 S.W.3d 80, 2010 Ky. LEXIS 70 (Ky.), cert. denied, 562 U.S. 985, 131 S. Ct. 422, 178 L. Ed. 2d 329, 2010 U.S. LEXIS 8178 (U.S. 2010).

2.Administrative Regulations.

KRS 13A.120(2)(d) and 17.175(6) did not require the Department of Juvenile Justice to promulgate any administrative regulations to include procedures for collection of DNA samples and the usage and integrity of the DNA database system. Instead, the Secretary of Justice was required to notify the Kentucky Reviser of Statutes of the date on which statutory sections were implemented under former KRS 17.177(3). Petitioner F v. Brown, 2008 Ky. App. LEXIS 42 (Ky. Ct. App. Feb. 22, 2008, sub. op., 2008 Ky. App. Unpub. LEXIS 532 (Ky. Ct. App. Feb. 22, 2008).

Cited in:

J.D.K. v. Commonwealth, 54 S.W.3d 174, 2001 Ky. App. LEXIS 589 (Ky. Ct. App. 2001).

Opinions of Attorney General.

Despite the status as the attorney representing a defendant in the appeal of his criminal conviction, the requester stands in the same shoes as any other open records requester under KRS Chapter 61, and KRS 17.175(4) bars her access to “records produced from the samples” collected for DNA testing, including her client’s DNA profile record and report, the technician’s handwritten notes relating thereto, control sample report, and record and report in the Casework and Convicted Offender Indexes. OAG 03-ORD-126.

17.176. Probative value of DNA test — Submission of evidence by parties in case — Fees and costs.

  1. In addition to the requirements specified in KRS 422.285 , any evidence submitted for testing and analysis pursuant to KRS 422.285 or 422.287 shall be of probative value. When the motion is filed with the court requesting testing and analysis of evidence pursuant to this section, the applicant shall include sufficient information about the evidence, the necessity for its testing and analysis, and its applicability to the proceeding for a court to make a determination of the probative value of the evidence proposed to be tested and analyzed.
  2. The prosecution, with a court order issued pursuant to this section, may submit not more than five (5) items of evidence for testing and analysis by the Department of Kentucky State Police forensic laboratory or another laboratory selected by the Department of Kentucky State Police forensic laboratory. In capital cases, the tests shall be performed without charge to the prosecution. The cost of testing and analysis of any items of evidence in excess of the five (5) initial items to be tested and analyzed shall be borne by the agency or person requesting the testing and analysis. Any additional item of evidence submitted for testing and analysis shall be accompanied by the court order specified in subsection (1) of this section.
  3. The defense, with a court order issued pursuant to this section, may submit not more than five (5) items of evidence for testing and analysis by the Department of Kentucky State Police forensic laboratory or another laboratory selected by the Department of Kentucky State Police forensic laboratory. In capital cases, the tests shall be performed without charge to the defense. The cost of testing and analysis of any item of evidence in excess of the five (5) initial items to be tested and analyzed shall be borne by the agency or person requesting the testing and analysis. Any additional item of evidence submitted for testing and analysis shall be accompanied by the court order specified in subsection (1) of this section.
  4. Any other party in a criminal case, with permission of the court after a specific showing of necessity for testing and analysis, together with the items specified in subsection (1) of this section, may submit an item of evidence for testing and analysis by the Department of Kentucky State Police forensic laboratory or another laboratory selected by the Department of Kentucky State Police forensic laboratory for testing and analysis. The cost of testing and analysis of any item of evidence permitted to be submitted by the court shall be borne by the person or organization requesting the testing and analysis.
  5. The Department of Kentucky State Police shall promulgate by administrative regulation a uniform schedule of fees to be charged for testing and analysis conducted pursuant to KRS 422.285 or 422.287 .

History. Enact. Acts 2002, ch. 154, § 3, effective July 15, 2002; 2007, ch. 85, § 93, effective June 26, 2007; 2013, ch. 77, § 2, effective June 25, 2013.

Legislative Research Commission Notes.

(7/15/2002). Under the authority of KRS 7.136 , the Reviser of Statutes has corrected a manifest clerical or typographical error in the second sentence of subsections (2) and (3) of this section by inserting “of” after the first appearance of “analysis” in each of those sentences.

NOTES TO DECISIONS

1.Outside DNA Testing.

While KRS 17.176 anticipates that DNA testing will ordinarily be done by the Kentucky State Police Forensic Laboratory or its designee, and may even evince a preference that testing be done there, it does not impose a limit on who may test, nor does it require that testing be performed by the Kentucky State Police Forensic Laboratory or a lab of its choice in all cases. Instead, whether to order independent or outside testing falls within the sound discretion of the circuit court. The only limit on the court’s power to order outside testing is that it may do so only if it deems such testing appropriate. KRS 422.285 . Moore v. Commonwealth, 357 S.W.3d 470, 2011 Ky. LEXIS 191 ( Ky. 2011 ), modified, 2011 Ky. LEXIS 190 (Ky. Nov. 23, 2011).

17.177. Effective dates and implementation of legislation relating to DNA testing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 154, § 11, effective July 15, 2002; 2007, ch. 85, § 94, effective June 26, 2007) was repealed by Acts 2008, ch. 158, § 15, effective July 1, 2008, and Acts 2009, ch. 105, § 7, effective March 27, 2009.

17.180. Automated fingerprint identification system.

  1. The Department of Kentucky State Police shall design, implement, and maintain an automated fingerprint identification system.
  2. The automated fingerprint identification system shall be compatible with any similar system required by the federal government for inclusion of state information in federal criminal justice databases.
  3. The Commonwealth shall provide and maintain in every detention center the automated fingerprint identification system equipment and programs required by the Department of Kentucky State Police through administrative regulation.

History. Enact. Acts 1998, ch. 606, § 29, effective July 15, 1998; 2007, ch. 85, § 95, effective June 26, 2007.

17.185. Request to Department of Kentucky State Police to conduct background check on oneself through name-based or fingerprint-supported search — Definitions for section — Prerequisites and limitations on search and release of information — Fees — Administration regulations.

  1. As used in this section:
    1. “Fingerprint card” means the standard Federal Bureau of Investigation FD-258 fingerprint card;
    2. “Fingerprint-supported background check” means a statewide search of the centralized criminal history record information system created and maintained by the Commonwealth utilizing the fingerprints of the subject of the background check. This shall not include a national check by the Federal Bureau of Investigation unless other provisions require a national check; and
    3. “Name-based background check” means a statewide search of the centralized criminal history record information system created and maintained by the Commonwealth utilizing the name, date of birth, and Social Security number of the subject of the background check. This shall not include a national check by the Federal Bureau of Investigation.
  2. Any other provision of law to the contrary notwithstanding, a person may request the Department of Kentucky State Police to conduct a name-based or fingerprint-supported background check of himself or herself and release the results to any person designated by the requester.
  3. A person requesting a fingerprint-supported background check on himself or herself shall be fingerprinted by a law enforcement agency or other agency approved by the Department of Kentucky State Police to submit fingerprints. The fingerprinting agency shall forward the fingerprints to the Department of Kentucky State Police. The fingerprinting agency may charge a fee, not to exceed the actual cost of processing the request.
  4. A request for a name-based or fingerprint-supported background check shall be submitted in a manner approved by the Department of Kentucky State Police.
  5. The Department of Kentucky State Police may charge a fee for conducting a background check, not to exceed the actual cost of processing the request, to be paid by the requester, except that a convenience fee of ten dollars ($10) may be assessed for electronic requests and shall be retained by the Department of Kentucky State Police.
  6. The Department of Kentucky State Police shall promulgate administrative regulations to implement the provisions of this section.

HISTORY: Enact. Acts 2011, ch. 60, § 2, effective June 8, 2011; 2018 ch. 159, § 57, effective July 14, 2018.

17.190. Emergency requests for call location information.

  1. For purposes of this section:
    1. “Call location information” means the best available location information, including but not limited to information obtained using historical cellular site information or a mobile locator tool;
    2. “Emergency responder” has the same meaning as in KRS 194A.400 ;
    3. “Law enforcement agency” means any lawfully organized investigative agency, sheriff’s office, police unit, or police force of state, county, urban-county government, charter county, city, consolidated local government, or a combination of these, responsible for the detection of crime and the enforcement of the general criminal laws, and excludes constables.
    4. “Public safety answering point” has the same meaning as in KRS 65.750 ;
    5. “Wireless communications device” means any wireless electronic communication device that provides for voice or data communication between two (2) or more parties, including a mobile or cellular telephone; and
    6. “Wireless telecommunications carrier” means a provider of commercial mobile radio services, including all broadband personal communications services, wireless radio telephone services, geographic area specialized and enhanced specialized mobile radio services, and incumbent wide area specialized mobile radio licenses, which offer real-time, two-way voice services interconnected with the public switched telephone network and doing business in this Commonwealth.
    1. Upon a request from a public safety answering point or law enforcement agency, a wireless telecommunications carrier shall provide call location information concerning the wireless communications device of a wireless telecommunications user to the requesting public safety answering point or law enforcement agency, in order to respond to a call for emergency services or in an emergency situation that involves the imminent risk of death or serious physical injury. (2) (a) Upon a request from a public safety answering point or law enforcement agency, a wireless telecommunications carrier shall provide call location information concerning the wireless communications device of a wireless telecommunications user to the requesting public safety answering point or law enforcement agency, in order to respond to a call for emergency services or in an emergency situation that involves the imminent risk of death or serious physical injury.
    2. Local emergency responders seeking call location information under this section shall direct inquiries to either a public safety answering point or a law enforcement agency, and the highest ranking person on duty at the public safety answering point or a law enforcement agency shall determine, in consultation with the emergency responders in the jurisdiction in which the emergency call or situation arose, whether the conditions under paragraph (a) of this subsection are met.
  2. Notwithstanding any other provision of law to the contrary, nothing in this section prohibits a wireless telecommunications carrier from establishing protocols by which the carrier could voluntarily disclose call location information.
  3. No cause of action shall lie in any court against any wireless telecommunications carrier or its officers, employees, or agents for providing call location information while acting in good faith and in accordance with this section.
    1. In order to facilitate requests for call location information in accordance with this section, all wireless telecommunications carriers and all resellers of wireless telecommunications doing business in the Commonwealth shall submit emergency contact information to: (5) (a) In order to facilitate requests for call location information in accordance with this section, all wireless telecommunications carriers and all resellers of wireless telecommunications doing business in the Commonwealth shall submit emergency contact information to:
      1. The Department of Kentucky State Police, for dissemination to law enforcement agencies; and
      2. The Kentucky 911 Services Board, as created in KRS 65.7623 , for dissemination to public safety answering points.
    2. The contact information required under this subsection shall be submitted annually, or immediately upon any change in contact information.
  4. All public safety answering points and law enforcement agencies shall develop and maintain policies and procedures regarding this section.
  5. Call location information gathered pursuant to this section shall not be disclosed to any party who is not officially involved in the underlying emergency response.

HISTORY: 2019 ch. 148, § 1.

Legislative Research Commission Notes.

(6/27/2019). 2019 Ky. Acts ch. 148, sec. 2 provides that this statute as created in Section 1 of that Act may be cited as the Leah Carter Act.

Fire Department Aid

17.210. Purpose of KRS 17.210 to 17.270.

In enacting a fire department aid law it is the intention of the General Assembly to supplement local efforts to prevent the loss of lives and property by fire. The inadequacy of present facilities, the high cost of acquisition and maintenance of modern firefighting equipment and the need for better trained firefighters are hereby declared to be matters of public interest and concern and vital to the promotion of the health, safety, prosperity and security of the inhabitants of the Commonwealth.

History. Enact. Acts 1958, ch. 93, § 1; 1978, ch. 164, § 1, effective June 17, 1978.

Opinions of Attorney General.

The purpose of a fire protection district is to prevent the loss of lives and property by fire; expenditures that fit within the following categories, or that are indispensable to carrying out the objects included in these categories, are expenditures for the establishment, maintenance, and operation of a fire protection district: 1. Acquisition and maintenance of adequate fire protection facilities; 2. Acquisition and maintenance of adequate fire fighting equipment; 3. Recruitment, training, and supervision of firefighters; 4. Control and extinguishment of fires; 5. Prevention of fires; 6. Conducting fire safety activities; 7. Payment of compensation to firefighters and necessary support and supervisory personnel. OAG 90-145 .

Research References and Practice Aids

Cross-References.

Fire prevention and protection, KRS 227.200 to 227.992 .

17.220. Fire Department Committee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 93, § 2) was repealed by Acts 1962, ch. 106, Art. III, § 3.

17.230. Appointment of committee members. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 93, § 3) was repealed by Acts 1962, ch. 106, Art. III, § 3.

17.240. Terms of committee members. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 93, § 4) was repealed by Acts 1962, ch. 106, Art. III, § 3.

17.250. Volunteer fire department aid fund established — Allotment of funds accruing from insurance premium surcharge proceeds — Reimbursement for equipment losses — Firefighters training center fund established — Application for funding. [Repealed, reenacted, and amended.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 93, § 5; 1960, ch. 237, § 1; 1962, ch. 239; 1966, ch. 255, § 21; 1972, ch. 167, § 1; 1974, ch. 74, Art. V, § 24(7); 1978, ch. 164, § 2, effective June 17, 1978; 1980, ch. 188, § 3, effective July 15, 1980; 1982, ch. 246, § 11, effective April 1, 1982; 1984, ch. 300, § 11, effective July 13, 1984; 1984, ch. 303, § 2, effective July 13, 1984; 1984, ch. 327, § 2, effective July 13, 1984; 1986, ch. 213, § 1, effective July 15, 1986; 1986, ch. 446, § 1, effective July 15, 1986) was repealed, reenacted and amended as KRS 95A.262 by Acts 1992, ch. 381, § 7, effective July 14, 1992.

17.260. Expenditure of allotted funds. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 93, § 6; 1974, ch. 74, Art. V, § 24(7); 1978, ch. 164, § 3, effective June 17, 1978) was repealed by Acts 2000, ch. 386, § 4, effective July 14, 2000.

17.270. List of approved expenditures. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 93, § 7; 1974, ch. 74, Art. V, § 24(7)) was repealed by Acts 2000, ch. 386, § 4, effective July 14, 2000.

Brake Fluid Regulation

17.310. “Brake fluid” defined.

The term “hydraulic brake fluid” as used in KRS 17.310 to 17.340 shall mean the liquid medium through which force is transmitted to the brakes in the hydraulic brake system of a vehicle.

History. Enact. Acts 1960, ch. 116, § 1, effective June 16, 1960.

17.320. Standards for brake fluid and Transportation Cabinet’s regulations.

  1. Every hydraulic brake fluid that shall be sold, offered for sale, or used for service in any vehicle shall conform to the standards and specifications of the Society of Automotive Engineers applicable to such fluid.
  2. The Transportation Cabinet shall adopt and enforce regulations and standards which shall be compatible with the standards and specifications of the Society of Automotive Engineers, so far as practicable.

History. Enact. Acts 1960, ch. 116, §§ 2, 3, effective June 16, 1960; 1974, ch. 74, Art. V, § 24(17).

17.330. Analysis and labeling of brake fluid.

  1. Every manufacturer of any hydraulic brake fluid sold, offered for sale, or used for service in any vehicle shall submit to the Transportation Cabinet for approval a laboratory analysis report for each product produced, sold, or used in Kentucky. The analysis shall be conducted by an independent and qualified testing laboratory and shall verify that each product meets the minimum standards of heavy duty type hydraulic brake fluid specifications, designated as S. A. E. 70-R-1.
  2. Any alteration or adulteration made to any approved hydraulic brake fluid by the manufacturer, dealer, or seller shall be reported to the Transportation Cabinet. An approval from the Transportation Cabinet shall be obtained before any such product shall be sold, offered for sale, or used for service in this state.
  3. Every can, bottle, or other type of container used for the containing of hydraulic brake fluid shall be labeled to specify the composition of the contents. Such specifications shall denote conformity of the contents with the minimum standards of heavy duty type hydraulic brake fluid specifications, designated as S. A. E. 70-R-1.

History. Enact. Acts 1960, ch. 116, § 4, effective June 16, 1960; 1974, ch. 74, Art. V, § 24(17).

17.340. Transportation Cabinet’s approval of analysis required.

The Transportation Cabinet shall approve the laboratory analysis report as to its conformity with the standards required by KRS 17.310 to 17.340 , and no hydraulic brake fluid shall be sold in this state after September 1, 1960, unless such approval has been granted.

History. Enact. Acts 1960, ch. 116, § 5, effective June 16, 1960; 1974, ch. 74, Art. V, § 24(17).

Safety Glazing in Hazardous Locations

17.410. Amended and reenacted as KRS 198B.300, effective July 15, 1980. [Transferred]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 227, § 1) was amended and reenacted as KRS 198B.300 by Acts 1980, ch. 188, § 4, effective July 15, 1980.

17.420. Labeling requirements. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 227, § 2) was repealed and reenacted as KRS 198B.310 by Acts 1980, ch. 188, § 5, effective July 15, 1980.

17.430. Prohibitions. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 227, § 3) was repealed and reenacted as KRS 198B.320 by Acts 1980, ch. 188, § 6, effective July 15, 1980.

17.440. Amended and reenacted as KRS 198B.330, effective July 15, 1980.

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 227, § 4) was amended and reenacted as KRS 198B.330 by Acts 1980, ch. 188, § 7, effective July 15, 1980.

Missing Child Information Center

17.450. Kentucky Missing Child Information Center.

  1. The Justice and Public Safety Cabinet shall establish within the cabinet a “Kentucky Missing Child Information Center,” which shall serve as a central repository of and clearinghouse for information about Kentucky children believed to be missing and children from other states believed to be missing in Kentucky.
  2. The cabinet shall provide the Missing Child Information Center with computer equipment and a computer program which shall list and be capable of immediately retrieving the name and complete description of any missing Kentucky child referred to in subsection (1) of this section.
  3. The cabinet shall design the computer program so as to accept and generate complete information on a missing child, which information shall be retrievable by the child’s name and date of birth, Social Security number, fingerprint classification, any number of physical descriptions, including hair and eye color and body marks, and known associates and locations.
  4. Only law enforcement agencies shall be authorized to order missing child information entered into or retrieved from the missing child information center computer, except that a parent or guardian may order from the Department of Kentucky State Police information on his or her child to be entered or retrieved when another law enforcement agency has refused to enter or retrieve such missing child information.
  5. The cabinet, through the Kentucky Missing Child Information Center, shall regularly issue flyers containing physical and situational descriptions of missing children when requested by a law enforcement agency or when determined by the cabinet.
  6. For purposes of this section, child shall mean any person under eighteen (18) years of age or any person certified or known to be mentally incompetent or disabled.
  7. A complete written report shall be issued annually by the cabinet, which report shall include statistical information on the numbers of missing children entered on the computer and located and recommendations for more accurate and timely reports and better usage of the computer.
  8. The cabinet may promulgate administrative regulations in conformance with this section which provide for the orderly receipt of missing child information and requests for retrieval of missing child information.
  9. The Department of Kentucky State Police and each city, county, and urban-county police department and each sheriff’s office shall fingerprint children without charge on forms provided by the cabinet. The completed fingerprint forms shall be delivered to the child’s parent or guardian and no copy of the fingerprint form shall be retained by the police department or sheriff’s office.

History. Enact. Acts 1984, ch. 382, § 11, effective July 13, 1984; 2007, ch. 85, § 96, effective June 26, 2007.

17.460. Procedure by law enforcement agency upon receipt of report of missing child — Transportation and return of child once located.

  1. Upon notification by a parent, guardian, person exercising custodial control or supervision, or the authorized representative of the Department for Community Based Services of the Cabinet for Health and Family Services if the child is a ward of the state, that a child is missing, the law enforcement agency receiving notification shall immediately complete a missing person’s report in a form prescribed by the Justice and Public Safety Cabinet which shall include information the Justice and Public Safety Cabinet deems necessary for the identification of the missing child, including the child’s physical description, last known location, and known associates.
  2. Within twenty-four (24) hours after completion of the missing person’s report form, the law enforcement agency shall transmit the report for inclusion within the Kentucky Missing Child Information Center computer and shall cause the report to be entered into the National Crime Information Center computer.
  3. Within twenty-four (24) hours thereafter, the law enforcement agency shall investigate the report, shall inform all appropriate law enforcement officers of the existence of the missing child report, and shall communicate the report to every other law enforcement agency having jurisdiction in the area.
    1. Upon location of the missing child and verification of the National Crime Information Center entry, the law enforcement agency shall transport the child to the parent, guardian, or person exercising custodial control or supervision. (4) (a) Upon location of the missing child and verification of the National Crime Information Center entry, the law enforcement agency shall transport the child to the parent, guardian, or person exercising custodial control or supervision.
    2. If the child is a ward of the state, the law enforcement agency shall transport the child to the authorized representative of the Department for Community Based Services of the Cabinet for Health and Family Services in the jurisdiction of the law enforcement agency.
    3. If the law enforcement agency is unable to return the child to the appropriate caretaker pursuant to paragraph (a) of this subsection, the law enforcement agency shall contact the court-designated worker with jurisdiction for placement determination.
    4. If the child is in custody on a charge of committing an offense pursuant to KRS Chapters 600 to 645, the law enforcement agency shall proceed according to the provisions therein.
  4. Within twenty-four (24) hours after a missing child is located and returned to the appropriate caretaker pursuant to subsection (4) of this section, the law enforcement agency which transported, found, or returned the missing child shall notify both the Missing Child Information Center and the National Crime Information Center of that fact.

History. Enact. Acts 1984, ch. 382, § 12, effective July 13, 1984; 1992, ch. 414, § 5, effective July 14, 1992; 1998, ch. 426, § 75, effective July 15, 1998; 2000, ch. 14, § 5, effective July 14, 2000; 2005, ch. 99, § 93, effective June 20, 2005; 2007, ch. 85, § 97, effective June 26, 2007.

17.470. Notification by Department of Kentucky State Police of missing and recovered children.

  1. Upon receipt of a report of a missing child who was born in the Commonwealth, the Department of Kentucky State Police shall notify within forty-eight (48) hours the state registrar of vital statistics for the Commonwealth of the disappearance of such child and shall provide to the state registrar identifying information about the missing child. Upon learning of the recovery of a missing child, the Department of Kentucky State Police shall notify the state registrar.
  2. The Department of Kentucky State Police shall provide the commissioner of education with a list of the names of all missing children and children who have been recovered along with, if available, the last known school of enrollment. The commissioner of education shall provide the information to schools as required in KRS 156.495.

History. Enact. Acts 1986, ch. 72, § 1, effective July 15, 1986; 1992, ch. 27, § 2, effective March 2, 1992; 2003, ch. 39, § 1, effective June 24, 2003; 2007, ch. 85, § 98, effective June 26, 2007.

Sex Offender Registration

17.495. Registrant prohibited from residing near school or day care facility — Exception. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 401, § 29, effective April 11, 2000; 2004, ch. 160, § 9, effective July 13, 2004) was repealed, reenacted and amended as KRS 17.545 by Acts 2006, ch. 182, § 3, effective July 12, 2006.

17.497. Persons immune from suit for good faith conduct under KRS 17.500 to 17.540 and 17.550 to 17.991. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 401, § 30, effective April 11, 2000) was repealed, reenacted and amended as KRS 17.547 by Acts 2006, ch. 182, § 4, effective July 12, 2006.

17.500. Definitions for KRS 17.500 to 17.580.

As used in KRS 17.500 to 17.580 :

  1. “Approved provider” means a mental health professional licensed or certified in Kentucky whose scope of practice includes providing mental health treatment services and who is approved by the Sex Offender Risk Assessment Advisory Board, under administrative regulations promulgated by the board, to provide comprehensive sex offender presentence evaluations or treatment to adults and youthful offenders, as defined in KRS 600.020 ;
  2. “Cabinet” means the Justice and Public Safety Cabinet;
    1. Except as provided in paragraph (b) of this subsection, “criminal offense against a victim who is a minor” means any of the following offenses if the victim is under the age of eighteen (18) at the time of the commission of the offense: (3) (a) Except as provided in paragraph (b) of this subsection, “criminal offense against a victim who is a minor” means any of the following offenses if the victim is under the age of eighteen (18) at the time of the commission of the offense:
      1. Kidnapping, as set forth in KRS 509.040 , except by a parent;
      2. Unlawful imprisonment, as set forth in KRS 509.020 , except by a parent;
      3. Sex crime;
      4. Promoting a sexual performance of a minor, as set forth in KRS 531.320 ;
      5. Human trafficking involving commercial sexual activity, as set forth in KRS 529.100 ;
      6. Promoting human trafficking involving commercial sexual activity, as set forth in KRS 529.110 ;
      7. Promoting prostitution, as set forth in KRS 529.040 , when the defendant advances or profits from the prostitution of a person under the age of eighteen (18);
      8. Use of a minor in a sexual performance, as set forth in KRS 531.310 ;
      9. Sexual abuse, as set forth in KRS 510.120 and 510.130 ;
      10. Unlawful transaction with a minor in the first degree, as set forth in KRS 530.064(1)(a);
      11. Any offense involving a minor or depictions of a minor, as set forth in KRS Chapter 531;
      12. Any attempt to commit any of the offenses described in subparagraphs 1. to 11. of this paragraph;
      13. Solicitation to commit any of the offenses described in subparagraphs 1. to 11. of this paragraph; or
      14. Any offense from another state or territory, any federal offense, or any offense subject to a court martial of the United States Armed Forces, which is similar to any of the offenses described in subparagraphs 1. to 13. of this paragraph.
    2. Conduct which is criminal only because of the age of the victim shall not be considered a criminal offense against a victim who is a minor if the perpetrator was under the age of eighteen (18) at the time of the commission of the offense;
  3. “Law enforcement agency” means any lawfully organized investigative agency, sheriff’s office, police unit, or police force of federal, state, county, urban-county government, charter county, city, consolidated local government, or a combination of these, responsible for the detection of crime and the enforcement of the general criminal federal or state laws;
  4. “Registrant” means:
    1. Any person eighteen (18) years of age or older at the time of the offense or any youthful offender, as defined in KRS 600.020 , who has committed:
      1. A sex crime; or
      2. A criminal offense against a victim who is a minor; or
    2. Any person required to register under KRS 17.510 ; or
    3. Any sexually violent predator; or
    4. Any person whose sexual offense has been diverted pursuant to KRS 533.250 , until the diversionary period is successfully completed;
  5. “Registrant information” means the name, including any lawful name change together with the previous name, Social Security number, age, race, sex, date of birth, height, weight, hair and eye color, fingerprints, palm prints, DNA sample, a photograph, aliases used, residence, motor vehicle operator’s license number as well as any other government-issued identification card numbers, if any, a brief description of the crime or crimes committed, and other information the cabinet determines, by administrative regulation, may be useful in the identification of registrants;
  6. “Residence” means any place where a person sleeps. For the purposes of this statute, a registrant may have more than one (1) residence. A registrant is required to register each residence address;
  7. “Sex crime” means:
    1. A felony offense defined in KRS Chapter 510, KRS 529.100 or 529.110 involving commercial sexual activity, 530.020 , 530.064(1)(a), 531.310 , 531.320 , or 531.335 ;
    2. A felony attempt to commit a felony offense specified in paragraph (a) of this subsection; or
    3. A federal felony offense, a felony offense subject to a court-martial of the United States Armed Forces, or a felony offense from another state or a territory where the felony offense is similar to a felony offense specified in paragraph (a) of this subsection;
  8. “Sexual offender” means any person convicted of, pleading guilty to, or entering an Alford plea to a sex crime as defined in this section, as of the date the verdict is entered by the court;
  9. “Sexually violent predator” means any person who has been subjected to involuntary civil commitment as a sexually violent predator, or a similar designation, under a state, territory, or federal statutory scheme;
  10. “The board” means the Sex Offender Risk Assessment Advisory Board created under KRS 17.554 ;
  11. “Victim” has the same meaning as in KRS 421.500 ;
  12. “DNA sample” or “deoxyribonucleic acid sample” means a blood or swab specimen from a person, as prescribed by administrative regulation, that is required to provide a DNA sample pursuant to KRS 17.170 or 17.510 , that shall be submitted to the Department of Kentucky State Police forensic laboratory for law enforcement identification purposes and inclusion in law enforcement identification databases; and
  13. “Authorized personnel” means an agent of state government who is properly trained in DNA sample collection pursuant to administrative regulation.

History. Enact. Acts 1994, ch. 392, § 1, effective July 15, 1994; 2000, ch. 401, § 15, effective April 11, 2000; 2006, ch. 182, § 5, effective July 12, 2006; 2007, ch. 19, § 8, effective June 26, 2007; 2007, ch. 29, § 1, effective June 26, 2007; 2007, ch. 85, § 99, effective June 26, 2007; 2008, ch. 158, § 12, effective July 1, 2008; repealed and reenact., Acts 2009, ch. 105, § 4, effective March 27, 2009; 2014, ch. 94, § 4, effective July 15, 2014; 2017 ch. 171, § 1, effective June 29, 2017; 2018 ch. 42, § 2, effective July 14, 2018; 2018 ch. 121, § 1, effective July 14, 2018; 2020 ch. 75, § 1, effective July 15, 2020.

Legislative Research Commission Notes.

(6/29/2017). Under the authority of KRS 7.136(1)(h), references to "subparagraphs 1. to 10. of this paragraph" in subsection (3)(a) of this statute have been changed to "subparagraphs 1. to 11. of this paragraph" by the Reviser of Statutes following the enactment of 2017 Ky. Acts ch. 171, sec. 1, which inserted a new subparagraph into KRS 17.500(3)(a) and renumbered the subsequent subparagraphs, but overlooked the internal references in the existing language.

NOTES TO DECISIONS

1.Constitutionality.

Double jeopardy protections are not implicated by the sex offender classification statute, KRS 17.500 et seq. Hall v. Commonwealth, 2000 Ky. App. LEXIS 72 (Ky. Ct. App. July 7, 2000).

The Sex Offender Registration Act, KRS 17.500 et seq., is not intended to punish sex offenders and, therefore, the act does not impose an additional punishment and is not an ex post facto law under the United States Constitution or Kentucky Constitution. Hyatt v. Commonwealth, 2000 Ky. App. LEXIS 71 (Ky. Ct. App. July 7, 2000).

The Sex Offender Registration Act, KRS 17.500 et seq., does not expose individuals to double jeopardy when applied to a criminal who has been convicted of committing a sex crime. Hyatt v. Commonwealth, 2000 Ky. App. LEXIS 71 (Ky. Ct. App. July 7, 2000).

Sexual Offender Registration Act, KRS 17.500 et seq. (Act), violated neither state nor federal constitutional provisions as the Act was remedial and not punitive in nature so it did not violate ex post facto laws; the legislature permissibly granted the trial court subject matter jurisdiction pursuant to the Act to carry out its provisions such that there was no separation of powers violation, defendants right to privacy was not outweighed by public interest in people being able to protect themselves from sex offenders, and Act was not a bill of attainder since it neither inflicted punishment nor adjudicated guilt. Hyatt v. Commonwealth, 72 S.W.3d 566, 2002 Ky. LEXIS 18 ( Ky. 2002 ), cert. denied, 538 U.S. 909, 123 S. Ct. 1481, 155 L. Ed. 2d 230, 2003 U.S. LEXIS 2026 (U.S. 2003).

Any potential punishment arising from the violation of the Kentucky Sex Offender Registration Act (KSORA), KRS 17.500 et seq., is totally prospective and is not punishment for past criminal behavior. While a sex offender’s past conduct is the reason he or she is required to register, the failure to register occurs in the present; an increase in the degree of the offense for failing to register would only present an ex post facto issue if the act of failing to register occurred prior to the effective date of the amendment. Cox v. Kentucky, 2010 U.S. Dist. LEXIS 104516 (W.D. Ky. Sept. 29, 2010).

The inclusion of kidnapping as an offense requiring registration under the Kentucky Sex Offender Registration Act (KSORA), KRS 17.500 et seq., even where not sexually-motivated, is rationally related to the Kentucky General Assembly’s stated purpose of protecting minors from crime and potential sexual assaults. As such, the Commonwealth does not violate an individual’s substantive due process rights by forcing him or her to register under KSORA based on a kidnapping conviction. Cox v. Kentucky, 2010 U.S. Dist. LEXIS 104516 (W.D. Ky. Sept. 29, 2010).

Kentucky Sex Offender Registration Act (KSORA), KRS 17.500 et seq., is nonpunitive; therefore, one required to register thereunder cannot maintain an Eighth Amendment claim predicated on its enforcement. Because KSORA does not impose punishment but is regulatory in nature, it does not violate the Eighth Amendment’s prohibition on cruel and unusual punishment. Cox v. Kentucky, 2010 U.S. Dist. LEXIS 104516 (W.D. Ky. Sept. 29, 2010).

No violations of federal procedural or substantive due process rights occurred when a person convicted of kidnapping a minor under KRS 509.040 was placed on the sex offender registry pursuant to KRS 17.510(6), 17.520(2)(a), 17.500(3)(a). His registration rationally furthered the state’s interest in protecting children, the registry did not state that he had committed a sex crime, and his vagueness challenge lacked merit. Moffitt v. Commonwealth, 360 S.W.3d 247, 2012 Ky. App. LEXIS 25 (Ky. Ct. App. 2012).

2.Applicability.

Defendant was not required to register as a sex offender, and charges against him for failure to register were properly dismissed, where he was convicted in 1990, more than four (4) years before the effective date of the Sex Offender Registration Act (Act), KRS 17.500 et seq., and was discharged from prison approximately three (3) years before the effective date of the Act. Commonwealth v. Newman, 145 S.W.3d 416, 2004 Ky. App. LEXIS 262 (Ky. Ct. App. 2004).

Kentucky Sex Offender Registration Act (KSORA), KRS 17.500 (2000), applies to any person who is required to register by its terms and requires registration by anyone being released by the court, the parole board, the cabinet, or any detention facility who was 18 years or older at the time of the offense if the offense was a sex crime or was an enumerated offense against a minor. A criminal offense against a minor is defined to include kidnapping in violation of KRS 509.040 ; the 2000 amendments require lifetime registration for any person convicted of kidnapping in violation of KRS 509.040 , if the victim was under the age of 18 at the time of the offense. Cox v. Kentucky, 2010 U.S. Dist. LEXIS 104516 (W.D. Ky. Sept. 29, 2010).

Since defendant did not make an objection in either the trial or appellate court, defendant’s claim that defendant was not required to register as a sex offender had to be reviewed by the state supreme court for manifest injustice pursuant to RCr P. 10.26. Since no showing was made that defendant had to register under any version of the Sex Offenders Registration Act, KRS 17.500 et seq., defendant could not be found guilty of the crime of failing to register and the indictment lodged against defendant charging that offense had to be dismissed. Commonwealth v. Nash, 338 S.W.3d 264, 2011 Ky. LEXIS 80 ( Ky. 2011 ).

In an action alleging wrongful termination in violation of public policy, the grant of the employer’s motion to dismiss was proper because the Sex Offender Registration Act did not create a public policy exception to the terminable-at-will doctrine. Despite the underlying public policy of protecting the public from sex offenders and the immunity provided by the Act, it did not provide an explicit right to disseminate information from the registry in a private workplace. Marshall v. Montaplast of N. Am., Inc., 575 S.W.3d 650, 2019 Ky. LEXIS 204 ( Ky. 2019 ).

Defendant qualified for lifetime registration under the Kentucky Sex Offender Registration Act for defendant’s crimes because defendant was thrice convicted of crimes involving a minor or depictions of a minor for defendant downloading three videos portraying a sexual performance by a minor on defendant’s computer in one day. Commonwealth v. Daughtery, 617 S.W.3d 813, 2021 Ky. LEXIS 22 ( Ky. 2021 ).

3.Criminal Conduct Based on Age of Victim.

Trial court erred in requiring defendant, who was 15 at the time of the offenses, to register for lifetime as a sexual offender pursuant to KRS 17.520 upon defendant’s convictions on two (2) counts of first-degree sexual abuse; none of the sections in KRS 17.520 requiring lifetime registration applied to defendant, in that defendant’s conduct was criminal based solely upon the age of the victims, not because he had used forcible compulsion, and as a result, the trial court should have applied KRS 17.500(2)(b) to exempt defendant from the lifetime registration requirement. Dever v. Commonwealth, 300 S.W.3d 198, 2009 Ky. App. LEXIS 1 (Ky. Ct. App. 2009).

4.Kidnapping.

Circuit court did not err in imposing statutory residency restrictions on defendant upon his conviction for kidnapping as kidnapping was explicitly included in KRS 17.500(3)(a)(1) in the definition of a “criminal offense against a victim who is a minor,” if the victim was under the age of eighteen, and defendant was clearly a “registrant” subject to lifetime registration pursuant to KRS 17.520(2)(a)(1) and 17.545 . Ladriere v. Commonwealth, 329 S.W.3d 278, 2010 Ky. LEXIS 259 ( Ky. 2010 ).

5.“Sex Crime.”

When (1) defendant pled guilty to criminal attempt to commit first-degree unlawful transaction with a minor, under KRS 530.064(2)(a) and 506.010 (4)(d) and was placed on probation, on the condition that defendant participate in any recommended treatment, (2) it was recommended that defendant participate in a sex offender treatment program that lasted three years, and (3) the Court of Appeals reversed the trial court’s extension of defendant’s term of probation, the trial court could not revoke defendant’s probation on remand and had to deem defendant finally discharged because (1) the probation period could not exceed two years, under KRS 533.020(4), (2) defendant was not convicted of a sex crime, as criminal attempt was a separate, inchoate offense under KRS 506.010 , and only felony attempts at offenses listed in KRS 17.500(8)(a) were sex crimes under KRS 17.500(8)(b), so defendant was not statutorily required to complete sex offender treatment as a condition of probation, (3) defendant did not request or agree to an extension of defendant’s probation when accepting a plea bargain, as defendant only had to complete recommended counseling, was not told treatment would take more than two years, and, when treatment lasted more than two years, this did not trump the statutory length of misdemeanor probation in violation of the separation of powers in Ky. Const. §§ 27 and 28, (4) probation was unlawfully extended after probation expired, and (5) defendant did not violate probation. Miller v. Commonwealth, 391 S.W.3d 801, 2013 Ky. LEXIS 6 ( Ky. 2013 ).

Cited in:

Tobar v. Commonwealth, 284 S.W.3d 133, 2009 Ky. LEXIS 81 ( Ky. 2009 ); Lawson v. Commonwealth, 425 S.W.3d 912, 2014 Ky. App. LEXIS 37 (Ky. Ct. App. 2014); Bullitt v. Commonwealth, 595 S.W.3d 106, 2019 Ky. LEXIS 543 ( Ky. 2019 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Hunt, Human Trafficking: A Primer for Kentucky Lawyers. Vol. 73, No. 4, July 2009, Ky. Bench & Bar, 17.

Northern Kentucky Law Review.

Bartlett, Alternative Sanctions and the Governor’s Crime Bill of 1998 (HB 455): Another Attempt at Providing a Framework for Efficient and Effective Sentencing, 27 N. Ky. L. Rev. 283 (2000).

17.510. Registration system for adults who have committed sex crimes or crimes against minors — Persons required to register — Exemption for registration for juveniles to be retroactive — Manner of registration — Penalties — Notifications of violations required.

  1. The cabinet shall develop and implement a registration system for registrants which includes creating a new computerized information file to be accessed through the Law Information Network of Kentucky.
  2. A registrant shall, on or before the date of his or her release by the court, the parole board, the cabinet, or any detention facility, register with the appropriate local probation and parole office in the county in which he or she intends to reside. The person in charge of the release shall facilitate the registration process.
  3. Any person required to register pursuant to subsection (2) of this section shall be informed of the duty to register by the court at the time of sentencing if the court grants probation or conditional discharge or does not impose a penalty of incarceration, or if incarcerated, by the official in charge of the place of confinement upon release. The court and the official shall require the person to read and sign any form that may be required by the cabinet, stating that the duty of the person to register has been explained to the person. The court and the official in charge of the place of confinement shall require the releasee to complete the acknowledgment form and the court or the official shall retain the original completed form. The official shall then send the form to the Information Services Center, Department of Kentucky State Police, Frankfort, Kentucky 40601.
  4. The court or the official shall order the person to register with the appropriate local probation and parole office which shall obtain the person’s fingerprints, palm prints, DNA sample, photograph, and a copy of his or her motor vehicle operator’s license as well as any other government-issued identification cards, if any. Thereafter, the registrant shall return to the appropriate local probation and parole office not less than one (1) time every two (2) years in order for a new photograph to be obtained, and the registrant shall pay the cost of updating the photo for registration purposes. Any registrant who has not provided palm prints, a copy of his or her motor vehicle operator’s license, or a copy of any other government-issued identification cards, if any, as of July 14, 2018, shall provide the information to the appropriate local probation and parole office when the registrant appears for a new photograph to be obtained. Any change to a registrant’s motor vehicle operator’s license number or any other government-issued identification card after the registrant appears for a new photograph shall be registered in accordance with subsection (10) of this section. Failure to comply with this requirement shall be punished as set forth in subsection (11) of this section.
    1. The appropriate probation and parole office shall send the registration form containing the registrant information, fingerprints, palm prints, photograph, and a copy of his or her motor vehicle operator’s license as well as any other government-issued identification cards, if any, and any special conditions imposed by the court or the Parole Board, to the Information Services Center, Department of Kentucky State Police, Frankfort, Kentucky 40601. The appropriate probation and parole office shall send the DNA sample to the Department of Kentucky State Police forensic laboratory in accordance with administrative regulations promulgated by the cabinet. (5) (a) The appropriate probation and parole office shall send the registration form containing the registrant information, fingerprints, palm prints, photograph, and a copy of his or her motor vehicle operator’s license as well as any other government-issued identification cards, if any, and any special conditions imposed by the court or the Parole Board, to the Information Services Center, Department of Kentucky State Police, Frankfort, Kentucky 40601. The appropriate probation and parole office shall send the DNA sample to the Department of Kentucky State Police forensic laboratory in accordance with administrative regulations promulgated by the cabinet.
    2. The Information Services Center, upon request by a state or local law enforcement agency, shall make available to that agency registrant information, including a person’s fingerprints and photograph, where available, as well as any special conditions imposed by the court or the Parole Board.
    3. Any employee of the Justice and Public Safety Cabinet who disseminates, or does not disseminate, registrant information in good-faith compliance with the requirements of this subsection shall be immune from criminal and civil liability for the dissemination or lack thereof.
    1. Except as provided in paragraph (b) of this subsection, any person who has been convicted in a court of any state or territory, a court of the United States, or a similar conviction from a court of competent jurisdiction in any other country, or a court martial of the United States Armed Forces of a sex crime or criminal offense against a victim who is a minor and who has been notified of the duty to register by that state, territory, or court, or who has been committed as a sexually violent predator under the laws of another state, laws of a territory, or federal laws, or has a similar conviction from a court of competent jurisdiction in any other country, shall comply with the registration requirement of this section, including the requirements of subsection (4) of this section, and shall register with the appropriate local probation and parole office in the county of residence within five (5) working days of relocation. No additional notice of the duty to register shall be required of any official charged with a duty of enforcing the laws of this Commonwealth. (6) (a) Except as provided in paragraph (b) of this subsection, any person who has been convicted in a court of any state or territory, a court of the United States, or a similar conviction from a court of competent jurisdiction in any other country, or a court martial of the United States Armed Forces of a sex crime or criminal offense against a victim who is a minor and who has been notified of the duty to register by that state, territory, or court, or who has been committed as a sexually violent predator under the laws of another state, laws of a territory, or federal laws, or has a similar conviction from a court of competent jurisdiction in any other country, shall comply with the registration requirement of this section, including the requirements of subsection (4) of this section, and shall register with the appropriate local probation and parole office in the county of residence within five (5) working days of relocation. No additional notice of the duty to register shall be required of any official charged with a duty of enforcing the laws of this Commonwealth.
    2. No person shall be required to register under this subsection for a juvenile adjudication if such an adjudication in this Commonwealth would not create a duty to register. This paragraph shall be retroactive.
    1. Except as provided in paragraph (b) of this subsection, if a person is required to register under federal law or the laws of another state or territory, or if the person has been convicted of an offense in a court of the United States, in a court martial of the United States Armed Forces, or under the laws of another state or territory that would require registration if committed in this Commonwealth, that person upon changing residence from the other state or territory of the United States to the Commonwealth or upon entering the Commonwealth for employment, to carry on a vocation, or as a student shall comply with the registration requirement of this section, including the requirements of subsection (4) of this section, and shall register within five (5) working days with the appropriate local probation and parole office in the county of residence, employment, vocation, or schooling. A person required to register under federal law or the laws of another state or territory shall be presumed to know of the duty to register in the Commonwealth. As used in this subsection, “employment” or “carry on a vocation” includes employment that is full-time or part-time for a period exceeding fourteen (14) days or for an aggregate period of time exceeding thirty (30) days during any calendar year, whether financially compensated, volunteered, or for the purpose of government or educational benefit. As used in this subsection, “student” means a person who is enrolled on a full-time or part-time basis, in any public or private educational institution, including any secondary school, trade or professional institution, or institution of higher education. (7) (a) Except as provided in paragraph (b) of this subsection, if a person is required to register under federal law or the laws of another state or territory, or if the person has been convicted of an offense in a court of the United States, in a court martial of the United States Armed Forces, or under the laws of another state or territory that would require registration if committed in this Commonwealth, that person upon changing residence from the other state or territory of the United States to the Commonwealth or upon entering the Commonwealth for employment, to carry on a vocation, or as a student shall comply with the registration requirement of this section, including the requirements of subsection (4) of this section, and shall register within five (5) working days with the appropriate local probation and parole office in the county of residence, employment, vocation, or schooling. A person required to register under federal law or the laws of another state or territory shall be presumed to know of the duty to register in the Commonwealth. As used in this subsection, “employment” or “carry on a vocation” includes employment that is full-time or part-time for a period exceeding fourteen (14) days or for an aggregate period of time exceeding thirty (30) days during any calendar year, whether financially compensated, volunteered, or for the purpose of government or educational benefit. As used in this subsection, “student” means a person who is enrolled on a full-time or part-time basis, in any public or private educational institution, including any secondary school, trade or professional institution, or institution of higher education.
    2. No person shall be required to register under this subsection for a juvenile adjudication if such an adjudication in this Commonwealth would not create a duty to register. This paragraph shall be retroactive.
  5. The registration form shall be a written statement signed by the person which shall include registrant information, including an up-to-date photograph of the registrant for public dissemination.
  6. For purposes of KRS 17.500 to 17.580 and 17.991 , a post office box number shall not be considered an address.
    1. If the residence address of any registrant changes, but the registrant remains in the same county, the person shall register, on or before the date of the change of address, with the appropriate local probation and parole office in the county in which he or she resides. (10) (a) If the residence address of any registrant changes, but the registrant remains in the same county, the person shall register, on or before the date of the change of address, with the appropriate local probation and parole office in the county in which he or she resides.
      1. If the registrant changes his or her residence to a new county, the person shall notify his or her current local probation and parole office of the new residence address on or before the date of the change of address. (b) 1. If the registrant changes his or her residence to a new county, the person shall notify his or her current local probation and parole office of the new residence address on or before the date of the change of address.
      2. The registrant shall also register with the appropriate local probation and parole office in the county of his or her new residence no later than five (5) working days after the date of the change of address.
    2. If the:
      1. Motor vehicle operator’s license number or any other government-issued identification card number of any registrant changes; or
      2. Registrant obtains for the first time a motor vehicle operator’s license number or any other government-issued identification card number;

        the registrant shall register the change or addition no later than five (5) working days after the date of the change or the date of the addition, with the appropriate local probation and parole office in the county in which he or she resides.

      1. As soon as a probation and parole office learns of the person’s new address under paragraph (b)1. of this subsection, that probation and parole office shall notify the appropriate local probation and parole office in the county of the new address of the effective date of the new address. (d) 1. As soon as a probation and parole office learns of the person’s new address under paragraph (b)1. of this subsection, that probation and parole office shall notify the appropriate local probation and parole office in the county of the new address of the effective date of the new address.
      2. As soon as a probation and parole office learns of the person’s new address under paragraph (b)2. of this subsection, that office shall forward this information as set forth under subsection (5) of this section.
      1. A registrant shall register the following information with the appropriate local probation and parole office no less than twenty-one (21) days before traveling outside of the United States: (e) 1. A registrant shall register the following information with the appropriate local probation and parole office no less than twenty-one (21) days before traveling outside of the United States:
        1. His or her passport number and country of issue;
        2. The dates of departure, travel, and return; and
        3. The foreign countries, colonies, territories, or possessions that the registrant will visit.
      2. The registrant shall register the following information with the appropriate local probation and parole office no later than five (5) working days after the date of his or her return from traveling outside of the United States:
        1. The date he or she departed, traveled, and returned; and
        2. The foreign countries, colonies, territories, or possessions that the registrant visited.
  7. Any person required to register under this section who knowingly violates any of the provisions of this section or prior law is guilty of a Class D felony for the first offense and a Class C felony for each subsequent offense.
  8. Any person required to register under this section or prior law who knowingly provides false, misleading, or incomplete information is guilty of a Class D felony for the first offense and a Class C felony for each subsequent offense.
    1. The cabinet shall verify the addresses, names, motor vehicle operator’s license numbers, and government-issued identification card numbers of individuals required to register under this section. Verification shall occur at least once every ninety (90) days for a person required to register under KRS 17.520(2) and at least once every calendar year for a person required to register under KRS 17.520(3). (13) (a) The cabinet shall verify the addresses, names, motor vehicle operator’s license numbers, and government-issued identification card numbers of individuals required to register under this section. Verification shall occur at least once every ninety (90) days for a person required to register under KRS 17.520(2) and at least once every calendar year for a person required to register under KRS 17.520(3).
    2. If the cabinet determines that a person has:
      1. Moved without providing his or her new address; or
      2. A new name, motor vehicle operator’s license number, or government–issued identification card number that he or she has not provided;

        to the appropriate local probation and parole office or offices as required under subsection (10)(a), (b), and (c) of this section, the cabinet shall notify the appropriate local probation and parole office of the new address, name, motor vehicle operator’s license number, or government–issued identification card number used by the person. The office shall then forward this information as set forth under subsection (5) of this section. The cabinet shall also notify the appropriate court, Parole Board, and appropriate Commonwealth’s attorney, sheriff’s office, probation and parole office, corrections agency, and law enforcement agency responsible for the investigation of the report of noncompliance.

    3. An agency that receives notice of the noncompliance from the cabinet under paragraph (a) of this subsection:
      1. Shall consider revocation of the parole, probation, postincarceration supervision, or conditional discharge of any person released under its authority; and
      2. Shall notify the appropriate county or Commonwealth’s Attorney for prosecution.

HISTORY: Repealed and reenact. Acts 2009, ch. 105, § 5, effective March 27, 2009; 2009, ch. 100, § 6, effective June 25, 2009; 2011, ch. 2, § 92, effective June 8, 2011; 2017 ch. 158, § 16, effective June 29, 2017; 2018 ch. 42, § 3, effective July 14, 2018; 2018 ch. 121, § 2, effective July 14, 2018.

Compiler’s Notes.

Designation of offenses; penalties, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 42 and 121. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 121, which was last enacted by the General Assembly, prevails under KRS 446.250 .

(6/26/2007). 2007 Ky. Acts ch. 85, relating to the creation and organization of the Justice and Public Safety Cabinet, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in that Act. Such a correction has been made in this section.

NOTES TO DECISIONS

1.Constitutionality.

KRS 17.510(10) was not unconstitutionally vague in requiring a registered sex offender who knew he or she would have a change of address to inform authorities; it was the failure to give notice of one’s change in residence, not homelessness, that was prohibited. Tobar v. Commonwealth, 2007 Ky. App. LEXIS 396 (Ky. Ct. App. Oct. 12, 2007), sub. op., 2007 Ky. App. Unpub. LEXIS 1042 (Ky. Ct. App. Oct. 12, 2007), aff'd, 284 S.W.3d 133, 2009 Ky. LEXIS 81 ( Ky. 2009 ).

Failure of former KRS 17.510(7) to define “residence” did not cause the statute to be unconstitutionally vague because the language of the statute was sufficiently definite to put defendant on notice that if defendant failed to register as a sex offender when defendant moved from Tennessee, where defendant was registered as a sex offender, to Kentucky, defendant would be guilty of a crime. Commonwealth v. McBride, 281 S.W.3d 799, 2009 Ky. LEXIS 52 ( Ky. 2009 ).

KRS 17.510(10)(a) was not unconstitutionally vague as applied to defendant because, even though defendant became homeless when he was expelled from a center where he was living, this fact was irrelevant to the statute’s application; the statute did not require that a registrant must have had an actual place he was moving to. Further, KRS 17.510(10)(a) as written did not cause arbitrary or discriminatory enforcement and did not criminalize being homeless because all sex offenders, regardless of socioeconomic status, had to register with the proper authorities and report any change in address. Tobar v. Commonwealth, 284 S.W.3d 133, 2009 Ky. LEXIS 81 ( Ky. 2009 ).

2006 amendment to KRS 17.510(11), which reclassified the failure to register from a misdemeanor to a felony, did not constitute a violation of a sex offender’s constitutional rights to be free from ex post facto laws because the amendment did not have a real and direct effect on the punishment for a sex offender’s past crimes but served only to affect the punishment for his commission of a future crime. Robinson v. Commonwealth, 2009 Ky. App. LEXIS 178 (Ky. Ct. App. Sept. 25, 2009).

Amendments to Kentucky Sex Offender Registration Act (SORA), KRS 17.510 , did not violate the Ex Post Facto Clause of the United States Constitution or the Kentucky Constitution because any potential punishment arising from violation of SORA was totally prospective and was not punishment for defendant’s past criminal behavior. Buck v. Commonwealth, 308 S.W.3d 661, 2010 Ky. LEXIS 95 ( Ky. 2010 ).

Any potential punishment arising from the violation of the Kentucky Sex Offender Registration Act (KSORA), KRS 17.500 et seq., is totally prospective and is not punishment for past criminal behavior. While a sex offender’s past conduct is the reason he or she is required to register, the failure to register occurs in the present; an increase in the degree of the offense for failing to register would only present an ex post facto issue if the act of failing to register occurred prior to the effective date of the amendment. Cox v. Kentucky, 2010 U.S. Dist. LEXIS 104516 (W.D. Ky. Sept. 29, 2010).

KRS 17.510 (2000) is aimed at both sex crimes and crimes against minors, and that provides support that the Kentucky General Assembly’s purpose for including kidnapping a minor in the list of offenses requiring registration was aimed at protecting children from crime in general, not just sexually-related crime. Thus, inclusion of those convicted of a kidnapping involving a minor is rationally related to the General Assembly’s intent to protect children from crime. Cox v. Kentucky, 2010 U.S. Dist. LEXIS 104516 (W.D. Ky. Sept. 29, 2010).

No violations of federal procedural or substantive due process rights occurred when a person convicted of kidnapping a minor under KRS 509.040 was placed on the sex offender registry pursuant to KRS 17.510(6), 17.520(2)(a), 17.500(3)(a). His registration rationally furthered the state’s interest in protecting children, the registry did not state that he had committed a sex crime, and his vagueness challenge lacked merit. Moffitt v. Commonwealth, 360 S.W.3d 247, 2012 Ky. App. LEXIS 25 (Ky. Ct. App. 2012).

2.Applicability.

Defendant was not required to register as a sex offender, and charges against him for failure to register were properly dismissed, where he was convicted in 1990, more than four (4) years before the effective date of the Sex Offender Registration Act (Act), KRS 17.500 et seq., and was discharged from prison approximately three (3) years before the effective date of the Act. Commonwealth v. Newman, 145 S.W.3d 416, 2004 Ky. App. LEXIS 262 (Ky. Ct. App. 2004).

When defendant was prosecuted under former KRS 17.510(7) for failing to register as a sex offender after defendant was convicted of a sex crime in Tennessee, registered as a sex offender there, and moved to Kentucky, the fact that defendant’s crime was committed before KRS 17.510(11) was amended did not cause the trial court to lack jurisdiction to convict defendant of a felony because defendant moved to Kentucky, and failed to register, after the statute was amended. Commonwealth v. McBride, 281 S.W.3d 799, 2009 Ky. LEXIS 52 ( Ky. 2009 ).

From a plain reading of KRS 17.510(11), it is clear that the state legislature intended to expand the coverage of the felony penalty to include all registered sex offenders. By expressly providing that a sex offender’s first violation of the current version or prior versions of the sex offender law constitutes a Class D felony, the legislature intended to establish a uniform penalty for all sex offenders. As such, a sex offender’s violation of the registration law after the effective date of the 2006 amendment constituted a felony even if he would have been subject only to a misdemeanor under the law in effect at the time he was first required to register. Robinson v. Commonwealth, 2009 Ky. App. LEXIS 178 (Ky. Ct. App. Sept. 25, 2009).

Ky. Rev. Stat. Ann. § 17.510(7) requires sex offender registration of any person who was required to register in another state upon that person's relocation to Kentucky. Because defendant was required to register in Michigan, he was also required to register in Kentucky when he moved there. Murphy v. Commonwealth, 500 S.W.3d 827, 2016 Ky. LEXIS 494 ( Ky. 2016 ).

3.Requirement to Register.

Because defendant pleaded guilty to criminal attempt to commit first-degree sexual abuse on a nine-year old victim, defendant committed a criminal offense (sex crime) against a victim who was a minor; accordingly, defendant was required to register as a sex offender under KRS 17.510(6). Gullett v. Commonwealth, 266 S.W.3d 835, 2008 Ky. App. LEXIS 294 (Ky. Ct. App. 2008).

Defendant was not entitled to a jury instruction on the affirmative defense of mistake where he failed to register as a sex offender. A mistake of fact did not excuse his failure to pre-register a change of residence, and it did not negate the “knowingly” mental state required for the offense. Lawson v. Commonwealth, 425 S.W.3d 912, 2014 Ky. App. LEXIS 37 (Ky. Ct. App. 2014).

Defendant was not entitled to a jury instruction on the affirmative defense of mistake where he failed to register as a sex offender, and it did not negate the “knowingly” mental state required for the offense. Defendant failed to show a mistaken belief of law based on his belief that he had to send in a new address when he received a form; defendant did not argue that he relied on something or someone official. Lawson v. Commonwealth, 425 S.W.3d 912, 2014 Ky. App. LEXIS 37 (Ky. Ct. App. 2014).

4.Prior Guilty Plea.

When defendant was convicted of failing to register as a sex offender, based on his prior guilty plea to third degree rape and third degree sodomy, the fact that he was not advised, when he pled guilty to those offenses, that he could be criminally prosecuted for failing to register as a sex offender, did not render his guilty plea invalid. Graham v. Commonwealth, 2003 Ky. App. Unpub. LEXIS 690 (Ky. Ct. App. May 30, 2003).

When defendant was convicted of failing to register as a sex offender, based on his prior guilty plea to third degree rape and third degree sodomy, his motion to suppress evidence of his prior convictions, based on the assertion that he was not advised, when he pled guilty, that he could be criminally prosecuted for failing to register as a sex offender, should have been raised, instead, as a motion under RCr 11.42 to vacate, set aside or correct his sentence. Graham v. Commonwealth, 2003 Ky. App. Unpub. LEXIS 690 (Ky. Ct. App. May 30, 2003).

5.Out of State Convictions.

When defendant moved to Kentucky after being convicted of a sex crime in Tennessee, and registering as a sex offender there, and did not register as a sex offender in Kentucky, defendant was properly convicted of violating former KRS 17.510(7), despite not being notified by Kentucky, under KRS 17.510(6), of defendant’s duty to register, because the statute imposed an absolute duty to register, without requiring proof of a culpable mental state, and did not require Kentucky to give defendant notice of a duty to register. Commonwealth v. McBride, 281 S.W.3d 799, 2009 Ky. LEXIS 52 ( Ky. 2009 ).

6.Withdrawal of Plea.

Because the registration requirement of KRS 17.510 , mandatory in cases involving a child victim, constituted a purely collateral consequence which implicated neither the constitutionality of defendant’s plea nor his counsel’s effectiveness, was nonpunitive, and was not a matter within the control of the Commonwealth, defendant could not withdraw his plea based on the court’s failure to inform him that he would have to register. Carpenter v. Commonwealth, 231 S.W.3d 134, 2007 Ky. App. LEXIS 290 (Ky. Ct. App. 2007), overruled in part, Commonwealth v. Thompson, 548 S.W.3d 881, 2018 Ky. LEXIS 260 ( Ky. 2018 ).

7.Sufficiency of Evidence.

Commonwealth presented sufficient evidence that defendant failed to register as a sex offender as required under KRS 17.510(11), and, thus, defendant’s conviction on that charge had to be upheld. The evidence was sufficient to support a charge under either KRS 17.510(6) or KRS 17.510(7), dealing with individuals convicted outside of Kentucky who relocated to Kentucky, as occurred with defendant, and the evidence also showed both that defendant resided in Kentucky and had not registered in violation of KRS 17.510(11). Couch v. Commonwealth, 256 S.W.3d 7, 2008 Ky. LEXIS 160 ( Ky. 2008 ).

8.Appeals.

Defendant’s appeal was untimely, CR 73.02(1)(a), because where sex offender registration was not a condition of probation but was a statutory mandate as a result of the conviction itself, KRS 17.510 , the appeal had to be from the conviction upon which it was based, and the time for appeal had passed. Rosario v. Commonwealth, 2009 Ky. App. LEXIS 186 (Ky. Ct. App. Oct. 2, 2009).

9.Felony Offender Enhancement.

Under KRS 532.080 , defendant’s rape conviction, which triggered a sex offender classification and a corresponding obligation to register as a sex offender, could not also be used for a persistent felony offender enhancement purposes in a prosecution for violation of defendant’s obligation to register as a sex offender. France v. Commonwealth, 320 S.W.3d 60, 2010 Ky. LEXIS 205 ( Ky. 2010 ).

Cited in:

Ladriere v. Commonwealth, 329 S.W.3d 278, 2010 Ky. LEXIS 259 ( Ky. 2010 ); Jennings v. Commonwealth, 2019 Ky. App. LEXIS 64 (Ky. Ct. App. Apr. 12, 2019).

Research References and Practice Aids

Kentucky Law Journal.

Sterrett, The Case for Kentucky Sex Offenders: Residency Restrictions and Their Constitutional Validity, 96 Ky. L.J. 119 (2007).

Northern Kentucky Law Review.

2008 Criminal Law Issue: Article: Does Stigmatizing Sex Offenders Drive Down Reporting Rates? Perverse Effects and Unintended Consequences, see 35 N. Ky. L. Rev. 347 (2008).

17.520. Period of registration.

  1. A registrant, upon his or her release by the court, the Parole Board, the cabinet, or any detention facility, shall be required to register for a period of time required under this section.
    1. Lifetime registration is required for: (2) (a) Lifetime registration is required for:
      1. Any person who has been convicted of kidnapping, as set forth in KRS 509.040 , when the victim is under the age of eighteen (18) at the time of the commission of the offense, except when the offense is committed by a parent;
      2. Any person who has been convicted of unlawful imprisonment, as set forth in KRS 509.020 , when the victim is under the age of eighteen (18) at the time of the commission of the offense, except when the offense is committed by a parent;
      3. Any person convicted of a sex crime:
        1. Who has one (1) or more prior convictions of a felony criminal offense against a victim who is a minor; or
        2. Who has one (1) or more prior sex crime convictions;
      4. Any person who has been convicted of two (2) or more felony criminal offenses against a victim who is a minor;
      5. Any person who has been convicted of:
        1. Rape in the first degree under KRS 510.040 ; or
        2. Sodomy in the first degree under KRS 510.070 ; and
      6. Any sexually violent predator.
  2. All other registrants are required to register for twenty (20) years following discharge from confinement or twenty (20) years following the maximum discharge date on probation, shock probation, conditional discharge, parole, or other form of early release, whichever period is greater.
  3. If a person required to register under this section is reincarcerated for another offense or as the result of having violated the terms of probation, parole, postincarceration supervision, or conditional discharge, the registration requirements and the remaining period of time for which the registrant shall register are tolled during the reincarceration.
  4. A person who has pled guilty, entered an Alford plea, or been convicted in a court of another state or territory, in a court of the United States, or in a court-martial of the United States Armed Forces who is required to register in Kentucky shall be subject to registration in Kentucky based on the conviction in the foreign jurisdiction. The Justice and Public Safety Cabinet shall promulgate administrative regulations to carry out the provisions of this subsection.
  5. The court shall designate the registration period as mandated by this section in its judgment and shall cause a copy of its judgment to be mailed to the Information Services Center, Department of Kentucky State Police, Frankfort, Kentucky 40601.

HISTORY: Enact. Acts 1994, ch. 392, § 3, effective July 15, 1994; 1998, ch. 606, § 139, effective January 15, 1999; 2000, ch. 401, § 17, effective April 11, 2000; 2006, ch. 182, § 7, effective July 12, 2006; 2007, ch. 85, § 101, effective June 26, 2007; 2011, ch. 2, § 93, effective June 8, 2011; 2018 ch. 121, § 3, effective July 14, 2018.

Legislative Research Commission Notes.

(6/26/2007). 2007 Ky. Acts ch. 85, relating to the creation and organization of the Justice and Public Safety Cabinet, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in that Act. Such a correction has been made in this section.

NOTES TO DECISIONS

1.Applicability.

Requiring defendant to register as a sex offender for a term of 10 years was not an ex post facto application of the Kentucky Sexual Offender Registration Act (Act), KRS 17.500 et seq., although registration was not required for second-degree sexual abuse under the 1994 version of the statute in effect at the time of his offenses; former KRS 17.495 (see now KRS 17.545 ) was not an ex post facto law because it applied only to those on probation and parole, imposed no conditions that could not have been imposed on such persons before its enactment, did not extend a defendant’s time behind bars, and was reasonably related to nonpunitive goals. Thorpe v. Commonwealth, 2003 Ky. App. Unpub. LEXIS 1016 (Ky. Ct. App. Apr. 11, 2003).

Pursuant to KRS 17.520(2)(a)(4), because the legislature had directed that lifetime registration was mandatory for conviction for two felony crimes against a minor, neither the trial court nor the Commonwealth could provide any lesser requirement; however, defendant should have been permitted to withdraw his plea because the trial court had reason to know the registration period was an essential element of defendant’s agreement to plead guilty, and he was misinformed on the law. Buford v. Commonwealth, 2009 Ky. App. LEXIS 187 (Ky. Ct. App. Oct. 2, 2009).

Circuit court did not err in imposing statutory residency restrictions on defendant upon his conviction for kidnapping as kidnapping was explicitly included in KRS 17.500(3)(a)(1) in the definition of a “criminal offense against a victim who is a minor,” if the victim was under the age of eighteen, and defendant was clearly a “registrant” subject to lifetime registration pursuant to KRS 17.520(2)(a)(1) and 17.545 . Ladriere v. Commonwealth, 329 S.W.3d 278, 2010 Ky. LEXIS 259 ( Ky. 2010 ).

2.Lifetime Registration.

Trial court erred in requiring defendant, who was 15 at the time of the offenses, to register for lifetime as a sexual offender pursuant to KRS 17.520 upon defendant’s convictions on two (2) counts of first-degree sexual abuse; none of the sections in KRS 17.520 requiring lifetime registration applied to defendant, in that defendant’s conduct was criminal based solely upon the age of the victims, not because he had used forcible compulsion, and as a result, the trial court should have applied KRS 17.500(2)(b) to exempt defendant from the lifetime registration requirement. Dever v. Commonwealth, 300 S.W.3d 198, 2009 Ky. App. LEXIS 1 (Ky. Ct. App. 2009).

Failure to advise of the lifetime registration requirement for a sex offender pursuant to statute does not constitute ineffective assistance of counsel because the requirement is nonpunitive and designed to protect the public. Therefore, an applicant was not entitled to postconviction relief based on the failure to give such advice in a case where he entered a guilty plea to three felony sex offenses against a minor. Embry v. Commonwealth, 476 S.W.3d 264, 2015 Ky. App. LEXIS 159 (Ky. Ct. App. 2015), overruled in part, Commonwealth v. Thompson, 548 S.W.3d 881, 2018 Ky. LEXIS 260 ( Ky. 2018 ).

Movant seeking postconviction relief must offer some proof of his claims to justify relief; bare allegations in the motion will not justify granting extraordinary relief. Therefore, an applicant's bare allegation that counsel told him that he would only have to register as a sex offender for a decade after entering a guilty plea to three felony sex offenses against a minor was insufficient to prove that relief was justified. Embry v. Commonwealth, 476 S.W.3d 264, 2015 Ky. App. LEXIS 159 (Ky. Ct. App. 2015), overruled in part, Commonwealth v. Thompson, 548 S.W.3d 881, 2018 Ky. LEXIS 260 ( Ky. 2018 ).

Defendant qualified for lifetime registration under the Kentucky Sex Offender Registration Act for defendant’s crimes because defendant was thrice convicted of crimes involving a minor or depictions of a minor for defendant downloading three videos portraying a sexual performance by a minor on defendant’s computer in one day. Commonwealth v. Daughtery, 617 S.W.3d 813, 2021 Ky. LEXIS 22 ( Ky. 2021 ).

3.Constitutionality.

No violations of federal procedural or substantive due process rights occurred when a person convicted of kidnapping a minor under KRS 509.040 was placed on the sex offender registry pursuant to KRS 17.510(6), 17.520(2)(a), 17.500(3)(a). His registration rationally furthered the state’s interest in protecting children, the registry did not state that he had committed a sex crime, and his vagueness challenge lacked merit. Moffitt v. Commonwealth, 360 S.W.3d 247, 2012 Ky. App. LEXIS 25 (Ky. Ct. App. 2012).

Since defendant did not avail himself of the structure for attacking the judgment of conviction of a sex offense that led to defendant being sentenced to probation and that probation later being revoked, defendant was not entitled to relief from that revocation of probation. Although defendant wanted to attack application of KRS 17.520 that tolled the sex offender registration statute as an impermissible ex post facto violation under Ky. Const. § 19, defendant’s failure to use RCr P. 11.42 and CR 60.02 allowing for postconviction relief precluded defendant challenging the conviction. Lucas v. Commonwealth, 380 S.W.3d 554, 2012 Ky. App. LEXIS 183 (Ky. Ct. App. 2012).

Cited in

Jennings v. Commonwealth, 2019 Ky. App. LEXIS 64 (Ky. Ct. App. Apr. 12, 2019).

17.530. Authority to share information from registrations.

The cabinet may share information gathered pursuant to KRS 17.510 with law enforcement agencies of this state, other states, and the federal government in the course of their official duties.

History. Enact. Acts 1994, ch. 392, § 4, effective July 15, 1994; 2006, ch. 182, § 8, effective July 12, 2006.

17.540. Short title for KRS 17.500 to 17.540.

KRS 17.500 to 17.540 may be cited as the “Sex Offender Registration Act.”

History. Enact. Acts 1994, ch. 392, § 5, effective July 15, 1994.

17.545. Registrant prohibited from residing or being present in certain areas — Violations — Exception.

  1. No registrant, as defined in KRS 17.500 , shall reside within one thousand (1,000) feet of a high school, middle school, elementary school, preschool, publicly owned or leased playground, or licensed day care facility. The measurement shall be taken in a straight line from the nearest property line to the nearest property line of the registrant’s place of residence.
  2. No registrant, as defined in KRS 17.500 , nor any person residing outside of Kentucky who would be required to register under KRS 17.510 if the person resided in Kentucky, shall be on the clearly defined grounds of a high school, middle school, elementary school, preschool, publicly owned or leased playground, or licensed day care facility, except with the advance written permission of the school principal, the school board, the local legislative body with jurisdiction over the publicly owned or leased playground, or the day care director that has been given after full disclosure of the person’s status as a registrant or sex offender from another state and all registrant information as required in KRS 17.500 . As used in this subsection, “local legislative body” means the chief governing body of a city, county, urban-county government, consolidated local government, charter county government, or unified local government that has legislative powers.
  3. For purposes of this section:
    1. The registrant shall have the duty to ascertain whether any property listed in subsection (1) of this section is within one thousand (1,000) feet of the registrant’s residence; and
    2. If a new facility opens, the registrant shall be presumed to know and, within ninety (90) days, shall comply with this section.
    1. Except as provided in paragraph (b) of this subsection, no registrant who is eighteen (18) years of age or older and has committed a criminal offense against a victim who is a minor shall have the same residence as a minor. (4) (a) Except as provided in paragraph (b) of this subsection, no registrant who is eighteen (18) years of age or older and has committed a criminal offense against a victim who is a minor shall have the same residence as a minor.
    2. A registrant who is eighteen (18) years of age or older and has committed a criminal offense against a victim who is a minor may have the same residence as a minor if the registrant is the spouse, parent, grandparent, stepparent, sibling, stepsibling, or court-appointed guardian of the minor, unless the spouse, child, grandchild, stepchild, sibling, stepsibling, or ward was a victim of the registrant.
    3. This subsection shall not operate retroactively and shall apply only to a registrant that committed a criminal offense against a victim who is a minor after July 14, 2018.
  4. Any person who violates subsection (1) or (4) of this section shall be guilty of:
    1. A Class A misdemeanor for a first offense; and
    2. A Class D felony for the second and each subsequent offense.
  5. Any registrant residing within one thousand (1,000) feet of a high school, middle school, elementary school, preschool, publicly owned playground, or licensed day care facility on July 12, 2006, shall move and comply with this section within ninety (90) days of July 12, 2006, and thereafter, shall be subject to the penalties set forth under subsection (5) of this section.
  6. The prohibition against a registrant:
    1. Residing within one thousand (1,000) feet of a publicly leased playground as outlined in subsection (1) of this section; or
    2. Being on the grounds of a publicly leased playground as outlined in subsection (2) of this section;

      shall not operate retroactively.

  7. This section shall not apply to a youthful offender probated or paroled during his or her minority or while enrolled in an elementary or secondary education program.

History. Repealed, reenact. and amend., Acts 2006, ch. 182, § 3, effective July 12, 2006; 2009, ch. 38, § 2, effective June 25, 2009; 2017 ch. 76, § 1, effective June 29, 2017; 2018 ch. 181, § 1, effective July 14, 2018; 2020 ch. 23, § 1, effective July 15, 2020.

Compiler’s Notes.

This section was formerly compiled as KRS 17.495 .

Legislative Research Commission Notes.

(6/25/2009). A reference in subsection (5) of this statute to “subsection (3) of this section” has been changed in codification to “subsection (4) of this section” to accurately reflect the renumbering of subsections of this statute in 2009 Ky. Acts ch. 38, sec 2.

NOTES TO DECISIONS

1.Purpose.

KRS 17.495 (now KRS 17.545 ) is not codified within the Kentucky Sexual Offender Registration Act (Act), KRS 17.500 et seq.; however, KRS 17.495 (now KRS 17.545 ) directly references the Act, was implemented in conjunction with the 2000 amendments to the Act, and is clearly intended to operate in coordination with, and to advance the objectives of, the Act. Thorpe v. Commonwealth, 2003 Ky. App. Unpub. LEXIS 1016 (Ky. Ct. App. Apr. 11, 2003).

2.Applicability.

Requiring defendant to register as a sex offender for a term of 10 years was not an ex post facto application of the Kentucky Sexual Offender Registration Act (Act), KRS 17.500 et seq., although registration was not required for second-degree sexual abuse under the 1994 version of the statute in effect at the time of his offenses; this section is not an ex post facto law because it applies only to those on probation and parole, imposes no conditions that could not have been imposed on such persons before its enactment, does not extend a defendant’s time behind bars, and is reasonably related to nonpunitive goals. Thorpe v. Commonwealth, 2003 Ky. App. Unpub. LEXIS 1016 (Ky. Ct. App. Apr. 11, 2003).

Although the General Assembly did not intend KRS 17.545 to be punitive, the residency restrictions were so punitive as to negate any intention to deem them civil; therefore, the statute may not be applied to defendant, who committed his crime prior to the effective date, as to do so violated U.S. Const. art. I, § 10 and Ky. Const. § 19(1). Commonwealth v. Baker, 295 S.W.3d 437, 2009 Ky. LEXIS 233 ( Ky. 2009 ), cert. denied, 559 U.S. 992, 130 S. Ct. 1738, 176 L. Ed. 2d 213, 2010 U.S. LEXIS 2267 (U.S. 2010).

Circuit court did not err in imposing statutory residency restrictions on defendant upon his conviction for kidnapping as kidnapping was explicitly included in KRS 17.500(3)(a)(1) in the definition of a “criminal offense against a victim who is a minor,” if the victim was under the age of eighteen, and defendant was clearly a “registrant” subject to lifetime registration pursuant to KRS 17.520(2)(a)(1) and 17.545 . Ladriere v. Commonwealth, 329 S.W.3d 278, 2010 Ky. LEXIS 259 ( Ky. 2010 ).

OPINIONS OF ATTORNEY GENERAL.

While applying KRS § 17.545(2) retroactively implicates and necessitates an analysis of the ex post facto clauses of the United States and Kentucky Constitutions, the relevant portion of the statute is not punitive and therefore does not violate the ex post facto clauses. OAG 2015-03 .

Research References and Practice Aids

Kentucky Law Journal.

Sterrett, The Case for Kentucky Sex Offenders: Residency Restrictions and Their Constitutional Validity, 96 Ky. L.J. 119 (2007).

Northern Kentucky Law Review.

2008 Criminal Law Issue: Note: Kentucky’s Statutory Collateral Consequences Arising From Felony Convictions: A Practitioner’s Guide, 35 N. Ky. L. Rev. 413 (2008).

17.546. Registrant prohibited from using social networking Web site or instant messaging or chat room program accessible by minors, exception for parents — Registrant prohibited from photographing, filming, or making a video of a minor without consent of minor’s parent or guardian.

    1. As used in this subsection, “electronic communications” means any transfer of information, including signs, signals, data, writings, images, sounds, text, voice, and video, transmitted primarily through the use of electrons or electromagnetic waves or particles. (1) (a) As used in this subsection, “electronic communications” means any transfer of information, including signs, signals, data, writings, images, sounds, text, voice, and video, transmitted primarily through the use of electrons or electromagnetic waves or particles.
    2. Except as provided in paragraph (c) of this subsection, a registrant who has committed a criminal offense against a victim who is a minor after July 14, 2018, shall not knowingly or intentionally use electronic communications for communicating with or gathering information about a person who is less than eighteen (18) years of age.
    3. It is not a violation of paragraph (b) of this subsection for a registrant to use electronic communications to communicate with or gather information about a person under the age of eighteen (18) years of age if:
      1. The registrant is the parent of the person; and
      2. The registrant is not prohibited by court order, or the terms of probation, shock probation, conditional discharge, parole, or any other form of early release, from communicating with or gathering information about a person.
  1. No registrant shall intentionally photograph, film, or video a minor through traditional or electronic means without the written consent of the minor’s parent, legal custodian, or guardian unless the registrant is the minor’s parent, legal custodian, or guardian. The written consent required under this subsection shall state that the person seeking the consent is required to register as a sex offender under Kentucky law.
  2. Any person who violates subsection (1) or (2) of this section shall be guilty of a Class A misdemeanor.

HISTORY: Enact. Acts 2009, ch. 100, § 5, effective June 25, 2009; 2013, ch. 41, § 1, effective June 25, 2013; 2018 ch. 42, § 1, effective July 14, 2018.

Compiler’s Notes.

Designation of offenses; penalties, see KRS 532.020 .

NOTES TO DECISIONS

Cited in:

Jennings v. Commonwealth, 2019 Ky. App. LEXIS 64 (Ky. Ct. App. Apr. 12, 2019).

17.547. Persons immune from suit for good faith conduct under KRS 17.500 to 17.580 and 17.991.

The following shall be immune from suit for good faith conduct under KRS 17.500 to 17.580 and 17.991 :

  1. Law enforcement agencies including the cabinet;
  2. Independent contractors acting under the direction of law enforcement agencies;
  3. State and county officials;
  4. Approved providers, as defined in KRS 17.500 ; and
  5. Employees of any of the agencies, entities, and persons identified in subsections (1), (2), (3), and (4) of this section.

History. Repealed, reenact. and amend., Acts 2006, ch. 182, § 4, effective July 12, 2006; 2007, ch. 85, § 102, effective June 26, 2007.

Compiler’s Notes.

This section was formerly compiled as KRS 17.497 .

NOTES TO DECISIONS

1.Private employers and employees not included.

Circuit court properly dismissed an employee’s wrongful termination complaint against her employer for failure to state a claim because the employee failed to show that her termination—for informing some of her coworkers that one of their supervisors was a registered sex offender—fell under the public policy exception to the terminable-at-will doctrine inasmuch as the legislature did not intend to include private employees among those who were immune from suit. Marshall v. Montaplast of N. Am., Inc., 2018 Ky. App. LEXIS 123 (Ky. Ct. App. Apr. 27, 2018), aff'd, 575 S.W.3d 650, 2019 Ky. LEXIS 204 ( Ky. 2019 ).

17.549. False statements to law enforcement officials regarding noncompliant registrant — Harboring — Violation.

  1. A person shall be guilty of making a false statement to a law enforcement official when he or she intentionally misleads any law enforcement official regarding a noncompliant registrant.
  2. A person shall be guilty of harboring when he or she intentionally allows a registrant to reside at his or her residence to avoid registration if the address is not the address the registrant listed as his or her residence address.
  3. For the purposes of this section, law enforcement officials include the Attorney General, elected sheriffs, deputy sheriffs, city police officers, county police officers, state police officers, probation and parole officers, state and federal prosecutors, and investigators employed by any of these officers.
  4. A person who violates this section shall be guilty of a Class A misdemeanor for a first offense and a Class D felony for each subsequent offense.

History. Enact. Acts 2006, ch. 182, § 14, effective July 12, 2006.

Compiler’s Notes.

Designation of offenses; penalties, see KRS 532.020 .

17.550. Definitions for KRS 17.550 to 17.991.

As used in KRS 17.550 to 17.991 , the following definitions shall apply:

  1. “The board” means the Sex Offender Risk Assessment Advisory Board created under KRS 17.554 ;
  2. “Sex offender” means a person who has been convicted of a sex crime as defined in KRS 17.500 ;
  3. “Approved provider” means a mental health professional licensed or certified in Kentucky whose scope of practice includes providing mental health treatment services and who is approved by the Sex Offender Risk Assessment Advisory Board, under administrative regulations promulgated by the board, to provide comprehensive sex offender presentence evaluations or treatment to adults and youthful offenders, as defined in KRS 600.020 ; and
  4. “Victim” means victim as defined by KRS 421.500 .

History. Enact. Acts 1998, ch. 606, § 140, effective July 15, 1998; 2000, ch. 401, § 18, effective April 11, 2000.

17.552. Approval requirement for sexual offender risk evaluations or treatment — Exemptions.

No person shall conduct comprehensive sex offender presentence evaluations or treatment without first obtaining approval from the Sex Offender Risk Assessment Advisory Board, except that the Department of Corrections sex offender treatment program shall be regulated under KRS 197.400 to 197.440 and excluded from the application of this statute, and the Department of Juvenile Justice sex offender treatment program shall be regulated under KRS 635.500 and 635.520 and excluded from the application of this statute.

History. Enact. Acts 1998, ch. 606, § 141, effective January 15, 1999; 2000, ch. 401, § 20, effective April 11, 2000; 2002, ch. 11, § 8, effective July 15, 2002; 2004, ch. 160, § 10, effective July 13, 2004.

17.554. Sex Offender Risk Assessment Advisory Board — Risk assessment procedure.

  1. A Sex Offender Risk Assessment Advisory Board is hereby created. The board shall approve providers who shall conduct comprehensive sex offender presentence evaluations and treatment.
  2. The board shall develop a comprehensive sex offender presentence evaluation that shall be used by approved providers in assessing the risk of recommitting a sex crime by a sex offender, the threat posed to public safety, amenability to sex offender treatment, and the nature of the required sex offender treatment. The evaluation shall be based upon, but not limited to the following factors:
    1. Criminal history;
    2. Nature of the offense;
    3. Conditions of release that minimize risk;
    4. Physical conditions that minimize risk;
    5. Psychological or psychiatric profiles;
    6. Recent behavior that indicates an increased risk of recommitting a sex crime;
    7. Recent threats or gestures against persons or expressions of an intent to commit additional offenses; and
    8. Review of the victim impact statement.

History. Enact. Acts 1998, ch. 606, § 142, effective July 15, 1998; 2000, ch. 401, § 21, effective April 11, 2000.

17.556. Membership of board — Chair — Terms — Committees.

The board shall consist of the members named in subsections (1) and (2) of this section:

    1. The commissioner of the Department of Corrections, or the commissioner’s designee; (1) (a) The commissioner of the Department of Corrections, or the commissioner’s designee;
    2. The commissioner of the Department of Juvenile Justice, or the commissioner’s designee;
    3. The program administrator of the Sex Offender Treatment Program created pursuant to KRS 197.400 ; and
    4. The commissioner of the Department for Behavioral Health, Developmental and Intellectual Disabilities, or the commissioner’s designee.
  1. The following members, appointed by the Governor:
    1. One (1) probation and parole officer;
    2. Four (4) mental health professionals licensed or certified pursuant to KRS Chapter 309, 311, 314, 319, or 335 who demonstrated expertise in working with sex offenders;
    3. One (1) professional working in an agency which provides services to adult or child victims of sex offenses; and
    4. One (1) representative of an advocacy group with a demonstrated interest in the welfare of victims of sex offenses.
  2. The Governor shall appoint the first chair of the board who shall serve for a term of two (2) years after which the chair shall be elected by the members of the board.
  3. The probation and parole officer and the members identified in subsection (2) of this section shall serve for the remainder of the term of office of the Governor during whose incumbency they were appointed, unless removed sooner for cause, but they shall remain on the board until their successors are appointed or until they are reappointed.
  4. No member appointed pursuant to subsection (4) of this section may be represented by a designee.
  5. No member appointed pursuant to subsection (4) of this section shall serve more than four (4) years unless reappointed.
  6. All members identified under subsection (1) of this section shall serve during their terms of office.
  7. All members of the board shall be reimbursed for their necessary travel and other expenses actually incurred in the discharge of their duties on the board.
  8. The board shall be empowered to create committees for the purpose of carrying out its statutory duties.
  9. The board shall be attached to the Department of Corrections for administrative purposes.

History. Enact. Acts 1998, ch. 606, § 143, effective July 15, 1998; 2012, ch. 146, § 4, effective July 12, 2012; 2012, ch. 158, § 6, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 146 and 158, which do not appear to be in conflict and have been codified together.

17.558. Issuance of approvals.

  1. The board may issue, refuse to issue, reissue, or renew a provider approval, or may probate, suspend, or revoke the approval of a provider.
  2. The board shall revoke the approval of a provider while his or her approval is suspended.

History. Enact. Acts 1998, ch. 606, § 144, effective July 15, 1998; 2000, ch. 401, § 22, effective April 11, 2000.

17.560. Hearing — Order — Appeal.

  1. Prior to the refusal to issue, renew, probate, suspend, or revoke the approval of a provider, the board shall conduct a hearing in accordance with the provisions of this chapter and KRS Chapter 13B.
    1. The hearing may be conducted by a hearing officer;
    2. The hearing officer may only issue a recommended order, and the recommended order shall be subject to review by a majority of the full board, which shall issue a final order.
  2. The board may proceed against an approved provider on its own initiative, on the basis of either information contained in its own records, or information obtained through its informal investigation.
  3. If a formal complaint verified by affidavit is filed with the board by a responsible citizen or organization containing allegations that if true would warrant action, the board may proceed against the approved provider.
  4. Any final order of the board may be appealed to the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1998, ch. 606, § 145, effective July 15, 1998; 2000, ch. 401, § 23, effective April 11, 2000.

17.562. Quorum — Votes for action of board.

A quorum of the board shall consist of at least six (6) members. The concurring votes of five (5) members shall be considered as the action of the board, except in the case of revoking a certificate, in which case the concurring votes of at least seven (7) members shall be required.

History. Enact. Acts 1998, ch. 606, § 146, effective July 15, 1998.

17.564. Authority for administrative regulations.

  1. The board may promulgate all reasonable administrative regulations not inconsistent with this chapter that are necessary to carry into effect the purposes of KRS 17.500 to 17.580 and 17.991 .
  2. The board may promulgate administrative regulations requiring mandatory continuing education for approved providers as a condition for obtaining their renewal approvals.

History. Enact. Acts 1998, ch. 606, § 147, effective July 15, 1998; 2000, ch. 401, § 24, effective April 11, 2000; 2006, ch. 182, § 9, effective July 12, 2006.

17.566. Use of “approved provider” designation restricted.

Only persons approved under KRS 17.500 to 17.580 and 17.991 may be known as approved providers in the Commonwealth of Kentucky, or use any words or letters or assume any titles or description tending to convey the impression that they are approved providers.

History. Enact. Acts 1998, ch. 606, § 148, effective July 15, 1998; 2000, ch. 401, § 25, effective April 11, 2000; 2006, ch. 182, § 10, effective July 12, 2006.

17.568. Injunctive relief.

Whenever in the judgment of the board any person has engaged or is about to engage in any acts or practices that constitute or will constitute a violation of KRS 17.500 to 17.580 and 17.991 , the board may apply to the Franklin Circuit Court for an order enjoining these acts or practices.

  1. Upon a showing by the board that a person has engaged or is about to engage in any of these acts or practices, an injunction, restraining order, or other order as may be appropriate shall be granted by the court.
  2. Any order of the Franklin Circuit Court shall be enforceable and shall be valid anywhere in this state, and the order of the court shall be reviewable as provided in the Rules of Civil Procedure in the case of other injunctions and restraining orders.

History. Enact. Acts 1998, ch. 606, § 149, effective July 15, 1998; 2006, ch. 182, § 11, effective July 12, 2006.

17.570. Order for sex offender risk assessment — Cost — Hearing — Appeal — Notice to sheriff upon release of sex offender. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 606, § 150, effective January 15, 1999) was repealed by Acts 2000, ch. 401, § 38, effective July 14, 2000.

17.572. Notification for high, moderate, and low risk sex offenders. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 606, § 151, effective January 15, 1999) was repealed by Acts 2000, ch. 401, § 38, effective July 14, 2000.

17.574. Forwarding of relevant information by certain facilities to approved provider for review prior to release — Confidentiality.

  1. Any statutes to the contrary notwithstanding, all state or local detention or correctional facilities, hospitals, or institutions shall forward all relevant information pertaining to a sexual offender to be discharged, paroled, or released to the approved provider for review prior to the release or discharge for consideration in making recommendations to the sentencing court. The relevant information shall include but is not limited to:
    1. The institutional record;
    2. The medical record including all psychological records; and
    3. The treatment record.
  2. All confidential records provided pursuant to this section shall remain confidential, unless otherwise ordered by a court or by another person duly authorized to release the information.

History. Enact. Acts 1998, ch. 606, § 152, effective January 15, 1999; 2000, ch. 401, § 26, effective April 11, 2000; 2006, ch. 182, § 12, effective July 12, 2006.

17.576. Privileged communications — Written waiver.

Communications made in the course of comprehensive sex offender presentence evaluations or treatment to the approved provider and any employee of the approved provider who is assigned to assist in the assessments shall be privileged from disclosure in any civil or criminal proceeding, other than to determine sentence, unless the offender consents in writing to the disclosure or the communication is related to an ongoing criminal investigation. The sexual offender shall be informed in writing of the limits of the privilege created in this section.

History. Enact. Acts 1998, ch. 606, § 153, effective January 15, 1999; 2000, ch. 401, § 27, effective April 11, 2000.

17.578. Termination of duty to register.

A person required to register under the provisions of KRS 17.510 and 17.520 shall be relieved of any further duty to register only upon reversal of the underlying conviction or upon a pardon.

History. Enact. Acts 1998, ch. 606, § 154, effective January 15, 1999; 2000, ch. 401, § 28, effective April 11, 2000.

17.580. Duty of Department of Kentucky State Police to maintain and update Web site containing information about adults who have committed sex crimes or crimes against minors — Immunity from liability for good faith dissemination of information — Justice and Public Safety Cabinet to establish toll-free telephone number — Permission for local law enforcement agency to notify of registrants in jurisdiction.

  1. The Department of Kentucky State Police shall establish a Web site available to the public. The Web site shall display:
    1. The registrant information, except for information that identifies a victim, DNA samples, fingerprints, palm prints, Social Security numbers, motor vehicle operator’s license numbers, and government-issued identification card numbers obtained by the Information Services Center, Department of Kentucky State Police, under KRS 17.510 ;
    2. The sex offender information, except for information that identifies a victim, DNA samples, Social Security numbers, and vehicle registration data, obtained by the Information Services Center, Department of Kentucky State Police, under KRS 17.510 prior to April 11, 2000; and
    3. The registrant’s conviction, the elements of the offense for which the registrant was convicted, whether the registrant is currently on probation or parole, and whether the registrant is compliant or noncompliant. The Web site shall be updated every day except for Saturdays, Sundays, and state holidays.
  2. The information pertaining to an individual shall be maintained on the Web site so long as that individual is registered in accordance with KRS 17.500 to 17.580 .
  3. The following language shall be prominently displayed on the Web site: “UNDER KRS 525.070 AND 525.080 , USE OF INFORMATION OBTAINED FROM THIS WEB SITE TO HARASS A PERSON IDENTIFIED ON THIS WEB SITE IS A CRIMINAL OFFENSE PUNISHABLE BY UP TO NINETY (90) DAYS IN THE COUNTY JAIL. MORE SEVERE CRIMINAL PENALTIES APPLY FOR MORE SEVERE CRIMES COMMITTED AGAINST A PERSON IDENTIFIED ON THIS WEB SITE.”
    1. Any Department of Kentucky State Police employee who disseminates, or does not disseminate, registrant information or sex offender information in good-faith compliance with the requirements of this section shall be immune from criminal and civil liability for the dissemination or lack thereof. (4) (a) Any Department of Kentucky State Police employee who disseminates, or does not disseminate, registrant information or sex offender information in good-faith compliance with the requirements of this section shall be immune from criminal and civil liability for the dissemination or lack thereof.
    2. Any person, including an employee of a sheriff’s office, acting in good faith in disseminating, or not disseminating, information previously disseminated by the Department of Kentucky State Police shall be immune from criminal and civil liability for the dissemination or lack thereof.
  4. The cabinet shall establish a toll-free telephone number for a person to call to learn the identity of the Web site created in this section and the location of public access to the Web site in the county where the person resides.
  5. In addition to the Web site, a local law enforcement agency may provide personal notification regarding the registrants located in its jurisdiction. Any notification shall contain the warning specified in subsection (3) of this section.

HISTORY: Enact. Acts 2000, ch. 401, § 19, effective April 11, 2000; 2006, ch. 182, § 13, effective July 12, 2006; 2007, ch. 85, § 103, effective June 26, 2007; 2008, ch. 158, § 14, effective July 1, 2008; repealed and reenact., Acts 2009, ch. 105, § 6, effective March 27, 2009; 2009, ch. 100, § 7, effective June 25, 2009; 2018 ch. 42, § 4, effective July 14, 2018; 2018 ch. 121, § 4, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 42 and 121, which do not appear to be in conflict and have been codified together.

(6/25/2009). A reference in subsection (7) of this statute to “subsection (3) of this section” has been changed in codification to “subsection (4) of this section” by the Reviser of Statutes under the authority of KRS 7.136(1) to reflect the addition of a new subsection and renumbering of succeeding subsections in 2009 Ky. Acts ch. 100, sec. 7.

NOTES TO DECISIONS

Analysis

1.Constitutionality.

Trial court did not err in requiring appellant’s sex offender registration information to be published on the Internet pursuant to KRS 17.580 . Retroactive application of the registration requirements did not violate appellant’s state and federal protections against ex post facto legislation. Bray v. Commonwealth, 203 S.W.3d 160, 2006 Ky. App. LEXIS 174 (Ky. Ct. App. 2006).

2.Applicability.

Circuit court properly dismissed an employee’s wrongful termination complaint against her employer for failure to state a claim because the employee failed to show that her termination—for informing some of her coworkers that one of their supervisors was a registered sex offender—fell under the public policy exception to the terminable-at-will doctrine inasmuch as the legislature did not intend to include private employees among those who were immune from suit. Marshall v. Montaplast of N. Am., Inc., 2018 Ky. App. LEXIS 123 (Ky. Ct. App. Apr. 27, 2018), aff'd, 575 S.W.3d 650, 2019 Ky. LEXIS 204 ( Ky. 2019 ).

Notes to Unpublished Decisions

Analysis

1.Constitutionality.

Unpublished decision: Application of KRS 17.580 does not violate a sex offender registrant’s rights to due process under the federal or state constitution. Peterson v. Shake, 120 S.W.3d 707, 2003 Ky. LEXIS 201 ( Ky. 2003 ).

2.Applicability.

Unpublished decision: Felony indictment charged against the defendant for failing to register a change of address as a registered sex offender was dismissed, because the defendant was subject to the 1998 version of KRS 17.510 rather than the 2000 version of the statute, because the defendant became a registered sex offender before the 2000 version of the statute went into effect. Under the 2000 version of KRS 17.510 , the offense was a Class D felony; under the 1998 version of the statute, the offense was a Class A felony. Peterson v. Shake, 120 S.W.3d 707, 2003 Ky. LEXIS 201 ( Ky. 2003 ).

Penalties

17.990. Penalties.

  1. Any person who violates any of the provisions of KRS 17.320 to 17.340 shall be fined not less than fifty dollars ($50) nor more than five hundred dollars ($500).
  2. Any public official or employee who knowingly or intentionally makes, or causes to be made, a false return of information to the department shall be punished by confinement in jail for not more than ninety (90) days, by a fine not exceeding five hundred dollars ($500), or both.
  3. Any person who violates KRS 17.545(2) shall be guilty of a Class A misdemeanor.

History. Repealed, reenact. and amend. Acts 1988, ch. 345, § 5, effective July 15, 1988; 1998, ch. 426, § 76, effective July 15, 1998; 2000, ch. 308, § 26, effective July 14, 2000; 2005, ch. 99, § 94, effective June 20, 2005; 2009, ch. 38, § 3, effective June 25, 2009; 2017 ch. 135, § 7, effective March 27, 2017.

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 116, § 6, effective June 16, 1960; 1970, ch. 227, § 5; 1978, ch. 384, § 5, effective June 17, 1978; 1980, ch. 188, § 8, effective July 15, 1980; 1986, ch. 475, § 3, effective July 15, 1986) was repealed, reenacted and amended by Acts 1988, ch. 345, § 5, effective July 15, 1988.

Opinions of Attorney General.

Those provisions of 1986, ch. 475 (KRS 17.165 and this section) relating to the State Board of Education and local boards of education and their employees are unconstitutional under Ky. Const., § 51; therefore, references to the State Board of Education and any local board of education of either an independent or county school district in KRS 17.165 , subdivision (3)(b) (former language) of this section, and the reference to any board of education in former subdivision (3)(c) of this section are void. OAG 86-70 .

17.991. Penalty for violation of KRS 17.552.

Any person who violates KRS 17.552 shall be fined not less than five hundred dollars ($500) nor more than three thousand dollars ($3,000), and said fine shall be paid to the crime victim compensation fund as established in KRS 49.480 .

HISTORY: Enact. Acts 1998, ch. 606, § 155, effective January 15, 1999; 2017 ch. 74, § 55, effective June 29, 2017.

CHAPTER 18 State Personnel [Repealed]

18.010. Department of Personnel created; executive head; functions of department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. IV, § 1) was repealed by Acts 1960, ch. 63, § 26.

18.020. Appointment of Commissioner; qualifications; duties of commissioners and department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. IV, § 2) was repealed by Acts 1960, ch. 63, § 26.

18.030. Department to determine qualifications of applicants for positions in state service; tests; tests to be competitive; positions exempted from tests; classification plan; employment list. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. IV, § 3) was repealed by Acts 1960, ch. 63, § 26.

18.040. Agency appointing officer to notify department of change of status of employe; Department of Finance may demand supporting information prior to payment of compensation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. IV, § 4) was repealed by Acts 1960, ch. 63, § 26.

18.050. Appointing officer of State agency may remove employe; notice to Department of Personnel; statement setting forth reasons for removal; action final, when. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. IV, § 5) was repealed by Acts 1960, ch. 63, § 26.

18.060. Transfer of officers, employes and funds from Department of Finance to Department of Personnel. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. IV, § 7) was repealed by Acts 1960, ch. 63, § 26.

18.070. KRS 18.010 to 18.070 not to affect existing merit systems; department may perform services for other agencies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. IV, § 8) was repealed by Acts 1960, ch. 63, § 26.

18.080. Political activity prohibited. [Repealed.]

Compiler’s Notes.

This section (4618-90) formerly compiled as KRS 42.150 , was repealed by Acts 1960, ch. 63, § 26.

Merit System

18.110. Definitions for KRS 18.110 to 18.360. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 2; 1974, ch. 162, § 1; 1974, ch. 308, § 4; 1976, ch. 86, § 1, effective March 19, 1976; 1978, ch. 269, § 1, effective June 17, 1978; 1980, ch. 132, § 1, effective July 15, 1980; 1980, ch. 355, § 4, effective July 15, 1980) were repealed, reenacted and amended as KRS 18A.005 by Acts 1982, ch. 448, § 1, effective July 15, 1982.

18.120. General purpose of KRS 18.110 to 18.360. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 1; 1974, ch. 308, § 5) was repealed, reenacted and amended as KRS 18A.010 by Acts 1982, ch. 448, § 2, effective July 15, 1982.

18.130. Application of classified service. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 3; 1972, ch. 13, § 1; 1974, ch. 162, § 2; 1974, ch. 308, § 6) was repealed by Acts 1976, ch. 86, § 15, effective March 29, 1976.

18.140. Employment excepted from classified service. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 4; 1970, ch. 278, § 1; 1972, ch. 13, § 2; 1974, ch. 74, Art. VI, § 32; 1974, ch. 162, § 3; 1974, ch. 308, § 7; 1976, ch. 86, § 2; 1976 (Ex. Sess.), ch. 17, § 18, effective January 1, 1978; 1978, ch. 155, § 18, effective June 17, 1978; 1978, ch. 391, § 1, effective June 17, 1978; 1980, ch. 98, § 3, effective July 15, 1980; 1980, ch. 132, § 2, effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.115 by Acts 1982, ch. 448, § 23, effective July 15, 1982.

18.150. Certification of division directors who do not make policy. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 4(b); 1974, ch. 308, § 8) was repealed, reenacted and amended as KRS 18A.170 by Acts 1982, ch. 448, § 34, effective July 15, 1982.

18.155. Evaluation of duties of division directors or heads — Procedure when duties have become policy making. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 6, § 3, effective March 3, 1976) was repealed, reenacted and amended as KRS 18A.175 by Acts 1982, ch. 448, § 35, effective July 15, 1982.

18.160. Personnel board — Membership — Organization. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 5; 1972, ch. 13, § 3; 1974, ch. 308, § 9; 1976, ch. 86, § 4, effective March 29, 1976; 1978, ch. 154, § 3, effective June 17, 1978; 1978, ch. 269, § 3, effective June 17, 1978; 1980, ch. 132, § 3, effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.015 by Acts 1982, ch. 448, § 3, effective July 15, 1982.

18.170. Duties of personnel board. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 6; 1974, ch. 74, Art. II, § 9(2); 1974, ch. 308, § 10) was repealed, reenacted and amended as KRS 18A.075 by Acts 1982, ch. 448, § 15, effective July 15, 1982.

18.180. Commissioner of personnel — Appointment — Qualification. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 7; 1966, ch. 255, § 22; 1972, ch. 13, § 4; 1982, ch. 393, § 13) was repealed, reenacted and amended as KRS 18A.025 by Acts 1982, ch. 448, § 5, effective July 15, 1982.

18.190. Duties of commissioner of personnel. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 8; 1972, ch. 13, § 5; 1974, ch. 162, § 4) was repealed, reenacted and amended as KRS 18A.030 by Acts 1982, ch. 448, § 6, effective July 15, 1982.

18.200. Delegation of commissioner’s powers — Assistance in testing — Membership on retirement system board. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, §§ 8, 17) was repealed, reenacted and amended as KRS 18A.035 by Acts 1982, ch. 448, § 7, effective July 15, 1982.

18.210. Rules for classified service. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 9; 1974, ch. 110, § 1; 1974, ch. 162, § 5; 1974, ch. 308, § 12; 1976, ch. 86, § 5, effective March 29, 1976; 1978, ch. 269, § 4, effective June 17, 1978) was repealed, reenacted and amended as KRS 18A.110 by Acts 1982, ch. 448, § 22, effective July 15, 1982.

18.211. Service as elected official deemed full-time employment for specified purposes. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 180, § 1, effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.185 by Acts 1982, ch. 448, § 37, effective July 15, 1982.

18.212. Preference points for veterans, their spouses, widows, widowers and parents. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 28, § 1; 1974, ch. 162, § 6; 1974, ch. 386, § 1; 1976, ch. 86, § 6, effective March 29, 1976; 1980, ch. 132, § 4, effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.150 by Acts 1982, ch. 448, § 30, effective July 15, 1982.

18.215. Definition — Applicability. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 355, § 1, effective July 15, 1980) was repealed by Acts 1982, ch. 448, § 73, effective July 15, 1982.

18.216. Reemployment of career employee terminated on or after January 1, 1980. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 5, § 2 effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.130 by Acts 1982, ch. 448, § 26, effective July 15, 1982.

18.217. Reemployment of employees with classified service status. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 5, § 3 effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.135 by Acts 1982, ch. 448, § 27, effective July 15, 1982.

18.220. Rules for nonmerit system positions. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 9; 1974, ch. 162, § 7; 1974, ch. 308, § 13; 1976, ch. 86, § 7, effective March 29, 1976; 1978, ch. 269, § 5; 1982, ch. 52, § 2) was repealed, reenacted and amended as KRS 18A.155 by Acts 1982, ch. 448, § 31, effective July 15, 1982.

18.230. Use of public buildings and facilities. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 10; 1974, ch. 308, § 14)was repealed, reenacted and amended as KRS 18A.160 by Acts 1982, ch. 448, § 32, effective July 15, 1982.

18.240. Administration of KRS 18.110 to 18.360. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 11; 1966, ch. 255, § 23; 1974, ch. 308, § 14) was repealed, reenacted and amended as KRS 18A.165 by Acts 1982, ch. 448, § 33, effective July 15, 1982.

18.250. Basis for hiring for classified service — Exception. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 12; 1966, ch. 255, § 283; 1974, ch. 308, § 16; 1976, ch. 86, § 8; effective March 29, 1976) was repealed, reenacted and amended as KRS 18A.120 by Acts 1982, ch. 448, § 24, effective July 15, 1982.

18.260. Control through payroll certification. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 13; 1974, ch. 308, § 17; 1976 (Ex. Sess.), ch. 14, § 6, effective January 2, 1978) was repealed, reenacted and amended as KRS 18A.125 by Acts 1982, ch. 448, § 25, effective July 15, 1982.

18.270. Appeals by employees to personnel board. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 14; 1972, ch. 13, § 6; 1976, ch. 86, § 9, effective March 29, 1976; 1978, ch. 269, § 6, effective June 17, 1978) was repealed, reenacted and amended as KRS 18A.095 by Acts 1982, ch. 448, § 19, effective July 15, 1982.

18.272. Appeal from final order of personnel board. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 147, § 1; 1976, ch. 62, § 13) was repealed, reenacted and amended as KRS 18A.100 by Acts 1982, ch. 448, § 20, effective July 15, 1982.

18.275. Compensation, retirement system contributions of employee ordered reinstated without loss of pay. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 13, § 7) was repealed, reenacted and amended as KRS 18A.105 by Acts 1982, ch. 448, § 21, effective July 15, 1982.

18.280. Oaths, testimony and production of records. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 18; 1974, ch. 308, § 18) was repealed, reenacted and amended as KRS 18A.065 by Acts 1982, ch. 448, § 13, effective July 15, 1982.

18.290. Department records are public. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 14) was repealed, reenacted and amended as KRS 18A.020 by Acts 1982, ch. 448, § 4, effective July 15, 1982.

18.300. Extension of system to other governmental units. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 16; 1974, ch. 162, § 8; 1974, ch. 308, § 19) was repealed, reenacted and amended as KRS 18A.180 by Acts 1982, ch. 448, § 36, effective July 15, 1982.

18.310. Discrimination and political activities prohibited [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 19; 1976, ch. 86, § 10, effective March 29, 1976; 1976, ch. 331, § 1, effective June 19, 1976; 1978, ch. 269, § 7, effective June 17, 1978; 1980, ch. 132, § 5, effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.140 by Acts 1982, ch. 448, § 28 effective July 15, 1982.

18.320. Other prohibited acts. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 20; 1974, ch. 308, § 20; 1976, ch. 86, § 11, effective March 29, 1976) was repealed, reenacted and amended as KRS 18A.145 by Acts 1982, ch. 448, § 29, effective July 15, 1982.

18.330. Provision for administrative costs. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 21; 1974, ch. 308, § 21) was repealed by Acts 1982, ch. 448, § 73, effective July 15, 1982.

18.340. Compliance with federal standards. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, § 22; 1974, ch. 308, § 22) was repealed, reenacted and amended as KRS 18A.040 by Acts 1982, ch. 448, § 8, effective July 15, 1982.

18.350. Holidays for state personnel. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 289, § 1) was repealed, reenacted and amended as KRS 18A.190 by Acts 1982, ch. 448, § 38, effective July 15, 1982.

18.360. Compensatory leave. [Repealed, reeenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 46, § 1; 1974, ch. 162, § 9; 1978, ch. 269, § 9, effective June 17, 1978) was repealed, reenacted and amended as KRS 18A.195 by Acts 1982, ch. 448, § 39, effective July 15, 1982.

18.370. Per diem salaries for state officers or employees serving on boards or commissions prohibited. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 154, § 4, effective June 17, 1978) was repealed, reenacted and amended as KRS 18A.200 by Acts 1982, ch. 448, § 40, effective July 15, 1982.

Life Insurance

18.410. Life insurance for state employees — Definitions. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 225, § 1; 1968, ch. 211; 1974, ch. 74, Art. II, § 9(2); 1976, ch. 86, § 12; 1976 (Ex. Sess.), ch. 35, § 1) was repealed, reenacted and amended as KRS 18A.205 by Acts 1982, ch. 448, § 41, effective July 15, 1982.

18.420. Payment of premiums. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 225, § 2) was repealed and reenacted as KRS 18A.210 by Acts 1982, ch. 448, § 42, effective July 15, 1982.

18.430. Provisions authorized. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 225, § 3) was repealed and reenacted as KRS 18A.215 by Acts 1982, ch. 448, § 43, effective July 15, 1982.

18.440. Authority of secretary. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 225, § 4) was repealed, reenacted and amended as KRS 18A.220 by Acts 1982, ch. 448, § 44, effective July 15, 1982.

Health Coverage

18.470. Health, hospitalization, medical, major medical and dental insurance coverage fee from state employees — Definition. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1976 (Ex. Sess.), ch. 35, § 2; 1980, ch. 132, § 6, effective July 15, 1980) was repealed and reenacted as KRS 18A.225 by Acts 1982, ch. 448, § 45, effective July 15, 1982.

Public Employes Deferred Compensation Plans

18.510. Definitions. [Repealed, reenacted and amended.]

Compiler’s Notes.

This sections (Enact. Acts 1974, ch. 143, § 2) was repealed, reenacted and amended as KRS 18A.230 by Acts 1982, ch. 448, § 46, effective July 15, 1982.

18.520. Definitions. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 3) was repealed, reenacted and amended as KRS 18A.235 by Acts 1982, ch. 448, § 47, effective July 15, 1982.

18.530. Trust fund. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 4) was repealed, reenacted and amended as KRS 18A.240 by Acts 1982, ch. 448, § 48, effective July 15, 1982.

18.540. Board of trustees — Membership, terms, meetings — Powers — Annual financial report. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 5) was repealed, reenacted and amended as KRS 18A.245 by Acts 1982, ch. 448, § 49, effective July 15, 1982.

18.550. Participation in plan — Deductions from wages authorized — Deposit of money. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 6; 1980, ch. 352, § 1, effective July 15, 1980) was repealed and reenacted as KRS 18A.250 by Acts 1982, ch. 448, § 50, effective July 15, 1982.

18.560. Investments. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 7; 1980, ch. 352, § 2, effective July 15, 1980) was repealed, reenacted and amended as KRS 18A.255 by Acts 1982, ch. 448, § 51, effective July 15, 1982.

18.570. Regulation of investments. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 9) was repealed, reenacted and amended as KRS 18A.260 by Acts 1982, ch. 448, § 52, effective July 15, 1982.

18.580. Deferred compensation program to be in addition to retirement or benefit program. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 8) was repealed and reenacted as KRS 18A.265 by Acts 1982, ch. 448, § 53, effective July 15, 1982.

18.590. Local programs. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 10) was repealed, reenacted and amended as KRS 18A.270 by Acts 1982, ch. 448, § 54, effective July 15, 1982.

18.600. Custodians of funds. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 143, § 11) was repealed, reenacted and amended as KRS 18A.275 by Acts 1982, ch. 448, § 55, effective July 15, 1982.

Penalties

18.990. Penalties. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 63, §§ 19, 23) was repealed, reenacted and amended as KRS 18A.990 by Acts 1982, ch. 448, § 56, effective July 15, 1982.

CHAPTER 18A State Personnel

18A.005. Definitions for chapter.

As used in this chapter, unless the context indicates otherwise:

  1. “Appointing authority” means the agency head or any person whom he has authorized by law to designate to act on behalf of the agency with respect to employee appointments, position establishments, payroll documents, register requests, waiver requests, requests for certification, or other position actions. Such designation shall be in writing and signed by both the agency head and his designee. Prior to the exercise of appointing authority, such designation shall be filed with the secretary;
  2. “Base salary or wages” means the compensation to which an employee is entitled under the salary schedules adopted pursuant to the provisions of KRS 18A.030 and 18A.110 . Base salary or wages shall be adjusted as provided under the provisions of KRS 18A.355 and 48.130 ;
  3. “Board” means the Personnel Board created by KRS 18A.045 ;
  4. “Career employee” shall mean a state employee with sixteen (16) or more years of permanent full-time state service, or the part-time employment equivalent of at least sixteen (16) years of full-time state service. The service may have been in the classified service, the unclassified service, or a combination thereof;
  5. “Certification” means the referral of the name of one (1) or more qualified prospective employees by the secretary on request of an appointing officer for consideration in filling a position in the classified service;
  6. “Class” means a group of positions sufficiently similar as to duties performed, scope of discretion and responsibility, minimum requirements of training, experience, or skill, and such other characteristics that the same title, the same tests of fitness, and the same schedule of compensation have been or may be applied to each position in the group;
  7. “Classified employee” means an employee appointed to a position in the classified service whose appointment and continued employment are subject to the classified service provisions of this chapter;
  8. “Classified position” means a position in the executive branch of state government that is not exempt from the classified service under KRS Chapter 16, KRS 18A.115 , KRS Chapter 151B, or any other provision of law;
  9. “Classified service” includes all the employment subject to the terms of this chapter except for those positions expressly cited in KRS 18A.115 ; a “classified position” is a position in the classified service;
  10. “Secretary” means the secretary of the Personnel Cabinet as provided for in KRS 18A.015 ;
  11. “Demotion” means a change in the rank of an employee from a position in one (1) class to a position in another class having a lower minimum salary range and less discretion or responsibility;
  12. “Cabinet” means the Personnel Cabinet provided for in KRS 18A.015 , unless the context indicates otherwise;
  13. “Eligible” refers to a person who has made a passing score on any examination required under KRS 18A.010 to 18A.200 or who has qualified to be placed on a register;
  14. “Employee” means a person regularly appointed to a position in the state service for which he is compensated on a full-time, part-time, or interim basis;
  15. “Federally funded time-limited employee” means an employee in the unclassified service, appointed to a position that is funded one hundred percent (100%) by a federal grant or grants. An employee appointed to a federally funded time-limited position shall be required to meet the minimum requirements for the classification in which he or she is hired and, subject to the provisions of KRS 18A.113 , shall serve at the pleasure of the appointing authority during a period of time that shall not exceed the life of the federal grant that funds the position. A federally funded time-limited employee who has been aggrieved by notice of disciplinary action or termination, other than an action based on expiration of the federal grant funding, may petition the appointing authority of the agency for the opportunity to be heard by the appointing authority or his designee prior to the effective date of the disciplinary action or termination. The decision of the appointing authority shall be final except as provided by KRS 18A.095(14) and 18A.140 . A federally funded time-limited employee shall not have the right of appeal to the Personnel Board except as provided by KRS 18A.095(14) and 18A.140 ;
  16. “Federally funded position” means a full-time or a part-time position in which the unclassified employee is eligible for benefits at the same level as a classified employee in a permanent position;
  17. “Full-time employee” means an employee in a full-time position;
  18. “Full-time position” means a position, other than an interim position, requiring an employee to work at least thirty-seven and one-half (37.5) hours in a work week, except for the following:
    1. Positions in the state parks, where the work assigned is dependent upon fluctuations in tourism, may be assigned work hours from twenty-five (25) hours per week during the off seasons and remain in full-time positions; and
    2. Positions in health care facilities, which regularly involve three (3) consecutive days of twelve (12) hour shifts to cover weekends, shall be considered full-time;
  19. “Initial probation” means the period of service following initial appointment to any position under KRS 18A.010 to 18A.200 which requires special observation and evaluation of an employee’s work and which must be passed successfully before status may be conferred as provided in KRS 18A.110 and by the provisions of this chapter. If the appointee is granted leave in excess of twenty (20) consecutive work days during this period, his initial probation shall be extended for the same length of time as the granted leave to cover such absence;
  20. “Interim employee” means an unclassified employee without status who has been appointed to an interim position that shall be less than nine (9) months duration;
  21. “Interim position” means a position established to address a one-time or recurring need of less than nine (9) months duration and exempt from the classified service under KRS 18A.115 ;
  22. “Part-time employee” means an employee in a part-time position;
  23. “Part-time position” means a position, other than an interim position, requiring an employee to work less than one hundred (100) hours per month;
  24. “Penalization” means demotion, dismissal, suspension, fines, and other disciplinary actions; involuntary transfers; salary adjustments; any action that increases or diminishes the level, rank, discretion, or responsibility of an employee without proper cause or authority, including a reclassification or reallocation to a lower grade or rate of pay; and the abridgment or denial of other rights granted to state employees;
  25. “Position” means an office or employment in an agency (whether part-time, full-time, or interim, occupied, or vacant) involving duties requiring the services of one (1) person;
  26. “Promotion” means a change of rank of an employee from a position in one (1) class to a position in another class having a higher minimum salary or carrying a greater scope of discretion or responsibility;
  27. “Promotional probation” means the period of service, consistent with the length of the initial probationary period, following the promotion of an employee with status which must be successfully completed in order for the employee to retain the position to which he has been promoted. If the employee is granted leave in excess of twenty (20) consecutive work days during this period, his promotional probation shall be extended for the same length of time as the granted leave to cover such absence;
  28. “Qualifying” means the selection method type which results when the knowledge, skills, and abilities necessary for a job classification cannot be accurately measured by written examination;
  29. “Reallocation” means the correction of the classification of an existing position by placement of the position into the classification that is appropriate for the duties the employee has been and shall continue to perform;
  30. “Reclassification” shall mean the change in the classification of an employee when a material and permanent change in the duties or responsibilities of that employee has been assigned in writing by the appointing authority;
  31. “Reemployment” shall mean the rehiring of an employee with status who has been laid-off;
  32. “Reemployment register” means the separate list of names of persons who have been separated from state service by reason of lay-off. Reemployment registers shall be used as provided by the provisions of KRS 18A.110 , 18A.130 , and 18A.135 ;
  33. “Register” means any official list of eligibles for a particular class and, except as provided in this chapter, placed in rank order according to the examination scores maintained for use in making original appointments or promotions to positions in the classified service;
  34. “Reinstatement” means the privilege of restoration of an employee who has resigned in good standing at the option of the appointing authority, or who has been ordered reinstated by the board or a court to a position in his former class, or to a position of like status and pay;
  35. “Reversion” means either the returning of a status employee to his or her last position held in the classified service, if vacant, or the returning of a status employee to a vacant position in the same or similar job classification as his or her last position held in the classified service. Reversion occurs after a career employee is terminated other than for cause from the unclassified service or after a status employee fails to successfully complete promotional probation. Reversion after unsuccessful completion of promotional probation, or in the case of a career employee after termination from the unclassified service, may only be appealed to the Personnel Board under KRS 18A.095(12);
  36. “Seniority” means the total number of months of state service;
  37. “Status” means the acquisition of tenure with all rights and privileges granted by the provisions of this chapter after satisfactory completion of the initial probationary period by an employee in the classified service; and
  38. “Transfer” means a movement of any employee from one (1) position to another of the same grade having the same salary ranges, the same level of responsibility within the classified service, and the same salary received immediately prior to transfer.

History. Repealed, reenact. and amend. 1982, ch. 448, § 1, effective July 15, 1982; 1986, ch. 494, § 7, effective July 15, 1986; 1988, ch. 129, § 1, effective July 15, 1988; 1988, ch. 203, § 1, effective July 15, 1988; 1990, ch. 309, § 3, effective July 13, 1990; 1998, ch. 154, § 10, effective July 15, 1998; 1998, ch. 540, § 1, effective July 15, 1998; 2000, ch. 91, § 1, effective July 14, 2000; 2002, ch. 122, § 1, effective July 15, 2002; 2004, ch. 127, § 1, effective July 13, 2004; 2009, ch. 75, § 14, effective June 25, 2009; 2010, ch. 153, § 1, effective April 13, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 18.110 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 1.

Legislative Research Commission Notes.

(7/13/2004). 2004 Ky. Acts ch. 127, sec. 5, provides that “Employment in a federally funded position, as defined in subsection (16) of Section 1 of this Act [KRS 18A.005 ], shall not exceed the original grant period or any renewal thereof. A copy of the relevant section or sections of the federal grant which relate to the establishment of a time frame for the position shall become part of the employee’s personnel file and shall be reported and justified to the State Personnel Board.”

NOTES TO DECISIONS

1.Appointing Authority.

Within the provisions of KRS 344.180 and 344.190 , only the Commission on Human Rights has the power to “appoint an Executive Director, attorneys, hearing examiners, clerks and other employees and agents as it may deem necessary,” and KRS Chapter 344 does not authorize the Commission to delegate its discretionary authority to employ personnel to its Executive Director; therefore, only the Commission, not the Executive Director, fits within the legal definition of “appointing officer” and “appointing authority” under KRS 18A.005(1). Martin v. Commonwealth, 711 S.W.2d 866, 1986 Ky. App. LEXIS 1169 (Ky. Ct. App. 1986).

2.Federally-Funded Time-Limited Positions.

The State Personnel Board has the statutory authority to examine whether a position is properly classified as Federally-Funded Time-Limited. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

A strict interpretation of the statutory definition of Federally-Funded Time-Limited (FFTL) positions is correct; namely, that FFTL positions are limited to those positions for which the federal government has granted funds 1) to provide public employment for under-employed or non-employed persons, or 2) for special or research projects that have a limited life. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

3.Personnel Board.

Pursuant to KRS 18A.075 , the State Personnel Board has the duty to investigate whether a position is properly or improperly excluded from the classified service, in order to protect the integrity of the merit system, and the board has a duty to act to enforce the provisions of this section and KRS 18A.010 to 18A.200 , where it believes that the unlawful use of unclassified positions infringes on the principles of the merit system. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

Unsuccessful state job applicant’s claim that the Personnel Board’s order to re-open the position because the statutory and regulatory procedure of this section was not properly followed failed to provide her with the complete relief to which she was entitled which was promotion to the position, was without merit as there was substantial evidence to support the Board’s finding, therefore, it was not arbitrary under Ky. Const., § 2 and must be affirmed. Bowling v. Natural Resources & Envtl. Protection Cabinet, 891 S.W.2d 406, 1994 Ky. App. LEXIS 157 (Ky. Ct. App. 1994).

4.Penalization.

Where the Cabinet for Human Resources granted two (2) successive grade and salary increases for all nursing classifications within the cabinet with the single exception of the position of nurse consultant/inspector (NC/I), NC/I’s, who supervised the other classes of nurses, were penalized within the meaning of subsection (17) (now (24)) of this section. Cabinet for Human Resources v. Kentucky State Personnel Bd., 846 S.W.2d 711, 1992 Ky. App. LEXIS 147 (Ky. Ct. App. 1992).

Where the Department of Parks Commissioner removed the employee from her job and installed her at another job that she did not request or desire, this did not constitute a voluntary “transfer” under subsection (34) (now (38)), but should properly be considered under subsection (17) (now (24)), which specifically encompasses involuntary transfers. Tourism Cabinet, Dep't of Parks v. Stosberg, 948 S.W.2d 425, 1997 Ky. App. LEXIS 65 (Ky. Ct. App. 1997).

Applicants for two (2) positions in the defendant department were penalized by the hiring of two (2) other persons for those positions, notwithstanding the contention of the department that it actually broadened the rights of the applicants by considering them all for both positions instead of the position for which each had applied, where the department failed to follow applicable personnel laws in filling the positions. Commonwealth Educ. & Humanities Cabinet Dep't of Educ. v. Gobert, 979 S.W.2d 922, 1998 Ky. App. LEXIS 121 (Ky. Ct. App. 1998).

State’s attempt to deny permanent part-time employees a salary increase under a budget bill amounted to an improper penalization as state personnel board’s finding that they were full-time de facto employees entitled to the salary increase was supported by substantial evidence: they were told the permanent part-time employee was for regulatory purposes only, that they would have the same rights and benefits as permanent full-time employees, and the only difference between them and the full-time employees involved how overtime was paid. Commonwealth v. Bridewell, 62 S.W.3d 370, 2001 Ky. LEXIS 221 ( Ky. 2001 ).

5.Status.

A school teacher who was employed in a “classified position” was entitled to a due process hearing upon termination and anything less than that was insufficient. (Decided under prior law) Wagner v. Department of Education, State Personnel Board, 549 S.W.2d 300, 1977 Ky. LEXIS 409 ( Ky. 1977 ).

State employee who was a classified employee with “status”, and therefore could not be demoted without cause, had a protected property interest in her job. Williams v. Kentucky, 24 F.3d 1526, 1994 FED App. 0174P, 1994 U.S. App. LEXIS 12386 (6th Cir. Ky.), cert. denied, 513 U.S. 947, 115 S. Ct. 358, 130 L. Ed. 2d 312, 1994 U.S. LEXIS 7368 (U.S. 1994).

Employee was defined as a person regularly appointed to a position in the state’s service for which he was compensated on a full-time or part-time basis, but courts may be permitted to look past the technical classification and determine that permanent part-time employees were full-time de facto employees. Commonwealth v. Bridewell, 62 S.W.3d 370, 2001 Ky. LEXIS 221 ( Ky. 2001 ).

Trial court erred in reversing the ruling of the Commonwealth’s personnel board to dismiss the employee’s grievance of the warden’s decision not to allow the rescission of the employee’s resignation; KRS 18A.095 does not permit an employee to rescind a resignation prior to the time that the employee actually resigned since the statute does not mention the term “resignation.” Commonwealth v. Searcy, 2007 Ky. App. LEXIS 103 (Ky. Ct. App. Apr. 6, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 256 (Ky. Ct. App. Apr. 6, 2007), review denied, ordered not published, 2008 Ky. LEXIS 190 (Ky. Apr. 16, 2008).

6.Seniority.

Where two applicants applied for a state position of administrative secretary, and the hiring administrator awarded the position to the applicant who had the most seniority within his department, the unsuccessful applicant appealed the decision under KRS 18A.0751(4)(f), which provides that agencies shall consider seniority among other criteria, this section, which defines seniority as the total months of state service of an employee, should have been used in preference to the seniority within department criteria, which fell under a category of job knowledge gained over time. Bowling v. Natural Resources & Envtl. Protection Cabinet, 891 S.W.2d 406, 1994 Ky. App. LEXIS 157 (Ky. Ct. App. 1994).

7.Reinstated — Reemployed.

Because their jobs were abolished under KRS 156.016, a part of the Kentucky Education Reform Act, employees of the Kentucky Department of Education, dismissed from their jobs, rehired, and subsequently terminated, were not “reinstated” or “reemployed” and were therefore under “initial probation” and not “promotional probation” when they were discharged and did not have the right to an appeal before the Personnel Board. Hart v. Personnel Bd., 905 S.W.2d 507, 1995 Ky. App. LEXIS 154 (Ky. Ct. App. 1995).

8.Written Reprimand.

Order affirming the dismissal of an employee’s challenge to a written employment reprimand was proper because the exclusion of written reprimands from KRS 18A.005(24) and the creation of an administrative remedy for disciplinary actions were determinative of a legislative intent to foreclose appeal to the Kentucky Personnel Board for those aggrieved by written reprimand. Perkins v. Cabinet for Health & Family Servs., 2007 Ky. App. LEXIS 192 (Ky. Ct. App. June 29, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 1045 (Ky. Ct. App. June 29, 2007), review denied, ordered not published, 2008 Ky. LEXIS 191 (Ky. Apr. 16, 2008).

Cited in:

Hughes v. Ky. Horse Racing Auth., 179 S.W.3d 865, 2004 Ky. App. LEXIS 106 (Ky. Ct. App. 2004); Faust v. Commonwealth, 142 S.W.3d 89, 2004 Ky. LEXIS 180 ( Ky. 2004 ).

Opinions of Attorney General.

The word “rule,” as used in KRS 18A.005 to 18A.200 , means “administrative regulation”; the Personnel Board has the exclusive authority to adopt regulations pertaining to classified service and appeals of sanctions imposed against classified employees. OAG 85-21 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. IV, 4 at 938.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. IV, 4 at 1381.

18A.010. General purpose of KRS 18A.005 to 18A.200 — Total number of employees limited.

  1. The general purpose of KRS 18A.005 to 18A.200 is to establish for the state a system of personnel administration based on merit principles and scientific methods governing the recruitment, examination, appointment, promotion, transfer, lay-off, removal, discipline, and welfare of its classified employees and other incidents of state employment. All appointments and promotions to positions in the state classified service shall be made solely on the basis of merit and fitness, to be ascertained by competitive examination, except as hereinafter specified. The General Assembly finds that this chapter is necessary in order to improve the morale and motivation of state employees and to gain the maximum utilization of human resources in order to provide better service to the citizens of this Commonwealth.
  2. The total number of permanent full-time personnel employed in agencies of the executive branch shall not exceed thirty-three thousand (33,000).
  3. The provisions of subsection (2) of this section do not apply to teachers, career guidance coaches and counselors, or school administrators employed in state-operated area technology centers, or employees of the General Assembly, the Legislative Research Commission, the Kentucky Higher Education Assistance Authority, the Kentucky Higher Education Student Loan Corporation, or the Court of Justice.
  4. As used in this section, “career guidance coach” has the same meaning as in KRS 158.810.

History. Enact. 1982, ch. 381, § 8, effective July 15, 1982; repealed, reenact. and amend. 1982, ch. 448, § 2, effective July 15, 1982; 1996, ch. 350, § 4, effective July 15, 1996; 2012, ch. 150, § 8, effective April 19, 2012.

Compiler’s Notes.

Subsection (1) of this section was formerly compiled as KRS 18.120 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 2.

Subsections (2) and (3) of this section were enacted by Acts 1982, ch. 381, § 8.

Legislative Research Commission Notes.

(4/19/2012). 2012 Ky. Acts ch. 150, sec. 10, provides that the Act, which included an amendment to this statute, shall be known as the “Career Pathways Act of 2012.”

NOTES TO DECISIONS

1.Merit System.

Pursuant to KRS 18A.075 , the State Personnel Board has the duty to investigate whether a position is properly or improperly excluded from the classified service, in order to protect the integrity of the merit system, and the board has a duty to act to enforce the provisions of KRS 18A.005 to 18A.200 , where it believes that the unlawful use of unclassified positions infringes on the principles of the merit system. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

Cited in:

Commonwealth Office of the Jefferson County Clerk v. Gordon, 892 S.W.2d 565, 1994 Ky. LEXIS 144 ( Ky. 1994 ).

Opinions of Attorney General.

The Fayette Urban County Government Human Rights Commission is fully authorized to handle complaints against the state or its agencies concerning civil rights violations in Fayette County even though the complaining employee is a merit employee of the state or its agencies. OAG 83-482 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, G, 1, (3) at 879.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, G, 1, (2) at 1318.

18A.015. Creation of Personnel Cabinet — Provision for administrative costs.

  1. There shall be created by KRS 18A.005 to 18A.200 a Personnel Cabinet headed by a secretary who shall be appointed by the Governor.
  2. Appropriations shall be made from the general expenditure fund to the cabinet to meet the estimated pro rata share of the cost of administering the provisions of this chapter for departments, commissions, boards, or agencies which receive their sole support from the general expenditure fund.
  3. The secretary shall maintain accurate records reflecting the cost of administering the provisions of this chapter. At the close of each quarter year period he shall summarize the cost and shall bill each department, commission, board, or agency which receives support from sources other than the general expenditure fund, except the Department of Fish and Wildlife Resources, for a pro rata share of the administrative cost based on the relationship between the quarterly average number of employees in the service of such department, commission, board, or agency and the quarterly average number of employees in the service of all the departments, commissions, boards, and agencies for the appropriate calendar quarter.
  4. All departments, commissions, boards, or agencies which receive support from other than the general expenditure fund, except the Department of Fish and Wildlife Resources, shall include in their budgets sufficient amounts to meet their pro rata shares of the cost of administering KRS 18A.005 to 18A.200 and shall remit such shares quarterly to the department in the manner provided by law.
  5. The cabinet is authorized and directed to accept on behalf of the state any grant or contribution, federal or otherwise, made to assist in meeting the cost of carrying out the purposes of KRS 18A.005 to 18A.200 .

History. Repealed, reenact. and amend. 1982, ch. 448, § 3, effective July 15, 1982; 1998, ch. 154, § 11, effective July 15, 1998.

Compiler's Notes.

This section was formerly compiled as KRS 18.160 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 3.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.020. Records of Personnel Cabinet subject to open records law — Employee access to personnel files.

  1. The records of the cabinet shall be public records and shall be open to public inspection, as provided in KRS 61.870 to 61.884 .
    1. A personnel file shall be maintained by the cabinet and the appointing authority for each employee. The file maintained by the cabinet shall be the official personnel file for the employee. Upon transfer, the personnel file maintained by the appointing authority from which the employee transfers shall be forwarded to the new appointing authority; (2) (a) A personnel file shall be maintained by the cabinet and the appointing authority for each employee. The file maintained by the cabinet shall be the official personnel file for the employee. Upon transfer, the personnel file maintained by the appointing authority from which the employee transfers shall be forwarded to the new appointing authority;
    2. Each file shall include, but not be limited to, for each employee, his name, address, title of positions held, classification, rates of compensation, all changes in status including evaluations, promotions, demotions, lay-offs, transfers, disciplinary actions, commendations, awards, and preliminary and other supporting documentation for each action. Each file shall contain the complete record and supporting documentation for each personnel action;
    3. Whenever an employee is reprimanded for misconduct, other infraction, or failure to perform his duties in a proper or adequate manner, the supervising employee taking such action shall document such action in detail, and shall provide the employee with a copy of such documentation. The supervising employee shall inform the employee that he has the right to prepare a written response to the action taken after he has reviewed the written documentation prepared by the supervising employee. Such response shall be attached to the documentation prepared by the supervising employee. The supervising employee shall place a copy of the documentation and response provided for herein in the employee’s personnel file and shall transmit a copy to the cabinet to be placed in the official personnel file of the employee. The supervising employee shall notify the employee that copies of the documentation and the response provided for herein have been placed in his personnel files.
  2. Upon written request, an employee shall have the right to examine his personnel file. An employee may comment in writing on any item in his file. Such comments shall be made a part of his file and shall be attached to the specific record or document to which they pertain.
  3. Upon written request a state employee, an applicant for employment, and an eligible on a register shall have the right to inspect and to copy any record and preliminary documentation and other supporting documentation that relates to him, except that an applicant, an eligible, or a state employee shall not have the right to inspect or to copy any examination materials.
  4. No public agency, as defined by KRS 61.870 , and no officer or employee shall deny, abridge, or impede the exercise of the rights granted in any manner by this section and by KRS 61.878 .

History. Repealed, reenact. and amend. 1982, ch. 448, § 4, effective July 15, 1982; 1986, ch. 494, § 8, effective July 15, 1986; 1998, ch. 154, § 12, effective July 15, 1998.

Compiler's Notes.

This section was formerly compiled as KRS 18.290 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 4.

NOTES TO DECISIONS

1.Appeal of Written Reprimand.

Order affirming the dismissal of an employee’s challenge to a written employment reprimand was proper because the exclusion of written reprimands from KRS 18A.005(24) and the creation of an administrative remedy for disciplinary actions were determinative of a legislative intent to foreclose appeal to the Kentucky Personnel Board for those aggrieved by written reprimand. Perkins v. Cabinet for Health & Family Servs., 2007 Ky. App. LEXIS 192 (Ky. Ct. App. June 29, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 1045 (Ky. Ct. App. June 29, 2007), review denied, ordered not published, 2008 Ky. LEXIS 191 (Ky. Apr. 16, 2008).

Opinions of Attorney General.

Clearly, the Personnel Department of state government has no authority to regulate university personnel matters, and any changes wrought in the laws pertaining to state employees governed by this Chapter have no bearing on university employees. Accordingly, this section and, to the extent that it merely cross references the latter provision, KRS 61.878(3) are inapplicable to university personnel policies and procedures. OAG 91-128 .

The 1986 amendments to this section and KRS 61.878(3) do not preclude a university from properly withholding records under KRS 61.878(1)(a) through (j) when a request is made by a university employee for records pertaining to him. OAG 91-128 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.025. Appointment of secretary of Personnel Cabinet — Responsibilities — Organization and duties of cabinet.

  1. The Governor shall appoint the secretary of personnel as provided in KRS 18A.015 , who shall be considered an employee of the state. The secretary shall be a graduate of an accredited college or university and have at least five (5) years’ experience in personnel administration or in related fields, have known sympathies with the merit principle in government and shall be dedicated to the preservation of this principle. Additional education may be substituted for the required experience and additional experience may be substituted for the required education.
  2. The secretary of the Personnel Cabinet or the secretary’s designee, shall be responsible for the coordination of the state’s affirmative action plan, established by KRS 18A.138 .
  3. There is established within the Personnel Cabinet the following offices, departments, and divisions, each of which shall be headed by either a commissioner, executive director, or division director appointed by the secretary, subject to the prior approval of the Governor pursuant to KRS 12.040 or 12.050 , depending on the level of the appointment, except that the Kentucky Employees Deferred Compensation Authority shall be headed by an executive director who shall be appointed by the authority’s board of directors:
    1. Office of the Secretary, which shall be responsible for communication with state employees about personnel and other relevant issues and for the administration and coordination of the following:
      1. Office of Employee Relations, composed of the following programs:
        1. Workers’ Compensation Program pursuant to KRS 18A.375 ;
        2. Sick leave Sharing Program, pursuant to KRS 18A.197 ;
        3. Annual Leave Sharing Program, pursuant to KRS 18A.203 ;
        4. Health and Safety Program;
        5. Employee Assistance Program;
        6. Employee Incentive Programs, pursuant to KRS 18A.202 ;
        7. Employee Mediation Program; and
        8. Living Organ Donor Leave Program, pursuant to KRS 18A.194 ;
      2. Office of Administrative Services, which shall be responsible for the Personnel Cabinet’s administrative functions, composed of the following programs:
        1. Division of Technology Services;
        2. Division of Human Resources; and
        3. Division of Financial Services;
      3. Office of Legal Services, which shall provide legal services to the Personnel Cabinet and to executive branch agencies and their representatives upon request;
      4. Office of Diversity, Equality, and Training, which shall coordinate and implement diversity initiatives for state agencies, the affirmative action plan established by KRS 18A.138 , the state Equal Employment Opportunity Program, and the Minority Management Trainee Program;
      5. Governmental Services Center, which shall be responsible for employee and managerial training and organizational development;
      6. Kentucky Public Employees Deferred Compensation Authority, which shall maintain a deferred compensation plan for state employees; and
      7. Office of Public Affairs, which shall assist in all aspects of developing and executing the strategic direction of the cabinet;
    2. Department of Human Resources Administration, which shall be composed of the:
      1. Division of Employee Management, which shall be responsible for payroll, records, classification, and compensation. The division shall also be responsible for implementing lay-off plans mandated by KRS 18A.113 to 118A.1132 and shall monitor and assist state agencies in complying with the provisions of the federal Fair Labor Standards Act. The division shall:
        1. Maintain the central personnel files mandated by KRS 18A.020 and process personnel documents and position actions;
        2. Operate and maintain a uniform payroll system and certify payrolls as required by KRS 18A.125 ;
        3. Maintain plans of classification and compensation for state service and review and evaluate the plans; and
        4. Coordinate and implement the employee performance evaluation systems throughout state government; and
      2. Division of Career Opportunities, which shall be responsible for employment counseling, applicant processing, employment register, and staffing analysis functions. The division shall:
        1. Operate a centralized applicant and employee counseling program;
        2. Operate, coordinate, and construct the examination program for state employment;
        3. Prepare registers of candidate employment; and
        4. Coordinate outreach programs, such as recruitment and the Administrative Intern Program; and
    3. Department of Employee Insurance, which shall be responsible for the:
      1. Health Insurance Program, pursuant to KRS 18A.225 ;
      2. Flexible Benefit Plan, pursuant to KRS 18A.227 ;
      3. Division of Insurance Administration, which shall be responsible for enrollment and service functions;
      4. Division of Financial and Data Services, which shall be responsible for fiscal and data analysis functions; and
      5. Life Insurance Program pursuant to KRS 18A.205 to 18A.220 .
  4. The cabinet shall include principal assistants appointed by the secretary, pursuant to KRS 12.050 or 18A.115(1)(g) and (h), as necessary for the development and implementation of policy. The secretary may employ, pursuant to the provisions of this chapter, personnel necessary to execute the functions and duties of the department.

History. Repealed, reenact. and amend. 1982, ch. 448, § 5, effective July 15, 1982; 1984, ch. 346, § 3, effective July 13, 1984; 1984, ch. 404, § 8, effective July 13, 1984; 1986, ch. 98, § 1, effective July 15, 1986; 1986, ch. 494, § 9, effective July 15, 1986; 1994, ch. 116, § 1, effective July 15, 1994; 1998, ch. 82, § 2, effective July 15, 1998; 1998, ch. 154, § 13, effective July 15, 1998; 2000, ch. 97, § 2, effective July 14, 2000; 2001, ch. 70, § 2, effective March 15, 2001; 2002, ch. 122, § 2, effective July 15, 2002; 2005, ch. 97, § 2, effective June 20, 2005; 2012, ch. 10, § 2, effective July 12, 2012; 2017 ch. 111, § 2, effective June 29, 2017; 2020 ch. 107, § 2, effective July 15, 2020.

Compiler's Notes.

This section was formerly compiled as KRS 18.180 (Enact. Acts 1960, ch. 63, § 7; 1966, ch. 255, § 22; 1972, ch. 13, § 4; 1982, ch. 393, § 13) and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 5.

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts ch. 97, sec. 2, amends this section to insert a reference to “KRS 18A.115 (g) and (h)” in subsection (4). Because only subsection (1) of KRS 18A.115 contains paragraphs (g) and (h), and those paragraphs relate to principal assistants exempted from classified service, the reference has been changed in codification to “KRS 18A.115(1)(g) and (h)” under KRS 7.136(1)(e) and (h).

(6/20/2005). The Reviser of Statutes has renumbered the subparagraphs of subsection (3)(a) of this statute and deleted the word “which” under the authority of KRS 7.136(1)(a) and (h).

Research References and Practice Aids

Cross-References.

Compensation, KRS 64.640 .

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.030. Duties of secretary.

  1. The secretary shall be the executive and administrative head of the cabinet and shall supervise and control all examinations and work of the cabinet. He shall advise the board on matters pertaining to the classified service of this state. Within the limitations of the budget, the secretary shall appoint and supervise the staff needed in the cabinet to carry out the purposes of KRS 18A.005 to 18A.200 except employees of the board who shall be appointed as provided in KRS 18A.090 .
  2. Subject to the provisions of this chapter and KRS Chapter 13A, the secretary shall, with the aid of his staff:
    1. Attend all meetings of the board;
    2. As provided by this chapter, promulgate comprehensive administrative regulations consistent with the provisions of KRS Chapters 13A and 18A, and with federal standards for the administration of a personnel system in the agencies of the state government receiving federal grants;
    3. Establish general procedures for personnel recruitment, for certification, and for improving the efficiency of employed personnel;
    4. Appoint the examiners and technicians necessary for the conduct of the personnel program, whether on a permanent or temporary basis;
    5. Prepare and maintain a record of all employees, showing for each employee his name, address, title of position held, rate of compensation, changes in status, compensation, or title, transfer, and to make the data and the class specifications for all positions available to the press and public;
    6. Prepare, in accordance with the provisions of KRS 18A.005 to 18A.200 and the administrative regulations adopted thereunder, examinations, eligible lists, and ratings of candidates for appointment;
    7. Make certification for appointment or promotion within the classified service, in accordance with the provisions of KRS 18A.005 to 18A.200 ;
    8. Make investigations concerning all matters touching the enforcement and effect of the provisions of KRS 18A.005 to 18A.200 and administrative regulations prescribed thereunder;
    9. Prepare, in cooperation with appointing authorities and others, programs for employee training, safety, morale, work motivation, health, counseling, and welfare, and exercise leadership in the development of effective personnel administration within the several departments of the Commonwealth, and make available the facilities of the department to this end;
    10. Provide personnel services to unclassified employees in agreement with the agencies involved not otherwise provided for in KRS 18A.005 to 18A.200;
    11. Present, in accordance with the provisions of KRS Chapter 48, budget requests for the support of the personnel system created by KRS 18A.005 to 18A.200, excluding the board, which shall present its own budget estimates;
    12. Make a report and submit the same to the board, the Legislative Research Commission, and the Governor not later than October first of each year;
    13. Propose selection method changes for any classification to the Personnel Board with documentation justifying the need for the selection method change. The Personnel Board shall, at its next regularly scheduled monthly meeting, review and comment on any proposed selection method change. A classification shall not have its selection method changed without review and comment by the Personnel Board; and
    14. Discharge the other duties imposed upon him by KRS 18A.005 to 18A.200.
  3. The secretary on behalf of the cabinet may join or subscribe to any association or service having as its purpose the interchange of information relating to the improvement of the public service and especially improvement of personnel administration.
  4. The secretary shall keep records relative to employee turnover and report to the board, the Governor, and the Legislative Research Commission quarterly. The report shall reflect employee turnover rates by cabinet, department, bureau, division, and section. If any cabinet, department, bureau, division, or section has a turnover rate of fifteen percent (15%) or more in any twelve (12) month period, the secretary shall conduct an investigation into the reasons for the turnover and report the findings to the board, the Governor, and the Legislative Research Commission.
  5. The secretary shall provide to each new state employee and to each existing state employee, classified or otherwise, on an annual basis an informational pamphlet about human immunodeficiency virus infection and acquired immunodeficiency syndrome. The pamphlet shall be approved by the Cabinet for Health and Family Services and shall contain information about the nature and extent of these diseases, methods of transmission, preventive measures, and referral services.
  6. The secretary shall establish and maintain a list of all filled positions exempted from classified service under KRS 18A.115(1) (e), (g), (h), (i), (k), (t), (w), (aa), and (ab). The list shall include the following information for each filled position:
    1. The name of the agency where the position is assigned;
    2. The statutory authority for the unclassified status of the position;
    3. The title of the position;
    4. The pay grade of the position;
    5. The annual salary of the employee in the position; and
    6. The work county of the employee in the position.
  7. Beginning September 1, 2010, and every six (6) months thereafter, the secretary shall provide the Governor and the Legislative Research Commission with a copy of the list described in subsection (6) of this section, and shall indicate on the list any position that has been added to the list since the last submission.
  8. The secretary shall perform organizational analysis and review.

HISTORY: Repealed, reenact. and amend. Acts 1982, ch. 448, § 6, effective July 15, 1982; 1982, ch. 450, § 53, effective July 1, 1983; 1986, ch. 494, § 10, effective July 15, 1986; 1990, ch. 443, § 31, effective July 13, 1990; 1998, ch. 154, § 14, effective July 15, 1998; 1998, ch. 426, § 77, effective July 15, 1998; 2005, ch. 99, § 95, effective June 20, 2005; 2010, ch. 153, § 2, effective April 13, 2010; 2017 ch. 53, § 2, effective June 29, 2017.

Compiler's Notes.

This section was formerly compiled as KRS 18.190 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 6.

Opinions of Attorney General.

A state agency legally may grant tuition assistance or tuition reimbursement to a state employee based on KRS 164.357 which gives authority for coordination, implementation, and approval of training and employee development programs to the Governmental Services Center. OAG 91-120 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.032. Applicants to and eligibles for the classified service — Examination — Placement on and removal from registers — Certification for employment.

  1. Except as provided by the provisions of this chapter, the secretary may refuse to examine an applicant; or, after examination, may disqualify an applicant, remove his name from a register, refuse to certify any eligible on a register, or may consult with the appointing authority in taking steps to remove such person already appointed if:
    1. It is found that he does not meet any one (1) of the preliminary requirements established for the examination for the class of position;
    2. He is unable to perform the duties of the class;
    3. He has made a false statement of material fact in his application;
    4. He has used or attempted to use political pressure or bribery to secure an advantage in the examination;
    5. He has directly or indirectly obtained information regarding the examination to which, as an applicant, he was not entitled;
    6. He has failed to submit his application correctly or within the prescribed time limits;
    7. He has taken part in the compilation, administration, or correction of the examination for which he is an applicant;
    8. He has previously been dismissed from a position in the state service for cause or has resigned while charges for dismissal for cause of which he had knowledge were pending;
    9. He has been convicted of a felony within the preceding five (5) years and his civil rights have not been restored or he has not been pardoned by the Governor;
    10. He has been convicted of a job related misdemeanor, except that convictions for violations of traffic regulations shall not constitute grounds for disqualification; or
    11. He has otherwise willfully violated the provisions of this chapter.
  2. An eligible may be removed from a register:
    1. If the eligible cannot be located by postal authorities at the last address provided by the eligible;
    2. If the eligible responds in writing that he no longer desires consideration for position in that class;
    3. If the eligible declines an offer of probationary appointment to the class for which the register was established;
    4. If it is shown that the eligible is not qualified or is unsuitable for appointment to the class for which the register is established;
    5. If the eligible fails to reply within a period of ten (10) calendar days of the receipt of the written request of the appointing authority for an interview, or fails to appear for an interview which he has scheduled with the appointing authority without good cause;
    6. If the eligible accepts an appointment and fails to present himself for duty at the time and place agreed to without giving reasons for the delay satisfactory to the appointing authority; or
    7. If the eligible states in writing that he is not available for appointment or does not wish to be considered for appointment.
  3. When an eligible notifies the cabinet in writing that he is unavailable for employment or employment consideration, the cabinet may remove the name of that eligible from the appropriate register without further notification to the person.
  4. When the cabinet is notified in writing by an appointing authority that an eligible has accepted a bona fide offer of probationary appointment to any position, effective on a specified date, his name may be removed from the register for all classes for which the maximum salary is the same or less than that of the class to which he has been appointed.

History. Enact. Acts 1986, ch. 494, § 1, effective July 15, 1986; 1988, ch. 190, § 1, effective April 4, 1988; 1998, ch. 154, § 15, effective July 15, 1998.

NOTES TO DECISIONS

Cited in:

Leonard v. Corrections Cabinet, 828 S.W.2d 668, 1992 Ky. App. LEXIS 75 (Ky. Ct. App. 1992).

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

Northern Kentucky Law Review.

2008 Criminal Law Issue: Note: Kentucky’s Statutory Collateral Consequences Arising From Felony Convictions: A Practitioner’s Guide, 35 N. Ky. L. Rev. 413 (2008).

18A.035. Delegation of secretary’s powers — Assistance in testing — Membership on Kentucky Employees Retirement System board.

  1. The secretary may from time to time designate in writing an employee of the cabinet to act for him in case of his absence or inability from any cause to discharge the powers and duties of his position. In this case, the powers and duties of the secretary shall devolve upon his designee.
  2. The secretary may request appropriate persons, including officers and employees in the state service, to assist in the preparation and rating of tests. Department heads shall cooperate to the fullest extent possible in making the services of their employees available for such work.
    1. The secretary may enter into written agreements with an appointing authority which would provide for the delegation of his authority and power to the appointing authority. The secretary is prohibited from delegating any powers or authority pertaining to disciplinary actions, lay-offs, or registers. (3) (a) The secretary may enter into written agreements with an appointing authority which would provide for the delegation of his authority and power to the appointing authority. The secretary is prohibited from delegating any powers or authority pertaining to disciplinary actions, lay-offs, or registers.
    2. All written agreements delegating the secretary’s power and authority as provided in paragraph (a) of this subsection shall be specific in nature and renewed annually.
    3. A copy of the written agreements shall be forwarded to the Personnel Board.
  3. The secretary shall serve ex officio as a member of the board of trustees of the Kentucky Employees Retirement System.

History. Enact. Acts 1960, ch. 63, §§ 8 and 17; repealed and reenact., Acts 1982, ch. 448, § 7, effective July 15, 1982; 1994, ch. 180, § 1, effective July 15, 1994; 1998, ch. 154, § 16, effective July 15, 1998.

Compiler's Notes.

This section was formerly compiled as KRS 18.200 and was repealed and reenacted as this section by Acts 1982, ch. 448, § 7.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.037. New system of job classification and compensation.

  1. The commissioner shall develop and propose a new system of classification and compensation to be transmitted to the Legislative Research Commission by November 15, 1997. The system proposed by the commissioner shall be developed using a nationally-recognized system for evaluating job requirements. The proposed system shall determine the requirements of each job classification by using factors such as, but not limited to, knowledge, skill, effort, responsibility, accountability, problem solving, discretion, challenge, and working conditions, to ensure pay equity as required by KRS Chapters 337 and 344.
  2. The commissioner shall include, as a part of the proposal, estimated funding requirements for the implementation of the system.

History. Enact. Acts 1996, ch. 296, § 1, effective July 15, 1996; 1998, ch. 487, § 1, effective July 15, 1998.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.040. Compliance with federal standards.

The board and the secretary shall see that rules, regulations and practices meeting federal merit system standards shall, where such standards apply as a prerequisite for federal grants-in-aid, be in effect continuously, notwithstanding any other provision of KRS 18A.005 to 18A.200 .

History. Repealed, reenact. and amend. Acts 1982, ch. 448, § 8, effective July 15, 1982; 2010, ch. 153, § 3, effective April 13, 2010.

Compiler's Notes.

This section was formerly compiled as KRS 18.340 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 8.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.043. Administrative regulations to implement Federal Drug-Free Workplace Act.

The secretary of the Personnel Cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A, to implement the provisions of the Federal Drug-Free Workplace Act of 1988, Subtitle D of Public Law 100-690, so that the Commonwealth of Kentucky can certify that it has met the requirements designed to promote a drug-free workplace for all state employees.

History. Enact. Acts 1990, ch. 483, § 7, effective July 13, 1990; 1998, ch. 154, § 17, effective July 15, 1998.

Compiler's Notes.

The federal Drug Free Workplace Act of 1988, Subtitle D of Public Law 100-690, was formerly compiled as 41 USCS § 701 et seq. (see now 41 USCS § 8102, et seq.)

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.045. Creation of Personnel Board — Membership — Prohibited acts.

  1. There is hereby created a Personnel Board in which shall be vested the constitutional powers and responsibilities of officers of the Commonwealth. The board shall consist of seven (7) members, five (5) of whom shall be appointed by the Governor as provided in KRS 18A.050 . Two (2) members of the board shall be elected by classified employees as provided in KRS 18A.0551 .
  2. Personnel Board members shall not accept gifts as provided in KRS 11A.045(1), benefit under any contract or agreement as provided in KRS 11A.040(4), or fail to disclose to other members of the board any direct or indirect conflict of interest as described in KRS 11A.005(2)(c).
  3. Any person retaliating in any manner and any person ordering retaliation against a classified employee or a member of his family because he has participated in an election to the board, either by being a candidate or voting for a candidate, shall be subject to the provisions of KRS 18A.990 .

History. Enact. Acts 1982, ch. 448, § 9, effective July 15, 1982; 2010, ch. 153, § 4, effective April 13, 2010.

NOTES TO DECISIONS

1.Challenging Board Actions.

Former Commissioner of the Kentucky Department of Juvenile Justice could not challenge a decision by the Kentucky Board of Personnel, which determined that it did not have jurisdiction to hear the Commissioner’s claim, by filing a claim under 42 USCS § 1983 against the governor, the former governor, the Secretary of the Justice Cabinet and the former Secretary, because the state officials named as defendants did not have authority over the Board of Personnel to influence its decisions or to grant the relief requested by the plaintiff. Kelly v. Burks, 414 F. Supp. 2d 681, 2006 U.S. Dist. LEXIS 4704 (E.D. Ky. 2006 ).

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.050. Personnel Board — Grandfather clause — Composition — Terms — Automatic termination.

  1. Any person serving on the board on July 15, 1982, shall serve until the expiration of his current term of office. Subsequent appointments shall be for a term of four (4) years from the date of expiration of the term for which his predecessor was appointed as provided in subsections (2) and (3) of this section, except that a person appointed to fill a vacancy prior to the expiration of such term shall be appointed in the same manner as provided in KRS 18A.045 and for the remainder of such term.
  2. Upon the expiration of the terms of office of the two (2) board members whose terms expire January 1, 1984, the Governor shall appoint two (2) members from a list of four (4) names submitted by the Legislative Research Commission. Thereafter, upon the expiration of these terms, such terms shall be filled in the same manner as provided in this subsection.
  3. Upon the expiration of the terms of office, of the members whose terms expire December 31, 1982, January 1, 1985, and January 1, 1986, the Governor shall appoint citizens at large who are not associated with state government in any manner. Thereafter upon the expiration of these terms, such terms shall be filled in the same manner as provided in this subsection.
  4. These five (5) appointments to the board shall be subject to confirmation by the Senate. If the Senate is not in session, these five (5) appointments shall be subject to review by the Interim Joint Committee on State Government which shall hold a public hearing and shall transmit its recommendations to the Senate.
  5. The initial election of classified employees to the board shall be held as provided in KRS 18A.0551 . The two (2) classified employees initially elected to the board shall serve until July 1, 1986. Subsequent elections shall be for a term of four (4) years from the date of expiration of the term for which his predecessor was elected. If a vacancy occurs prior to the expiration of such term, the board shall fill the vacancy as provided in KRS 18A.060 .
  6. If an elected board member accepts an unclassified position with state government, his membership on the board shall be terminated immediately and the vacancy shall be filled as provided in KRS 18A.060 .
  7. If an elected board member accepts a classified position in a cabinet employing another board member or if, through no fault of his own, he is placed in that cabinet, his membership on the board shall not be terminated for the remainder of his term.

History. Enact. Acts 1982, ch. 448, § 10, effective July 15, 1982; 1986, ch. 494, § 11, effective July 15, 1986; 2010, ch. 153, § 5, effective April 13, 2010.

Compiler's Notes.

The provisions of subsection (2) of this section which direct that the Governor is to make appointments to the Personnel Board solely from lists submitted to him by the Legislative Research Commission were declared invalid in Legislative Research Comm’n ex rel. Prather v. Brown , 664 S.W.2d 907 ( Ky. 1984 ).

NOTES TO DECISIONS

1.Invalid Restriction on Appointment Power.

The provisions of this section which direct the Governor to make appointments to the Personnel Board solely from lists submitted to him by the Legislative Research Commission are an invalid incursion by the legislative branch of government into the separation of powers doctrine. Legislative Research Com. by Prather v. Brown, 664 S.W.2d 907, 1984 Ky. LEXIS 300 ( Ky. 1984 ).

Opinions of Attorney General.

Members of the Personnel Board elected from a department pursuant to KRS 18A.055 (now repealed) regarding possible conflict of interests need not recuse themselves merely because they are from a particular cabinet or department; however, where there is a more personal relationship as where they have a personal relationship to the parties involved or they have testified in a particular case they should not participate in discussion or voting, but a determination can only be made on a case-by-case basis. The situation where such members are members of such groups as the Ten-Forty Club, Ten-Ure Club, or the Kentucky Association of Transportation Engineers or Kentucky Association of State Employees is quite removed from a possible conflict unless there are special circumstances which would be more direct and involved. OAG 82-516 .

A personnel board member may hold over after his term has expired and until a successor has been appointed and qualified. OAG 89-14 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

Kentucky Law Journal.

Snyder and Irland, The Separation of Governmental Powers Under the Constitution of Kentucky: A Legal and Historical Analysis of L.R.C. v. Brown, 73 Ky. L.J. 165 (1984-85).

18A.055. Board elections to be held by department — Campaign restrictions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 448, § 11, effective July 15, 1982) was repealed by Acts 1986, ch. 494, § 28, effective July 15, 1986.

18A.0551. Personnel Board elections — Procedures.

    1. Elections to the board shall be scheduled every four (4) years on or before June 15. The board shall provide written notification of the date of the election to all classified employees on or before April 1; and (1) (a) Elections to the board shall be scheduled every four (4) years on or before June 15. The board shall provide written notification of the date of the election to all classified employees on or before April 1; and
    2. Upon receipt of the notification provided for by paragraph (a) of this subsection, an employee wishing to serve on the board shall notify the board, in writing, no later than May 15. This notification shall be notarized and shall include the candidate’s name, address, unique personal identification number, job classification, and length of state employment. It shall also include the name and address of his current employer.
  1. On the last working day of April, the cabinet shall certify a payroll listing to the board that is current on such day and that contains the name, unique personal identification number, and home address of every classified employee.
  2. At least ten (10) working days prior to the election provided for in subsection (1) of this section, the board shall mail to each classified employee whose name appeared on the payroll listing certified by the cabinet at his home address:
    1. A list of candidates for election to the board;
    2. Instructions for voting;
    3. A ballot listing the names of all candidates for election to the board; and
    4. An envelope for returning the ballot should the classified employee wish to return the ballot by first-class mail.
  3. Upon receipt of his ballot, a classified employee wishing to participate in the election provided for in subsection (1) of this section shall:
    1. Vote for no more than two (2) candidates on the ballot, following the instructions for voting;
    2. Print his or her unique personal identification number on the ballot in the space provided on the ballot; and
    3. Deliver the ballot to the board by any means, including first-class mail, facsimile, scanned e-mail, or hand delivery. Ballots shall arrive at the board’s principal address no later than the date of the election or be postmarked on or before the date of the election.
  4. The board shall:
    1. Select an impartial third party to receive, validate, and tabulate all returned ballots as provided by this subsection and subsection (6) of this section; and
    2. Provide the impartial third party with a computer-generated list of the unique personal identification numbers of eligible voters in numerical order.
  5. The impartial third party selected by the board shall collect all ballots from the board and:
    1. Set aside, untabulated, any envelope postmarked with, or ballot stamped as received at the board on, a date subsequent to the deadline provided for by this section;
    2. Verify the unique personal identification number on the ballot by comparing the number to the computer-generated list of unique personal identification numbers of eligible voters provided by the cabinet;
    3. Set aside, untabulated, any ballot containing a unique personal identification number that does not match the unique personal identification number appearing next to the name on the computer-generated list;
    4. Tabulate the timely ballots;
    5. Compare the total tabulated vote with the total number of eligible employees appearing on the computer generated list provided by the cabinet;
    6. Return the ballots; envelopes, including envelopes that have not been opened; and other election material to the board; and
    7. Certify to the board:
      1. That the tabulation does not include two (2) or more ballots with the same unique personal identification number;
      2. The total number of ballots received;
      3. The total number of ballots not included in the tabulation, and the reason each such ballot was not included in the tabulation;
      4. The total number of ballots included in the tabulation; and
      5. The total vote for each candidate.
  6. For at least sixty (60) days after the completion of the tabulation provided for by subsection (6) of this section, the ballots, envelopes, and other election materials provided for by this section shall be public record and open to inspection, but the home addresses and unique personal identification numbers of the eligible employees and voters shall be redacted prior to public inspection or disclosure.
  7. The two (2) candidates receiving the greatest number of votes shall be declared the successful candidates. In the event of a tie vote, the tie shall be broken by a coin toss in the presence of the candidates receiving the tie vote.
  8. Successful candidates shall be notified by the board no later than ten (10) working days after the election. Successful candidates shall take office immediately upon notification.
  9. State employees may use state materials or equipment, except for state-paid first-class postage, to vote in the election of classified employees to the board. Except for voting in accordance with this section, any activity related to the election of a classified employee to the board shall not be conducted during working hours.

History. Enact. Acts 1986, ch. 494, § 12, effective July 15, 1986; 1988, ch. 307, § 1, effective July 15, 1988; 1998, ch. 154, § 18, effective July 15, 1998; 2002, ch. 123, § 1, effective July 15, 2002; 2010, ch. 153, § 6, effective April 13, 2010.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.060. Vacancies of elected board members to be filled by board.

  1. If an elected member of the board vacates his seat for any reason other than the normal expiration of his term, the cabinet shall provide written notification of the vacancy to all classified employees within fifteen (15) days of the vacancy.
  2. Classified employees wishing to fill the vacancy shall notify the cabinet within ten (10) days of the cabinet’s notification of the vacancy.
  3. A majority of the remaining members of the board shall make the appointment to fill the vacancy from the list of those employees who have notified the board under subsection (2) of this section.

History. Enact. Acts 1982, ch. 448, § 12, effective July 15, 1982; 1998, ch. 154, § 19, effective July 15, 1998.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.065. Oaths, testimony, and production of records.

The board, each member of the board, the executive director and any hearing officer of the board and the secretary shall have the power to administer oaths, subpoena witnesses, and compel the production of books and papers pertinent to any investigation or hearing authorized by KRS 18A.005 to 18A.200 . Any person who shall fail to appear in response to a subpoena or to answer any question or produce any books or papers pertinent to any such investigation or hearing or who shall knowingly give false testimony therein shall be subject to the provisions of KRS 18A.990 .

History. Repealed, reenact. and amend. 1982, ch. 448, § 13, effective July 15, 1982; 1998, ch. 154, § 20, effective July 15, 1998.

Compiler's Notes.

This section was formerly compiled as KRS 18.280 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 13.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.070. Personnel board — Organization — Meeting notices required — Records to be public.

  1. The board shall annually elect one (1) of its members chairman and one (1) of its members vice chairman.
  2. The board shall meet at such time and place as shall be specified by call of the chairman. At least one (1) meeting shall be held each month.
  3. All meetings shall be open to the public as provided in KRS 61.805 to 61.850 . Any head of the department or agency employing an elected member of the board or any other person shall not prohibit him from attending meetings of the board, conducting the business of the board, influence or attempt to influence any decision made by that person, discipline the individual for attending the meeting, or take any other action inimical to the interests of the employee or his family. Any person violating the provisions of this subsection shall be subject to the provisions of KRS 18A.990 .
  4. At least seven (7) days in advance of each regular meeting, notice shall be given in writing to each member of the board by the executive director and the executive director shall post a notice in each building owned or leased by the state which houses at least five hundred (500) employees. Four (4) voting members shall constitute a quorum for the transaction of business. The board shall keep records and minutes of its business and official actions.
  5. All records of the board shall be public records and open to public inspection as provided in KRS 61.870 to 61.884 .

History. Enact. Acts 1982, ch. 448, § 14, effective July 15, 1982; 1988, ch. 278, § 1, effective July 15, 1988.

Opinions of Attorney General.

Except when the Personnel Board is deliberating a decision on a particular case involving an individual, or discussing a matter which is exempt under KRS 61.810 , its meetings are required to be open to the public under the provisions of subsection (3) of this section. OAG 83-20 .

When the Personnel Board is deciding a case involving the complaint of an applicant or an employee it is performing a quasi-judicial function and after the evidence is received in open session it may go into closed session to deliberate its decision. OAG 83-20 .

The Personnel Board may go into closed session at the time of its deliberation of recommended orders submitted by hearing officers and/or Board members, or to deliberate after it has received evidence in an open hearing, by following the procedure set forth in KRS 61.815 . The Personnel Board is authorized to conduct such closed sessions for the purpose of deliberation under KRS 61.810(6) (now KRS 61.810(1)(f)) which exempts from the open meetings requirement discussion or hearings which might lead to the appointment, discipline or dismissal of an individual employee; however, no final action by vote may be taken on such matter in the closed session. OAG 83-20 .

KRS 18A.095(21) is limited by KRS 18A.070(3) and KRS 18A.070(3) is controlling. OAG 05-OMD-159.

Unless the Personnel Board is deliberating a decision on a particular case involving an individual, within the meaning of KRS 61.810(1)(j), or discussing a matter which is otherwise exempt under one (1) or more of the twelve (12) remaining exceptions, its meetings are required to be open to the public under the provisions of KRS 18A.070(3) and the Open Meetings Act. OAG 05-OMD-159.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.075. Duties of Personnel Board.

Subject to the provisions of this chapter and KRS Chapter 13A, it shall be the duty of the board to:

  1. As provided by this chapter, promulgate comprehensive administrative regulations consistent with the provisions of KRS 18A.005 to 18A.200 , and with federal standards for the administration of a personnel system in the agencies of the state government receiving federal grants for the purpose of carrying out the provisions of this chapter;
  2. Make investigations, either on petition of a citizen, taxpayer, interested party, or on its own motion, concerning the enforcement and effect of KRS 18A.005 to 18A.200 , and to require observance of its provisions and the administrative regulations promulgated pursuant to the provisions of this chapter and KRS Chapter 13A; and to make such investigation as may be requested by the General Assembly or the Governor and to report thereon;
  3. Hear appeals from applicants for positions for which examinations are being or have been conducted, from eligibles on examination registers, from unclassified employees who have been dismissed, demoted, suspended, or reduced in pay or grade for cause, and from officers or employees serving under the personnel systems created by this chapter, as provided by 1986 Acts Ch. 494;
  4. In cooperation with the secretary, promote public understanding of merit principles in government service;
  5. Present, in accordance with the provisions of KRS Chapter 48, budget requests for the support of the personnel board;
  6. Make annual reports to the Governor, the Legislative Research Commission, the secretary of the Personnel Cabinet, and the co-chairs of the Interim Joint Committee on State Government prior to October 1. The board shall make biennial reports to the General Assembly, which reports shall be a public record freely available to those persons interested in obtaining a copy. The board may request state agencies to provide information to assist the board in compiling the reports, which shall include the following:
    1. The number of merit state employees at the beginning and the end of the reporting period;
    2. The total number of grievances filed and mediation requests made by merit employees during the reporting period;
    3. A tabulation of the stages in which employee complaints were resolved during the reporting period; and
    4. The average amount of time taken to resolve employee complaints during the reporting period, by stage;
  7. Advise the Governor and the secretary with respect to the administration of the personnel system created by this chapter;
  8. Consider and act on such matters as may be referred to the board by the secretary;
  9. Represent the public interest in the improvement of personnel administration in the state service, and advise and assist the secretary in fostering the interest of institutions of learning and of civic, professional, and employee organizations in the improvement of personnel standards in the state service; and
  10. Make a determination, upon receiving notification of proposed classification selection method changes with proper documentation for the necessity for the change from the secretary, on classification selection method changes prior to those changes occurring. Upon receiving a classification selection method change proposal from the secretary, the board shall, at its next regularly scheduled monthly meeting, review and comment on proposed selection method changes. No classification shall have its selection method changed without review and comment from the board.

History. Repealed, reenact. and amend. 1982, ch. 448, § 15, effective July 15, 1982; 1986, ch. 494, § 13, effective July 15, 1986; 1998, ch. 154, § 21, effective July 15, 1998; 2010, ch. 153, § 7, effective April 13, 2010.

Compiler's Notes.

This section was formerly compiled as KRS 18.170 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 15.

NOTES TO DECISIONS

1.Authority.

The State Personnel Board has the statutory authority to examine whether a position is properly classified as Federally-Funded Time-Limited. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

2.Federally-Funded Time-Limited Positions.

The State Personnel Board may not supervise Federally-Funded Time-Limited employees. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

3.Classified Service.

According to this section, all positions in state service are in the classified system except those that are specifically excluded, such as Federally-Funded Time-Limited positions; thus, if a position is properly excluded, it is placed in the unclassified service, and the State Personnel Board’s oversight duties are limited; however, if a position is not properly excluded, it remains in the classified service, subject to the board’s supervision. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

4.Merit System.

Pursuant to this section, the State Personnel Board has the duty to investigate whether a position is properly or improperly excluded from the classified service, in order to protect the integrity of the merit system, and the board has a duty to act to enforce the provisions of KRS 18A.005 to 18A.200 , where it believes that the unlawful use of unclassified positions infringes on the principles of the merit system. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

5.Relation to Fair Labor Standards Act.

The salary test under 29 C.F.R. § 541.118, which determines exempt employees who are not required to be paid overtime, could not be validly applied to the Commonwealth of Kentucky prior to September 6, 1991, and Commonwealth was entitled to summary judgment against certain employees claiming overtime pay due to misclassification as exempt employees prior to that date; and because Commonwealth met the requirements of the window of correction rule in 29 C.F.R. § 541.118(a)(6), Commonwealth was entitled to summary judgment as to the salary test claims of employees after September 6, 1991. Jackson v. Kentucky, 892 F. Supp. 923, 1995 U.S. Dist. LEXIS 8826 (E.D. Ky. 1995 ).

Opinions of Attorney General.

The word “rule,” as used in KRS 18A.005 to 18A.200 , means “administrative regulation”; the Personnel Board has the exclusive authority to adopt regulations pertaining to classified service and appeals of sanctions imposed against classified employees. OAG 85-21 .

Merit employees of the Department of Education may not appeal legislative terminations by Commissioner of Education under KRS 156.016 since in that section the General Assembly abolished all employment positions in the Department of Education and terminated the employment of all employees in those positions, effective at the close of business on June 30, 1991; the personnel board has no jurisdiction over these actions of the General Assembly; the Personnel Board is authorized neither to recreate the positions abolished by the General Assembly nor to reinstate employees whose employment has been terminated by the General Assembly. OAG 91-66 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.0751. Personnel Board — Regulatory authority.

  1. The board shall promulgate comprehensive administrative regulations for the classified service governing:
    1. Appeals by state employees;
    2. Demotion;
    3. Dismissal;
    4. Fines, suspensions, and other disciplinary measures;
    5. Probation, provided that the board may not require an initial probationary period in excess of six (6) months except as provided in subsection (4)(e) of this section and KRS 18A.005 ;
    6. Promotion;
    7. Reinstatement;
    8. Transfer; and
    9. Employee grievances and complaints.
    1. These administrative regulations shall comply with the provisions of this chapter and KRS Chapter 13A, and shall have the force and effect of law, when approved by the board, after compliance with the provisions of KRS Chapters 13A and 18A and the procedures adopted thereunder; (2) (a) These administrative regulations shall comply with the provisions of this chapter and KRS Chapter 13A, and shall have the force and effect of law, when approved by the board, after compliance with the provisions of KRS Chapters 13A and 18A and the procedures adopted thereunder;
    2. Administrative regulations promulgated by the board shall not expand or restrict rights granted to, or duties imposed upon, employees and administrative bodies by the provisions of this chapter; and
    3. No administrative body, other than the personnel board, shall promulgate administrative regulations governing the subject matters specified in this section.
  2. Prior to filing an administrative regulation with the Legislative Research Commission, the board shall submit the administrative regulation to the secretary for review:
    1. The secretary shall review the administrative regulation proposed by the board not more than twenty (20) days after its submission to him;
    2. Not more than five (5) days after his review, the secretary shall submit his recommendations in writing to the board;
    3. The board shall review the recommendations of the secretary and may revise the proposed administrative regulation as it deems necessary; and
    4. After the board has completed the review provided for in this section, it may file the proposed administrative regulation with the Legislative Research Commission pursuant to the provisions of KRS Chapter 13A.
  3. These administrative regulations shall provide:
    1. For the procedures to be utilized by the board in the conduct of hearings by the board, consistent with the provisions of KRS Chapter 13B;
    2. For reduction in rank or grade as provided by this chapter;
    3. For discharge, as provided by this section;
    4. For imposition, as disciplinary measures, of a fine of not more than ten (10) working days’ pay, or for suspension from the service without pay for no longer than thirty (30) working days and, in accordance with the provisions of KRS 18A.095 , for the manner of notification of the employee of the discipline and his right of appeal;
    5. No probationary period may exceed twelve (12) months, except as provided in KRS 18A.005 . The secretary may recommend an initial probationary period in excess of six (6) months for specific job classifications to the board. This recommendation shall take the form of a proposed administrative regulation that shall be submitted to the board for approval. The subject of the administrative regulation shall be limited to job classifications for which an initial probationary period in excess of six (6) months is required and shall specify:
      1. The job classification for which an initial probationary period in excess of six (6) months is required; and
      2. The specific number of months constituting the initial probationary period for the job classification. No other administrative regulation shall include any provision prescribing an initial probationary period in excess of six (6) months, except as provided in KRS 18A.005 . Upon approval by the board of the proposed administrative regulation provided for in this paragraph, the board shall file the regulation with the Legislative Research Commission as provided by KRS Chapter 13A;
    6. For promotions which shall give appropriate consideration to the applicant’s qualifications, record of performance, conduct, and seniority. Except as provided by this chapter, vacancies shall be filled by promotion whenever practicable and in the best interest of the service;
    7. For reemployment of laid-off employees in accordance with the provisions of this chapter;
    8. For transfer from a position in one (1) department to a similar position in another department involving similar qualifications, duties, responsibilities, and salary ranges as provided by the provisions of KRS 18A.1131(3)(a);
    9. For establishment of a plan for resolving employee grievances and complaints. This plan shall not restrict rights granted employees by the provisions of this chapter;
    10. For promotion of career employees to positions in the unclassified service without loss of status to the individual employees so promoted, as provided by this chapter; and
    11. For any other administrative regulations not inconsistent with this chapter and KRS Chapter 13A as may be proper and necessary for its enforcement.

History. Enact. Acts 1986, ch. 494, § 14, effective July 15, 1986; 1988, ch. 203, § 2, effective July 15, 1988; 1996, ch. 318, § 20, effective July 15, 1996; 1998, ch. 154, § 22, effective July 15, 1998; 2000, ch. 91, § 2, effective July 14, 2000.

NOTES TO DECISIONS

1.Seniority.

Where two (2) applicants applied for a state position of administrative secretary, and the hiring administrator awarded the position to the applicant who had the most seniority within his department, the unsuccessful applicant appealed the decision under this section, which provides that agencies shall consider seniority among other criteria, KRS 18A.005 , which defines seniority as the total months of state service of an employee, should have been used in preference to the seniority within department criteria, which fell under a category of job knowledge gained over time. Bowling v. Natural Resources & Envtl. Protection Cabinet, 891 S.W.2d 406, 1994 Ky. App. LEXIS 157 (Ky. Ct. App. 1994).

2.Relation to Fair Labor Standards Act.

The salary test under 29 C.F.R. § 541.118, which determines exempt employees who are not required to be paid overtime, could not be validly applied to the Commonwealth of Kentucky prior to September 6, 1991, and Commonwealth was entitled to summary judgment against certain employees claiming overtime pay due to misclassification as exempt employees prior to that date; and because Commonwealth met the requirements of the window of correction rule in 29 C.F.R. § 541.118(a)(6), Commonwealth was entitled to summary judgment as to the salary test claims of employees after September 6, 1991. Jackson v. Kentucky, 892 F. Supp. 923, 1995 U.S. Dist. LEXIS 8826 (E.D. Ky. 1995 ).

Cited in:

Faust v. Commonwealth, 142 S.W.3d 89, 2004 Ky. LEXIS 180 ( Ky. 2004 ).

Opinions of Attorney General.

Neither the personnel commissioner nor the Personnel Board has authority to promulgate a regulation concerning nepotism. Likewise, in the absence of specific statutory authority given to a specific individual agency, such agency could not promulgate such a regulation nor adopt a policy regulating the subject under the prohibition of KRS 13A.120 and KRS 13A.130 . OAG 88-15 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.080. Personnel Board — Compensation — Attendance.

  1. Except as provided in KRS 18A.200 , members of the board shall receive compensation of one hundred dollars ($100) per diem for each meeting of the board and reimbursement for actual and necessary expenses in accordance with state regulations and standards applicable to state employees.
  2. In addition to payments for attendance at board meetings all board members may also be paid one hundred dollars ($100) for each day spent in the preparation of recommended orders, the review of transcripts or other matters related to appeals before the board.
  3. Any board member missing three (3) consecutive regular meetings shall be deemed to have vacated his office. Replacements to the board shall be made as provided in KRS 18A.050(2) and 18A.060 .

History. Enact. Acts 1982, ch. 448, § 16, effective July 15, 1982; 2000, ch. 91, § 3, effective July 14, 2000.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.085. Removal of board members by Governor — Appeal.

  1. Members of the board may be removed by the Governor for cause after being given a copy of charges against them and an opportunity for an administrative hearing to be conducted in accordance with KRS Chapter 13B.
  2. Any member of the board removed by the Governor may appeal the Governor’s final order removing him from the board to the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1982, ch. 448, § 17, effective July 15, 1982; 1996, ch. 318, § 21, effective July 15, 1996.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.090. Personnel Board to hire full-time staff — General counsel may be designated assistant attorney general.

  1. As provided by the budget enacted by the General Assembly and other laws applicable to state personnel, the board shall appoint an executive director who shall be the chief administrative officer of the board and serve as secretary to the board. He shall have proven administrative and managerial experience and familiarity with equal employment opportunity laws and regulations. The board shall appoint other employees it deems necessary in accordance with the provisions of this chapter. The salaries of the executive director and other employees of the board shall be determined by order of the board. The executive director of the board shall prepare the budget request for approval by the board in the form and manner required by applicable law. For the purposes of KRS Chapter 48 the board shall be considered a budget unit.
  2. The board shall appoint a general counsel pursuant to KRS 12.210 to provide legal services for the board. Upon request of the board, the Attorney General may designate the general counsel as an assistant attorney general. The general counsel provided for by this subsection shall not be employed by personal service contract and shall be a full-time employee of the board. The general counsel shall serve as a hearing officer for the board.

History. Enact. Acts 1982, ch. 448, § 18, effective July 15, 1982; 1984, ch 111, § 22, effective July 13, 1984; 1986, ch. 494, § 15, effective July 15, 1986.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.095. Rights of executive branch employees.

  1. A classified employee with status shall not be dismissed, demoted, suspended, or otherwise penalized except for cause.
  2. Prior to dismissal, a classified employee with status shall be notified in writing of the intent to dismiss him. The notice shall also state:
    1. The specific reasons for dismissal including:
      1. The statutory or regulatory violation;
      2. The specific action or activity on which the intent to dismiss is based;
      3. The date, time, and place of such action or activity; and
      4. The name of the parties involved;
    2. That the employee has the right to appear personally, or with counsel if he has retained counsel, to reply to the head of the cabinet or agency or his designee; and
    3. Whether the employee is placed on administrative leave by the appointing authority with pay upon receiving the intent to dismiss letter prior to the agency’s final action.
  3. The Personnel Cabinet shall prescribe and distribute a form to be completed and forwarded by an employee who wishes to appear before the head of the cabinet or agency or his designee, to each appointing authority. The form shall be attached to every notice of intent to dismiss and shall contain written instructions explaining:
    1. The right granted an employee under the provisions of this section relating to pretermination hearings; and
    2. The time limits and procedures to be followed by all parties in pretermination hearings.
  4. No later than five (5) working days after receipt of the notice of intent to dismiss, excluding the day he receives the notice, the employee may request to appear, personally or with counsel if he has retained counsel, to reply to the head of the cabinet or agency or his designee.
  5. Unless waived by the employee, the appearance shall be scheduled within six (6) working days after receipt of an employee’s request to appear before the head of the cabinet or agency or his designee, excluding the day his request is received.
  6. No later than five (5) working days after the employee appears before the head of the cabinet or agency or his designee, excluding the day of the appearance, the cabinet head or agency or his designee shall:
    1. Determine whether to dismiss the employee or to alter, modify, or rescind the intent to dismiss; and
    2. Notify the employee in writing of the decision.
  7. If the cabinet or agency head or his designee determines that the employee shall be dismissed or otherwise penalized, the employee shall be notified in writing of:
    1. The effective date of his dismissal or other penalization;
    2. The specific reason for this action, including:
      1. The statutory or regulatory violation;
      2. The specific action or activity on which the dismissal or other penalization is based;
      3. The date, time, and place of the action or activity; and
      4. The name of the parties involved; and
    3. That he may appeal the dismissal or other penalization to the board within sixty (60) days after receipt of this notification, excluding the day he receives notice.
  8. A classified employee with status who is demoted, suspended, or otherwise penalized shall be notified in writing of:
    1. The demotion, suspension, or other penalization;
    2. The effective date of the demotion, suspension, or other penalization;
    3. The specific reason for the action including:
      1. The statutory or regulatory violation;
      2. The specific action or activity on which the demotion, suspension, or other penalization is based;
      3. The date, time, and place of the action or activity; and
      4. The name of the parties involved; and
    4. That he or she has the right to appeal to the board within sixty (60) days, excluding the day that he or she received notification of the personnel action.
  9. Any unclassified employee who is dismissed, demoted, suspended, or otherwise penalized for cause may, within thirty (30) days after the dismissal, demotion, suspension, or other form of penalization, appeal to the board for review thereof.
    1. An employee whose position is reallocated shall be notified in writing by the appointing authority of: (10) (a) An employee whose position is reallocated shall be notified in writing by the appointing authority of:
      1. The reallocation; and
      2. His right to request reconsideration by the secretary within ten (10) working days of receipt of the notice, excluding the day he receives notification.
    2. He shall be provided with a form prescribed by the secretary on which to request reconsideration.
    3. The employee shall file a written request for reconsideration of the reallocation of his position with the secretary in a manner and form prescribed by the secretary and shall be given a reasonable opportunity to be heard thereon by the secretary. The secretary shall make a determination within sixty (60) days after the request has been filed by an employee. After reconsideration of the request by the secretary, the employee may appeal to the board.
  10. Any state employee, applicant for employment, or eligible on a register may appeal to the board on the grounds that his right to inspect or copy records, including preliminary and other supporting documentation, relating to him has been denied, abridged, or impeded by a public agency. The board shall conduct a hearing to determine whether the records related to the employee, applicant, or eligible, and whether his right to inspect or copy these records was denied, abridged, or impeded. If the board determines that the records related to the employee and that the right to inspect or copy these records has been denied, abridged, or impeded, the board shall order the public agency to make them available for inspection and copying and shall charge the cost of the hearing to the public agency. A state employee, an applicant for employment, and an eligible on a register shall not have the right to inspect or to copy any examination materials.
  11. Any classified employee may appeal to the board an action alleged to be based on discrimination due to race, color, religion, national origin, sex, disability, or age forty (40) and above. Nothing in this section shall be construed to preclude any classified or unclassified employee from filing with the Kentucky Commission on Human Rights a complaint alleging discrimination on the basis of race, color, religion, national origin, sex, disability, or age in accordance with KRS Chapter 344.
  12. When an eligible’s name is removed from a register, the secretary shall notify the eligible of his action and the reasons therefor, together with his right of appeal. An eligible’s name shall be restored to the register upon presentation of reasons satisfactory to the secretary or in accordance with the decision of the board.
    1. Any employee, applicant for employment, or eligible on a register, who believes that he has been discriminated against, may appeal to the board. (14) (a) Any employee, applicant for employment, or eligible on a register, who believes that he has been discriminated against, may appeal to the board.
    2. Any applicant whose application for admission to an open-competitive examination has been rejected shall be notified of this rejection and the reasons therefor and may appeal to the board for reconsideration of his qualifications and for admission to the examination. Applicants may be conditionally admitted to an examination by the secretary pending reconsideration by the board.
    3. Any applicant who has taken an examination may appeal to the board for a review of his rating in any part of the examination to assure that uniform rating procedures have been applied equally and fairly.
    4. An appeal to the board by applicants or eligibles under subsections (11) and (13) of this section and under this subsection shall be filed in writing with the executive director not later than thirty (30) calendar days after the notification of the action in question was mailed.
  13. An evaluation may be appealed to the board if an employee has complied with the review procedure established in KRS 18A.110(7)(j).
    1. Appeals to the board shall be in writing on an appeal form prescribed by the board. Appeal forms shall be available at the employee’s place of work. The Personnel Cabinet shall be responsible for the distribution of these forms. (16) (a) Appeals to the board shall be in writing on an appeal form prescribed by the board. Appeal forms shall be available at the employee’s place of work. The Personnel Cabinet shall be responsible for the distribution of these forms.
    2. The appeal form shall be attached to any notice, or copy of any notice, of dismissal, demotion, suspension, fine, involuntary transfer, or other penalization, reallocation, or notice of any other action an employee may appeal under the provisions of this section. The appeal form shall instruct the employee to state whether he is a classified or unclassified employee, his full name, his appointing authority, work station address and telephone number, and, if he has retained counsel at the time he files an appeal, the name, address, and telephone number of his attorney.
    3. The form shall also instruct a classified employee to state the action he is appealing in a short, plain, concise statement of the facts. The form shall instruct an unclassified employee to make a short, plain, concise statement of the reason for the appeal and the cause given for his dismissal.
    4. Upon receipt of the appeal by the board, the appointing authority and the Personnel Cabinet shall be notified and the board shall schedule a hearing.
  14. All administrative hearings conducted by the board shall be conducted in accordance with KRS Chapter 13B.
    1. The board may deny a hearing to an employee who has failed to file an appeal within the time prescribed by this section; and to an unclassified employee who has failed to state the reasons for the appeal and the cause for which he has been dismissed. The board may deny any appeal after a preliminary hearing if it lacks jurisdiction to grant relief. The board shall notify the employee of its denial in writing and shall inform the employee of his right to appeal the denial under the provisions of KRS 18A.100 . (18) (a) The board may deny a hearing to an employee who has failed to file an appeal within the time prescribed by this section; and to an unclassified employee who has failed to state the reasons for the appeal and the cause for which he has been dismissed. The board may deny any appeal after a preliminary hearing if it lacks jurisdiction to grant relief. The board shall notify the employee of its denial in writing and shall inform the employee of his right to appeal the denial under the provisions of KRS 18A.100 .
    2. Any investigation by the board of any matter related to an appeal filed by an employee shall be conducted only upon notice to the employee, the employee’s counsel, and the appointing authority. All parties to the appeal shall have access to information produced by the investigations and the information shall be presented at the hearing.
  15. Each appeal shall be decided individually, unless otherwise agreed by the parties and the board. The board shall not:
    1. Employ class action procedures; or
    2. Conduct test representative cases.
  16. Board members shall abstain from public comment about a pending or impending proceeding before the board. This shall not prohibit board members from making public statements in the course of their official duties or from explaining for public information the procedures of the board.
  17. An appeal to the board may be heard by the full board or one (1) or more of the following: Its executive director, its general counsel, any nonelected member of the board, or any hearing officer secured by the board pursuant to KRS 13B.030 .
    1. If the board finds that the action complained of was taken by the appointing authority in violation of laws prohibiting favor for, or discrimination against, or bias with respect to, his political or religious opinions or affiliations or ethnic origin, or in violation of laws prohibiting discrimination because of such individual’s sex or age or disability, the appointing authority shall immediately reinstate the employee to his former position or a position of like status and pay, without loss of pay for the period of his penalization, or otherwise make the employee whole unless the order is stayed by the board or the court on appeal. (22) (a) If the board finds that the action complained of was taken by the appointing authority in violation of laws prohibiting favor for, or discrimination against, or bias with respect to, his political or religious opinions or affiliations or ethnic origin, or in violation of laws prohibiting discrimination because of such individual’s sex or age or disability, the appointing authority shall immediately reinstate the employee to his former position or a position of like status and pay, without loss of pay for the period of his penalization, or otherwise make the employee whole unless the order is stayed by the board or the court on appeal.
    2. If the board finds that the action complained of was taken without just cause, the board shall order the immediate reinstatement of the employee to his former position or a position of like status and pay, without loss of pay for the period of his penalization, or otherwise make the employee whole unless the order is stayed by the board or the court on appeal.
    3. If the board finds that the action taken by the appointing authority was excessive or erroneous in view of all the surrounding circumstances, the board shall direct the appointing authority to alter, modify, or rescind the disciplinary action.
    4. In all other cases, the board shall direct the appointing authority to rescind the action taken or otherwise grant specific relief or dismiss the appeal.
  18. If a final order of the board is appealed, a court shall award reasonable attorney fees to an employee who prevails by a final adjudication on the merits as provided by KRS 453.260 . This award shall not include attorney fees attributable to the hearing before the board.
  19. When any employee is dismissed and not ordered reinstated after the appeal, the board in its discretion may direct that his name be placed on an appropriate reemployment list for employment in any similar position other than the one from which he had been removed.
  20. After a final decision has been rendered by the board or court, an employee who prevails in his appeal shall be credited with the amount of leave time used for time spent at his hearing before the board or court. Employees who had an insufficient amount of leave time shall be credited with leave time equal to the amount of time spent at their hearings before the board or court.
  21. If the appointing authority appeals the final order of the board, unless the board rules otherwise, the reinstated employee shall remain in his former position, or a position of like status or pay, until the conclusion of the appeals process, at which time the appointing authority shall take action in accordance with the court order.
  22. After a final decision in a contested case has been rendered by the last administrative or judicial body to which the case has been appealed, the board shall make the decision available to the public in electronic format on its Web site and shall organize the decisions according to the statutory basis for which the appeal was based.
  23. For the purposes of subsections (2), (3), (4), (5), (6), and (7) of this section, the word “agency” means any agency not assigned to a cabinet for organizational purposes.
  24. Notwithstanding any other prescribed limitation of action, an employee that has been penalized, but has not received a written notice of his or her right to appeal as provided in this section, shall file his or her appeal with the Personnel Board within one (1) year from the date of the penalization or from the date that the employee reasonably should have known of the penalization.

History. Repealed, reenact. and amend. 1982, ch. 448, § 19, effective July 15, 1982; 1986, ch. 494, § 16, effective July 15, 1986; 1988, ch. 250, § 1, effective July 15, 1988; 1992, ch. 202, § 1, effective July 14, 1992; 1994, ch. 317, § 1, effective July 15, 1994; 1994, ch. 405, § 4, effective July 15, 1994; 1994, ch. 475, § 1, effective July 15, 1994; 1996, ch. 318, § 22, effective July 15, 1996; 1998, ch. 154, § 23, effective July 15, 1998; 1998, ch. 425, § 2, effective July 15, 1998; 2000, ch. 501, § 2, effective July 14, 2000; 2007, ch. 85, § 104, effective June 26, 2007; 2009, ch. 75, § 15, effective June 25, 2009; 2010, ch. 153, § 8, effective April 13, 2010.

Compiler's Notes.

This section was formerly compiled as KRS 18.270 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 19.

NOTES TO DECISIONS

1.Applicability.

Trial court erred in reversing the ruling of the Commonwealth’s personnel board to dismiss the employee’s grievance of the warden’s decision not to allow the rescission of the employee’s resignation; KRS 18A.095 does not permit an employee to rescind a resignation prior to the time that the employee actually resigned since the statute does not mention the term “resignation.” Commonwealth v. Searcy, 2007 Ky. App. LEXIS 103 (Ky. Ct. App. Apr. 6, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 256 (Ky. Ct. App. Apr. 6, 2007), review denied, ordered not published, 2008 Ky. LEXIS 190 (Ky. Apr. 16, 2008).

State law enforcement officer was no longer entitled to a pretermination hearing when he was reclassified as a state police employee rather than an executive branch employee; thus, the denial of such a hearing was not arbitrary action. Dep't of Ky. State Police v. Garland, 2013 Ky. App. LEXIS 118 (Ky. Ct. App. Aug. 2, 2013), review denied, ordered not published, 2014 Ky. LEXIS 269 (Ky. June 11, 2014).

2.Appeal.

The commissioner and the members of the Commission of Fish and Wildlife Resources are the chief officers of the Department of Fish and Wildlife Resources and whatever official action they are authorized to and do take with respect to KRS 12.210 and law regarding appeals by employees to the appeal board becomes the act of the Department. (Decided under prior law) Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

Where the only attempt which public employee made to appeal either her suspension or dismissal within the 30-day limit was the correspondence of her attorney with personnel director of the Department of Parks, which correspondence was not directed to the Personnel Board, and did not set forth the specifics of the employee’s argument, but merely stated that “it was not in the employee’s interest to appear” until the matter of criminal charges was resolved and requested that action be deferred until the employee had “the opportunity to defend herself at the proper time and place,” such letter did not meet the requirements of an appeal under this section. (Decided under prior law) Kidd v. Montgomery, 583 S.W.2d 87, 1979 Ky. App. LEXIS 423 (Ky. Ct. App. 1979).

Where the board specifically found that grounds to discipline officer existed, but that the penalty imposed was excessive, the board having exercised its statutory prerogative to amend or modify appellant’s penalty as excessive, the Circuit Court on appeal was limited in its review of that action by KRS 18A.100(5) and, in the absence of any of the grounds specified in that statute, the Circuit Court erred by failing to affirm the board’s order in all respects. Wilson v. Bureau of State Police, 669 S.W.2d 18, 1984 Ky. App. LEXIS 490 (Ky. Ct. App. 1984), overruled, Howard v. Transportation Cabinet, 878 S.W.2d 14, 1994 Ky. LEXIS 72 ( Ky. 1994 ).

An unclassified or nonmerit employee who is terminated allegedly in retaliation for enforcing the legal prohibitions against political favoritism has a right to appeal the dismissal to the State Personnel Board pursuant to subsections (9) (now (10)) and (14)(a) (now (15)(a)) of this section. Martin v. Corrections Cabinet of Commonwealth, 822 S.W.2d 858, 1991 Ky. LEXIS 198 ( Ky. 1991 ).

Unsuccessful state job applicant’s claim on appeal that the Personnel Board’s order to re-open the position because the statutory and regulatory procedure of KRS 18A.005 was not properly followed failed to provide her with the complete relief to which she was entitled which was promotion to the position, was without merit as there was substantial evidence to support the Board’s finding, therefore, it was not arbitrary under Ky. Const., § 2, and must be affirmed. Bowling v. Natural Resources & Envtl. Protection Cabinet, 891 S.W.2d 406, 1994 Ky. App. LEXIS 157 (Ky. Ct. App. 1994).

3.— Time Limits.

KRS 18A.095(29) is clear that it applies to any employee who has been penalized, either from the date of the penalization or from when they should have known of the penalization; the statute does not require an acknowledgment of the penalization by the appointing authority. Commonwealth v. McDonald, 304 S.W.3d 62, 2009 Ky. App. LEXIS 50 (Ky. Ct. App. 2009).

KRS 18A.095(29) did not include any exception from its one-year time limit for filing appeals of actions that penalized state employees based on continuing violations or ongoing penalization; thus, as Finance Cabinet employees were on notice as of January 1, 2003 that their duties were increasing without any change in their job classification or any pay grade increase, their appeals had to be filed by January 1, 2004 and not within one year of the Finance Cabinet’s acknowledgement in August 2004 that the employees had been penalized by the failure to reclassify them. Commonwealth v. McDonald, 304 S.W.3d 62, 2009 Ky. App. LEXIS 50 (Ky. Ct. App. 2009).

4.Review by Personnel Board.

If a merit system employee is dismissed as a result of reorganization and is then placed on the reemployment list, a failure to offer him, for political reasons, another position for which he is qualified will entitle him to seek redress before the Personnel Board. (Decided under prior law) Thompson v. Huecker, 559 S.W.2d 488, 1977 Ky. App. LEXIS 867 (Ky. Ct. App. 1977).

Where an employee of the Department of Parks appealed an involuntary transfer, but resigned pending the appeal before the Personnel Board, her resignation was properly considered a constructive discharge, and her appeal was not rendered moot. (Decided under prior law) Tourism Cabinet, Dep't of Parks v. Stosberg, 948 S.W.2d 425, 1997 Ky. App. LEXIS 65 (Ky. Ct. App. 1997).

This section vests the board with the exclusive authority, if it finds that the action taken by the appointing agency was excessive, to alter, modify, or rescind the penalty imposed. Wilson v. Bureau of State Police, 669 S.W.2d 18, 1984 Ky. App. LEXIS 490 (Ky. Ct. App. 1984), overruled, Howard v. Transportation Cabinet, 878 S.W.2d 14, 1994 Ky. LEXIS 72 ( Ky. 1994 ).

State Personnel Board exercised KRS 18A.095(23)(c) (now (22)(c)) to alter or modify the penalty of dismissal imposed by the Kentucky Racing Commission (KRC) against the KRC employee after it found that the penalty was excessive. Hughes v. Ky. Horse Racing Auth., 179 S.W.3d 865, 2004 Ky. App. LEXIS 106 (Ky. Ct. App. 2004).

Substantial evidence supported a finding by the Kentucky Personnel Board that an agency employee was deprived of her due process right to a pre-termination hearing pursuant to KRS 18A.095 where the agency conditionally granted her a postponement of the hearing, but upon it not being rescheduled within the agency’s timeframe, it terminated her and deemed that the right to such hearing had been waived. Dep't of Revenue v. Wade, 2011 Ky. App. LEXIS 2 (Ky. Ct. App. Jan. 14, 2011, sub. op., 2011 Ky. App. Unpub. LEXIS 961 (Ky. Ct. App. Jan. 14, 2011).

5.Appointing Authority.

Within the provisions of KRS 344.180 and 344.190 , only the Commission on Human Rights has the power to “appoint an Executive Director, attorneys, hearing examiners, clerks and other employees and agents as it may deem necessary,” and KRS Chapter 344 does not authorize the Commission to delegate its discretionary authority to employ personnel to its Executive Director; therefore, only the Commission, not the Executive Director, fits within the legal definition of “appointing officer” and “appointing authority” under KRS 18A.005(1). Martin v. Commonwealth, 711 S.W.2d 866, 1986 Ky. App. LEXIS 1169 (Ky. Ct. App. 1986).

6.Burden of Proof.

Where a public officer, who was dismissed as a result of a reorganization, alleged that he was dismissed for political reasons, the state authorities had the burden of proving the validity of the reorganization while the officer had the burden of showing that his discharge was politically motivated. (Decided under prior law) Thompson v. Huecker, 559 S.W.2d 488, 1977 Ky. App. LEXIS 867 (Ky. Ct. App. 1977).

A classified merit employee of this commonwealth is endowed with certain rights and protections, among those being the right of continued employment unless “just cause” for dismissal is demonstrated by the agency by whom he or she is employed; therefore, the rule that applicants before an administrative agency have the burden of proof has no application in a disciplinary proceeding involving such an employee. Commonwealth, Transp. Cabinet v. Woodall, 735 S.W.2d 335, 1987 Ky. App. LEXIS 542 (Ky. Ct. App. 1987).

7.— Full Inquiry.

Fact that prayer of discharged employees for reinstatement was not supported by their allegations did not prevent a full inquiry into the circumstances of and motivation for their dismissals because such an inquiry was necessary in order for the board to determine whether it would grant the lesser relief provided by this section where employees were not discharged for political, religious or ethnic reasons. (Decided under prior law) Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

8.Grounds for Reinstatement.

Political, religious and ethnic reasons are the only grounds on which discharged employees may rely for reinstatement under this section. (Decided under prior law) Pritchett v. Marshall, 375 S.W.2d 253, 1963 Ky. LEXIS 187 ( Ky. 1963 ).

Kentucky Personnel Board properly determined that an agency lacked authority under KRS 18A.095(22) to unilaterally reinstate an employee who had been terminated where her appeal from that termination was still pending; an order from the Board was required in order to reinstate her. Dep't of Revenue v. Wade, 2011 Ky. App. LEXIS 2 (Ky. Ct. App. Jan. 14, 2011, sub. op., 2011 Ky. App. Unpub. LEXIS 961 (Ky. Ct. App. Jan. 14, 2011).

9.Cause for Termination.

Public employees cannot be dismissed for invoking and refusing to waive their constitutional right against self-incrimination; however, the statutes and administrative regulations of Kentucky have provided a forum and a procedure whereby such arguments are to be raised. (Decided under prior law) Kidd v. Montgomery, 583 S.W.2d 87, 1979 Ky. App. LEXIS 423 (Ky. Ct. App. 1979).

Neither subsection (1) of this section nor former 101 KAR 2.090(1) condition an employee's termination on anything but cause, bad behavior, or unsatisfactory performance. Former KRS 18A.112 relates only to the requirements surrounding performance evaluations and is not a statute relating to conditions of termination; in fact, 18A.112 (2) (now repealed) states, “salary advancements, promotions, and demotions shall be determined by an employee's performance evaluation.” There is no mention of termination in such section. Wade v. Commonwealth, 840 S.W.2d 215, 1992 Ky. App. LEXIS 155 (Ky. Ct. App. 1992).

The Personnel Board found that the Department of Parks had subjected employee to a de facto involuntary transfer when employee was given notice of her appeal rights after being unwillingly removed from one job and reinstalled at another; the Board then had no authority to refuse to implement the protections prescribed by this section, particularly with regards to the mandatory provision of subsection (2) (now (1)), which dictate that such penalization be only “for cause”. Tourism Cabinet, Dep't of Parks v. Stosberg, 948 S.W.2d 425, 1997 Ky. App. LEXIS 65 (Ky. Ct. App. 1997).

10.Notice.

Where notice to employee of dismissal stated that department intended to dismiss employee on a certain date due and the reasons for such dismissal were specifically set out in letter sent to employee, such notice contained ample and quite detailed facts regarding employee’s alleged unsatisfactory performance such that he was provided with sufficient opportunity to reply to the charges. Wade v. Commonwealth, 840 S.W.2d 215, 1992 Ky. App. LEXIS 155 (Ky. Ct. App. 1992).

11.Evidence.

Evidence to the effect that employee admitted to employer that he could not program computer the department had been using since 1986, that employer testified that he had observed employee doing nothing at work much of the time and further testified that employee had received adequate training on the computer and that department had tested employee’s ability to program the computer by assigning him a simple program and found that he was unable to satisfactorily complete the program by the deadline, was material, relevant and substantial enough to support the decision to dismiss said employee. Wade v. Commonwealth, 840 S.W.2d 215, 1992 Ky. App. LEXIS 155 (Ky. Ct. App. 1992).

Where there was nothing in the record to establish whether the failure to reclassify tax examiner was taken without just cause, and where there was nothing beyond a bare statement in agreement between tax examiner and Revenue Cabinet to reclassify tax examiner to show that tax examiner met the minimum requirements for reclassification, the Personnel Board could not make a finding under this section upon which it could order tax examiner made whole, and the order of the circuit court to accept the agreement was clearly erroneous. Commonwealth Personnel Bd. v. Gregory, 864 S.W.2d 919, 1993 Ky. App. LEXIS 64 (Ky. Ct. App. 1993).

Former state employee’s claim that the employee was involuntarily transferred and demoted, under KRS 18A.095 , was properly dismissed because there was substantial evidence to show just cause for the transfer; the Kentucky Personnel Board found that the restructuring and transfer of the employee’s position served a legitimate public purpose, which was to improve the economy and efficiency of operations within the merged Cabinet for Health and Family Services. Carreer v. Cabinet for Health & Family Servs., 339 S.W.3d 477, 2010 Ky. App. LEXIS 109 (Ky. Ct. App. 2010).

12.Retroactive Benefits.

Back pay benefits due an employee for erroneous failure to reclassify position could be awarded from date of eligibility; there is no limitation of benefits to a thirty-day period of retroactivity. Commonwealth Personnel Bd. v. Gregory, 864 S.W.2d 919, 1993 Ky. App. LEXIS 64 (Ky. Ct. App. 1993).

13.Status.

State employee who was a classified employee with “status”, and therefore could not be demoted without cause, had a protected property interest in her job. Williams v. Kentucky, 24 F.3d 1526, 1994 FED App. 0174P, 1994 U.S. App. LEXIS 12386 (6th Cir. Ky.), cert. denied, 513 U.S. 947, 115 S. Ct. 358, 130 L. Ed. 2d 312, 1994 U.S. LEXIS 7368 (U.S. 1994).

District court did not err in concluding that public officials were entitled to qualified immunity on a former local government employee’s claims that her rights to free-speech and due process were violated in retaliation for whistleblowing because (1) the speech in question did not involve matters of public concern; and (2) although a genuine issue of material fact existed as to whether the employee held a property interest in her position as a tenured employee under KRS 18A.095(3) (now (2)) and the employee satisfied the first stage of the qualified immunity analysis, reasonable officers would not have clearly known that terminating the employee without pre-termination due process was unlawful. Miller v. Admin. Office of the Courts, 448 F.3d 887, 2006 FED App. 0176P, 2006 U.S. App. LEXIS 12600 (6th Cir. Ky. 2006 ).

14.Relation to Fair Labor Standards Act.

The salary test under 29 C.F.R. § 541.118, which determines exempt employees who are not required to be paid overtime, could not be validly applied to the Commonwealth of Kentucky prior to September 6, 1991, and Commonwealth was entitled to summary judgment against certain employees claiming overtime pay due to misclassification as exempt employees prior to that date; and because Commonwealth met the requirements of the window of correction rule in 29 C.F.R. § 541.118(a)(6), Commonwealth was entitled to summary judgment as to the salary test claims of employees after September 6, 1991. Jackson v. Kentucky, 892 F. Supp. 923, 1995 U.S. Dist. LEXIS 8826 (E.D. Ky. 1995 ).

15.Final Order.

A decision on procedural or jurisdictional grounds that an employee is entitled to a hearing is not a final adjudication on the merits based on legal rights, and costs are therefore not recoverable. Martin v. Personnel Bd., 959 S.W.2d 779, 1997 Ky. App. LEXIS 142 (Ky. Ct. App. 1997).

16.Relation to Actions Under KRS 212.636.

Summary judgment for an employee was properly granted and a decision of a merit system council, that the employee had been terminated without just cause and ordering his reinstatement and back pay, was binding on a county health department and board of health as: (1) KRS 212.636(2) required that the board of health establish a merit system no less stringent than that established by the Kentucky Cabinet for Human Services; (2) the health department had conceded in the administrative appeal that various provisions in KRS ch. 18A, such as former KRS 18A.095(23)(b) and KRS 18A.095(24)(c), renumbered as KRS 18A.095(23)(c) (now 22(c)), were applicable to its personnel actions under KRS 212.636(2); and (3) Lexington-Fayette Urban County, Ky., Merit System Rules VIII.F.2 and XII.D.3 used the verb “shall,” which was mandatory, and the noun “decision,” which suggested finality as opposed to a mere recommendation, and the merit system rules were binding upon the health department. Lexington-Fayette Urban County Health Dep't v. Lloyd, 115 S.W.3d 343, 2003 Ky. App. LEXIS 218 (Ky. Ct. App. 2003).

17.Pre-termination Hearing.

Employee is deemed to have waived her due process right to a pre-termination hearing when she is provided sufficient notice and an opportunity to be heard, but: (1) does not attend the hearing; (2) fails to accept the offered hearing; (3) obstructs the legal process by engaging in behavior that she has been warned will constitute a knowing waiver; or (4) obstructs the legal process by engaging in behavior in a deliberate effort to delay the proceedings. Dep't of Revenue v. Wade, 379 S.W.3d 134, 2012 Ky. LEXIS 136 ( Ky. 2012 ).

State employee’s application for Family and Medical Leave Act leave in a deliberate attempt to delay her pre-termination hearing, after previously postponing the hearing twice, constituted a knowing, intelligent, and voluntary waiver of that hearing; therefore, her termination did not violate her rights to due process. Dep't of Revenue v. Wade, 379 S.W.3d 134, 2012 Ky. LEXIS 136 ( Ky. 2012 ).

Cited in:

Barnes v. McDowell, 647 F. Supp. 1307, 1986 U.S. Dist. LEXIS 17997 (E.D. Ky. 1986 ); Bunch v. Personnel Bd., Commonwealth, 719 S.W.2d 8, 1986 Ky. App. LEXIS 1469 (Ky. Ct. App. 1986); Kentucky Personnel Bd. v. Elkins, 723 S.W.2d 877, 1986 Ky. App. LEXIS 1482 (Ky. Ct. App. 1986); McMaster v. Cabinet for Human Resources, 824 F.2d 518, 1987 U.S. App. LEXIS 10020 (6th Cir. Ky. 1987 ); Bailey v. Floyd County Bd. of Educ., 106 F.3d 135, 1997 FED App. 39P, 1997 U.S. App. LEXIS 1516 (6th Cir. 1997); Kelly v. Burks, 414 F. Supp. 2d 681, 2006 U.S. Dist. LEXIS 4704 (E.D. Ky. 2006 ).

Opinions of Attorney General.

Under KRS 61.840 , the Personnel Board is not required to permit television coverage when it is hearing an appeal under this section as a quasi-judicial body, but may do so if it adopts administrative regulations so permitting and stating restrictions and procedures for such coverage, pursuant to KRS 13A.100 . OAG 84-371 .

A statutorily, not a constitutionally, created property right exists for state merit employees who hold status in their positions. That right entails protection from dismissal, demotion, suspension or penalization except for cause, but does not entail protection from legislative abolishment of their positions and termination. OAG 91-66 .

While state merit employees hold a property right in their employment with the state to the extent that they may not be dismissed, demoted, suspended or otherwise penalized except for cause, there is no statutorily created property right that prevents legislative terminations from a particular agency because there is no statutory provision that provides that legislative terminations cannot take place absent cause. OAG 91-66 .

While KRS 156.016 does not provide for seniority for purposes of termination or rehiring in the Department of Education, seniority applies in all other agencies under the provisions of KRS 18A.135(2) in that all employees of the Department of Education are to be treated as career employees when placed on reemployment lists. OAG 91-66 .

Seniority is not a vested property right under this chapter. OAG 91-66 .

KRS 18A.095(21) is limited by KRS 18A.070(3) and KRS 18A.070(3) is controlling. OAG 05-OMD-159.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

Kentucky Bench & Bar.

Legal Issues for Today’s Citizen Soldier: Kentucky’s Added Reemployment Protections for the State Employee/Citizen Soldier, Vol. 69, No. 6, Nov. 2005, Ky. Bench & Bar 12.

Northern Kentucky Law Review.

General Law Issue: Note: Front Pay Under the FMLA, 38 N. Ky. L. Rev. 259 (2011).

18A.100. Appeal of final order of the Personnel Board.

  1. Any final order of the board either upholding or invalidating the dismissal, demotion, suspension, or other penalization of a classified or an unclassified employee may be appealed either by the employee or by the appointing authority.
  2. The party aggrieved may appeal a final order by filing a petition with the clerk of the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Repealed, reenact. and amend. 1982, ch. 448, § 20, effective July 15, 1982; 1994, ch. 475, § 2, effective July 15, 1994; 1996, ch. 318, § 23, effective July 15, 1996.

Compiler's Notes.

This section was formerly compiled as KRS 18.272 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 20.

NOTES TO DECISIONS

1.Limited Review.

Where the board specifically found that grounds to discipline officer existed, but that the penalty imposed was excessive, the board having exercised its statutory prerogative to amend or modify appellant’s penalty as excessive, the Circuit Court on appeal was limited in its review of that action by former subsection (5) of this section and, in the absence of any of the grounds specified in that subsection, the Circuit Court erred by failing to affirm the board’s order in all respects. Wilson v. Bureau of State Police, 669 S.W.2d 18, 1984 Ky. App. LEXIS 490 (Ky. Ct. App. 1984), overruled, Howard v. Transportation Cabinet, 878 S.W.2d 14, 1994 Ky. LEXIS 72 ( Ky. 1994 ) (decided under prior law).

The plain language of former subsection (5) of this section bars an issue on appeal unless the record indicates that the issue was raised and properly considered by the agency below. Personnel Bd. v. Heck, 725 S.W.2d 13, 1986 Ky. App. LEXIS 1488 (Ky. Ct. App. 1986) (decided under prior law).

2.Necessary Party.

The state Personnel Board is a necessary party where a former employee files an appeal in the Circuit Court from a decision by the Board and the Cabinet for Human Resources to discharge her, and the Board remains a necessary party throughout the appellate process; accordingly, where a discharged employee failed to join the Board as a party in its appeal from the circuit court to the Court of Appeals, the appeal was dismissed. Hammond v. Department for Human Resources Bureau for Social Ins., 652 S.W.2d 91, 1983 Ky. App. LEXIS 291 (Ky. Ct. App. 1983).

Former Commissioner of the Kentucky Department of Juvenile Justice could not challenge a decision by the Kentucky Board of Personnel, which determined that it did not have jurisdiction to hear the Commissioner’s claim, by filing a claim under 42 USCS § 1983 against the governor, the former governor, the Secretary of the Justice Cabinet and the former Secretary, because the state officials named as defendants did not have authority over the Board of Personnel to influence its decisions or to grant the relief requested by the plaintiff. Kelly v. Burks, 414 F. Supp. 2d 681, 2006 U.S. Dist. LEXIS 4704 (E.D. Ky. 2006 ).

3.Self-incrimination.

Public employees cannot be dismissed for invoking and refusing to waive their constitutional right against self-incrimination; however, the statutes and administrative regulations of Kentucky have provided a forum and a procedure whereby such arguments are to be raised. (Decided under prior law) Kidd v. Montgomery, 583 S.W.2d 87, 1979 Ky. App. LEXIS 423 (Ky. Ct. App. 1979).

Cited in:

Smith v. Commonwealth, Dep’t of Justice, 686 S.W.2d 831, 1985 Ky. App. LEXIS 543 (Ky. Ct. App. 1985); Perkins v. Cabinet for Health & Family Servs., — S.W.3d —, 2007 Ky. App. LEXIS 192 (Ky. Ct. App. 2007).

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.105. Compensation, retirement system contributions of employee ordered reinstated without loss of pay.

    1. When a classified or unclassified employee has been finally ordered reinstated by the board without loss of pay, pursuant to the provisions of KRS 18A.095 , the executive director of the board shall forward a certified copy of said order to the Personnel Cabinet and the Finance and Administration Cabinet, which shall process proper payment to the employee for the period of suspension, said payment to be made out of the agency’s appropriations. If no funds or insufficient funds are available in the agency’s appropriations, then payment shall be made out of the “judgments” section of the general fund of the biennial state budget. (1) (a) When a classified or unclassified employee has been finally ordered reinstated by the board without loss of pay, pursuant to the provisions of KRS 18A.095 , the executive director of the board shall forward a certified copy of said order to the Personnel Cabinet and the Finance and Administration Cabinet, which shall process proper payment to the employee for the period of suspension, said payment to be made out of the agency’s appropriations. If no funds or insufficient funds are available in the agency’s appropriations, then payment shall be made out of the “judgments” section of the general fund of the biennial state budget.
    2. Gross moneys which were earned by the employee from other sources during the period of suspension shall be set-off against the gross sum due the employee, to the extent that the moneys were earned in a number of hours comparable to the length of time the employee would have worked in the job from which he was dismissed. The Finance and Administration Cabinet shall by regulation provide an administrative procedure for determining reasonable earnings to be so set off.
    3. All other deductions shall be deducted as required by law or by Finance and Administration Cabinet regulation.
    1. Both the employee’s and employer’s contributions to the Kentucky Employees Retirement System shall be based upon the gross amount due the employee, before set off or deduction, except for set-off caused by earnings on which employee and employer contributions to the Kentucky Employees Retirement System, County Employees Retirement System, State Police Retirement System, or Kentucky Teachers’ Retirement System have been paid. (2) (a) Both the employee’s and employer’s contributions to the Kentucky Employees Retirement System shall be based upon the gross amount due the employee, before set off or deduction, except for set-off caused by earnings on which employee and employer contributions to the Kentucky Employees Retirement System, County Employees Retirement System, State Police Retirement System, or Kentucky Teachers’ Retirement System have been paid.
    2. Member and employer contributions paid into the system in which the employee participated after dismissal shall be transferred to the system in which he participated prior to his illegal dismissal. In the event of a difference in member or employer contribution rates between the retirement system under which the member was covered prior to dismissal and the retirement system in which he participated before reinstatement by the board, the member and employer shall pay or receive a refund in order to adjust their respective contribution to the appropriate rate for the system under which he would have participated had he not been dismissed.

History. Repealed, reenact. and amend. 1982, ch. 448, § 21, effective July 15, 1982; 1998, ch. 154, § 24, effective July 15, 1998.

Compiler's Notes.

This section was formerly compiled as KRS 18.275 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 21.

NOTES TO DECISIONS

1.Period of Suspension.

Where an employee was improperly laid off, rehired, and then fired for cause, he was entitled to compensation for the period from the date of his wrongful dismissal until the date he was discharged for cause. Personnel Bd. v. Heck, 725 S.W.2d 13, 1986 Ky. App. LEXIS 1488 (Ky. Ct. App. 1986).

2.Overtime.

A state employee who was reinstated without loss of pay was not entitled to an award of lost overtime compensation as the common law rule recognizing the right of an illegally discharged employee to recover back pay has never been construed in Kentucky as encompassing more than the employee’s base salary, as the employee was not vested with any legally enforceable right to earn overtime pay during the period of his suspension, and as any award of overtime pay for that period would necessarily be based in part upon speculation and conjecture. Maggard v. Cabinet for Families & Children, 991 S.W.2d 659, 1998 Ky. App. LEXIS 75 (Ky. Ct. App. 1998).

3.Mitigation of Damages.

Since the doctrine of mitigation of damages applies in employment contract cases, the employer was entitled to set off the amount earned by a wrongfully discharged employee while he was discharged against the back pay to which he would otherwise be entitled. (Decided under prior law) Commonwealth v. Ratliff, 497 S.W.2d 435, 1973 Ky. LEXIS 328 ( Ky. 1973 ).

4.Amount of Damages.

A judgment for money recovery cannot be entered until the amount of money which a state employee, whose reinstatement has been ordered, is entitled to receive has been determined. (Decided under prior law) Commonwealth, Dep't of Transp., Bureau of Highways v. Lamb, 549 S.W.2d 504, 1976 Ky. LEXIS 150 ( Ky. 1976 ).

Where, in a proceeding for reinstatement, the first judgment merely ordered reinstatement without loss of pay or other fringe benefits, there has been no final determination of amount of money damages. (Decided under prior law) Commonwealth, Dep't of Transp., Bureau of Highways v. Lamb, 549 S.W.2d 504, 1976 Ky. LEXIS 150 ( Ky. 1976 ).

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.110. Personnel secretary — Regulatory authority — Resolution of conflicting provisions of law.

  1. The secretary shall promulgate comprehensive administrative regulations for the classified service governing:
    1. Applications and examinations;
    2. Certification and selection of eligibles;
    3. Classification and compensation plans;
    4. Incentive programs;
    5. Lay-offs;
    6. Registers;
    7. Types of appointments;
    8. Attendance; hours of work; compensatory time; annual, court, military, sick, voting, living organ donor, and special leaves of absence, provided that the secretary shall not promulgate administrative regulations that would reduce the rate at which employees may accumulate leave time below the rate effective on December 10, 1985; and
    9. Employee evaluations.
  2. The secretary shall promulgate comprehensive administrative regulations for the unclassified service.
    1. Except as provided by KRS 18A.355 , the secretary shall not promulgate administrative regulations that would reduce an employee’s salary; and (3) (a) Except as provided by KRS 18A.355 , the secretary shall not promulgate administrative regulations that would reduce an employee’s salary; and
    2. As provided by KRS 18A.0751(4)(e), the secretary may submit a proposed administrative regulation providing for an initial probationary period in excess of six (6) months to the board for its approval.
  3. The secretary may promulgate administrative regulations to implement state government’s affirmative action plan under KRS 18A.138 .
    1. The administrative regulations shall comply with the provisions of this chapter and KRS Chapter 13A, and shall have the force and effect of law after compliance with the provisions of KRS Chapters 13A and 18A and the procedures adopted thereunder; (5) (a) The administrative regulations shall comply with the provisions of this chapter and KRS Chapter 13A, and shall have the force and effect of law after compliance with the provisions of KRS Chapters 13A and 18A and the procedures adopted thereunder;
    2. Administrative regulations promulgated by the secretary shall not expand or restrict rights granted to, or duties imposed upon, employees and administrative bodies by the provisions of this chapter; and
    3. No administrative body other than the Personnel Cabinet shall promulgate administrative regulations governing the subject matters specified in this section.
  4. Prior to filing an administrative regulation with the Legislative Research Commission, the secretary shall submit the administrative regulation to the board for review.
    1. The board shall review the administrative regulation proposed by the secretary not less than twenty (20) days after its submission to it;
    2. Not less than five (5) days after its review, the board shall submit its recommendations in writing to the secretary;
    3. The secretary shall review the recommendations of the board and may revise the proposed administrative regulation if he deems it necessary; and
    4. After the secretary has completed the review provided for in this section, he may file the proposed administrative regulation with the Legislative Research Commission pursuant to the provisions of KRS Chapter 13A.
  5. The administrative regulations shall provide:
    1. For the preparation, maintenance, and revision of a position classification plan for all positions in the classified service, based upon similarity of duties performed and responsibilities assumed, so that the same qualifications may reasonably be required for, and the same schedule of pay may be equitably applied to, all positions in the same class. The secretary shall allocate the position of every employee in the classified service to one (1) of the classes in the plan. The secretary shall reallocate existing positions, after consultation with appointing authorities, when it is determined that they are incorrectly allocated, and there has been no substantial change in duties from those in effect when such positions were last classified. The occupant of a position being reallocated shall continue to serve in the reallocated position with no reduction in salary;
    2. For a pay plan for all employees in the classified service, after consultation with appointing authorities and the state budget director. The plan shall take into account such factors as:
      1. The relative levels of duties and responsibilities of various classes of positions;
      2. Rates paid for comparable positions elsewhere taking into consideration the effect of seniority on such rates; and
      3. The state’s financial resources. Amendments to the pay plan shall be made in the same manner. Each employee shall be paid at one (1) of the rates set forth in the pay plan for the class of position in which he is employed, provided that the full amount of the annual increment provided for by the provisions of KRS 18A.355 , and the full amount of an increment due to a promotion, salary adjustment, reclassification, or reallocation, shall be added to an employee’s base salary or wages;
    3. For open competitive examinations to test the relative fitness of applicants for the respective positions. The examinations shall be announced publicly and applications accepted at least ten (10) days prior to certification of a register, and may be advertised through the press, radio, and other media. The secretary shall continue to receive applications and examine candidates on a continuous basis long enough to assure a sufficient number of eligibles to meet the needs of the service. Except as provided by this chapter, he shall add the names of successful candidates to existing eligible lists in accordance with their respective ratings. The secretary shall be free to use any investigation of education and experience and any test of capacity, knowledge, manual skill, character, personal traits, or physical fitness, which in his judgment, serves the need to discover the relative fitness of applicants;
    4. As provided by this chapter, for the establishment of eligible lists for appointment, upon which lists shall be placed the names of successful candidates in the order of their relative excellence in the respective examinations. Except as provided by this chapter, an eligible’s score shall expire automatically one (1) year from the date of testing, unless the life of the score is extended by action of the secretary for a period not to exceed one (1) additional year. Except for those individuals exercising reemployment rights, all eligibles may be removed from the register when a new examination is established;
    5. For the rejection of candidates or eligibles who fail to comply with reasonable requirements of the secretary in regard to such factors as age, physical condition, training, and experience, or who have attempted any deception or fraud in connection with an examination;
    6. Except as provided by this chapter, for the appointment of a person whose score is included in the five (5) highest scores earned on the examination;
    7. For annual, sick, and special leaves of absence, with or without pay, or reduced pay, after approval by the Governor as provided by KRS 18A.155(1)(d);
    8. For lay-offs, in accordance with the provisions of KRS 18A.113 , 18A.113 1, and 18A.1132 , by reasons of lack of work, abolishment of a position, a material change in duties or organization, or a lack of funds;
    9. For the development and operation of programs to improve the work effectiveness of employees in the state service, including training, whether in-service or compensated educational leave, safety, health, welfare, counseling, recreation, employee relations, and employee mobility without written examination;
    10. For a uniform system of annual employee evaluation for classified employees, with status, that shall be considered in determining eligibility for discretionary salary advancements, promotions, and disciplinary actions. The administrative regulations shall:
      1. Require the secretary to determine the appropriate number of job categories to be evaluated and a method for rating each category;
      2. Provide for periodic informal reviews during the evaluation period which shall be documented on the evaluation form and pertinent comments by either the employee or supervisor may be included;
      3. Establish a procedure for internal dispute resolution with respect to the final evaluation rating;
      4. Permit a classified employee, with status, who receives either of the two (2) lowest possible evaluation ratings to appeal to the Personnel Board for review after exhausting the internal dispute resolution procedure. The final evaluation shall not include supervisor comments on ratings other than the lowest two (2) ratings;
      5. Require that an employee who receives the highest possible rating shall receive the equivalent of two (2) workdays, not to exceed sixteen (16) hours, credited to his or her annual leave balance. An employee who receives the second highest possible rating shall receive the equivalent of one (1) workday, not to exceed eight (8) hours, credited to his or her annual leave balance; and
      6. Require that an employee who receives the lowest possible evaluation rating shall either be demoted to a position commensurate with the employee’s skills and abilities or be terminated; and
    11. For other administrative regulations not inconsistent with this chapter and KRS Chapter 13A, as may be proper and necessary for its enforcement.
  6. For any individual hired or elected to office before January 1, 2015, and paid through the Kentucky Human Resources Information System, the Personnel Cabinet shall not require payroll payments to be made by direct deposit or require the individual to use a Web-based program to access his or her salary statement.
  7. To the extent that KRS 16.010 to 16.199 and administrative regulations promulgated by the commissioner of the Department of Kentucky State Police under authority granted in KRS Chapter 16 conflict with this section or any administrative regulation promulgated by the secretary pursuant to authority granted in this section, the provisions of KRS Chapter 16 shall prevail.

History. Repealed, reenact. and amend. 1982, ch. 448, § 22, effective July 15, 1982; 1986, ch. 494, § 17, effective July 15, 1986; 1988, ch. 203, § 3, effective July 15, 1988; 1988, ch. 414, § 1, effective July 15, 1988; 1990, ch. 309, § 1, effective July 13, 1990; 1994, ch. 486, § 35, effective July 15, 1994; 1998, ch. 154, § 25, effective July 15, 1998; 1998, ch. 487, § 2, effective July 15, 1998; 1998, ch. 540, § 2, effective July 15, 1998; 2000, ch. 501, § 1, effective July 14, 2000; 2015 ch. 25, § 2, effective June 24, 2015; 2016 ch. 110, § 11, effective July 15, 2016; 2016 ch. 109, § 10, effective July 15, 2016; 2020 ch. 107, § 3, effective July 15, 2020.

Legislative Research Commission Notes.

(7/15/2016). This statute was amended in 2016 Ky. Acts ch. 109, sec. 10 and ch. 110, sec. 11. 2016 Ky. Acts ch. 110, sec. 15 provided that ch. 110 takes precedence over ch. 109. Chapter 110 was also the later-passed bill. Therefore, 2016 Ky. Acts ch. 110, sec. 11 has been codified and 2016 Ky. Acts ch. 109, sec. 10 has not.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 154, 487, and 540. Where these Acts are not in conflict, they have been codified together. Where a conflict exists between Acts chs. 154 and 540, Acts ch. 540, which was last enacted by the General Assembly, prevails under KRS 446.250 .

Compiler’s Notes.

This section was formerly compiled as KRS 18.210 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 22.

Section 15 of Acts 2016, ch. 110 read: “Sections 6 to 12 of this Act shall take precedence over the provisions of Sections 5 to 11 of 16 RS HB 535 [Act 109] should that bill be enacted.”

NOTES TO DECISIONS

1.Layoffs.

Subdivision (14) (now (5)(h)) of this section governing layoffs contains no requirement to show cause and it permits layoffs due to reorganization, lack of funds, or work, or the abolishment of positions; thus, laid-off state merit employes who brought an action under 42 USCS § 1983 alleging constitutional violations arising from their discharge had no protectable property right in their continued employment and their action was consequently dismissed. Riggs v. Kentucky, 734 F.2d 262, 1984 U.S. App. LEXIS 23677 (6th Cir. Ky.), cert. denied, 469 U.S. 857, 105 S. Ct. 184, 83 L. Ed. 2d 118, 1984 U.S. LEXIS 3598 (U.S. 1984).

2.Nonspecific Discharge.

Where none of the reasons for discharge were sufficiently specific, the discharges were void. (Decided under prior law) Goss v. Personnel Board, 456 S.W.2d 822, 1970 Ky. LEXIS 236 ( Ky. 1970 ).

The provision of former law regarding rules for classified service that employees can be discharged only for cause is fully consistent with the stated purposes of former law providing for general purposes of personnel law. (Decided under prior law) King v. Sermonis, 481 S.W.2d 652, 1972 Ky. LEXIS 256 ( Ky. 1972 ).

Where an employee was given no statement of reasons prior to her discharge, as required by former law, the discharge was void. (Decided under prior law) Goss v. Personnel Board, 456 S.W.2d 822, 1970 Ky. LEXIS 236 ( Ky. 1970 ).

3.— Notice.

The notice required prior to reduction in rank or discharge shall be in sufficient detail to enable the employee to “reply thereto in writing” or to appear before and “reply” to the head of the department or his agent. (Decided under prior law) Goss v. Personnel Board, 456 S.W.2d 819, 1970 Ky. LEXIS 235 ( Ky. 1970 ).

Where the notice did not state dates, places and names, it was an insufficient statement of reasons under the statutory requirements. (Decided under prior law) Goss v. Personnel Board, 456 S.W.2d 819, 1970 Ky. LEXIS 235 ( Ky. 1970 ).

4.Probationary Period.

The reason required to be given the employee discharged during the probationary period would be sufficient if it imparted to the employee the general nature of the complaint. (Decided under prior law) Miracle v. Gable, 452 S.W.2d 399, 1970 Ky. LEXIS 357 ( Ky. 1970 ).

Under a Personnel Department rule entitled “Separation During the Probationary Period,” the giving of 10 working days’ notice to the employee was directory as to time. (Decided under prior law) Miracle v. Gable, 452 S.W.2d 399, 1970 Ky. LEXIS 357 ( Ky. 1970 ).

Under the Personnel Department rule regarding separation during the probationary period, the employer had a right to terminate the employee’s employment for any reason, political or otherwise, during the first six (6) months of employment, and that right continued up to the last day of the probationary period “without the right of appeal or hearing” to the employee. (Decided under prior law) Miracle v. Gable, 452 S.W.2d 399, 1970 Ky. LEXIS 357 ( Ky. 1970 ).

Where the notice of termination during the probationary period given the employee not only advised her that her work was unsatisfactory but advised her in which area it was unsatisfactory when it referred to “assigned duties and responsibilities,” the reason stated was sufficient. (Decided under prior law) Miracle v. Gable, 452 S.W.2d 399, 1970 Ky. LEXIS 357 ( Ky. 1970 ).

The reasonable implication of the language of former provision providing for probation period is that the purpose of the probationary period is to determine whether or not an employee can satisfactorily perform the task required of a certain position. (Decided under prior law) Bunch v. Personnel Bd., Commonwealth, 719 S.W.2d 8, 1986 Ky. App. LEXIS 1469 (Ky. Ct. App. 1986).

The denial of the employee’s rights to seek review of his discharge before the Personnel Board was arbitrary, where the employee was required to resign from the part-time “status” position to be reappointed the next day to the full-time position, there was no competition for the position when the employee’s classification was changed, and the employee was working full-time hours and the reclassification was simply a change “on the books” to reflect that. (Decided under prior law) Bunch v. Personnel Bd., Commonwealth, 719 S.W.2d 8, 1986 Ky. App. LEXIS 1469 (Ky. Ct. App. 1986).

5.Due Process.

A school teacher who was employed in a “classified position” was entitled to a due process hearing upon termination and anything less than that was insufficient. (Decided under prior law) Wagner v. Department of Education, State Personnel Board, 549 S.W.2d 300, 1977 Ky. LEXIS 409 ( Ky. 1977 ).

Where a school teacher had been notified in writing of the reasons for her discharge and given a hearing before the state Personnel Board, at which there was a taking and weighing of evidence, a finding of fact based upon consideration of the evidence, and the making of an order supported by substantial evidence and from which a judicial review is provided, she received a due process hearing even though the provisions of former law requiring notice and hearing were not followed to the letter of the law. (Decided under prior law) Wagner v. Department of Education, State Personnel Board, 549 S.W.2d 300, 1977 Ky. LEXIS 409 ( Ky. 1977 ).

Cited in:

Commonwealth Educ. & Humanities Cabinet Dep’t of Educ. v. Gobert, 979 S.W.2d 922, 1998 Ky. App. LEXIS 121 (Ky. Ct. App. 1998).

Opinions of Attorney General.

Cafeteria plans, under which Commonwealth employees having payroll deductions for family health care coverage could elect to have their deductions made from before tax wages rather than after tax, are not impermissible under this section. OAG 87-48 .

Neither the personnel commissioner nor the personnel board has authority to promulgate a regulation concerning nepotism. Likewise, in the absence of specific statutory authority given to a specific individual agency, such agency could not promulgate such a regulation nor adopt a policy regulating the subject under the prohibition of KRS 13A.120 and KRS 13A.130 . OAG 88-15 .

Under this section, the Department of Personnel has authority to regulate various forms of employee benefits, including annual leave and sick leave. Moreover, the regulations that the Department of Personnel may promulgate are subject to a legislative review. OAG 91-73 .

Since the state is not legally obligated to grant unconditional annual leave as a benefit, it follows that the Department of Personnel may define the terms under which benefits may vest. OAG 91-73 .

It is legally permissible for the Commonwealth to determine by regulation that annual leave may not be converted to terminal wages and salary until 14-days notice of resignation is given. It is also permissible for the Commonwealth to determine that in order to qualify the employee must not have been terminated for misconduct or for poor work performance. OAG 91-73 .

A state agency legally may grant tuition assistance or tuition reimbursement to a state employee based on KRS 164.357 which gives authority for coordination, implementation, and approval of training and employee development programs to the Governmental Services Center. OAG 91-120 .

Research References and Practice Aids

Cross-References.

Annual military leave, KRS 61.394 .

Training programs for personnel of departments of economic security, KRS 195.105 ; child welfare, KRS 199.900 .

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.111. Probationary periods for classified service — Initial and promotional.

  1. Except when appointed to a job classification with an initial probationary period in excess of six (6) months, and except as provided in KRS 18A.005 and this section, an employee shall serve a six (6) months probationary period when he is initially appointed to the classified service. An employee may be separated from his position, reduced in class or rank, or replaced on the eligible list during this initial probationary period and shall not have a right to appeal, except as provided by KRS 18A.095 . The employee may be placed on an eligible list but shall not be certified to the agency from which he was separated unless that agency so requests. Unless the appointing authority notifies the employee prior to the end of the initial probationary period that he is separated, the employee shall be deemed to have served satisfactorily and shall acquire status in the classified service.
  2. An employee who satisfactorily completes the initial probationary period for the position to which he was initially appointed to the classified service shall be granted status and may not be demoted, disciplined, dismissed, or otherwise penalized, except as provided by the provisions of this chapter.
  3. An employee ordered reinstated by the board shall not be required to serve a probationary period unless the board rules otherwise.
  4. An employee with status, who has been promoted, shall serve a promotional probationary period of six (6) months, except for those employees granted leave in excess of twenty (20) consecutive work days during this period. Such probationary periods shall be extended as prescribed in KRS 18A.005 . During this period, he shall retain the rights and privileges granted by the provisions of this chapter to status employees.
  5. An employee with status may request that he be reverted to a position in his former class at any time during the promotional probationary period.
  6. A laid-off employee who accepts a bona fide written offer of appointment to a position shall not be required to serve an initial probationary period. He shall be an employee with status and shall have all rights and privileges granted employees with status under the provisions of this chapter.
  7. A former unclassified employee under KRS 18A.115(1)(d), (e), (f), (g), (h), or (i) shall serve an initial probationary period of twelve (12) months if the employee is appointed to a position in the classified service, unless that employee had previously had status in the classified service or had been separated from his or her previous unclassified position for at least one hundred eighty (180) days prior to the effective date of his or her appointment to the classified service.
  8. Notification to an employee on initial or promotional probation of the reason the probationary employment has been terminated by the appointing authority shall not confer a right to appeal to the board.

History. Enact. Acts 1986, ch. 494, § 2, effective July 15, 1986; 1988, ch. 203, § 4, effective July 15, 1988; 1998, ch. 154, § 26, effective July 15, 1998; 2002, ch. 122, § 3, effective July 15, 2002; 2010, ch. 153, § 9, effective April 13, 2010.

NOTES TO DECISIONS

1.Appeal of Termination.

Because their jobs were abolished under KRS 156.016, a part of the Kentucky Education Reform Act, employees of the Kentucky Department of Education, dismissed from their jobs, rehired, and subsequently terminated, were not “reinstated” or “reemployed” and were therefore under “initial probation” and not “promotional probation” when they were discharged and did not have the right to an appeal before the Personnel Board. Hart v. Personnel Bd., 905 S.W.2d 507, 1995 Ky. App. LEXIS 154 (Ky. Ct. App. 1995).

2.— Time.

Employees of Kentucky Department of Education, dismissed from their jobs and rehired pursuant to the Kentucky Education Reform Act and subsequently terminated during their “initial probation” period, did timely appeal their terminations to the Personnel Board for the 30 day limit to file an appeal ran from the time of their discharge on, not upon their placement on “initial probation.” Hart v. Personnel Bd., 905 S.W.2d 507, 1995 Ky. App. LEXIS 154 (Ky. Ct. App. 1995).

3.Reversion.

Trial court erred in reversing the ruling of the Commonwealth’s personnel board to dismiss the employee’s grievance of the warden’s decision not to allow the rescission of the employee’s resignation; KRS 18A.095 does not permit an employee to rescind a resignation prior to the time that the employee actually resigned since the statute does not mention the term “resignation.” Commonwealth v. Searcy, 2007 Ky. App. LEXIS 103 (Ky. Ct. App. Apr. 6, 2007, sub. op., 2007 Ky. App. Unpub. LEXIS 256 (Ky. Ct. App. Apr. 6, 2007), review denied, ordered not published, 2008 Ky. LEXIS 190 (Ky. Apr. 16, 2008).

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.112. Performance evaluations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 494, § 3, effective July 15, 1986; 1994, ch. 475, § 3, effective July 15, 1994; 1996, ch. 165, § 1, effective July 15, 1996; 1998, ch. 154, § 27, effective July 15, 1998) was repealed by Acts 2000, ch. 501, § 6, effective July 14, 2000. For present law, see KRS 18A.110 .

18A.113. Lay-off rules — General.

  1. It shall be unlawful to coerce employees who may be or who are subject to lay-off to resign or retire in lieu of lay-off. Dismissals shall comply with statutes relating thereto, and lay-offs shall not be utilized as a method of dismissal.
  2. In the same cabinet, county, and job classification, federally funded time-limited, interim, and probationary employees shall be laid-off before full-time or part-time employees with status. For purposes of lay-off, “probationary employee” does not include an employee with status serving a promotional probation. A cabinet shall not transfer positions, including vacant positions, in order to circumvent the provisions of this section.
  3. If two (2) or more employees subject to lay-off in a lay-off plan submitted to the secretary have the same qualifications, the employee with the lesser seniority shall be laid-off first.
  4. An employee who is laid-off shall be placed on a reemployment register for the class of position from which he was laid-off and for any class for which he is qualified. He shall have the right to test for any class of position for which he is qualified to take an examination. If he passes the examination, he shall be placed on the register for the class.
  5. For a period of five (5) years, laid-off employees shall be hired before any applicant or eligible except another laid-off employee with greater seniority who is already on such register.
  6. For a period of five (5) years, a laid-off employee shall not be removed from any register unless:
    1. He notifies the cabinet in writing that he no longer desires consideration for a position on such register;
    2. He declines two (2) written offers of appointment to a position of the same classification and salary, and located in the same county, as the position from which he was laid-off;
    3. Without good cause, he fails to report for an interview after he has been notified in writing at least ten (10) calendar days prior to the date of the interview;
    4. He is unqualified for appointment;
    5. He is unable to perform the duties of the class;
    6. He has made a false statement of a material fact in his application;
    7. He has used or attempted to use political influence or bribery to secure an advantage in connection with his placement on the register;
    8. He has been convicted of a felony within the preceding five (5) years and his civil rights have not been restored or he has not been pardoned by the Governor;
    9. He has been convicted of a job related misdemeanor, except that convictions for violations of traffic regulations shall not constitute grounds for disqualification;
    10. He cannot be located by postal authorities at the last address provided by him; or
    11. He has otherwise willfully violated the provisions of this chapter.
  7. When the cabinet is notified by an appointing authority that a laid-off employee has accepted a bona fide offer of appointment to any position, effective on a specified date, his name may be removed from the register for all classes for which the maximum salary is the same as or less than that of the class to which he has been appointed.
  8. When a laid-off employee is removed from a register he shall be notified in writing and shall be notified of his right to appeal to the board under the provisions of KRS 18A.095 .

History. Enact. Acts 1986, ch. 494, § 4, effective July 15, 1986; 1998, ch. 154, § 28, effective July 15, 1998; 1998, ch. 540, § 3, effective July 15, 1998; 2004, ch. 127, § 2, effective July 13, 2004.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.1131. Lay-off rules applicable to classified employees only.

  1. A lay-off of a state employee with status in the executive branch due to the abolition of a position, lack of work, or a material change in duties or organization shall comply with the provisions of this section.
  2. Prior to the notification of an employee that he is subject to lay-off and prior to the lay-off of an employee, the appointing authority shall submit a lay-off plan to the secretary of the Personnel Cabinet for approval. Such plan shall contain the name of the employee and the reasons, in detail, for such lay-off. Upon approval of the plan by the secretary, the employee shall be notified that he is subject to lay-off and of:
    1. The reason for the lay-off;
    2. The procedures established by the provisions of KRS 18A.113 and this section for the lay-off of employees; and
    3. The rights granted employees subject to lay-off and to laid-off employees.
    1. An employee subject to lay-off shall be transferred to a vacant position of the same pay grade, level of duties, and responsibilities for which he is qualified within the cabinet. Such position shall be located in the same county as the position from which the employee is subject to lay-off; (3) (a) An employee subject to lay-off shall be transferred to a vacant position of the same pay grade, level of duties, and responsibilities for which he is qualified within the cabinet. Such position shall be located in the same county as the position from which the employee is subject to lay-off;
    2. If such a vacancy does not exist, the employee shall be transferred to a vacant position within the cabinet for which he is qualified. Such position shall be located in the same county as the position from which the employee is subject to lay-off; and
    3. If such a position is not available, the employee shall be notified of all vacant positions within the cabinet for which he is qualified to take an examination. The employee shall have the right to take an examination for any vacant position within the cabinet for which he is qualified. If he passes the examination, he shall be appointed to that position before any applicant or eligible on a register, except another laid-off employee with greater seniority already on such register.
    1. If no position is available to an employee subject to lay-off under the procedure established by subsection (3) of this section, the appointing authority shall notify the employee and the Personnel Cabinet; and (4) (a) If no position is available to an employee subject to lay-off under the procedure established by subsection (3) of this section, the appointing authority shall notify the employee and the Personnel Cabinet; and
    2. The Personnel Cabinet shall coordinate efforts to transfer an employee subject to lay-off to another agency. It shall have the authority to transfer an employee subject to lay-off under this section, with the approval of the appointing authority of the agency to which the employee is to be transferred.
  3. If no position is available, the employee shall have the right to take an examination for any position for which he is qualified. If he passes the examination, he shall be hired before any applicant or eligible on a register, except a laid-off employee with greater seniority already on such register.
  4. If no position is available to an employee subject to layoff under the procedure established by subsections (3) and (4) of this section, the employee shall be notified in writing that he is to be laid off effective fifteen (15) days after receipt of notice, and of the rights and privileges granted laid-off employees.

History. Enact. Acts 1986, ch. 494, § 5, effective July 15, 1986; 1998, ch. 154, § 29, effective July 15, 1998; 1998, ch. 487, § 3, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 154 and 487. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 487, which was last enacted by the General Assembly, prevails under KRS 446.250 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.1132. Lay-off rules applicable to both classified and unclassified employees.

  1. Prior to a lay-off of state employees in the executive branch required by a budget reduction plan enacted pursuant to KRS 48.130 , each cabinet shall prepare a lay-off plan that complies with the provisions of KRS 18A.113 and this section.
  2. Each lay-off plan shall provide that a lay-off of state employees shall occur only after all other cost saving measures are taken and have failed to alleviate the revenue shortfall, as defined in KRS 48.010 , of five percent (5%) or less. These measures shall be specified in the plan, in detail, and shall include but not be limited to:
    1. A hiring freeze of all types of appointments;
    2. A reduction or delay of expenditures that would not prevent the provision of services required by law;
    3. Consolidation of offices and job duties that would not prevent the provision of services required by law;
    4. Transfer of funds as provided by the budget reduction plan enacted pursuant to KRS Chapter 48;
    5. Transfer of funds appropriated for or allotted to vacant positions as provided by the budget reduction plan provided for by KRS 48.130 , unless it is certified that the positions are essential and cannot be filled in the period during which lay-offs are to occur by transfer of existing employees of the appointing authority;
    6. The filling of vacancies and promotions from within the cabinet; and
    7. Transfers of employees within the cabinet as provided by KRS 18A.1131(3) and (4).
  3. Each cabinet shall submit:
    1. Its lay-off plan; and
    2. A list of employees who would remain subject to lay-off after the implementation of cost-saving measures;

      to the secretary of the Personnel Cabinet for review. Upon approval, the lay-off plans shall be submitted to the Governor for approval.

  4. Upon approval of the plan by the Governor, the secretary shall attempt to transfer employees as provided by KRS 18A.1131(4)(b). Employees who cannot be so transferred may be laid-off.
  5. If no position is available to an employee subject to lay-off under the procedures established by this section, the employee shall be notified in writing that he is to be laid-off effective fifteen (15) days after receipt of notice and of the rights and privileges granted laid-off employees.
  6. When the hiring freeze is ended, laid-off employees shall be hired before any applicant or eligible except laid-off employees already on such registers.

History. Enact. Acts 1986, ch. 494, § 6, effective July 15, 1986; 1994, ch. 387, § 30, effective July 15, 1994; 1998, ch. 154, § 30, effective July 15, 1998; 1998, ch. 487, § 4, effective July 15, 1998; 2009, ch. 78, § 25, effective June 25, 2009.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 154 and 487. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 487, which was last enacted by the General Assembly, prevails under KRS 446.250 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.115. Employment exempted from classified service — Reversion rights of career employees promoted outside classified service — Transfer of employees to Kentucky Community and Technical College System — Change of personnel system for employees of Department for Technical Education and Department for Adult Education and Literacy — Change of personnel system for some employees of Eastern Kentucky University.

  1. The classified service to which KRS 18A.005 to 18A.200 shall apply shall comprise all positions in the state service now existing or hereafter established, except the following:
    1. The General Assembly and employees of the General Assembly, including the employees of the Legislative Research Commission;
    2. Officers elected by popular vote and persons appointed to fill vacancies in elective offices;
    3. Members of boards and commissions;
    4. Officers and employees on the staff of the Governor, the Lieutenant Governor, the Office of the Secretary of the Governor’s Cabinet, and the Office of Program Administration;
    5. Cabinet secretaries, commissioners, office heads, and the administrative heads of all boards and commissions, including the executive director of Kentucky Educational Television;
    6. Employees of Kentucky Educational Television who have been determined to be exempt from classified service by the Kentucky Authority for Educational Television, which shall have sole authority over such exempt employees for employment, dismissal, and setting of compensation, up to the maximum established for the executive director and his principal assistants;
    7. One (1) principal assistant or deputy for each person exempted under subsection (1)(e) of this section;
    8. One (1) additional principal assistant or deputy as may be necessary for making and carrying out policy for each person exempted under subsection (1)(e) of this section in those instances in which the nature of the functions, size, or complexity of the unit involved are such that the secretary approves such an addition on petition of the relevant cabinet secretary or department head and such other principal assistants, deputies, or other major assistants as may be necessary for making and carrying out policy for each person exempted under subsection (1)(e) of this section in those instances in which the nature of the functions, size, or complexity of the unit involved are such that the board may approve such an addition or additions on petition of the department head approved by the secretary. Effective August 1, 2010:
      1. All positions approved under this paragraph prior to August 1, 2010, shall be abolished effective December 31, 2010, unless reapproved under subparagraph 2. of this paragraph; and
      2. A position approved under this paragraph on or after August 1, 2010, shall be approved for a period of five (5) years, after which time the position shall be abolished unless reapproved under this subparagraph for an additional five (5) year period;
    9. Division directors subject to the provisions of KRS 18A.170 . Division directors in the classified service as of January 1, 1980, shall remain in the classified service;
    10. Physicians employed as such;
    11. One (1) private secretary for each person exempted under subsection (1)(e), (g), and (h) of this section;
    12. The judicial department, referees, receivers, jurors, and notaries public;
    13. Officers and members of the staffs of state universities and colleges and student employees of such institutions; officers and employees of the Teachers’ Retirement System; and officers, teachers, and employees of local boards of education;
    14. Patients or inmates employed in state institutions;
    15. Persons employed in a professional or scientific capacity to make or conduct a temporary or special inquiry, investigation, or examination on behalf of the General Assembly, or a committee thereof, or by authority of the Governor, and persons employed by state agencies for a specified, limited period to provide professional, technical, scientific, or artistic services under the provisions of KRS 45A.690 to 45A.725 ;
    16. Interim employees;
    17. Officers and members of the state militia;
    18. Department of Kentucky State Police troopers;
    19. University or college engineering students or other students employed part-time or part-year by the state through special personnel recruitment programs; provided that while so employed such aides shall be under contract to work full-time for the state after graduation for a period of time approved by the commissioner or shall be participants in a cooperative education program approved by the commissioner;
    20. Superintendents of state mental institutions, including heads of centers for individuals with an intellectual disability, and penal and correctional institutions as referred to in KRS 196.180(2);
    21. Staff members of the Kentucky Historical Society, if they are hired in accordance with KRS 171.311 ;
    22. County and Commonwealth’s attorneys and their respective appointees;
    23. Chief district engineers and the state highway engineer;
    24. Veterinarians employed as such by the Kentucky Horse Racing Commission;
    25. Employees of the Kentucky Peace Corps;
    26. Employees of the Council on Postsecondary Education;
    27. Executive director of the Commonwealth Office of Technology;
    28. Employees of Serve Kentucky;
    29. Persons employed in certified teaching positions at the Kentucky School for the Blind and the Kentucky School for the Deaf;
    30. Federally funded time-limited employees as defined in KRS 18A.005 ; and
    31. Employees of the Department of Agriculture who are employed to support the Agricultural Development Board and the Kentucky Agricultural Finance Corporation.
  2. Nothing in KRS 18A.005 to 18A.200 is intended, or shall be construed, to alter or amend the provisions of KRS 150.022 and 150.061 .
  3. Nothing in KRS 18A.005 to 18A.200 is intended or shall be construed to affect any nonmanagement, nonpolicy-making position which must be included in the classified service as a prerequisite to the grant of federal funds to a state agency.
  4. Career employees within the classified service promoted to positions exempted from classified service shall, upon termination of their employment in the exempted service, revert to a position in that class in the agency from which they were terminated if a vacancy in that class exists. If no such vacancy exists, they shall be considered for employment in any vacant position for which they were qualified pursuant to KRS 18A.130 and 18A.135 .
  5. Nothing in KRS 18A.005 to 18A.200 shall be construed as precluding appointing officers from filling unclassified positions in the manner in which positions in the classified service are filled except as otherwise provided in KRS 18A.005 to 18A.200 .
  6. The positions of employees who are transferred, effective July 1, 1998, from the Cabinet for Workforce Development to the Kentucky Community and Technical College System shall be abolished and the employees’ names removed from the roster of state employees. Employees that are transferred, effective July 1, 1998, to the Kentucky Community and Technical College System under KRS Chapter 164shall have the same benefits and rights as they had under KRS Chapter 18A and have under KRS 164.5805; however, they shall have no guaranteed reemployment rights in the KRS Chapter 151B or KRS Chapter 18A personnel systems. An employee who seeks reemployment in a state position under KRS Chapter 151B or KRS Chapter 18A shall have years of service in the Kentucky Community and Technical College System counted towards years of experience for calculating benefits and compensation.
  7. On August 15, 2000, all certified and equivalent personnel, all unclassified personnel, and all certified and equivalent and unclassified vacant positions in the Department for Adult Education and Literacy shall be transferred from the personnel system under KRS Chapter 151B to the personnel system under KRS Chapter 18A. The positions shall be deleted from the KRS Chapter 151B personnel system. All records shall be transferred including accumulated annual leave, sick leave, compensatory time, and service credit for each affected employee. The personnel officers who administer the personnel systems under KRS Chapter 151B and KRS Chapter 18A shall exercise the necessary administrative procedures to effect the change in personnel authority. No certified or equivalent employee in the Department for Adult Education and Literacy shall suffer any penalty in the transfer.
  8. On August 15, 2000, secretaries and assistants attached to policymaking positions in the Department for Technical Education and the Department for Adult Education and Literacy shall be transferred from the personnel system under KRS Chapter 151B to the personnel system under KRS Chapter 18A. The positions shall be deleted from the KRS Chapter 151B system. All records shall be transferred including accumulated annual leave, sick leave, compensatory time, and service credit for each affected employee. No employee shall suffer any penalty in the transfer.
  9. On May 1, 2017, all contract employees of Eastern Kentucky University who are engaged in providing instructional and support services to the Department of Criminal Justice Training shall be transferred to the personnel system under KRS Chapter 18A. All records shall be transferred, including accumulated annual leave, sick leave, compensatory time, and service credit for each affected employee. The personnel officers who administer the personnel systems for Eastern Kentucky University and under KRS Chapter 18A shall exercise the necessary administrative procedures to effect the change in personnel authority. No employee shall suffer any penalty in the transfer.

History. Repealed, reenacted and amended by 1982, ch. 448, § 23, effective July 15, 1982; 1984, ch. 253, § 1, effective July 13, 1984; 1984, ch. 350, § 10, effective July 13, 1984; 1986, ch. 494, § 18, effective July 15, 1986; 1990, ch. 159, § 1, effective March 30, 1990; 1990, ch. 496, § 25, effective July 13, 1990; 1992, ch. 100, § 11, effective July 14, 1992; 1997 (1st Ex. Sess.), ch. 1, § 31, effective May 30, 1997; 1998, ch. 353, § 7, effective July 15, 1998; 1998, ch. 540, § 4, effective July 15, 1998; 2000, ch. 203, § 6, effective July 14, 2000; 2000, ch. 526, § 16, effective July 14, 2000; 2001, ch. 137, § 4, effective June 21, 2001; 2004, ch. 127, § 3, effective July 13, 2004; 2004, ch. 191, § 51, effective April 22, 2004; 2005, ch. 85, § 43, effective June 20, 2005; 2006, ch. 208, § 1, effective July 12, 2006; 2007, ch. 85, § 105, effective June 26, 2007; 2010, ch. 24, § 25, effective July 15, 2010; 2010, ch. 153, § 10, effective April 13, 2010; 2012, ch. 146, § 5, effective July 12, 2012; 2017 ch. 58, § 3, effective March 21, 2017; 2018 ch. 114, § 2, effective July 14, 2018; 2021 ch. 12, § 4, effective March 12, 2021; 2021 ch. 26, § 2, effective June 29, 2021.

Compiler’s Notes.

This section was formerly compiled as KRS 18.140 (Enact. Acts 1960, ch. 63, § 4; 1970, ch. 278, § 1; 1972, ch. 13, § 2; 1974, ch. 74, Art. VI, § 32; 1974, ch. 162, § 3; 1974, ch. 308, § 7; 1976, ch. 86, § 2; 1976 (Ex. Sess.), ch. 17, § 18, effective January 1, 1978; 1978, ch. 155, § 18, effective June 17, 1978; 1978, ch. 391, § 1, effective June 17, 1978; 1980, ch. 98, § 3, effective July 15, 1980; 1980, ch. 132, § 2, effective July 15, 1980; 1982, ch. 52, § 1, effective July 15, 1982; 1982, ch. 393, § 12, effective July 15, 1982) and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 23.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts chs. 12 and 26, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

1.Federally-Funded Time-Limited Positions.

The State Personnel Board has the statutory authority to examine whether a position is properly classified as Federally-Funded Time-Limited. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

A strict interpretation of the statutory definition of Federally-Funded Time-Limited (FFTL) positions is correct; namely, that FFTL positions are limited to those positions for which the federal government has granted funds 1) to provide public employment for under-employed or non-employed persons, or 2) for special or research projects that have a limited life. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

The State Personnel Board may not supervise Federally-Funded Time-Limited employees. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

2.Classified Service.

According to this section, all positions in state service are in the classified system except those that are specifically excluded, such as Federally-Funded Time-Limited positions; thus, if a position is properly excluded, it is placed in the unclassified service, and the State Personnel Board’s oversight duties are limited, however, if a position is not properly excluded, it remains in the classified service, subject to the board’s supervision. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

Pursuant to KRS 18A.075 , the State Personnel Board has the duty to investigate whether a position is properly or improperly excluded from the classified service, in order to protect the integrity of the merit system, and the board has a duty to act to enforce the provisions of KRS 18A.005 to 18A.200 , where it believes that the unlawful use of unclassified positions infringes on the principles of the merit system. State Personnel Bd. v. Greenwell, 795 S.W.2d 381, 1990 Ky. LEXIS 77 ( Ky. 1990 ).

3.Unclassified Service.

The 1994 Budget Bill did not temporarily override the operation of the statute so as to allow the hiring of an unclassified employee without following the procedures mandated by the statute. Commonwealth Educ. & Humanities Cabinet Dep't of Educ. v. Gobert, 979 S.W.2d 922, 1998 Ky. App. LEXIS 121 (Ky. Ct. App. 1998).

Applicable law provides a three-step analysis for an employee’s rights upon termination from an unclassified position: (1) upon termination of a career employee from the unclassified service, the agency shall determine whether a vacancy exists in a position that the career employee has previously held status in the classified service; (2) if a vacancy exists in a position in the classified service, the agency shall revert the employee to that position; and (3) if a vacancy does not exist in a position that the career employee had previously attained status in the classified service, the agency shall follow the reemployment lists for any positions for which he is qualified. Commonwealth Tourism Dev. Cabinet v. Faust, 2002 Ky. App. LEXIS 1274 (Ky. Ct. App. Mar. 22, 2002).

Employee who was terminated without cause from a non-merit system position in the Kentucky Department of Parks retained reversion rights due to his prior service with the state classified service employment; those reversion rights required a three-step process: (1) upon termination of the career employee from the unclassified service, the appointing authority had to determine whether a vacancy existed in a position in the last class that the career employee had previously attained status within the classified service; (2) if a vacancy existed in that last class, the agency had to revert the employee to a position in that class; however (3) since a vacancy did not exist in the last class, the appointing authority was required only to consider the terminated employee for re-employment in any vacant position for which he was qualified, as specified by KRS 18A.130 and 18A.135 . The terminated employee, therefore, was entitled only to consideration for positions for which he was qualified, but not automatic placement. Faust v. Commonwealth, 142 S.W.3d 89, 2004 Ky. LEXIS 180 ( Ky. 2004 ).

4.Unemployment Compensation Considerations.

With regard to deciding eligibility for unemployment compensation, such determinations should be made on a case-by-case basis, and with regard to evaluating covered employment under KRS 341.055(4), the key consideration is whether the claimant’s job duties were major policymaking or advisory; the title or nonclassified status of a claimant’s position are not the primary considerations. Commonwealth, Dep't of Educ. v. Commonwealth, 798 S.W.2d 464, 1990 Ky. App. LEXIS 156 (Ky. Ct. App. 1990).

Opinions of Attorney General.

Assistant county attorneys are county employees when hired by an elected county attorney to work for the county, despite their affiliation with the Unified Prosecutorial System for the purpose of uniform enforcement of criminal law and administration of criminal justice; they are not subject to the provisions of this chapter on compensation except to the extent that KRS 15.770 requires that salaries established by the Prosecutors Advisory Council be comparable with the classification and compensation plan for comparable positions maintained by the Department of Personnel. OAG 91-218 .

Assistant county attorneys do not receive annual leave and sick leave under the provisions of this chapter and the accompanying regulations; therefore, they are not eligible for service credit under this chapter, without statutory amendment. OAG 91-218 .

In order to qualify for an outstanding merit increase under this chapter and 101 KAR 3:045(1), an unclassified employee must have accrued service credit prior to July 1, 1987; otherwise he is ineligible to receive an outstanding merit increase under the terms of 101 KAR 3:045. OAG 91-218 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.120. Basis for hiring for classified service — Exception — Credit for sick leave.

  1. Except as hereinafter provided, all hiring for the classified service shall be on the basis of competitive examinations and certification by the cabinet in accordance with the provisions of KRS 18A.005 to 18A.200 .
  2. As of February 29, 1976, when an entity and its employees, either initially or subsequently, is brought into the state service, all employees of that entity required to be covered under the classified service shall be required to meet the minimum qualifications for the positions to which they are assigned and to satisfactorily complete a probationary period, except that in the discretion of the secretary they shall not be required to take an examination. The secretary shall equitably assign such employees within the salary range of an appropriate pay grade. Upon the recommendation of the appointing authority, the secretary may authorize the credit of the amount of sick leave the employee had prior to being brought into state service. After completion of the initial probationary period employees employed under this statute shall be credited with the amount of service they had with this previous entity for accumulation of annual leave and other purposes of this chapter.

History. Repealed, reenact. and amend. 1982, ch. 448, § 24, effective July 15, 1982; 1988, ch. 247, § 2, effective July 15, 1988; 1998, ch. 154, § 31, effective July 15, 1998.

Compiler’s Notes.

This section was formerly compiled as KRS 18.250 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 24.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.125. Control through payroll certification.

  1. No disbursing or auditing officer of the Commonwealth shall make or approve or take any part in making or approving any payment for personal service to any person holding a position in the classified or unclassified service unless the payroll voucher or account of such pay bears the certification of the secretary, or of his authorized agent, that the persons named therein have been appointed and employed in accordance with the provisions of KRS 18A.005 to 18A.200 and the rules, regulations, and orders thereunder. The secretary may for proper cause or upon order of the board withhold certification from an entire payroll or from any specific item or items thereon. The secretary may, however, provide that certification of payrolls may be made once every six (6) months, and such certification shall remain in effect except in the case of any officer or employee whose status has changed after the last certification of his payroll. In the latter case no voucher for payment of salary to such employee shall be issued or payment of salary made without the further certification of the secretary.
  2. Any citizen, including public officers, may maintain a suit to restrain a disbursing officer from making any payment in contravention of any provision of KRS 18A.005 to 18A.200 , or of any rule, regulation or order thereunder. Any sum paid contrary to any provision of KRS 18A.005 to 18A.200 or of any rule, regulation, or order thereunder may be recovered in an action maintained by any citizen, from any officer who made, approved, or authorized such payment or who signed or countersigned a voucher, payroll check or warrant for such payment, or from the sureties on the official bond of any such officer. All moneys recovered in any such action shall be paid into the Treasury.
  3. Any person appointed or employed in contravention of any provision of KRS 18A.005 to 18A.200 or of any rule, regulation, or order thereunder, who performs service for which he is not paid, may maintain an action against the officer or officers, employee or employees, who purported so to appoint or employ him, to recover the agreed pay for such services, or the reasonable value thereof if no pay was agreed upon. No such officer or employee shall be reimbursed by the Commonwealth at any time for any sum paid to such person on account of such services.
  4. If the secretary wrongfully withholds certification of the payroll voucher or account of any employee, such employee may maintain a proceeding in the Circuit Court in the county in which he resides to compel the secretary to certify such payroll voucher or account.

History. Repealed, reenact. and amend. 1982, ch. 448, § 25, effective July 15, 1982; 1998, ch. 154, § 32, effective July 15, 1998.

Compiler’s Notes.

This section was formerly compiled as KRS 18.260 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 25.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.130. Reemployment of career employee terminated on or after January 1, 1980.

  1. A career employee whose employment is terminated on or after January 1, 1980, by lay-off, dismissal, other than for cause, and, in the case of an unclassified management employee, resignation other than resignation in lieu of dismissal for cause, shall, upon his written request, be reemployed or placed on reemployment lists in accordance with this section and KRS 18A.135 .
  2. If the career employee has previously attained status in a position in the classified service, he shall revert to a position in that class in the agency from which he was terminated if a vacancy in that class exists. If no such vacancy exists, he shall be considered for employment in any vacant position for which he is qualified pursuant to the reemployment procedures.
  3. If the career employee has not previously attained status in the classified service or if he has attained status but no vacancy exists in a position to which subsection (2) of this section applies, the employee shall be placed on reemployment lists for any positions for which he is qualified.

History. Repealed, reenact. and amend. 1982, ch. 448, § 26, effective July 15, 1982.

Compiler’s Notes.

This section was formerly compiled as KRS 18.216 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 26.

NOTES TO DECISIONS

1.Reversion Rights.

Employee who was terminated without cause from a non-merit system position in the Kentucky Department of Parks retained reversion rights due to his prior service with the state classified service employment; those reversion rights required a three-step process: (1) upon termination of the career employee from the unclassified service, the appointing authority had to determine whether a vacancy existed in a position in the last class that the career employee had previously attained status within the classified service; (2) if a vacancy existed in that last class, the agency had to revert the employee to a position in that class; however (3) since a vacancy did not exist in the last class, the appointing authority was required only to consider the terminated employee for re-employment in any vacant position for which he was qualified, as specified by KRS 18A.130 , KRS 18A.135 . The terminated employee, therefore, was entitled only to consideration for positions for which he was qualified, but not automatic placement. Faust v. Commonwealth, 142 S.W.3d 89, 2004 Ky. LEXIS 180 ( Ky. 2004 ).

Research References and Practice Aids

Cross-References.

Boiler inspectors, examination, KRS 236.090 .

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.135. Reemployment of career employees.

  1. Any career employee who has been laid-off or dismissed, other than for cause, and, in the case of an unclassified management employee, resignation other than resignation in lieu of dismissal for cause, shall automatically be placed on the reemployment list for the class from which he was terminated. If a career employee wishes to be on the reemployment list for other classes of positions for which he is qualified and passes the appropriate selection method, he shall notify the cabinet in writing.
  2. If more than one (1) career employee requests to be placed on the reemployment list for any job classification, the cabinet shall list the names of such career employees in the order of their seniority.
  3. No vacancy may be filled from a competitive register until all career employees on the reemployment list for that class of position have denied employment in that class. An appointing authority may refuse to reemploy a qualified employee on the reemployment list only for cause. The secretary and the employee shall be furnished with a written statement of the specific reasons for the refusal within ten (10) days following the appointing authority’s refusal. The employee may appeal the appointing authority’s action in accordance with KRS 18A.095 and 18A.100 .

History. Repealed, reenact. and amend. 1982, ch. 448, § 27, effective July 15, 1982; 1998, ch. 154, § 33, effective July 15, 1998.

Compiler’s Notes.

This section was formerly compiled as KRS 18.217 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 27.

NOTES TO DECISIONS

Cited in:

Faust v. Commonwealth, 142 S.W.3d 89, 2004 Ky. LEXIS 180 ( Ky. 2004 ).

Opinions of Attorney General.

While KRS 156.016 does not provide for seniority for purposes of termination or rehiring in the Department of Education, seniority applies in all other agencies under the provisions of subsection (2) of this section in that all employees of the Department of Education are to be treated as career employees when placed on reemployment lists. OAG 91-66 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.138. Affirmative action plan for state government.

  1. To ensure equal employment opportunity for all Kentuckians regardless of race, color, religion, national origin, disability, sex, or age, the affirmative action plan dated July 1, 1984, confirmed as part of Executive Order 84-549 continued in force by Executive Order 88-100, and incorporated herein by reference, shall be the official affirmative action plan for Kentucky state government. Copies of the plan, as well as the plans developed by individual agencies pursuant to the state plan, shall be maintained on file and made available for inspection in the Office of the Secretary of Personnel.
  2. Every program cabinet, department, and agency of state government shall comply with the provisions of the affirmative action plan.
  3. Equal employment opportunities shall be an integral part of each cabinet, department, and agency program, and any program evaluation shall include an assessment of equal opportunity performance.
  4. The secretary of personnel shall be responsible for the implementation of the plan. In fulfilling his duties, he shall:
    1. Require all cabinets, departments, and agencies of state government to develop programs consistent with the plan;
    2. Provide any technical assistance he may deem appropriate to accomplish the purposes of the plan;
    3. Provide, through the Personnel Cabinet, an annual analysis to ensure that persons protected by antidiscrimination laws are not adversely affected by examination and selection procedures;
    4. Provide for validation of examination procedures;
    5. Provide for procedures to monitor appointments and salary adjustments to ensure that standards are uniformly applied so as to prevent salary disparity;
    6. Report to the Governor semiannually on actions taken pursuant to the plan; and
    7. Review the plan on an annual basis and recommend necessary changes in consultation with the appropriate agencies.
  5. The secretary of personnel may also:
    1. Promulgate administrative regulations in accordance with this chapter and KRS Chapter 13A to implement the affirmative action plan;
    2. Implement programs to ensure that reasonable accommodations exist for persons with disabilities to allow them better access to all employment opportunities in state government; and
    3. Appoint an affirmative action advisory committee to assist him in implementation of the affirmative action plan.

History. Enact. Acts 1988, ch. 127, § 1, effective July 15, 1988; 1990, ch. 309, § 2, effective July 13, 1990; 1994, ch. 405, § 5, effective July 15, 1994; 1998, ch. 154, § 34, effective July 15, 1998.

Opinions of Attorney General.

Executive Order 92-1059, excluding complaints of sexual harassment from the Open Records Act, has not been enacted into law; whatever binding effect this Order may have on state agencies generally, having not been adopted by the General Assembly, it does not operate as a statutory enactment of that body restricting confidential records relating to complaints of sexual harassment in state government, which are therefore not excluded from public inspection by KRS 61.878 . OAG 98-ORD-45.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.140. Prohibition against discrimination and political activities.

  1. No person shall be appointed or promoted to, or demoted or dismissed from, any position in the classified service, or in any way favored or discriminated against with respect to employment in the classified services because of his political or religious opinions, affiliations, ethnic origin, sex, race or disability. No person over the age of forty (40) shall be discriminated against because of age.
  2. No person shall use or promise to use, directly or indirectly, any official authority or influence, whether possessed or anticipated, to secure or attempt to secure for any person an appointment or advantage in appointment to a position in the classified service, or an increase in pay or other advantage in employment in any such position, for the purpose of influencing the vote or political action of any person.
  3. No employee in the classified service or member of the board or its executive director or secretary shall, directly or indirectly, pay or promise to pay any assessment for political purposes, or solicit or take any part in soliciting for any political party, or solicit or take any part in soliciting any political assessment, subscription, contribution, or service. No person shall solicit any political assessment, subscription, contribution, or service of any employee in the classified service.
  4. No employee in the classified service or member of the board or its executive director shall be a member of any national, state, or local committee of a political party, or an officer or member of a committee of a partisan political club, or a candidate for nomination or election to any paid partisan public office, or shall take part in the management or affairs of any political party or in any political campaign, except to exercise his right as a citizen privately to express his opinion and to cast his vote. Officers or employees of the classified service may be candidates for and occupy an elected office if the election is on a nonpartisan basis, the officers or employees have complied with the requirements of KRS 61.080 , and the duties of the elective office do not interfere with, or create any conflicts of interest with, the state duties of the officers or employees in the classified service. An employee shall give notice to his or her appointing authority of his or her intent to run for elective office upon filing to run for the office.

History. Repealed, reenact. and amend. 1982, ch. 448, § 28, effective July 15, 1982; 1986, ch. 494, § 19, effective July 15, 1986; 1994, ch. 405, § 6, effective July 15, 1994; 1998, ch. 154, § 35, effective July 15, 1998; 2010, ch. 153, § 11, effective April 13, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 18.310 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 28.

Legislative Research Commission Notes.

Although this section is included in 1986 Ky. Acts ch. 494, § 19, the change in this section was deleted by conference committee amendment.

NOTES TO DECISIONS

1. Standing to Challenge.

Individual lacked standing to assert a claim that KRS 18A.140(1) chilled his First Amendment free speech rights by preventing him from recommending candidates for state employment on political grounds where KRS 18A.140(1) did not subject the individual to indictment for simply recommending individuals for employment because mere recommendation was very different than appointing, promoting, demoting, or dismissing someone based on political affiliation. The fact that one of the individual’s letters was subject to a subpoena in an ongoing merit system investigation did not lead to the conclusion that he would be indicted, the newspaper articles and statements contained therein did not establish that the individual would be indicted, and as a result, the individual had failed to establish specific present objective harm or threat of specific future harm. Forgy v. Stumbo, 378 F. Supp. 2d 774, 2005 U.S. Dist. LEXIS 14968 (E.D. Ky. 2005 ).

2.Immunity.

Although a Governor’s blanket pardon for individuals involved in a merit system investigation was valid under Ky. Const. § 77 and there was no evidence that defendant rejected the pardon, the order dismissing the indictment was vacated because the Circuit Court lacked jurisdiction and the District Court had exclusive jurisdiction over the misdemeanor charges under KRS 24A.110. Commonwealth v. Groves, 209 S.W.3d 492, 2006 Ky. App. LEXIS 345 (Ky. Ct. App. 2006).

Although a state employee’s 42 USCS § 1983 claims against the Kentucky Transportation Department, its former deputy secretary, and the state Republican Party were largely dismissed due to sovereign and qualified immunity, some individual claims against the former deputy secretary of the state transportation department stood because the freedom of association under the First Amendment was a clearly established constitutional right and KRS 18A.140 prohibited discrimination of merit system employees due to political affiliation. Gritton v. Disponett, 2006 U.S. Dist. LEXIS 63611 (E.D. Ky. Sept. 6, 2006), aff'd, 332 Fed. Appx. 232, 2009 FED App. 0372N, 2009 U.S. App. LEXIS 11343 (6th Cir. Ky. 2009 ).

Denial of qualified immunity for supervisors who fired a civil servant allegedly in violation of her First Amendment political-affiliation rights was proper because the civil servant adequately pled a clearly established constitutional violation by claiming she was fired because of and by reason of her political affiliation as a Democrat. Back v. Hall, 537 F.3d 552, 2008 FED App. 0286P, 2008 U.S. App. LEXIS 17057 (6th Cir. Ky. 2008 ), cert. denied, 555 U.S. 1098, 129 S. Ct. 904, 173 L. Ed. 2d 108, 2009 U.S. LEXIS 463 (U.S. 2009).

Cited in:

Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ); Martin v. Corrections Cabinet of Commonwealth, 822 S.W.2d 858, 1991 Ky. LEXIS 198 ( Ky. 1991 ); Cox v. Kentucky DOT, 53 F.3d 146, 1995 U.S. App. LEXIS 9843 (6th Cir. 1995); Faust v. Commonwealth, 142 S.W.3d 89, 2004 Ky. LEXIS 180 ( Ky. 2004 ).

Opinions of Attorney General.

Organization, whose activity and purpose is to aid employees in appealing their assignments of classification under the new state personnel system, could be utilized to represent employees to obtain and protect their economic perquisites, as long as it does not become integrated into being a part of a partisan political campaign or activity. OAG 82-442 .

Subsection (4) of this section clearly permits a merit employee to become a candidate for a school district office and at the same time hold that office, if elected, since such office is filled on a nonpartisan basis and the compensation is on a per diem basis. OAG 84-101 .

State merit employees may voluntarily attend a county political party convention and vote for their choice of delegates to the state congressional convention, without jeopardizing their merit positions under the terms of subsection (4) of this section. OAG 84-143 .

Merit system employees are forbidden to participate in political campaigns, and a school board race qualifies as a political campaign; the only exception is that merit system employees may themselves be candidates for a school board race, and there is no exception that would be applicable to participation in another person’s campaign. OAG 88-81 .

Contributions of labor or services by a classified employee toward a political campaign, are prohibited by subsection (4) of this section. Moreover, depending on the facts and circumstances, the behavior might constitute a violation of subsection (3) of this section. OAG 91-59 .

The only political advocacy or management activity constrained by subsection (4) of this section is active participation in, on behalf of, or in connection with the organized efforts of political parties or partisan committees, clubs, and candidates. Overruling OAG 76-637 and OAG 88-81 to the extent of conflict. OAG 94-3 .

Regarding an employee’s right to be a candidate, the provisions of subsection (4) of this section are not limited to political campaigns; the statute says that a merit employee may not be candidate for nomination to any paid public office and this provision is suffiently clear to prevent a merit employee from running for any office other than those offices specifically mentioned in the statute. OAG 94-3 .

Subsection (4) of this section is intended to serve the same purpose as the federal Hatch Act and federal interpretations of that Act should be consulted in consulting corresponding portions of the Kentucky statute. OAG 94-3 .

Subsection (4) of this section prohibits merit employees from engaging in partisan political activity as part of the concerted effort of an organized political party and from becoming candidates in any office for which compensation is paid; however, the statute does not prohibit other activity such as support for nonpartisan candidates and management of groups such as United We Stand America. OAG 94-3 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

Kentucky Law Journal.

Jones, Mansion or Fortress? The Legal Merits of Temporary Immunity from Criminal Prosecution for Kentucky’s Chief Executive. 96 Ky. L.J. 669 (2007).

18A.145. Other acts prohibited.

  1. No person shall make any false statement, certificate, mark, rating, or report with regard to any test, certification, or appointment made under any provision of KRS 18A.005 to 18A.200 or in any manner commit or attempt to commit any fraud preventing the impartial execution of KRS 18A.005 to 18A.200 and the rules, regulations or orders thereunder.
  2. No person shall, directly or indirectly, give, render, pay, offer, solicit, or accept any money, service, or other valuable consideration for or on account of any appointment, proposed appointment, promotion, or proposed promotion to, or any advantage in, a position in the classified service.
  3. No employee of the cabinet, examiner, or other person shall defeat, deceive, or obstruct any person in his right to examination, eligibility, certification, or appointment under KRS 18A.005 to 18A.200 , or furnish to any person any special or secret information for the purpose of affecting the rights or prospects of any person with respect to employment in the classified service.
  4. No person shall make any false statement, record, or report regarding hours, days, or other time worked by any employee. No person shall falsely prepare any payroll document or record relating to the pay for any employee.

History. Repealed, reenact. and amend. 1982, ch. 448, § 29, effective July 15, 1982; 1998, ch. 154, § 36, effective July 15, 1998.

Compiler’s Notes.

This section was formerly compiled as KRS 18.320 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 29.

NOTES TO DECISIONS

Cited in:

Graham v. Mills, 694 S.W.2d 698, 1985 Ky. LEXIS 236 ( Ky. 1985 ).

Opinions of Attorney General.

Organization, whose activity and purpose is to aid employees in appealing their assignments of classification under the new state personnel system, could be utilized to represent employees to obtain and protect their economic perquisites, as long as it does not become integrated into being a part of a partisan political campaign or activity. OAG 82-442 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.146. Felony conviction grounds for disciplinary action.

  1. As used in this section, “state employee” means a person regularly appointed to a position in the state service, whether classified or unclassified, for which he is compensated on a full-time or part-time basis.
  2. Subject to the provisions of KRS 18A.095 , any state employee who is convicted of a felony may be subject to any disciplinary action deemed appropriate, including dismissal from the state service.

History. Enact. Acts 1988, ch. 203, § 5, effective July 15, 1988.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.150. Interview preference for current service members, honorably or generally discharged former service members, and members’ spouses, surviving spouses, and dependent parents — Required interviews.

  1. Interview preference to a competitive classified position for which he or she meets the minimum qualifications established for the job classification shall apply to:
    1. Any person who has served in the Armed Forces of the United States, Reserves, or National Guard who was discharged or released therefrom with an honorable discharge, discharge under honorable conditions, or a general discharge, or his or her spouse or unmarried widow or widower;
    2. The unmarried widow or widower of any military personnel who died while in the Armed Forces of the United States, Reserves, or National Guard, unless circumstances surrounding the death was cause for other than honorable or general discharge separation; and
    3. Any current member of the Armed Forces of the United States, Reserves, or National Guard or his or her spouse.
  2. A parent totally or partially dependent on a person who has served in the Armed Forces of the United States, Reserves, or National Guard and lost his or her life under honorable conditions while on active duty or active duty for training purposes or became permanently and totally disabled as a result of a service-connected disability shall have interview preference to a competitive classified position for which he or she meets the minimum qualifications established for the job classification.
    1. Applicants entitled to interview preference as set forth in this section shall be clearly identified. (3) (a) Applicants entitled to interview preference as set forth in this section shall be clearly identified.
      1. If the number of individuals identified in paragraph (a) of this subsection is less than five (5), the employing agency shall offer an interview to all individuals identified in paragraph (a) of this subsection. (b) 1. If the number of individuals identified in paragraph (a) of this subsection is less than five (5), the employing agency shall offer an interview to all individuals identified in paragraph (a) of this subsection.
      2. If the number of individuals identified in paragraph (a) of this subsection equals or exceeds five (5), the employing agency shall offer an interview to no fewer than five (5).
  3. Interview preference shall only apply to candidates seeking initial appointment to the classified service.

History. Repealed, reenact. and amend. 1982, ch. 448, § 30, effective July 15, 1982; 1984, ch. 109, § 1, effective July 13, 1984; 1988, ch. 129, § 2, effective July 15, 1988; 1994, ch. 180, § 2, effective July 15, 1994; 1998, ch. 154, § 37, effective July 15, 1998; 2010, ch. 4, § 1, effective July 15, 2010; 2017 ch. 42, § 1, effective June 29, 2017; 2019 ch. 109, § 1, effective June 27, 2019.

Compiler’s Notes.

This section was formerly compiled as KRS 18.212 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 30.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.155. Rules for unclassified employees.

  1. The secretary shall prepare and submit proposed administrative regulations to the Governor for employees in unclassified positions enumerated in KRS 18A.115(1)(g), (h), (i), (j), (k), (p), (t), and (u). Such administrative regulations shall become effective after approval by the Governor and promulgation in accordance with KRS Chapters 12 and 13A. The administrative regulations shall provide:
    1. For the preparation, maintenance, and revision of a position classification plan for all aforementioned positions in the unclassified service, based upon similarity of duties performed and responsibilities assumed, so that the same qualifications may reasonably be required for and the same schedule of pay may be equitably applied to all positions in the same class. After such classification plan has been approved by the Governor, the secretary shall allocate the positions of every employee in the unclassified service to one (1) of the classes of the plan. Any employee affected by the allocation of a position to a class shall, after filing with the secretary a written request for reconsideration thereof in such manner and form as the secretary may prescribe, be given a reasonable opportunity to be heard thereon by the secretary;
    2. For a pay plan for all aforementioned employees in the unclassified service, after consultation with appointing authorities and the state budget director, and taking into account such factors as:
      1. The relative levels of duties and responsibilities of various classes of positions;
      2. Rates paid for comparable positions elsewhere; and
      3. The state’s financial resources. Such pay plan shall become effective only after it has been approved by the Governor after submission to him by the secretary. Amendments to the pay plan may be made in the same manner. Each employee shall be paid at one (1) of the rates set forth in the pay plan for the position in which he is employed;
    3. For transfer from a position in one (1) department to a similar position in another department involving similar qualifications, duties, responsibilities, and salary ranges;
    4. For annual, sick, and special leaves of absence, with or without pay, or reduced pay, after approval by the Governor as provided in subsection (1) of this section;
    5. For the development and operation of programs to improve the work effectiveness and morale of employees in the unclassified service, including training, safety, health, welfare, counseling, recreation, and employee relations; and
    6. For such other rules and administrative regulations not inconsistent with KRS 18A.005 to 18A.200 , as may be proper and necessary for its enforcement.
  2. Nothing herein shall be construed to preclude the optional use of administrative regulations promulgated under this section on behalf of employees enumerated in KRS 18A.115(1)(a), (b), (d), (e), (p), (u), and (w) and on behalf of members of state boards and commissions who work on a full-time, salaried basis.
  3. Months of service earned as a contract employee of the Kentucky Department of Education shall be recognized and credited as service credit for calculating years of service in any public agency position held subsequent to the employment by contract. The provisions of this subsection are retroactive for employees hired in a public agency position on or after January 1, 1997.

History. Repealed, reenact. and amend. 1982, ch. 52, § 2, effective July 15, 1982; 1982, ch. 448, § 31, effective July 15, 1982; 1986, ch. 494, § 20, effective July 15, 1986; 1998, ch. 154, § 38, effective July 15, 1998; 1998, ch. 487, § 5, effective July 15, 1998; 1998, ch. 540, § 5, effective July 15, 1998.

Compiler’s Notes.

This section was formerly compiled as KRS 18.220 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 31.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 154, 487, and 540 which do not appear to be in conflict and have been codified together.

Opinions of Attorney General.

Neither the personnel commissioner nor the Personnel Board has authority to promulgate a regulation concerning nepotism. Likewise, in the absence of specific statutory authority given to a specific individual agency, such agency could not promulgate such a regulation nor adopt a policy regulating the subject under the prohibition of KRS 13A.120 and KRS 13A.130 . OAG 88-15 .

In view of the fact that any employee rehired by the Department of Education would be a new employee, that employee, so long as he is hired into a classified position, would be required to serve a probationary period following the completion of which the individual would have status in the position that he occupies. OAG 91-87 .

Assistant county attorneys are county employees when hired by an elected county attorney to work for the county, despite their affiliation with the Unified Prosecutorial System for the purpose of uniform enforcement of criminal law and administration of criminal justice; they are not subject to the provisions of this chapter on compensation except to the extent that KRS 15.770 requires that salaries established by the Prosecutors Advisory Council be comparable with the classification and compensation plan for comparable positions maintained by the Department of Personnel. OAG 91-218 .

Assistant county attorneys do not receive annual leave and sick leave under the provisions of KRS Chapter 18A and the accompanying regulations; therefore, they are not eligible for service credit under this chapter, without statutory amendment. OAG 91-218 .

In order to qualify for an outstanding merit increase under this chapter and 101 KAR 3:045(1), an unclassified employee must have accrued service credit prior to July 1, 1987; otherwise he is ineligible to receive an outstanding merit increase under the terms of 101 KAR 3:045. OAG 91-218 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.160. Use of public buildings, property, and facilities.

  1. All office space, property, and equipment including, but not limited to, desks, office supplies, typewriters, machinery, and implements utilized at hearings and in recording and processing transcripts and other work of the board, heretofore used by the board, shall become the property of the board.
  2. All officers and employees of the Commonwealth and of all its municipalities and political subdivisions shall allow the cabinet and the board the reasonable use of public buildings under their control, and furnish heat, light, and furniture for any examination, hearing, or investigation authorized by KRS 18A.005 to 18A.200 . The cabinet and the board, as appropriate, shall pay to a municipality or political subdivision the reasonable cost of any such facilities furnished by it.

History. Repealed, reenact. and amend. 1982, ch. 448, § 32, effective July 15, 1982; 1998, ch. 154, § 39, effective July 15, 1998.

Compiler’s Notes.

This section was formerly compiled as KRS 18.230 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 32.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.165. Administration of KRS 18A.005 to 18A.200.

All officers and employees of the Commonwealth shall comply with, and aid in all proper ways in carrying out, the provisions of KRS 18A.005 to 18A.200 and the rules, regulations, and orders of the board thereunder. All officers and employees shall furnish any records or information pertaining to the administration of KRS 18A.005 to 18A.200 which the secretary or the board may request. The secretary or the board may require the Attorney General to institute and maintain such legal action as the secretary or the board may consider necessary or appropriate to secure compliance with KRS 18A.005 to 18A.200 and the rules and orders thereunder.

History. Repealed, reenact. and amend. 1982, ch. 448, § 33, effective July 15, 1982; 1998, ch. 154, § 40, effective July 15, 1998; 1998, ch. 487, § 6, effective July 15, 1998.

Compiler’s Notes.

This section was formerly compiled as KRS 18.240 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 33.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 154 and 487. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 487, which was last enacted by the General Assembly, prevails under KRS 446.250 .

Opinions of Attorney General.

The word “rule,” as used in KRS 18A.005 to 18A.200 , means “administrative regulation”; the Personnel Board has the exclusive authority to adopt regulations pertaining to classified service and appeals of sanctions imposed against classified employees. OAG 85-21 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.170. Certification of division directors who do not make policy.

It is further provided that the responsible departmental, board, commission or agency head shall at the time at which he elects to come under the provisions of KRS 18A.005 to 18A.200 , certify to the board the positions of those division directors or heads under their jurisdiction whose duties are nonpolicy making together with a sufficient statement of their duties to enable the board to determine whether or not, as a matter of fact, such duties are nonpolicy making in their nature. He shall, at any time subsequent to coming under the provisions of KRS 18A.005 to 18A.200 certify to the board additional division directors or heads whose duties are nonpolicy making. At the time of certification notice thereof shall be given to the interested division director or head in the form of a copy of the statement certifying the duties of his office. The board may conduct such hearings as it may deem necessary, and shall conduct hearings pursuant to the administrative provisions of KRS 18A.095 in the event of a difference of opinion between the certifying officer and the interested division director or head, before entering its findings of fact and an order either classifying or denying classification to such position. Either the certifying officer or the division director or head may appeal the findings of fact and the final order of the board by initiating action in the Franklin Circuit Court pursuant to the provisions of KRS 418.040 et seq.

History. Repealed, reenact. and amend. 1982, ch. 448, § 34, effective July 15, 1982.

Compiler’s Notes.

This section was formerly compiled as KRS 18.150 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 34.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.175. Evaluation of duties of division directors or heads — Procedure when duties have become policy making.

The responsible departmental, board, commission or agency head shall periodically evaluate the duties of those division directors or heads placed under the classified service pursuant to the provisions of KRS 18A.170 , and shall determine whether the duties of such directors or heads have become policy making in their nature. If it is determined that the duties of such directors and heads are policy making, the responsible agency head shall certify that fact to the board. At the time of certification, notice thereof shall be given to the interested division director or head in a form of a copy of the statement certifying the policy making duties of his office. The board may conduct such hearings as it may deem necessary, and shall conduct hearings pursuant to the administrative provisions of KRS 18A.095 in the event of a difference of opinion between the certifying officer and the interested division director or head, before entering its findings of fact and an order either removing the position from the classified service or retaining it within the classified service. Either the certifying officer or the division director or head may appeal the findings of fact and the final order of the board by initiating action in the Franklin Circuit Court pursuant to the provisions of KRS Chapter 418.

History. Repealed, reenact. and amend. 1982, ch. 448, § 35, effective July 15, 1982.

Compiler’s Notes.

This section was formerly compiled as KRS 18.155 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 35.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.180. Extension of system to other governmental units.

  1. Subject to the approval of the board, the secretary may enter into agreements with any municipality or other political subdivision of the Commonwealth to furnish services and facilities of the cabinet to the municipality or political subdivision in the administration of its personnel on merit principles. Any such agreement shall provide for the reimbursement to the cabinet, under contract, of the reasonable cost of the services and facilities furnished, as determined by the secretary. All municipalities and political subdivisions of the Commonwealth are hereby authorized to enter into these agreements.
  2. The secretary may cooperate with the governmental agencies of other jurisdictions charged with personnel administration in conducting joint tests and establishing joint lists from which eligibles shall be certified for appointment in accordance with the provisions of KRS 18A.005 to 18A.200 .
  3. The secretary may, upon the request of the secretary of the Cabinet for Health and Family Services and upon the approval of the board, furnish merit system services to “local” departments of health.

History. Repealed, reenact. and amend. 1982, ch. 448, § 36, effective July 15, 1982; 1998, ch. 154, § 41, effective July 15, 1998; 1998, ch. 426, § 78, effective July 15, 1998; 2005, ch. 99, § 96, effective June 20, 2005.

Compiler’s Notes.

This section was formerly compiled as KRS 18.300 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 36.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.185. Service as elected official deemed full-time employment for specified purpose.

For the purpose of any regulation issued under KRS 18A.110 or 18A.155 governing entitlement to annual leave days, sick leave days or the accumulation of such leave days, any period of service as an elected state official, including but not limited to service in the General Assembly, by any officer or employee to whom such regulation applies shall be considered to have been full-time employment in the state service.

History. Repealed, reenact. and amend. 1982, ch. 448, § 37, effective July 15, 1982.

Compiler’s Notes.

This section was formerly compiled as KRS 18.211 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 37.

Opinions of Attorney General.

While the General Assembly could authorize the earning of annual and sick leave days in advance as part of the emoluments of service in the General Assembly, to grant sick leave after the fact of serving time would be a grant of exclusive public emoluments in violation of Const., § 3. Therefore, the correct interpretation of this section is that General Assembly time may be included in determining total length of service for purposes of figuring the 1 day, 1 1/4 days, 1 1/2 days, or 1 3/4 days of annual leave earned per month for those persons eligible to earn and now earning annual leave, but members of the General Assembly do not earn annual or sick leave while they are in such positions. OAG 84-128 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.190. Holidays for state personnel — Military spouses to receive paid deployment and return days off.

  1. State offices shall be closed and state employees shall be given a holiday on the following days:
    1. The first day of January plus one (1) extra day;
    2. The third Monday in January;
    3. Good Friday, one-half (1/2) day;
    4. The last Monday in May;
    5. The fourth day of July;
    6. The first Monday in September;
    7. The eleventh day of November;
    8. Presidential election day as required under KRS 2.190 ;
    9. The fourth Thursday in November plus one (1) extra day; and
    10. The twenty-fifth day of December plus one (1) extra day.
  2. When any of the days enumerated in subsection (1) falls on a Saturday, the preceding Friday shall be observed as the holiday, and when any of the days enumerated in subsection (1) falls on a Sunday, the following Monday shall be observed as the holiday. When one (1) extra day is mentioned in paragraphs (a), (i) and (j) of subsection (1), the Governor shall designate the extra day.
  3. Any state employee who is the spouse of a member of the United States Armed Forces, including a member of a state National Guard or a Reserve component on federal active duty, shall receive, at the discretion of the state employee, one (1) day off, with pay, from work when the member is deployed and one (1) day off, with pay, from work when the member returns from deployment.
  4. The holidays set out in this section are in addition to vacation leave and other benefits of state employees.

History. Repealed, reenact. and amend. 1982, ch. 448, § 38, effective July 15, 1982; 1990, ch. 25, § 1, effective July 13, 1990; 1998, ch. 576, § 1, effective July 15, 1998; 2006, ch. 252, § 8, effective April 25, 2006.

Compiler's Notes.

This section was formerly compiled as KRS 18.350 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 38.

NOTES TO DECISIONS

1.Time Computation.

Trial court properly found that a lessee's post-judgment motions were timely served on the Monday after Good Friday because Good Friday was statutorily designated as a “holiday,” and, therefore, was a “legal holiday” for the purpose of time computation in the Rules of Civil Procedure. Nami Res. Co., LLC v. Asher Land & Mineral, Ltd., 2015 Ky. App. LEXIS 117 (Ky. Ct. App. Aug. 14, 2015).

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.194. Living Organ Donor Leave Program.

  1. As used in this section:
    1. “Human organ” means any part of a human intestine, kidney, liver, lung, or pancreas;
    2. “Living donor” means a full-time employee of the executive, judicial, or legislative branch of the Commonwealth of Kentucky who is absent from work due to medical reasons associated with donating a human organ or bone marrow; and
      1. “Living organ donor leave” means a paid leave of absence provided to a living donor for time off work from the donation of a human organ or bone marrow and the recovery time associated with the donation; and (c) 1. “Living organ donor leave” means a paid leave of absence provided to a living donor for time off work from the donation of a human organ or bone marrow and the recovery time associated with the donation; and
      2. “Living organ donor leave” does not include any other form of paid leave that has been granted by the living donor’s employer.
  2. The Commonwealth of Kentucky Living Organ Donor Leave Program is created. A living donor may request to receive living organ donor leave for donating a human organ or bone marrow.
  3. Before being approved to receive any amount of living organ donor leave, the living donor shall submit verification of the human organ or bone marrow donation procedure to his or her employer.
  4. Once approved, a living donor shall be granted living organ donor leave in an amount of:
    1. Two hundred forty (240) hours for each human organ donation; and
    2. Forty (40) hours for each bone marrow donation.
  5. A living donor may be approved to receive living organ donor leave each time the living donor donates a human organ or bone marrow.
  6. A living donor shall not be required to use compensatory time, sick leave, or annual leave before being eligible to receive living organ donor leave.
  7. While a living donor is on living organ donor leave, he or she shall be deemed a state employee and shall receive the same treatment with respect to salary, wages, and employee benefits.
  8. For purposes of determining seniority, pay or pay advancement, performance awards, and the receipt of any benefit that may be affected by a leave of absence, the service of the living donor shall be considered uninterrupted by the leave of absence.
  9. The secretary of the Personnel Cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement the provisions of this section.

HISTORY: 2020 ch. 107, § 1, effective July 15, 2020.

18A.195. Compensatory time — Payment upon leaving state service.

  1. A state employee who is authorized to work one (1) or more hours in excess of the prescribed hours of duty shall be granted compensatory leave on an hour-for-hour basis. Upon the written request of an employee who is not exempt from the provisions of the Federal Fair Labor Standards Act, 29 U.S.C. sec. 201 et seq., an appointing authority may grant compensatory time, in lieu of overtime pay, at the rate of one and one-half (1.5) hours for each hour the employee is authorized to work in excess of forty (40) hours in a work week. An employee who is transferred or otherwise changed from the jurisdiction of one agency to another shall retain his compensatory leave in the receiving agency.
  2. An employee in a position listed in KRS 18A.115(1)(d), (e), (f), (g), (h), (i), or (k) shall not be eligible to receive any level of block payment for compensatory leave hours, except as provided in subsection (3) of this section.
  3. Any employee who leaves state service shall be paid for the balance of unused compensatory time not to exceed two hundred forty (240) hours.

History. Repealed, reenact. and amend. 1982, ch. 448, § 39, effective July 15, 1982; 1994, ch. 180, § 3, effective July 15, 1994; 2000, ch. 495, § 4, effective July 14, 2000; 2010, ch. 153, § 12, effective April 13, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 18.360 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 39.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.196. Definitions for KRS 18A.197.

As used in KRS 18A.197 unless the context requires otherwise:

  1. “Employee” means any employee of the Commonwealth of Kentucky who is entitled to accrue sick leave and for whom accurate leave records are maintained; and
  2. “State agency” or “agency” means any agency of the executive, legislative or judicial branch of the state government.

History. Enact. Acts 1990, ch. 483, § 1, effective July 13, 1990.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.197. Sick-leave sharing program.

  1. The Commonwealth of Kentucky sick leave sharing program is created. An employee who has accrued a sick leave balance of more than seventy-five (75) hours may request that the appointing authority of the agency for which the employee works makes available for transfer a specified amount of his or her sick leave balance to another named employee authorized to receive leave under subsection (2) of this section. The employee may not request a transfer of an amount of leave that would result in reducing his or her sick leave balance to less than seventy-five (75) hours.
  2. An appointing authority, with the approval of the secretary of personnel, may permit an employee of the agency to receive leave under this section if:
    1. The employee or a member of his or her immediate family suffers from a medically certified illness, injury, impairment, or physical or mental condition which has caused, or is likely to cause, the employee to go on leave for at least ten (10) consecutive working days;
    2. The employee’s need for absence and use of leave are certified by a licensed practicing physician or advanced practice registered nurse;
    3. The employee has exhausted his or her accumulated sick leave, annual leave, and compensatory leave balances; and
    4. The employee has complied with administrative regulations governing the use of sick leave.
  3. The appointing authority, with the approval of the secretary of personnel, shall determine the amount of leave, if any, which an employee within his or her agency may receive under subsection (2) of this section. Transfers of leave shall not exceed the amount requested by the recipient.
  4. Leave may be transferred from an employee of one (1) agency to an employee within the same agency. With the approval of the secretary of personnel and of the appointing authorities of both agencies, leave may be transferred from an employee of one (1) agency to an employee of another state agency. The Personnel Cabinet shall maintain records of leave transferred between employees and the utilization of transferred leave.
  5. While an employee is on leave transferred under this section, he or she shall be deemed a state employee and shall receive the same treatment with respect to salary, wages and employee benefits.
  6. All salary and wage payments made to an employee while on leave transferred under this section shall be made by the agency employing the person receiving the leave.
  7. Any leave transferred under this section which remains unused shall be returned to the employees who transferred the leave when the appointing authority finds that the leave is no longer needed and will not be needed at a future time in connection with the illness or injury for which the leave was transferred to an employee in his agency.
  8. No employee shall directly or indirectly intimidate, threaten, or coerce, or attempt to intimidate, threaten, or coerce any other employee for the purpose of interfering with the employee’s right to voluntarily contribute leave when authorized under this section. For the purpose of this subsection, “intimidate, threaten, or coerce” shall include, without being limited to, the promise to confer or the conferring of any benefit or effecting or threatening to effect any reprisal.
  9. The secretary of the Personnel Cabinet shall promulgate procedural administrative regulations to implement the provisions of this section.

History. Enact. Acts 1990, ch. 483, § 2, effective July 13, 1990; 1998, ch. 154, § 42, effective July 15, 1998; 2000, ch. 97, § 3, effective July 14, 2000; 2010, ch. 85, § 68, effective July 15, 2010.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.200. Per diem salaries for state officers or employees serving on boards or commissions prohibited during regular working hours — Reimbursement of expenses authorized.

  1. No state officer or employee who is required by statute or regulation to serve on any board, commission or other body in an official capacity shall receive a per diem salary for the attendance of meetings or performance of services during regular working hours.
  2. Any state officer or employee who is required by statute or regulation or who is elected or appointed to serve on any board, commission or other body in an official capacity shall receive reimbursement for actual and necessary expenses in accordance with state regulations and standards.

History. Repealed, reenact. and amend. 1982, ch. 448, § 40, effective July 15, 1982.

Compiler's Notes.

This section was formerly compiled as KRS 18.370 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 40.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, C, 2, (1) at 869.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. I, C, 2, (1) at 1309.

18A.201. Transportation Engineering Assistant I experience requirements.

Beginning on July 12, 2006, the requirement of two (2) years of experience related to one (1) or more transportation engineering programs for the job classification of Transportation Engineering Assistant I shall not apply as an experience requirement for the classification. Any applicant who has obtained a high school diploma or received a High School Equivalency Diploma shall be deemed to have met the educational requirements necessary for the Transportation Engineering Assistant I classification and shall be allowed to take the relevant written examination for the classification.

HISTORY: Enact. Acts 2006, ch. 131, § 1, effective July 12, 2006; 2017 ch. 63, § 6, effective June 29, 2017.

18A.202. Work-related incentive programs for state employees.

  1. The secretary is authorized to install and implement by administrative regulation work-related incentive programs for state employees. Such programs may include, but need not be limited to, an employee suggestion system whereby employees in the classified service and employees falling under KRS Chapter 16 may be recognized and rewarded for submitting suggestions that result in the improvement of state service or in the realization of financial savings by the state. Such programs may provide that when an employee suggestion has been adopted and resulted in a financial savings to the state, the employee who submitted the suggestion may be compensated for his service through a cash bonus in an amount to the lesser of ten percent (10%) of the amount saved or two thousand five hundred dollars ($2,500).
  2. Nothing in this section shall be construed to allow KRS Chapter 16 employees to collect any fees or rewards for performance of acts in the line of duty as prohibited in KRS 16.110 .

History. Enact. Acts 1982, ch. 332, § 1, effective July 15, 1982; 1984, ch. 111, § 23, effective July 13, 1984; 1986, ch. 494, § 21, effective July 15, 1986; 1998, ch. 154, § 43, effective July 15, 1998; 2007, ch. 139, § 7, effective June 26, 2007.

Opinions of Attorney General.

The sworn officers of the Kentucky State Police cannot avail themselves of this section and 101 KAR 1::150 and receive incentive payments for suggestions which lead to financial savings to the state. OAG 87-5 .

One time payments to teachers to induce retirement are constitutional under Const., § 3 as such payments are in consideration of public service. The key fact that makes these payments constitutional is the voluntary retirement of the teacher; such an act is a “present” service for which an emolument is paid, not a past service for which a gratuity is given. OAG 96-23 .

18A.203. Annual-leave sharing program.

  1. The Commonwealth of Kentucky annual leave sharing program is created. An employee who has accrued an annual leave balance of more than seventy-five (75) hours may request that the appointing authority of the agency for which the employee works makes available for transfer a specified amount of his or her annual leave balance to another named employee authorized to receive leave under subsection (2) of this section. The employee may not request a transfer of an amount of leave that would result in reducing his or her annual leave balance to less than seventy-five (75) hours.
  2. An appointing authority, with the approval of the secretary of personnel, may permit an employee of the agency to receive leave under this section if:
    1. The employee suffers from a catastrophic loss to his or her personal property, due to either a natural disaster or fire, that either has caused or will likely cause the employee to go on leave for at least ten (10) consecutive working days;
    2. The employee has exhausted his or her accumulated annual leave and compensatory leave balances; and
    3. The employee has complied with administrative regulations governing the use of annual leave.
  3. The appointing authority, with the approval of the secretary of personnel, shall determine the amount of leave, if any, that an employee within his or her agency may receive under subsection (2) of this section. Transfers of leave shall not exceed the amount requested by the recipient.
  4. Leave may be transferred from an employee of one (1) agency to an employee within the same agency. With the approval of the secretary of personnel and of the appointing authorities of both agencies, leave may be transferred from an employee of one (1) agency to an employee of another state agency. The Personnel Cabinet shall maintain records of leave transferred between employees and the utilization of transferred leave.
  5. While an employee is on leave transferred under this section, he or she shall be deemed a state employee and shall receive the same treatment with respect to salary, wages, and employee benefits.
  6. All salary and wage payments made to an employee while on leave transferred under this section shall be made by the agency employing the person receiving the leave.
  7. Any leave transferred under this section that remains unused shall be returned to the employees who transferred the leave when the appointing authority finds that the leave is no longer needed and will not be needed at a future time in connection with the catastrophic loss for which the leave was transferred to an employee in his or her agency.
  8. No employee shall directly or indirectly intimidate, threaten, or coerce, or attempt to intimidate, threaten, or coerce any other employee for the purpose of interfering with the employee’s right to voluntarily contribute leave when authorized under this section. For the purpose of this subsection, “intimidate, threaten, or coerce” shall include, without being limited to, the promise to confer or the conferring of any benefit or effecting or threatening to effect any reprisal.
  9. The secretary of the Personnel Cabinet shall promulgate procedural administrative regulations to implement the provisions of this section.

History. Enact. Acts 2000, ch. 97, § 1, effective July 14, 2000.

18A.204. Waiver of educational requirement in Highway Equipment Operator series for employees hired before July 1, 1999.

The requirement of a high school diploma or a High School Equivalency Diploma in the Highway Equipment Operator series shall not apply to employees hired prior to July 1, 1999.

HISTORY: Enact. Acts 2000, ch. 501, § 4, effective July 14, 2000; 2017 ch. 63, § 7, effective June 29, 2017.

Life Insurance

18A.205. Life insurance for public employees and certain retirees — Definitions.

  1. The secretary of the Finance and Administration Cabinet, upon the recommendation of the secretary, may procure from one (1) or more life insurance companies, authorized to do business in this state, a policy or policies of group life insurance insuring the lives of all or any class or classes of public employees. The policy or policies shall be approved by the commissioner of insurance and may contain such provisions as the commissioner of insurance approves whether or not otherwise permitted by the insurance laws. It is intended that life insurance may be made available for public employees, except that the procuring is permissive.
    1. As used in KRS 18A.205 to 18A.215 , “public employee” shall mean a person who: (2) (a) As used in KRS 18A.205 to 18A.215 , “public employee” shall mean a person who:
      1. Is regularly employed by a public employer; and
      2. Is also:
        1. A contributing member of any one (1) of the state-administered retirement systems;
        2. A retiree of a state-administered retirement system who is employed in a regular full-time position for purposes of retirement coverage, but who is not eligible to contribute to one (1) of the systems administered by Kentucky Retirement Systems or County Employees Retirement System pursuant to KRS 61.637(17);
        3. An individual participating in an optional retirement plan authorized by KRS 161.567; or
        4. An individual eligible to participate in a retirement plan established by an employer who ceases participating in the Kentucky Employees Retirement System pursuant to KRS 61.522 whose employees participated in the life insurance plans administered by the Personnel Cabinet prior to the employer’s effective cessation date in the Kentucky Employees Retirement System.
    2. Notwithstanding the definition of “public employee” in this subsection, any federally funded time-limited employee may receive insurance coverage.
  2. As used in this section and KRS 18A.210 , “public employer” shall mean the following employers, if the employer has opted to participate in the state-sponsored group life insurance program:
    1. Any department, office, board, agency, commission, authority, or branch of state government;
    2. A public postsecondary educational institution;
    3. Any department, office, board, agency, commission, authority, or branch of a city, urban-county, charter county, county, unified local government, or consolidated local government; or
    4. Any certified or classified employee or elected member of a local board of education.
  3. As used in KRS 18A.205 to 18A.225 , “premiums” shall mean premiums to be paid on any type of insurance authorized under KRS 18A.205 to 18A.225 .

HISTORY: Repealed, reenact. and amend. 1982, ch. 448, § 41, effective July 15, 1982; 1984, ch. 23, § 6, effective July 13, 1984; 1998, ch. 154, § 44, effective July 15, 1998; 2010, ch. 24, § 26, effective July 15, 2010; 2011, ch. 52, § 1, effective June 8, 2011; 2018 ch. 80, § 1, effective July 14, 2018; 2019 (1st Ex. Sess.), ch. 1, § 4, effective July 14, 2019; 2020 ch. 79, § 14, effective April 1, 2021; 2021 ch. 102, § 39, effective April 1, 2021.

Compiler’s Notes.

This section was formerly compiled as KRS 18.410 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 41.

NOTES TO DECISIONS

1.Competitive Bid.

The executive branch of government through its administrative departments has the right to procure a group policy of life insurance upon state employees without complying with KRS 45.360 (now repealed) by advertising for competitive bids. (Decided under prior law) Commonwealth ex rel. Breckingridge v. Nunn, 452 S.W.2d 381, 1970 Ky. LEXIS 352 ( Ky. 1970 ).

Opinions of Attorney General.

If a master commissioner is not a contributing member of the state retirement system, he does not qualify for state group health insurance and does not qualify for state life insurance. OAG 85-26 .

18A.205. Life insurance for state employees and certain retirees — Definitions.

  1. The secretary of the Finance and Administration Cabinet, upon the recommendation of the secretary, may procure from one (1) or more life insurance companies, authorized to do business in this state, a policy or policies of group life insurance insuring the lives of all or any class or classes of public employees. The policy or policies shall be approved by the commissioner of insurance and may contain such provisions as the commissioner of insurance approves whether or not otherwise permitted by the insurance laws. It is intended that life insurance may be made available for public employees, except that the procuring is permissive.
    1. As used in KRS 18A.205 to 18A.215 , “public employee” shall mean a person who: (2) (a) As used in KRS 18A.205 to 18A.215 , “public employee” shall mean a person who:
      1. Is regularly employed by a public employer; and
      2. Is also:
        1. A contributing member of any one (1) of the state-administered retirement systems;
        2. A retiree of a state-administered retirement system who is employed in a regular full-time position for purposes of retirement coverage, but who is not eligible to contribute to one (1) of the systems administered by Kentucky Retirement Systems or County Employees Retirement System pursuant to KRS 61.637(17) or 78.5540(4);
        3. An individual participating in an optional retirement plan authorized by KRS 161.567; or
        4. An individual eligible to participate in a retirement plan established by an employer who ceases participating in the Kentucky Employees Retirement System pursuant to KRS 61.522 whose employees participated in the life insurance plans administered by the Personnel Cabinet prior to the employer’s effective cessation date in the Kentucky Employees Retirement System.
    2. Notwithstanding the definition of “public employee” in this subsection, any federally funded time-limited employee may receive insurance coverage.
  2. As used in this section and KRS 18A.210 , “public employer” shall mean the following employers, if the employer has opted to participate in the state-sponsored group life insurance program:
    1. Any department, office, board, agency, commission, authority, or branch of state government;
    2. A public postsecondary educational institution;
    3. Any department, office, board, agency, commission, authority, or branch of a city, urban-county, charter county, county, unified local government, or consolidated local government; or
    4. Any certified or classified employee or elected member of a local board of education.
  3. As used in KRS 18A.205 to 18A.225 , “premiums” shall mean premiums to be paid on any type of insurance authorized under KRS 18A.205 to 18A.225 .

HISTORY: Repealed, reenact. and amend. 1982, ch. 448, § 41, effective July 15, 1982; 1984, ch. 23, § 6, effective July 13, 1984; 1998, ch. 154, § 44, effective July 15, 1998; 2010, ch. 24, § 26, effective July 15, 2010; 2011, ch. 52, § 1, effective June 8, 2011; 2018 ch. 80, § 1, effective July 14, 2018; 2019 (1st Ex. Sess.), ch. 1, § 4, effective July 14, 2019; 2020 ch. 79, § 14, effective April 1, 2021; 2021 ch. 102, § 39, effective April 1, 2021.

18A.210. Payment of premiums.

The premiums may be paid by the policyholder:

  1. Wholly from funds contributed by the insured public employee, by payroll deduction or otherwise;
  2. Wholly from funds contributed by the public employer; or
  3. Partly from each.

No payment of premium by the public employer shall constitute compensation to an insured public employee for the purposes of any statute fixing or limiting the compensation of such an employee; any premium or other expense incurred by the public employer shall be considered a proper cost of administration.

HISTORY: Enact. Acts 1962, ch. 225, § 2; repealed and reenact., Acts 1982, ch. 448, § 42, effective July 15, 1982; 2018 ch. 80, § 2, effective July 14, 2018.

Compiler’s Notes.

This section was formerly compiled as KRS 18.420 and was repealed and reenacted as this section by Acts 1982, ch. 448, § 42.

18A.215. Provisions authorized.

The policy or policies may also provide accidental death and dismemberment insurance and may contain such provisions with respect to the class or classes of public employees covered, amounts of insurance for designated classes or groups of public employees, terms of eligibility, continuation of insurance after retirement, and such other provisions as the commissioner of insurance may approve.

HISTORY: Enact. Acts 1962, ch. 225, § 3; repealed and reenact., Acts 1982, ch. 448, § 43, effective July 15, 1982; 2010, ch. 24, § 27, effective July 15, 2010; 2018 ch. 80, § 3, effective July 14, 2018.

Compiler’s Notes.

This section was formerly compiled as KRS 18.430 and was repealed and reenacted as this section by Acts 1982, ch. 448, § 43.

18A.220. Authority of secretary.

The secretary of the Finance and Administration Cabinet is authorized to perform all acts necessary or advisable for the purpose of contracting for and maintaining insurance under the provisions of KRS 18A.205 to 18A.225 .

History. Repealed, reenact. and amend. 1982, ch. 448, § 44, effective July 15, 1982; 1988, ch. 5, § 6, effective July 15, 1988; 1998, ch. 82, § 3, effective July 15, 1998; 2001, ch. 164, § 2, effective June 21, 2001.

Compiler’s Notes.

This section was formerly compiled as KRS 18.440 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 44.

Health Coverage

18A.225. Health care insurance coverage — Requirements of prospective carriers — Analysis of carrier coverage data — Agency’s termination of participation — Provision of amount of employer contribution — Lapse of excess flexible spending account funds — Appeal of formulary change — Retiree’s participation — Mail order drug option coverage — Hearing aid coverage for minors — Coverage for diagnosis and treatment of autism spectrum disorders — Access to certain services in contiguous counties — Study of bid variation — Regional rating bid scenario — Optometric coverage — Nondiscrimination against provider in geographic coverage area — Standards for provider participation. [Effective until January 1, 2022]

    1. The term “employee” for purposes of this section means: (1) (a) The term “employee” for purposes of this section means:
      1. Any person, including an elected public official, who is regularly employed by any department, office, board, agency, or branch of state government; or by a public postsecondary educational institution; or by any city, urban-county, charter county, county, or consolidated local government, whose legislative body has opted to participate in the state-sponsored health insurance program pursuant to KRS 79.080 ; and who is either a contributing member to any one (1) of the retirement systems administered by the state, including but not limited to the Kentucky Retirement Systems, County Employees Retirement System, Kentucky Teachers’ Retirement System, the Legislators’ Retirement Plan, or the Judicial Retirement Plan; or is receiving a contractual contribution from the state toward a retirement plan; or, in the case of a public postsecondary education institution, is an individual participating in an optional retirement plan authorized by KRS 161.567; or is eligible to participate in a retirement plan established by an employer who ceases participating in the Kentucky Employees Retirement System pursuant to KRS 61.522 whose employees participated in the health insurance plans administered by the Personnel Cabinet prior to the employer’s effective cessation date in the Kentucky Employees Retirement System;
      2. Any certified or classified employee of a local board of education;
      3. Any elected member of a local board of education;
      4. Any person who is a present or future recipient of a retirement allowance from the Kentucky Retirement Systems, County Employees Retirement System, Kentucky Teachers’ Retirement System, the Legislators’ Retirement Plan, the Judicial Retirement Plan, or the Kentucky Community and Technical College System’s optional retirement plan authorized by KRS 161.567, except that a person who is receiving a retirement allowance and who is age sixty-five (65) or older shall not be included, with the exception of persons covered under KRS 61.702(4)(c), unless he or she is actively employed pursuant to subparagraph 1. of this paragraph; and
      5. Any eligible dependents and beneficiaries of participating employees and retirees who are entitled to participate in the state-sponsored health insurance program;
    2. The term “health benefit plan” for the purposes of this section means a health benefit plan as defined in KRS 304.17A-005 ;
    3. The term “insurer” for the purposes of this section means an insurer as defined in KRS 304.17A-005 ; and
    4. The term “managed care plan” for the purposes of this section means a managed care plan as defined in KRS 304.17A-500 .
    1. The secretary of the Finance and Administration Cabinet, upon the recommendation of the secretary of the Personnel Cabinet, shall procure, in compliance with the provisions of KRS 45A.080 , 45A.085 , and 45A.090 , from one (1) or more insurers authorized to do business in this state, a group health benefit plan that may include but not be limited to health maintenance organization (HMO), preferred provider organization (PPO), point of service (POS), and exclusive provider organization (EPO) benefit plans encompassing all or any class or classes of employees. With the exception of employers governed by the provisions of KRS Chapters 16, 18A, and 151B, all employers of any class of employees or former employees shall enter into a contract with the Personnel Cabinet prior to including that group in the state health insurance group. The contracts shall include but not be limited to designating the entity responsible for filing any federal forms, adoption of policies required for proper plan administration, acceptance of the contractual provisions with health insurance carriers or third-party administrators, and adoption of the payment and reimbursement methods necessary for efficient administration of the health insurance program. Health insurance coverage provided to state employees under this section shall, at a minimum, contain the same benefits as provided under Kentucky Kare Standard as of January 1, 1994, and shall include a mail-order drug option as provided in subsection (13) of this section. All employees and other persons for whom the health care coverage is provided or made available shall annually be given an option to elect health care coverage through a self-funded plan offered by the Commonwealth or, if a self-funded plan is not available, from a list of coverage options determined by the competitive bid process under the provisions of KRS 45A.080 , 45A.085 , and 45A.090 and made available during annual open enrollment. (2) (a) The secretary of the Finance and Administration Cabinet, upon the recommendation of the secretary of the Personnel Cabinet, shall procure, in compliance with the provisions of KRS 45A.080, 45A.085, and 45A.090, from one (1) or more insurers authorized to do business in this state, a group health benefit plan that may include but not be limited to health maintenance organization (HMO), preferred provider organization (PPO), point of service (POS), and exclusive provider organization (EPO) benefit plans encompassing all or any class or classes of employees. With the exception of employers governed by the provisions of KRS Chapters 16, 18A, and 151B, all employers of any class of employees or former employees shall enter into a contract with the Personnel Cabinet prior to including that group in the state health insurance group. The contracts shall include but not be limited to designating the entity responsible for filing any federal forms, adoption of policies required for proper plan administration, acceptance of the contractual provisions with health insurance carriers or third-party administrators, and adoption of the payment and reimbursement methods necessary for efficient administration of the health insurance program. Health insurance coverage provided to state employees under this section shall, at a minimum, contain the same benefits as provided under Kentucky Kare Standard as of January 1, 1994, and shall include a mail-order drug option as provided in subsection (13) of this section. All employees and other persons for whom the health care coverage is provided or made available shall annually be given an option to elect health care coverage through a self-funded plan offered by the Commonwealth or, if a self-funded plan is not available, from a list of coverage options determined by the competitive bid process under the provisions of KRS 45A.080, 45A.085, and 45A.090 and made available during annual open enrollment.
    2. The policy or policies shall be approved by the commissioner of insurance and may contain the provisions the commissioner of insurance approves, whether or not otherwise permitted by the insurance laws.
    3. Any carrier bidding to offer health care coverage to employees shall agree to provide coverage to all members of the state group, including active employees and retirees and their eligible covered dependents and beneficiaries, within the county or counties specified in its bid. Except as provided in subsection (20) of this section, any carrier bidding to offer health care coverage to employees shall also agree to rate all employees as a single entity, except for those retirees whose former employers insure their active employees outside the state-sponsored health insurance program.
    4. Any carrier bidding to offer health care coverage to employees shall agree to provide enrollment, claims, and utilization data to the Commonwealth in a format specified by the Personnel Cabinet with the understanding that the data shall be owned by the Commonwealth; to provide data in an electronic form and within a time frame specified by the Personnel Cabinet; and to be subject to penalties for noncompliance with data reporting requirements as specified by the Personnel Cabinet. The Personnel Cabinet shall take strict precautions to protect the confidentiality of each individual employee; however, confidentiality assertions shall not relieve a carrier from the requirement of providing stipulated data to the Commonwealth.
    5. The Personnel Cabinet shall develop the necessary techniques and capabilities for timely analysis of data received from carriers and, to the extent possible, provide in the request-for-proposal specifics relating to data requirements, electronic reporting, and penalties for noncompliance. The Commonwealth shall own the enrollment, claims, and utilization data provided by each carrier and shall develop methods to protect the confidentiality of the individual. The Personnel Cabinet shall include in the October annual report submitted pursuant to the provisions of KRS 18A.226 to the Governor, the General Assembly, and the Chief Justice of the Supreme Court, an analysis of the financial stability of the program, which shall include but not be limited to loss ratios, methods of risk adjustment, measurements of carrier quality of service, prescription coverage and cost management, and statutorily required mandates. If state self-insurance was available as a carrier option, the report also shall provide a detailed financial analysis of the self-insurance fund including but not limited to loss ratios, reserves, and reinsurance agreements.
    6. If any agency participating in the state-sponsored employee health insurance program for its active employees terminates participation and there is a state appropriation for the employer’s contribution for active employees’ health insurance coverage, then neither the agency nor the employees shall receive the state-funded contribution after termination from the state-sponsored employee health insurance program.
    7. Any funds in flexible spending accounts that remain after all reimbursements have been processed shall be transferred to the credit of the state-sponsored health insurance plan’s appropriation account.
    8. Each entity participating in the state-sponsored health insurance program shall provide an amount at least equal to the state contribution rate for the employer portion of the health insurance premium. For any participating entity that used the state payroll system, the employer contribution amount shall be equal to but not greater than the state contribution rate.
  1. The premiums may be paid by the policyholder:
    1. Wholly from funds contributed by the employee, by payroll deduction or otherwise;
    2. Wholly from funds contributed by any department, board, agency, public postsecondary education institution, or branch of state, city, urban-county, charter county, county, or consolidated local government; or
    3. Partly from each, except that any premium due for health care coverage or dental coverage, if any, in excess of the premium amount contributed by any department, board, agency, postsecondary education institution, or branch of state, city, urban-county, charter county, county, or consolidated local government for any other health care coverage shall be paid by the employee.
  2. If an employee moves his or her place of residence or employment out of the service area of an insurer offering a managed health care plan, under which he or she has elected coverage, into either the service area of another managed health care plan or into an area of the Commonwealth not within a managed health care plan service area, the employee shall be given an option, at the time of the move or transfer, to change his or her coverage to another health benefit plan.
  3. No payment of premium by any department, board, agency, public postsecondary educational institution, or branch of state, city, urban-county, charter county, county, or consolidated local government shall constitute compensation to an insured employee for the purposes of any statute fixing or limiting the compensation of such an employee. Any premium or other expense incurred by any department, board, agency, public postsecondary educational institution, or branch of state, city, urban-county, charter county, county, or consolidated local government shall be considered a proper cost of administration.
  4. The policy or policies may contain the provisions with respect to the class or classes of employees covered, amounts of insurance or coverage for designated classes or groups of employees, policy options, terms of eligibility, and continuation of insurance or coverage after retirement.
  5. Group rates under this section shall be made available to the disabled child of an employee regardless of the child’s age if the entire premium for the disabled child’s coverage is paid by the state employee. A child shall be considered disabled if he or she has been determined to be eligible for federal Social Security disability benefits.
  6. The health care contract or contracts for employees shall be entered into for a period of not less than one (1) year.
  7. The secretary shall appoint thirty-two (32) persons to an Advisory Committee of State Health Insurance Subscribers to advise the secretary or the secretary’s designee regarding the state-sponsored health insurance program for employees. The secretary shall appoint, from a list of names submitted by appointing authorities, members representing school districts from each of the seven (7) Supreme Court districts, members representing state government from each of the seven (7) Supreme Court districts, two (2) members representing retirees under age sixty-five (65), one (1) member representing local health departments, two (2) members representing the Kentucky Teachers’ Retirement System, and three (3) members at large. The secretary shall also appoint two (2) members from a list of five (5) names submitted by the Kentucky Education Association, two (2) members from a list of five (5) names submitted by the largest state employee organization of nonschool state employees, two (2) members from a list of five (5) names submitted by the Kentucky Association of Counties, two (2) members from a list of five (5) names submitted by the Kentucky League of Cities, and two (2) members from a list of names consisting of five (5) names submitted by each state employee organization that has two thousand (2,000) or more members on state payroll deduction. The advisory committee shall be appointed in January of each year and shall meet quarterly.
  8. Notwithstanding any other provision of law to the contrary, the policy or policies provided to employees pursuant to this section shall not provide coverage for obtaining or performing an abortion, nor shall any state funds be used for the purpose of obtaining or performing an abortion on behalf of employees or their dependents.
  9. Interruption of an established treatment regime with maintenance drugs shall be grounds for an insured to appeal a formulary change through the established appeal procedures approved by the Department of Insurance, if the physician supervising the treatment certifies that the change is not in the best interests of the patient.
  10. Any employee who is eligible for and elects to participate in the state health insurance program as a retiree, or the spouse or beneficiary of a retiree, under any one (1) of the state-sponsored retirement systems shall not be eligible to receive the state health insurance contribution toward health care coverage as a result of any other employment for which there is a public employer contribution. This does not preclude a retiree and an active employee spouse from using both contributions to the extent needed for purchase of one (1) state sponsored health insurance policy for that plan year.
    1. The policies of health insurance coverage procured under subsection (2) of this section shall include a mail-order drug option for maintenance drugs for state employees. Maintenance drugs may be dispensed by mail order in accordance with Kentucky law. (13) (a) The policies of health insurance coverage procured under subsection (2) of this section shall include a mail-order drug option for maintenance drugs for state employees. Maintenance drugs may be dispensed by mail order in accordance with Kentucky law.
    2. A health insurer shall not discriminate against any retail pharmacy located within the geographic coverage area of the health benefit plan and that meets the terms and conditions for participation established by the insurer, including price, dispensing fee, and copay requirements of a mail-order option. The retail pharmacy shall not be required to dispense by mail.
    3. The mail-order option shall not permit the dispensing of a controlled substance classified in Schedule II.
  11. The policy or policies provided to state employees or their dependents pursuant to this section shall provide coverage for obtaining a hearing aid and acquiring hearing aid-related services for insured individuals under eighteen (18) years of age, subject to a cap of one thousand four hundred dollars ($1,400) every thirty-six (36) months pursuant to KRS 304.17A-132 .
  12. Any policy provided to state employees or their dependents pursuant to this section shall provide coverage for the diagnosis and treatment of autism spectrum disorders consistent with KRS 304.17A-142 .
  13. Any policy provided to state employees or their dependents pursuant to this section shall provide coverage for obtaining amino acid-based elemental formula pursuant to KRS 304.17A-258 .
  14. If a state employee’s residence and place of employment are in the same county, and if the hospital located within that county does not offer surgical services, intensive care services, obstetrical services, level II neonatal services, diagnostic cardiac catheterization services, and magnetic resonance imaging services, the employee may select a plan available in a contiguous county that does provide those services, and the state contribution for the plan shall be the amount available in the county where the plan selected is located.
  15. If a state employee’s residence and place of employment are each located in counties in which the hospitals do not offer surgical services, intensive care services, obstetrical services, level II neonatal services, diagnostic cardiac catheterization services, and magnetic resonance imaging services, the employee may select a plan available in a county contiguous to the county of residence that does provide those services, and the state contribution for the plan shall be the amount available in the county where the plan selected is located.
  16. The Personnel Cabinet is encouraged to study whether it is fair and reasonable and in the best interests of the state group to allow any carrier bidding to offer health care coverage under this section to submit bids that may vary county by county or by larger geographic areas.
  17. Notwithstanding any other provision of this section, the bid for proposals for health insurance coverage for calendar year 2004 shall include a bid scenario that reflects the statewide rating structure provided in calendar year 2003 and a bid scenario that allows for a regional rating structure that allows carriers to submit bids that may vary by region for a given product offering as described in this subsection:
    1. The regional rating bid scenario shall not include a request for bid on a statewide option;
    2. The Personnel Cabinet shall divide the state into geographical regions which shall be the same as the partnership regions designated by the Department for Medicaid Services for purposes of the Kentucky Health Care Partnership Program established pursuant to 907 KAR 1:705;
    3. The request for proposal shall require a carrier’s bid to include every county within the region or regions for which the bid is submitted and include but not be restricted to a preferred provider organization (PPO) option;
    4. If the Personnel Cabinet accepts a carrier’s bid, the cabinet shall award the carrier all of the counties included in its bid within the region. If the Personnel Cabinet deems the bids submitted in accordance with this subsection to be in the best interests of state employees in a region, the cabinet may award the contract for that region to no more than two (2) carriers; and
    5. Nothing in this subsection shall prohibit the Personnel Cabinet from including other requirements or criteria in the request for proposal.
  18. Any fully insured health benefit plan or self-insured plan issued or renewed on or after July 12, 2006, to public employees pursuant to this section which provides coverage for services rendered by a physician or osteopath duly licensed under KRS Chapter 311 that are within the scope of practice of an optometrist duly licensed under the provisions of KRS Chapter 320 shall provide the same payment of coverage to optometrists as allowed for those services rendered by physicians or osteopaths.
  19. Any fully insured health benefit plan or self-insured plan issued or renewed on or after the effective date of this Act, to public employees pursuant to this section shall comply with:
    1. Section 1 of this Act;
    2. KRS 304.17A-270 and 304.17A-525 ;
    3. KRS 304.17A-600 to 304.17A-633 ;
    4. KRS 205.593 ;
    5. KRS 304.17A-700 to 304.17A-730 ;
    6. KRS 304.14-135 ;
    7. KRS 304.17A-580 and 304.17A-641 ;
    8. KRS 304.99-123 ;
    9. KRS 304.17A-138 ; and
    10. Administrative regulations promulgated pursuant to statutes listed in this subsection.

History. Enact. Acts 1976 (1st Extra. Sess.), ch. 35, § 2; 1980, ch. 132, § 6, effective July 15, 1980; repealed and reenact. 1982, ch. 448, § 45, effective July 15, 1982; 1984, ch. 23, § 1, effective July 13, 1984; 1986, ch. 178, § 1, effective July 15, 1986; 1990, ch. 348, § 3, effective July 13, 1990; 1990, ch. 489, § 8, effective July 13, 1990; 1992, ch. 92, § 3, effective July 14, 1992; 1992, ch. 219, § 1, effective July 14, 1992; 1992, ch. 235, § 1, effective July 14, 1992; 1994, ch. 350, § 1, effective July 15, 1994; 1994, ch. 512, Part 14, § 94, effective July 15, 1994; 1996, ch. 362, § 6, effective July 15, 1996; 1996, ch. 371, § 60, effective July 15, 1996; 1998, ch. 82, § 4, effective July 15, 1998; 1998, ch. 154, § 45, effective July 15, 1998; 1998, ch. 515, § 1, effective July 1, 1998; 2000, ch. 438, § 2, effective April 21, 2000; 2001, ch. 70, § 3, effective March 15, 2001; 2002, ch. 67, § 1, effective July 15, 2002; 2002, ch. 106, § 2, effective July 15, 2002; 2002, ch. 275, § 34, effective July 1, 2002; 2002, ch. 345, § 1, effective July 15, 2002; 2002, ch. 351, § 17, effective July 15, 2002; 2002, ch. 352, §§ 1, 4, effective July 15, 2002; 2003, ch. 12, § 1, effective June 24, 2003; 2003, ch. 129, § 1, effective March 18, 2003; 2006, ch. 164, § 1, effective July 12, 2006; 2007, ch. 88, § 3, effective June 26, 2007; 2010, ch. 24, § 28, effective July 15, 2010; 2010, ch. 150, § 19, effective January 1, 2011; 2016 ch. 10, § 4, effective April 1, 2016; 2018 ch. 170, § 3, effective April 13, 2018; 2018 ch. 187, § 7, effective July 1, 2019; 2019 (1st Ex. Sess.), ch. 1, § 3, July 24, 2019; 2020 ch. 79, § 15, effective April 1, 2021; 2021 ch. 30, § 5, effective June 29, 2021.

Compiler’s Notes

This section was formerly compiled as KRS 18.470 (Enact. Acts 1976 (Ex. Sess.), ch. 35, § 2; 1980, ch. 132, § 6, effective July 15, 1980; 1982, ch. 223, § 1, effective July 15, 1982) and was repealed and reenacted as this section by Acts 1982, ch. 448, § 45.

Legislative Research Commission Notes.

(1/1/2022). This statute was amended by 2021 Ky. Acts chs. 30 and 75, which do not appear to be in conflict and have been codified together.

(7/1/2019). This statute was amended by 2018 Ky. Acts chs. 170, sec. 3 and ch. 187, sec. 7. However, 2018 Ky. Acts ch. 207, secs. 158 and 159 provided that, notwithstanding any statutory language to the contrary, no part of the amendments to this statute in 2018 Ky. Acts ch. 170, sec. 3 are to be codified.

(4/1/2016). 2016 Ky. Acts ch. 10, sec. 5 provided that that Act may be cited as Noah’s Law. This statute was amended in Section 4 of that Act.

(10/19/2004). 2004 (1st Extra. Sess.) Ky. Acts ch. 1, sec. 2, provides, “Notwithstanding KRS 18A.225 , 45A.022 , 45A.080 , 45A.085 , 45A.090 , 45A.225 to 45A.290 , or any other provision of KRS Chapter 45A to the contrary, retroactive to August 12, 2004, the Finance and Administration Cabinet shall implement the provisions of this Act by amending the previously negotiated contracts for public employee health insurance. The secretary of the Finance and Administration Cabinet shall provide an actuarial certification that the self-insured contract amounts are actuarially sound. Any contracts entered into or modified pursuant to this section shall be forwarded to the Legislative Research Commission.”

(7/15/2002). This section was amended by 2002 Ky. Acts chs. 67, 106, 275, 345, 351, and 352. Where these Acts are not in conflict, they have been codified together. Where a conflict exists between Acts ch. 275, sec. 34, and ch. 352, sec. 1, Acts ch. 352, which was last enacted by the General Assembly, prevails under KRS 446.250 .

NOTES TO DECISIONS

1.Minimum Insurance Standards.

Where the class members were recipients of a state retirement allowance and had a stake in the controversy over what group health insurance must be offered, they had standing to sue the Board of Trustees of the Kentucky Retirement Systems; because genuine issues of material fact existed as to whether the benefits provided for the time period covered by the complaint comported with the minimum requirements set forth in KRS 18A.225(2)(a), the Board was not entitled to summary judgment. Kurtsinger v. Bd. of Trs. of Ky. Ret. Sys., 2004 Ky. App. LEXIS 261 (Ky. Ct. App. Apr. 30, 2004).

Cited in:

HealthAmerica Corp. of Kentucky v. Humana Health Plan, Inc., 697 S.W.2d 946, 1985 Ky. LEXIS 241 ( Ky. 1985 ); Pendleton Bros. Vending, Inc. v. Commonwealth Finance & Admin. Cabinet, 758 S.W.2d 24, 1988 Ky. LEXIS 46 ( Ky. 1988 ).

Opinions of Attorney General.

If a master commissioner is not a contributing member of the state retirement system, he does not qualify for state group health insurance and does not qualify for state life insurance. OAG 85-26 .

Any modifications or amendments to a competitively bid contract must be made by the Executive Branch pursuant to KRS Chapter 45A, unless such requirements are superseded by suspension of the procurement statutes by the General Assembly or declaration of a state of emergency by the Governor. Termination of a contract for convenience has as its central purpose the avoidance of payment of future anticipated profits by the Commonwealth. Termination of a contract for cause may be appropriate where a contract fails to meet the minimum standards imposed by statute. OAG 2004-09 .

A person participating in the state health insurance program as a retiree cannot receive an additional employer contribution toward other benefits in a “cafeteria plan” as a result of subsequent employment by a public entity participating in the state health insurance plan. OAG 2006-03 .

18A.225. Health care insurance coverage — Requirements of prospective carriers — Analysis of carrier coverage data — Agency’s termination of participation — Provision of amount of employer contribution — Lapse of excess flexible spending account funds — Appeal of formulary change — Retiree’s participation — Mail order drug option coverage — Hearing aid coverage for minors — Coverage for diagnosis and treatment of autism spectrum disorders — Access to certain services in contiguous counties — Study of bid variation — Regional rating bid scenario — Optometric coverage — Nondiscrimination against provider in geographic coverage area — Standards for provider participation. [Effective January 1, 2022]

    1. The term “employee” for purposes of this section means: (1) (a) The term “employee” for purposes of this section means:
      1. Any person, including an elected public official, who is regularly employed by any department, office, board, agency, or branch of state government; or by a public postsecondary educational institution; or by any city, urban-county, charter county, county, or consolidated local government, whose legislative body has opted to participate in the state- sponsored health insurance program pursuant to KRS 79.080 ; and who is either a contributing member to any one (1) of the retirement systems administered by the state, including but not limited to the Kentucky Retirement Systems, County Employees Retirement System, Kentucky Teachers’ Retirement System, the Legislators’ Retirement Plan, or the Judicial Retirement Plan; or is receiving a contractual contribution from the state toward a retirement plan; or, in the case of a public postsecondary education institution, is an individual participating in an optional retirement plan authorized by KRS 161.567; or is eligible to participate in a retirement plan established by an employer who ceases participating in the Kentucky Employees Retirement System pursuant to KRS 61.522 whose employees participated in the health insurance plans administered by the Personnel Cabinet prior to the employer’s effective cessation date in the Kentucky Employees Retirement System;
      2. Any certified or classified employee of a local board of education;
      3. Any elected member of a local board of education;
      4. Any person who is a present or future recipient of a retirement allowance from the Kentucky Retirement Systems, County Employees Retirement System, Kentucky Teachers’ Retirement System, the Legislators’ Retirement Plan, the Judicial Retirement Plan, or the Kentucky Community and Technical College System’s optional retirement plan authorized by KRS 161.567, except that a person who is receiving a retirement allowance and who is age sixty-five (65) or older shall not be included, with the exception of persons covered under KRS 61.702(4)(c), unless he or she is actively employed pursuant to subparagraph 1. of this paragraph; and
      5. Any eligible dependents and beneficiaries of participating employees and retirees who are entitled to participate in the state-sponsored health insurance program;
    2. The term “health benefit plan” for the purposes of this section means a health benefit plan as defined in KRS 304.17A-005 ;
    3. The term “insurer” for the purposes of this section means an insurer as defined in KRS 304.17A-005 ; and
    4. The term “managed care plan” for the purposes of this section means a managed care plan as defined in KRS 304.17A-500 .
    1. The secretary of the Finance and Administration Cabinet, upon the recommendation of the secretary of the Personnel Cabinet, shall procure, in compliance with the provisions of KRS 45A.080 , 45A.085 , and 45A.090 , from one (1) or more insurers authorized to do business in this state, a group health benefit plan that may include but not be limited to health maintenance organization (HMO), preferred provider organization (PPO), point of service (POS), and exclusive provider organization (EPO) benefit plans encompassing all or any class or classes of employees. With the exception of employers governed by the provisions of KRS Chapters 16, 18A, and 151B, all employers of any class of employees or former employees shall enter into a contract with the Personnel Cabinet prior to including that group in the state health insurance group. The contracts shall include but not be limited to designating the entity responsible for filing any federal forms, adoption of policies required for proper plan administration, acceptance of the contractual provisions with health insurance carriers or third-party administrators, and adoption of the payment and reimbursement methods necessary for efficient administration of the health insurance program. Health insurance coverage provided to state employees under this section shall, at a minimum, contain the same benefits as provided under Kentucky Kare Standard as of January 1, 1994, and shall include a mail-order drug option as provided in subsection (13) of this section. All employees and other persons for whom the health care coverage is provided or made available shall annually be given an option to elect health care coverage through a self-funded plan offered by the Commonwealth or, if a self-funded plan is not available, from a list of coverage options determined by the competitive bid process under the provisions of KRS 45A.080 , 45A.085 , and 45A.090 and made available during annual open enrollment. (2) (a) The secretary of the Finance and Administration Cabinet, upon the recommendation of the secretary of the Personnel Cabinet, shall procure, in compliance with the provisions of KRS 45A.080, 45A.085, and 45A.090, from one (1) or more insurers authorized to do business in this state, a group health benefit plan that may include but not be limited to health maintenance organization (HMO), preferred provider organization (PPO), point of service (POS), and exclusive provider organization (EPO) benefit plans encompassing all or any class or classes of employees. With the exception of employers governed by the provisions of KRS Chapters 16, 18A, and 151B, all employers of any class of employees or former employees shall enter into a contract with the Personnel Cabinet prior to including that group in the state health insurance group. The contracts shall include but not be limited to designating the entity responsible for filing any federal forms, adoption of policies required for proper plan administration, acceptance of the contractual provisions with health insurance carriers or third-party administrators, and adoption of the payment and reimbursement methods necessary for efficient administration of the health insurance program. Health insurance coverage provided to state employees under this section shall, at a minimum, contain the same benefits as provided under Kentucky Kare Standard as of January 1, 1994, and shall include a mail-order drug option as provided in subsection (13) of this section. All employees and other persons for whom the health care coverage is provided or made available shall annually be given an option to elect health care coverage through a self-funded plan offered by the Commonwealth or, if a self-funded plan is not available, from a list of coverage options determined by the competitive bid process under the provisions of KRS 45A.080, 45A.085, and 45A.090 and made available during annual open enrollment.
    2. The policy or policies shall be approved by the commissioner of insurance and may contain the provisions the commissioner of insurance approves, whether or not otherwise permitted by the insurance laws.
    3. Any carrier bidding to offer health care coverage to employees shall agree to provide coverage to all members of the state group, including active employees and retirees and their eligible covered dependents and beneficiaries, within the county or counties specified in its bid. Except as provided in subsection (20) of this section, any carrier bidding to offer health care coverage to employees shall also agree to rate all employees as a single entity, except for those retirees whose former employers insure their active employees outside the state-sponsored health insurance program.
    4. Any carrier bidding to offer health care coverage to employees shall agree to provide enrollment, claims, and utilization data to the Commonwealth in a format specified by the Personnel Cabinet with the understanding that the data shall be owned by the Commonwealth; to provide data in an electronic form and within a time frame specified by the Personnel Cabinet; and to be subject to penalties for noncompliance with data reporting requirements as specified by the Personnel Cabinet. The Personnel Cabinet shall take strict precautions to protect the confidentiality of each individual employee; however, confidentiality assertions shall not relieve a carrier from the requirement of providing stipulated data to the Commonwealth.
    5. The Personnel Cabinet shall develop the necessary techniques and capabilities for timely analysis of data received from carriers and, to the extent possible, provide in the request-for-proposal specifics relating to data requirements, electronic reporting, and penalties for noncompliance. The Commonwealth shall own the enrollment, claims, and utilization data provided by each carrier and shall develop methods to protect the confidentiality of the individual. The Personnel Cabinet shall include in the October annual report submitted pursuant to the provisions of KRS 18A.226 to the Governor, the General Assembly, and the Chief Justice of the Supreme Court, an analysis of the financial stability of the program, which shall include but not be limited to loss ratios, methods of risk adjustment, measurements of carrier quality of service, prescription coverage and cost management, and statutorily required mandates. If state self-insurance was available as a carrier option, the report also shall provide a detailed financial analysis of the self-insurance fund including but not limited to loss ratios, reserves, and reinsurance agreements.
    6. If any agency participating in the state-sponsored employee health insurance program for its active employees terminates participation and there is a state appropriation for the employer’s contribution for active employees’ health insurance coverage, then neither the agency nor the employees shall receive the state-funded contribution after termination from the state-sponsored employee health insurance program.
    7. Any funds in flexible spending accounts that remain after all reimbursements have been processed shall be transferred to the credit of the state-sponsored health insurance plan’s appropriation account.
    8. Each entity participating in the state-sponsored health insurance program shall provide an amount at least equal to the state contribution rate for the employer portion of the health insurance premium. For any participating entity that used the state payroll system, the employer contribution amount shall be equal to but not greater than the state contribution rate.
  1. The premiums may be paid by the policyholder:
    1. Wholly from funds contributed by the employee, by payroll deduction or otherwise;
    2. Wholly from funds contributed by any department, board, agency, public postsecondary education institution, or branch of state, city, urban-county, charter county, county, or consolidated local government; or
    3. Partly from each, except that any premium due for health care coverage or dental coverage, if any, in excess of the premium amount contributed by any department, board, agency, postsecondary education institution, or branch of state, city, urban-county, charter county, county, or consolidated local government for any other health care coverage shall be paid by the employee.
  2. If an employee moves his or her place of residence or employment out of the service area of an insurer offering a managed health care plan, under which he or she has elected coverage, into either the service area of another managed health care plan or into an area of the Commonwealth not within a managed health care plan service area, the employee shall be given an option, at the time of the move or transfer, to change his or her coverage to another health benefit plan.
  3. No payment of premium by any department, board, agency, public postsecondary educational institution, or branch of state, city, urban-county, charter county, county, or consolidated local government shall constitute compensation to an insured employee for the purposes of any statute fixing or limiting the compensation of such an employee. Any premium or other expense incurred by any department, board, agency, public postsecondary educational institution, or branch of state, city, urban-county, charter county, county, or consolidated local government shall be considered a proper cost of administration.
  4. The policy or policies may contain the provisions with respect to the class or classes of employees covered, amounts of insurance or coverage for designated classes or groups of employees, policy options, terms of eligibility, and continuation of insurance or coverage after retirement.
  5. Group rates under this section shall be made available to the disabled child of an employee regardless of the child’s age if the entire premium for the disabled child’s coverage is paid by the state employee. A child shall be considered disabled if he or she has been determined to be eligible for federal Social Security disability benefits.
  6. The health care contract or contracts for employees shall be entered into for a period of not less than one (1) year.
  7. The secretary shall appoint thirty-two (32) persons to an Advisory Committee of State Health Insurance Subscribers to advise the secretary or the secretary’s designee regarding the state-sponsored health insurance program for employees. The secretary shall appoint, from a list of names submitted by appointing authorities, members representing school districts from each of the seven (7) Supreme Court districts, members representing state government from each of the seven (7) Supreme Court districts, two (2) members representing retirees under age sixty-five (65), one (1) member representing local health departments, two (2) members representing the Kentucky Teachers’ Retirement System, and three (3) members at large. The secretary shall also appoint two (2) members from a list of five (5) names submitted by the Kentucky Education Association, two (2) members from a list of five (5) names submitted by the largest state employee organization of nonschool state employees, two (2) members from a list of five (5) names submitted by the Kentucky Association of Counties, two (2) members from a list of five (5) names submitted by the Kentucky League of Cities, and two (2) members from a list of names consisting of five (5) names submitted by each state employee organization that has two thousand (2,000) or more members on state payroll deduction. The advisory committee shall be appointed in January of each year and shall meet quarterly.
  8. Notwithstanding any other provision of law to the contrary, the policy or policies provided to employees pursuant to this section shall not provide coverage for obtaining or performing an abortion, nor shall any state funds be used for the purpose of obtaining or performing an abortion on behalf of employees or their dependents.
  9. Interruption of an established treatment regime with maintenance drugs shall be grounds for an insured to appeal a formulary change through the established appeal procedures approved by the Department of Insurance, if the physician supervising the treatment certifies that the change is not in the best interests of the patient.
  10. Any employee who is eligible for and elects to participate in the state health insurance program as a retiree, or the spouse or beneficiary of a retiree, under any one (1) of the state-sponsored retirement systems shall not be eligible to receive the state health insurance contribution toward health care coverage as a result of any other employment for which there is a public employer contribution. This does not preclude a retiree and an active employee spouse from using both contributions to the extent needed for purchase of one (1) state sponsored health insurance policy for that plan year.
    1. The policies of health insurance coverage procured under subsection (2) of this section shall include a mail-order drug option for maintenance drugs for state employees. Maintenance drugs may be dispensed by mail order in accordance with Kentucky law. (13) (a) The policies of health insurance coverage procured under subsection (2) of this section shall include a mail-order drug option for maintenance drugs for state employees. Maintenance drugs may be dispensed by mail order in accordance with Kentucky law.
    2. A health insurer shall not discriminate against any retail pharmacy located within the geographic coverage area of the health benefit plan and that meets the terms and conditions for participation established by the insurer, including price, dispensing fee, and copay requirements of a mail-order option. The retail pharmacy shall not be required to dispense by mail.
    3. The mail-order option shall not permit the dispensing of a controlled substance classified in Schedule II.
  11. The policy or policies provided to state employees or their dependents pursuant to this section shall provide coverage for obtaining a hearing aid and acquiring hearing aid-related services for insured individuals under eighteen (18) years of age, subject to a cap of one thousand four hundred dollars ($1,400) every thirty-six (36) months pursuant to KRS 304.17A-132 .
  12. Any policy provided to state employees or their dependents pursuant to this section shall provide coverage for the diagnosis and treatment of autism spectrum disorders consistent with KRS 304.17A-142 .
  13. Any policy provided to state employees or their dependents pursuant to this section shall provide coverage for obtaining amino acid-based elemental formula pursuant to KRS 304.17A-258 .
  14. If a state employee’s residence and place of employment are in the same county, and if the hospital located within that county does not offer surgical services, intensive care services, obstetrical services, level II neonatal services, diagnostic cardiac catheterization services, and magnetic resonance imaging services, the employee may select a plan available in a contiguous county that does provide those services, and the state contribution for the plan shall be the amount available in the county where the plan selected is located.
  15. If a state employee’s residence and place of employment are each located in counties in which the hospitals do not offer surgical services, intensive care services, obstetrical services, level II neonatal services, diagnostic cardiac catheterization services, and magnetic resonance imaging services, the employee may select a plan available in a county contiguous to the county of residence that does provide those services, and the state contribution for the plan shall be the amount available in the county where the plan selected is located.
  16. The Personnel Cabinet is encouraged to study whether it is fair and reasonable and in the best interests of the state group to allow any carrier bidding to offer health care coverage under this section to submit bids that may vary county by county or by larger geographic areas.
  17. Notwithstanding any other provision of this section, the bid for proposals for health insurance coverage for calendar year 2004 shall include a bid scenario that reflects the statewide rating structure provided in calendar year 2003 and a bid scenario that allows for a regional rating structure that allows carriers to submit bids that may vary by region for a given product offering as described in this subsection:
    1. The regional rating bid scenario shall not include a request for bid on a statewide option;
    2. The Personnel Cabinet shall divide the state into geographical regions which shall be the same as the partnership regions designated by the Department for Medicaid Services for purposes of the Kentucky Health Care Partnership Program established pursuant to 907 KAR 1:705;
    3. The request for proposal shall require a carrier’s bid to include every county within the region or regions for which the bid is submitted and include but not be restricted to a preferred provider organization (PPO) option;
    4. If the Personnel Cabinet accepts a carrier’s bid, the cabinet shall award the carrier all of the counties included in its bid within the region. If the Personnel Cabinet deems the bids submitted in accordance with this subsection to be in the best interests of state employees in a region, the cabinet may award the contract for that region to no more than two (2) carriers; and
    5. Nothing in this subsection shall prohibit the Personnel Cabinet from including other requirements or criteria in the request for proposal.
  18. Any fully insured health benefit plan or self-insured plan issued or renewed on or after July 12, 2006, to public employees pursuant to this section which provides coverage for services rendered by a physician or osteopath duly licensed under KRS Chapter 311 that are within the scope of practice of an optometrist duly licensed under the provisions of KRS Chapter 320 shall provide the same payment of coverage to optometrists as allowed for those services rendered by physicians or osteopaths.
  19. Any fully insured health benefit plan or self-insured plan issued or renewed on or after June 29, 2021, to public employees pursuant to this section shall comply with:
    1. KRS 304.12-237 ;
    2. KRS 304.17A-270 and 304.17A-525 ;
    3. KRS 304.17A-600 to 304.17A-633 ;
    4. KRS 205.593 ;
    5. KRS 304.17A-700 to 304.17A-730 ;
    6. KRS 304.14-135 ;
    7. KRS 304.17A-580 and 304.17A-641 ;
    8. KRS 304.99-123 ;
    9. KRS 304.17A-138 ; and
    10. Administrative regulations promulgated pursuant to statutes listed in this subsection.
  20. Any fully insured health benefit plan or self-insured plan issued or renewed on or after January 1, 2022, to public employees pursuant to this section shall comply with KRS 304.17A-148 .

HISTORY: Enact. Acts 1976 (1st Extra. Sess.), ch. 35, § 2; 1980, ch. 132, § 6, effective July 15, 1980; repealed and reenact. 1982, ch. 448, § 45, effective July 15, 1982; 1984, ch. 23, § 1, effective July 13, 1984; 1986, ch. 178, § 1, effective July 15, 1986; 1990, ch. 348, § 3, effective July 13, 1990; 1990, ch. 489, § 8, effective July 13, 1990; 1992, ch. 92, § 3, effective July 14, 1992; 1992, ch. 219, § 1, effective July 14, 1992; 1992, ch. 235, § 1, effective July 14, 1992; 1994, ch. 350, § 1, effective July 15, 1994; 1994, ch. 512, Part 14, § 94, effective July 15, 1994; 1996, ch. 362, § 6, effective July 15, 1996; 1996, ch. 371, § 60, effective July 15, 1996; 1998, ch. 82, § 4, effective July 15, 1998; 1998, ch. 154, § 45, effective July 15, 1998; 1998, ch. 515, § 1, effective July 1, 1998; 2000, ch. 438, § 2, effective April 21, 2000; 2001, ch. 70, § 3, effective March 15, 2001; 2002, ch. 67, § 1, effective July 15, 2002; 2002, ch. 106, § 2, effective July 15, 2002; 2002, ch. 275, § 34, effective July 1, 2002; 2002, ch. 345, § 1, effective July 15, 2002; 2002, ch. 351, § 17, effective July 15, 2002; 2002, ch. 352, §§ 1, 4, effective July 15, 2002; 2003, ch. 12, § 1, effective June 24, 2003; 2003, ch. 129, § 1, effective March 18, 2003; 2006, ch. 164, § 1, effective July 12, 2006; 2007, ch. 88, § 3, effective June 26, 2007; 2010, ch. 24, § 28, effective July 15, 2010; 2010, ch. 150, § 19, effective January 1, 2011; 2016 ch. 10, § 4, effective April 1, 2016; 2018 ch. 170, § 3, effective April 13, 2018; 2018 ch. 187, § 7, effective July 1, 2019; 2019 (1st Ex. Sess.), ch. 1, § 3, July 24, 2019; 2020 ch. 79, § 15, effective April 1, 2021; 2021 ch. 30, § 5, effective June 29, 2021; 2021 ch. 75, § 2, effective January 1, 2022.

18A.2251. State employee health care plan buy-in. [Expired July 14, 1995.]

  1. Any citizen of the United States, who has been a Kentucky resident for at least one (1) year prior to purchasing coverage under this section, shall be permitted to purchase health insurance coverage provided to state employees pursuant to KRS 18A.225 and 18A.2281 , under the same terms and conditions as state employees until the Kentucky Health Purchasing Alliance created pursuant to KRS 304.17A-020 becomes operational. The premium charged for coverage for high risk individuals as defined by the Kentucky Health Policy Board shall not exceed two hundred percent (200%) of the premium paid by the Commonwealth for state employees. Policies issued under this section shall be valid for a period of one (1) year, and at the time of the policy’s expiration the insured shall be eligible for participation in the Kentucky Health Purchasing Alliance created pursuant to KRS 304.17A-020 .
  2. The secretary of the Finance and Administration Cabinet and the secretary of the Cabinet for Human Resources shall provide for a system to enroll any citizen who elects to purchase health insurance coverage under subsection (1) of this section using the county offices of the Cabinet for Human Resources. Citizens desiring to purchase coverage shall do so through the office of the Cabinet for Human Resources in the county of the citizen’s residence. Payment for premiums shall be made in advance on a quarterly or annual basis, in a manner to be determined by administrative regulations of the Finance and Administration Cabinet promulgated pursuant to KRS Chapter 13A.
  3. Following the close of each calendar year, the Kentucky Health Policy Board shall determine for each of the insurance plans providing coverage to state employees and persons electing to purchase coverage pursuant to this section, the net premium, being premiums less administrative expense allowances, the plan expenses, and claim expenses losses for the year, taking into account investment income and other appropriate gains and losses.
  4. Each health insurer’s proportion of participation in the state employee health plan shall be determined annually by the Kentucky Health Policy Board based on annual statements and other reports deemed necessary by the board and filed by the insurer with the board. The proportion of participation shall be determined by multiplying the total cost of each state health insurance plan coverage operation by a fraction, the numerator of which equals that insurer’s premium and subscriber contract charges for health insurance written in the state during the preceding calendar year and the denominator of which equals the total of all premiums and subscriber contract charges written in the state. The amount of the assessment shall also be adjusted to ensure that the Commonwealth’s cost of providing coverage to state employees does not increase more than the average rate of premium growth for state employees during the five (5) years preceding July 15, 1994.
  5. Any deficit incurred by the state employee health insurance plan shall be recouped by assessments on all health insurers doing business in the Commonwealth pursuant to the assessment formula set forth by the Kentucky Health Policy Board. The insurers may recover these amounts in the normal course of their respective businesses without time limitation.
  6. The Kentucky Health Policy Board may abate or defer, in whole or in part, the assessment of an insurer if, in the opinion of the board, payment of the assessment would endanger the ability of the insurer to fulfill its contractual obligations. If an assessment against an insurer is abated or deferred in whole or in part, the amount by which the assessment is abated or deferred may be assessed against the other insurers in a manner consistent with the basis for assessments set forth in this section. The insurer receiving an abatement or deferment shall remain liable to the Commonwealth for the deficiency for four (4) years.
  7. If assessments exceed actual losses and administrative expenses of the plan, the excess shall be held at interest and used by the Commonwealth to offset future losses or to reduce premiums. As used in this subsection, “future losses” includes reserves for incurred but not reported claims.
  8. After July 14, 1995, this section shall become null and void.

History. Enact. Acts 1994, ch. 512, Part 14, § 93, effective July 15, 1994.

18A.2253. Self-insurance for area development district employees.

Notwithstanding the provisions of KRS 18A.225 , the area development districts may jointly establish an employee benefit fund to provide for self-insurance of all risks in the provision of benefits for district employees comparable to those that may be paid under a policy or contract procured by the secretary of Finance and Administration Cabinet as provided in KRS 18A.225 (2).

History. Enact. Acts 1992, ch. 219, § 3, effective July 14, 1992.

18A.2254. Self-insured plan for public employees — Contract for third-party administrator — Formulary change — Health reimbursement account, health flexible spending account, or health savings account — Public employee health insurance trust fund — Annual audit — Quarterly status reports.

  1. Based on the recommendation of the secretary of the Personnel Cabinet, the secretary of the Finance and Administration Cabinet, in lieu of contracting with one (1) or more insurers licensed to do business in this state, shall procure, in compliance with KRS 45A.080 , 45A.085 , and 45A.090 , and reviewed by the Government Contract Review Committee pursuant to KRS 45A.705 , a contract with one (1) or more third-party administrators licensed to do business in the Commonwealth pursuant to KRS 304.9-052 to administer a self-insured plan offered to the Public Employee Health Insurance Program for public employees. The requirements for the self-insured plan shall be as follows:
      1. The secretary of the Personnel Cabinet shall incorporate by reference in an administrative regulation, pursuant to KRS 13A.2251 , the plan year handbook distributed by the Department of Employee Insurance in the Personnel Cabinet to public employees covered under the self-insured plan. The plan year handbook shall contain, at a minimum, the premiums, employee contributions, employer contributions, and a summary of benefits, copays, coinsurance, and deductibles for each plan provided to public employees covered under the self-insured plan; (a) 1. The secretary of the Personnel Cabinet shall incorporate by reference in an administrative regulation, pursuant to KRS 13A.2251 , the plan year handbook distributed by the Department of Employee Insurance in the Personnel Cabinet to public employees covered under the self-insured plan. The plan year handbook shall contain, at a minimum, the premiums, employee contributions, employer contributions, and a summary of benefits, copays, coinsurance, and deductibles for each plan provided to public employees covered under the self-insured plan;
      2. Notwithstanding any other provision of KRS Chapter 18A to the contrary, the administrative regulation shall not be subject to review by the Personnel Board prior to filing the administrative regulation with the Legislative Research Commission; and
      3. The secretary of the Personnel Cabinet shall file the administrative regulation for the self-insured plan with the Legislative Research Commission on or before September 15 of the year before each new plan year begins;
    1. The self-insured plan offered by the program shall cover hospice care at least equal to the Medicare benefit;
    2. The Personnel Cabinet shall provide written notice of any formulary change to employees covered under the self-insured plan who are directly impacted by the formulary change and to the Kentucky Group Health Insurance Board fifteen (15) days before implementation of any formulary change. If, after consulting with his or her physician, the employee still disagrees with the formulary change, the employee shall have the right to appeal the change. The employee shall have sixty (60) days from the date of the notice of the formulary change to file an appeal with the Personnel Cabinet. The cabinet shall render a decision within thirty (30) days from the receipt of the request for an appeal. After a final decision is rendered by the Personnel Cabinet, the employee shall have a right to file an appeal pursuant to the utilization review statutes in KRS 304.17A-600 to 304.17A-633 . During the appeal process, the employee shall have the right to continue to take any drug prescribed by his or her physician that is the subject of the formulary changes;
    3. The Personnel Cabinet shall develop the necessary capabilities to ensure that an independent review of each formulary change is conducted and includes but is not limited to an evaluation of the fiscal impact and therapeutic benefit of the formulary change. The independent review shall be conducted by knowledgeable medical professionals and the results of the independent review shall be posted on the Web sites of the Personnel Cabinet and the Cabinet for Health and Family Services and made available to the public upon request within thirty (30) days of the notice from the Personnel Cabinet required in paragraph (c) of this subsection;
    4. If the self-insured plan restricts pharmacy benefits to a drug formulary, the plan shall comply with and have an exceptions policy in accordance with KRS 304.17A-535 ;
    5. Premiums for all plans offered by the Public Employee Health Insurance Program to employees shall be based on the experience of the entire group; and
    6. The plan year for the Public Employee Health Insurance Program, whether for fully insured or self-insured benefits, shall be on a calendar year basis.
      1. In addition to any fully insured health benefit plans or self-insured plans, beginning January 1, 2015, the Personnel Cabinet shall offer a health reimbursement account or health flexible spending account for public employees insured under the Public Employee Health Insurance Program. (2) (a) 1. In addition to any fully insured health benefit plans or self-insured plans, beginning January 1, 2015, the Personnel Cabinet shall offer a health reimbursement account or health flexible spending account for public employees insured under the Public Employee Health Insurance Program.
      2. The Personnel Cabinet may offer a health savings account in conjunction with a high deductible health plan option as defined by 26 U.S.C. sec. 223(c)(2) or as an optional account to which the Personnel Cabinet may deposit funds of an employee who waives coverage in accordance with paragraph (b) of this subsection, provided the employee who waives coverage is eligible to contribute to a health savings account.
    1. If a public employee waives coverage provided by his or her employer under the Public Employee Health Insurance Program, the employer shall forward a monthly amount to be determined by the secretary of the Personnel Cabinet for that employee as an employer contribution to the health reimbursement account or health flexible spending account, but not less than one hundred seventy-five dollars ($175) per month, subject to any conditions or limitations imposed by the secretary to comply with applicable federal law.
    2. The administrative fees associated with the employee’s health savings account, health reimbursement account, or health flexible spending account shall be an authorized expense to be charged to the public employee health insurance trust fund.
    1. The public employee health insurance trust fund is established in the Personnel Cabinet. The purpose of the public employee health insurance trust fund is to provide funds to pay medical claims and other costs associated with the administration of the Public Employee Health Insurance Program self-insured plan under a competitively bid contract as provided by KRS Chapter 45A and reviewed by the Government Contract Review Committee pursuant to KRS 45A.705 . Unless authorized by the General Assembly, the trust fund shall not utilize funds for any other purpose and the trust fund receipts from prior plan years shall not be used to pay claims and expenses for current or subsequent plan years, except as provided by paragraph (b) of this subsection. (3) (a) The public employee health insurance trust fund is established in the Personnel Cabinet. The purpose of the public employee health insurance trust fund is to provide funds to pay medical claims and other costs associated with the administration of the Public Employee Health Insurance Program self-insured plan under a competitively bid contract as provided by KRS Chapter 45A and reviewed by the Government Contract Review Committee pursuant to KRS 45A.705 . Unless authorized by the General Assembly, the trust fund shall not utilize funds for any other purpose and the trust fund receipts from prior plan years shall not be used to pay claims and expenses for current or subsequent plan years, except as provided by paragraph (b) of this subsection.
    2. In the event of a projected deficit in the trust fund balance of a prior plan year, the secretary of the Finance and Administration Cabinet may declare an emergency and transfer up to twenty-five percent (25%) of another prior plan year’s balance to that plan year, provided the Governor, all members of the General Assembly, and Legislative Research Commission are notified at least thirty (30) days prior to the transfer. The Legislative Research Commission shall refer the notice to appropriate committees of jurisdiction for their review.
    3. The following moneys shall be directly deposited into the trust fund:
      1. Employer and employee premiums collected under the self-insured plan;
      2. Interest and investment returns earned by the self-insured plan;
      3. Rebates and refunds attributed to the self-insured plan; and
      4. All other receipts attributed to the self-insured plan.
    4. Any balance remaining in the public employee health insurance trust fund at the end of a fiscal year shall not lapse. Any balance remaining at the end of a fiscal year shall be carried forward to the next fiscal year and be used solely for the purpose established in paragraphs (a) and (b) of this subsection. The balance of funds in the public employee health insurance trust fund shall be invested by the Office of Financial Management consistent with the provisions of KRS Chapter 42, and interest income shall be credited to the trust fund. Any balance for a specific plan year and any subsequent interest income for that specific plan year shall be accounted for separately.
    5. The Auditor of Public Accounts shall be responsible for a financial audit of the books and records of the trust fund. The audit shall be conducted in accordance with generally accepted accounting principles and shall be completed within ninety (90) days of the close of the fiscal year. All audit reports shall be filed with the Governor, the President of the Senate, the Speaker of the House of Representatives, and the secretary of the Personnel Cabinet.
    6. The secretary of the Personnel Cabinet shall file a quarterly report on the status of the trust fund with the Governor, the Interim Joint Committee on Appropriations and Revenue, the Kentucky Group Health Insurance Board, and the Advisory Committee of State Health Insurance Subscribers. The first status report shall be submitted no later than July 30, 2006, and subsequent reports shall be submitted no later than sixty (60) days following the end of each calendar quarter. The report shall include the following:
      1. The current balance of the trust fund and the amount of the balance associated with each plan year;
      2. A detailed description of all income to the trust fund since the last report;
      3. A detailed description of any receipts due to the trust fund;
      4. A total amount of payments made for medical and pharmacy claims from the trust fund by plan year;
      5. A detailed description of all payments made to the third-party administrator of the self-insured plan by the trust fund;
      6. Current enrollment data, including monthly enrollment since the last report, of the Public Employee Health Insurance Program self-insured plan;
      7. Any other information the secretary may include;
      8. Any other information requested by the Interim Joint Committee on Appropriations and Revenue concerning the operation of the Public Employee Health Insurance Program self-funded plan or the trust fund; and
      9. In addition to the information required under subparagraphs 1. to 8. of this paragraph, the quarterly report filed in July and January shall also include the following:
        1. A projection of the medical claims incurred but not yet reported that are considered liabilities to the trust fund;
        2. A statement of any other trust fund liabilities;
        3. A detailed calculation outlining proposed premium rates for the next plan year, including base claims, trend assumptions, administrative fees, and any proposed plan or benefit changes;
        4. A detailed description of the current in-state and out-of-state networks provided under the plan, any changes to the networks since the last report, and any proposed changes to the in-state or out-of-state networks during the next six (6) months; and
        5. Specific data regarding the third-party administrator’s performance under the contract. The data shall include the following:
          1. Any results or outcomes of disease management and wellness programs;
          2. Results of case management audits and educational and communication efforts; and
          3. Comparison of actual measurable results to contract performance guarantees.

History. Enact. Acts 2006, ch. 252, Pt. XXIX, § 1, effective April 25, 2006; 2008, ch. 10, § 1, effective July 15, 2008; 2012, ch. 10, § 3, effective July 12, 2012; 2014, ch. 82, § 1, effective July 15, 2014; 2017 ch. 111, § 1, effective June 29, 2017.

Legislative Research Commission Notes.

(7/15/2014). In codification, the Reviser of Statutes has altered the numbering within subsection (2) of this statute from the way it appeared in 2014 Ky. Acts ch. 82, sec. 1, under the authority of KRS 7.136(1)(c).

(4/25/2006). 2006 Ky. Acts ch. 252, Pt. XXIX, sec. 1, which created this section, was partially vetoed by the Governor on April 24, 2006, in Veto #29 and Veto #30.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. IV, 7 at 939.See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. IV, 8 at 939.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. IV, 7 at 1381.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. IV, 8 at 1382.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. IV, 9 at 1382.See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. V, E, 2 at 1383.

18A.2255. Health benefit plans and other information to be submitted to Advisory Committee of State Health Insurers — Approval or recommendations for changes — Committee to advise on options, bids, administration, and drug formulary — Written report or testimony.

  1. The secretary of the Personnel Cabinet shall submit to the Advisory Committee of State Health Insurance Subscribers established in KRS 18A.225 , at least thirty (30) days prior to issuing requests for proposals, the health benefit plans that will be submitted to carriers. The secretary of the Personnel Cabinet shall also provide to employee organizations who are represented on the Advisory Committee of State Health Insurance Subscribers information necessary so that the member representing the organization can fulfill his or her responsibilities under this section. The advisory committee shall submit in writing to the secretary the committee’s approval of the plans or its recommendations on changes to the plans no later than seven (7) days prior to the issuance of requests for proposals. The advisory committee shall advise the secretary on:
    1. Health insurance benefit options that should be included in the program;
    2. Procedures for soliciting bids or requesting proposals for contracts from carriers for the program;
    3. The implementation, maintenance, and administration of the health insurance benefits under the program; and
    4. The development of a uniform prescription drug formulary that contains fair and reasonable standards and procedures for patient access to medically necessary alternatives to the formulary and patient choice of higher-cost alternatives to the formulary, and that ensures that discounts negotiated with drug manufacturers are passed to the program.
  2. The secretary of the Personnel Cabinet shall, at the discretion of the co-chairs of the Interim Joint Committee on Appropriations and Revenue, either submit a written report to or testify before the Interim Joint Committee on Appropriations and Revenue on the state employee health insurance program for the next plan year prior to the issuance of the requests for proposals.

History. Enact. Acts 2004 (1st Ex. Sess.), ch. 1, § 5, effective October 19, 2004.

18A.2256. TRICARE supplement insurance for public employees.

  1. The provisions of this section shall take effect to the extent that they are not preempted by 10 U.S.C. sec. 1097 c, other federal law, or federal regulation.
  2. As used in this section:
    1. “TRICARE” means the Department of Defense health care program for active duty and retired uniformed service members and their families; and
    2. “Employee” has the same meaning as in KRS 18A.225 .
  3. Beginning with plan year 2009, the Personnel Cabinet, Department of Employee Insurance, shall select and contract with one (1) or more providers to offer a group TRICARE supplement product to eligible employees who are eligible TRICARE beneficiaries.
  4. The Commonwealth of Kentucky shall pay the cost of individual TRICARE supplement insurance to cover the employee, not to exceed the cost of the lowest-priced individual plan offered to public employees. The employee shall pay the cost of coverage for his or her spouse and dependent children.
  5. Those employees eligible for TRICARE insurance who elect the Commonwealth of Kentucky-sponsored TRICARE supplement insurance shall not be eligible for other coverage offered through the Public Employee Health Insurance Program. Those employees eligible for TRICARE insurance who choose not to elect the Commonwealth of Kentucky-sponsored TRICARE supplement insurance shall continue to be eligible for the coverage offered through the Public Employee Health Insurance Program.
  6. The secretary of the Personnel Cabinet may promulgate administrative regulations to carry out the provisions of this section.

History. Enact. Acts 2007, ch. 123, § 1, effective June 26, 2007; 2012, ch. 10, § 4, effective July 12, 2012.

18A.2257. Comprehensive dental and vision insurance and health discount plans for state employees on voluntary payroll deduction basis — Administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2006, ch. 164, § 2, effective July 12, 2006) was repealed by Acts 2008, ch. 155, § 1, effective July 15, 2008.

18A.2259. Mail-order drug option for maintenance drugs.

Any self-insured plan offered by the Personnel Cabinet shall include a mail-order drug option for maintenance drugs for public employees, and maintenance drugs may be dispensed by mail in accordance with Kentucky law. The mail-order drug option shall not permit the dispensing of a controlled substance classified in Schedule II. The self-insured plan shall not discriminate against any retail pharmacy located within the geographic coverage area of the plan that meets the terms and conditions for participation established by the plan, including price, dispensing fee, and copay requirements of a mail-order drug option. The retail pharmacy shall not be required to dispense by mail. The net cost to the plan for a quantity of maintenance drugs dispensed by mail order shall not exceed the net cost to the plan for the same quantity of the same drug dispensed by a retail pharmacy under the terms and conditions established for dispensing and reimbursement at retail.

History. Enact. Acts 2006, ch. 164, § 5, effective July 12, 2006.

18A.226. Group Health Insurance Board — Members — Duties.

  1. To provide quality, affordable health insurance coverage so that the Commonwealth can attract and retain able and dedicated public employees, and to facilitate the need for comprehensive and efficient planning, implementation, and administration of a state employee health insurance program in order to meet this goal, the Kentucky Group Health Insurance Board is created. The board shall be attached to the Personnel Cabinet for administrative purposes only. The board shall consist of thirteen (13) members as follows:
    1. The secretary of the Finance and Administration Cabinet;
    2. The secretary of the Personnel Cabinet;
    3. The state budget director;
    4. The commissioner of education;
    5. The chair of the Advisory Committee of State Health Insurance Subscribers;
    6. The commissioner of insurance, ex officio;
    7. The Auditor of Public Accounts, ex officio;
    8. The Director of the Administrative Office of the Courts, or his designee;
    9. One (1) retired state employee appointed by the Kentucky Retirement Systems, who shall serve an initial term of one (1) year;
    10. One (1) retired teacher appointed by the Teachers’ Retirement System, who shall serve an initial term of two (2) years;
    11. One (1) active teacher appointed by the organization with the largest number of teacher members on payroll deduction, who shall serve an initial term of one (1) year;
    12. One (1) active state employee appointed by the organization with the largest number of state employee members on payroll deduction, who shall serve an initial term of two (2) years; and
    13. One (1) active classified education support employee appointed by the organization with the largest number of classified education support employee members on payroll deduction, who shall serve an initial term of one (1) year.

      As each appointed member’s term expires, the vacancy created shall be filled by the appointing authority for that position for a term of two (2) years. An appointment to fill an unexpired term of an appointed member shall be made by the designated appointing authority for the remainder of the term. Appointed terms shall begin effective October 1.

  2. The members of the board shall elect from among its members a chair and a vice chair.
  3. Regular meetings of the board shall be held at least once every month at a place, day, and time determined by the board. Special meetings of the board shall be held when needed as determined by the chair. If seven (7) or more members of the board request in writing that the chair call a special meeting, the chair shall call a special meeting. The meetings shall operate in accordance with the provisions of the Open Meetings Law under KRS 61.805 to 61.850 .
  4. Members of the board shall receive reimbursement for necessary expenses for attendance at official board meetings or public hearings.
  5. The Kentucky Group Health Insurance Board shall:
    1. Engage in analyses and research to identify the factors and parameters that affect the state group health insurance program;
    2. Develop and transmit, by October 1 of each year beginning October 1, 2001, to the Governor, the General Assembly, and the Chief Justice of the Supreme Court, policy recommendations regarding benefit options and management of the state group health insurance program; and
    3. Provide in the first report, due by October 1, 2001, the following:
      1. Analysis and discussion of methods used by all other states to provide health insurance benefits to their state group; and
      2. Analysis and discussion of the cost, enrollment, claims, and utilization data for calendar year 2000 on the Kentucky state group; and
      3. Recommendations including but not limited to appropriate structures for the state contribution rate which shall include recommendations on increasing the state contribution to provide support for dependent coverage, possible methods to mitigate adverse selection, competitive plan designs by type and benefit options, the feasibility of a state self-insurance plan, and strategies for evaluating third-party administrators and vendors.

History. Enact. Acts 2000, ch. 438, § 1, effective April 21, 2000; 2002, ch. 158, § 1, effective July 15, 2002; 2010, ch. 24, § 29, effective July 15, 2010.

18A.227. Flexible benefits plan for employees and retirees.

  1. For purposes of this section, the following definitions shall apply:
    1. “Cafeteria plan” shall mean a flexible benefits plan which meets the requirements of Section 125 of the Federal Internal Revenue Code;
    2. “Employee” shall mean a person, including an elected public official, who is regularly employed by any department, board, agency, or branch of state government, and who is a contributing member to any one (1) of the retirement systems administered by the state;
    3. “Cabinet” shall mean the Personnel Cabinet;
    4. “Change in family status” shall have the same meaning as used in Section 125 of the Internal Revenue Code and regulations promulgated thereunder; and
    5. “Salary reduction contribution” means all employer contributions that are excludable from gross income under the Internal Revenue Code.
  2. As part of the employee benefits provided to state employees under this chapter, the cabinet may develop and make available to eligible employees a flexible benefits plan which meets the requirements for treatment as a cafeteria plan under Section 125 of the Internal Revenue Code. The plan shall be in writing and shall be available on an equal basis to all eligible employees within each county.
  3. Options available under the plan may include, but are not limited to:
    1. Health insurance coverage;
    2. Managed health care coverage;
    3. Catastrophic illness coverage;
    4. Dental insurance;
    5. Term life insurance-accidental, death, or dismemberment;
    6. Vision insurance;
    7. Long term disability insurance;
    8. Long term medical care; and
    9. Any other benefits which may be offered under the provisions of the Internal Revenue Code and which the cabinet determines to be in the best interests of state employees.
  4. Any employee who desires to participate in options offered under the plan, may direct that any options elected shall be funded through payroll deduction. Once an option is chosen, it shall not be changed until the end of the period for which election is made unless the employee experiences a change in family status, other change of status, or special enrollment rights under the Federal Health Insurance Portability and Accountability Act of 1996 which necessitates a revision of his benefit election.
  5. Any employee contributions required toward the purchase of the selected options shall be made by a salary reduction contribution, to the extent the benefits would be considered to be tax-free under Chapter 1 of the Internal Revenue Code, and by after-tax salary deduction where the elected option is not tax-free.

History. Enact. Acts 1990, ch. 395, § 1, effective July 13, 1990; 1994, ch. 350, § 2, effective July 15, 1994; 1998, ch. 154, § 46, effective July 15, 1998; 2000, ch. 438, § 6, effective April 21, 2000; 2002, ch. 352, § 2, effective July 15, 2002.

Compiler’s Notes.

Section 125 of the Internal Revenue Code, referred to in (1) and (2), may be found as 26 USCS § 125.

The federal Health Insurance Portability and Accountability Act of 1996 (HIPAA), referred to in (4), is Public Law 104-191 and may be found as various sections in Titles 26, 29 and 42 of the United States Code.

Chapter 1 of the Internal Revenue Code, referred to in (5), may be found as 26 USCS § 1 et seq.

18A.2271. Unused funds in flexible spending accounts may be carried forward to next plan year.

Employees who participate in a medical expense flexible spending account plan pursuant to KRS 18A.227 may carry forward to the succeeding plan year unused funds remaining in the flexible spending account at the end of the plan year to the extent that such carryforward is allowed by the Internal Revenue Code in effect on the date the plan year ends.

History. Enact. Acts 2004 (1st Ex. Sess.), ch. 1, § 5, effective October 19, 2004.

18A.228. “State employee” defined.

For purposes of KRS 18A.228 to 18A.2286 , the term “state employee” shall mean a person, including an elected public official, who is regularly employed by any department, board, agency, or branch of state, municipal, urban-county, charter county, or county government, and who is a contributing member of any of the retirement systems administered by the state and including any federally-funded time-limited employee. It shall also include a person who must fulfill the requirements established by the State Board of Education for eligibility and a person who is a present or future recipient of a retirement allowance from any of the Kentucky Retirement Systems who either satisfies the requirements of KRS 61.559 or who is board-authorized under KRS 61.702(1), including a beneficiary of a retired employee as defined in KRS 61.542 who is receiving a retirement allowance from any of the Kentucky Retirement Systems and shall include a member of the Legislators’ Retirement Plan as provided in KRS 18A.2287 .

History. Enact. Acts 1988, ch. 5, § 1, effective July 15, 1988; 1992, ch. 92, § 4, effective July 14, 1992; 1994, ch. 350, § 3, effective July 15, 1994.

Legislative Research Commission Notes.

(7/13/90) 1990 Ky. Acts ch. 348, §§ 1 and 2 were enacted to be placed within the range of KRS 18A.228 to 18A.2284 . However, because of space limitations within this range, these two sections were codified as KRS 18A.2285 and 18A.2286 , respectively. Accordingly, the prior reference within this section to the former end section of the range has been changed by the Reviser of Statutes to read KRS 18A.2286 , pursuant to his authority under KRS 7.136 .

18A.2281. State employee benefit fund for self-insurance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 5, § 2, effective July 15, 1988; 1990, ch. 394, § 1, effective July 13, 1990; 1990, ch. 489, § 11, effective July 13, 1990; 1994, ch. 350, § 4, effective July 15, 1994; 1994, ch. 512, Part 14, § 95, effective July 15, 1994) was repealed by Acts 1998, ch. 82, § 22, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). Under KRS 446.260 , the repeal of this section in 1998 Ky. Acts ch. 82 prevails over its amendment in 1998 Ky. Acts ch. 154.

18A.2282. Custody and supervision of state employee benefit fund — Duties — Moneys credited to fund — Special reserve — Investments — Reports. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 5, § 3, effective July 15, 1988) was repealed by Acts 1998, ch. 82, § 22, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). Under KRS 446.260 , the repeal of this section in 1998 Ky. Acts ch. 82 prevails over its amendment in 1998 Ky. Acts ch. 154.

18A.2283. Tax exemption for self-funded health insurance plan. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 5, § 4, effective July 15, 1988) was repealed by Acts 1998, ch. 82, § 22, effective July 15, 1998.

18A.2284. Date option available — Initial enrollment period. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 5, § 5, effective July 15, 1988) was repealed by Acts 1998, ch. 82, § 22, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). Under KRS 446.260 , the repeal of this section in 1998 Ky. Acts ch. 82 prevails over its amendment in 1998 Ky. Acts ch. 154.

18A.2285. Exclusions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 348, § 1, effective July 13, 1990) was repealed by Acts 1998, ch. 82, § 22, effective July 15, 1998.

18A.2286. Continuation coverage for member retired for disability.

If the hospital and medical insurance coverage provided under KRS 161.675 contains any limitation for pre-existing conditions, a member of the Teachers’ Retirement System who retires for disability under KRS 161.661 shall be offered the right to continue coverage under the self-funded plan until any such limitation has expired. The terms and conditions for continuation of group policies under KRS 304.18-110 shall apply to the continuation coverage offered under this section. Nothing in KRS 304.18-110 shall be construed to prevent the operation of this section.

History. Enact. Acts 1990, ch. 348, § 2, effective July 13, 1990.

18A.2287. Availability of state health insurance plan coverage for certain former legislators.

A member of the Legislators’ Retirement Plan who leaves the General Assembly after completing twelve (12) or more years service in the General Assembly and who has not received any benefits under the Legislators’ Retirement Plan may elect to be covered under the state health insurance plan for state employees provided under this chapter if the member pays the premium.

History. Enact. Acts 1992, ch. 92, § 2, effective July 14, 1992.

18A.2288. Coverage of pre-existing conditions in changes of state health plan and upon retirement of CERS or KERS member. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 219, § 2, effective July 14, 1992; 1994, ch. 466, § 4, effective July 15, 1994; 1998, ch. 82, § 20, effective July 15, 1998) was repealed by Acts 2001, ch. 164, § 18, effective June 21, 2001.

18A.229. Alternative health coverage plans for state employees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 482, § 23, effective July 13, 1990; 1998, ch. 82, § 5, effective July 15, 1998; 2000, ch. 521, § 12, effective July 14, 2000) was repealed by Acts 2001, ch. 164, § 18, effective June 21, 2001.

Public Employees Deferred Compensation Plan

18A.230. Definitions.

As used in KRS 18A.230 to 18A.275 , unless the context requires otherwise:

  1. “Employee” means a person holding an office, position or employment in state government and agencies thereof and also includes persons in the public school system;
  2. “Income” means earnings of a person while an employee of the state and agencies thereof or public school system;
  3. “Asset” means any owned physical object or right having a monetary value;
  4. “Trust fund” means a fund consisting of assets received and held by a government unit or its designated custodian to be expended or invested in accordance with conditions of the trust;
  5. “Deferred compensation” means a method which allows employees to authorize income to be deducted from their current earning and set aside to be paid at a later date;
  6. “Board” means the board of trustees as established by KRS 18A.245 ;
  7. “Authority” means the Kentucky Public Employees’ Deferred Compensation Authority; and
  8. “Financial planning” means the process of determining whether and how a participant can meet retirement goals through the proper management of financial resources.

History. Repealed, reenact. and amend. 1982, ch. 448, § 46, effective July 15, 1982; 2010, ch. 122, § 1, effective July 15, 2010; 2021 ch. 111, § 1, effective June 29, 2021.

Compiler’s Notes.

This section was formerly compiled as KRS 18.510 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 46.

18A.235. System established — Corporate powers.

The Kentucky Public Employees Deferred Compensation System is established pursuant to the provisions of KRS 18A.230 to 18A.275 , and shall transact all of its business and shall have the powers and privileges of a corporation.

History. Repealed, reenact. and amend. Acts 1982, ch. 448, § 47, effective July 15, 1982.

Compiler’s Notes.

This section was formerly compiled as KRS 18.520 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 47.

18A.240. Trust fund.

A state fund is hereby authorized, called “The Kentucky State Public Employees Deferred Compensation Trust Fund,” which shall consist of all of the assets of the system as set forth in KRS 18A.230 to 18A.275 . No part of this fund shall revert to the general fund of the Commonwealth.

History. Repealed, reenact. and amend. Acts 1982, ch. 448, § 48, effective July 15, 1982; 2008, ch. 181, § 2, effective July 15, 2008.

Compiler’s Notes.

This section was formerly compiled as KRS 18.530 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 48.

18A.245. Board of trustees — Membership, terms, meetings — Powers — Executive director — Annual financial report. [Declared void — See LRC Note Below]

  1. The authority shall be administered by a board of trustees composed of seven (7) members, who shall be as follows:
    1. Secretary, Finance and Administration Cabinet, ex officio;
    2. Secretary of personnel, ex officio;
    3. The state controller, ex officio;
    4. The State Treasurer, ex officio; and
    5. Three (3) at-large members appointed by the Governor, who do not have a conflict of interest as provided by KRS 18A.262 , one (1) of whom shall have at least five (5) years of investment or banking experience and one (1) of whom shall be a representative of a nonstate government employer.
  2. The members of the board appointed by the Governor shall serve for a period of four (4) years and the ex officio members of the board shall serve only for the period of their term of office. Each ex officio member may designate a proxy by written notice to the authority prior to call of order of each meeting, and the proxy shall be entitled to participate as a full voting member.
  3. Any vacancy which may occur shall be filled in the same manner provided for the selection of the particular member for a full term. Vacancies shall be filled for the unexpired term only.
  4. Membership on the board of trustees shall not be incompatible with any other office unless a constitutional incompatibility exists, and no member shall be subject to removal from office, except upon conviction of a felony, or of a misdemeanor involving moral turpitude.
  5. Board members who do not otherwise receive a salary or compensation from the State Treasury shall receive a per diem of one hundred dollars ($100) for each day they are in session or on official duty, and they shall be reimbursed for their actual and necessary expenses in accordance with state administrative regulations and standards applicable to state employees.
  6. The board shall meet at least once in each quarter of the year, and may meet in special session upon the call of the chairman. It shall elect a chairman and a vice chairman. A majority of the members shall constitute a quorum, and all actions taken by the board shall be by affirmative vote of a majority of the members present.
  7. The authority shall be attached to the Personnel Cabinet for administrative purposes only. The board may take but is not limited to the following actions:
    1. Appoint such employees as it deems necessary and fix the compensation for all employees of the board, subject to the approval of the secretary. The authority shall be headed by an executive director who shall be appointed by the board of directors of the authority without the limitations imposed by KRS 12.040 and KRS Chapter 18A. The executive director of the authority and employees appointed by the board shall serve at its will and pleasure. All other staff of the authority shall be employed under KRS 18A.005 to 18A.200 ;
    2. Require such employees as it thinks proper to execute bonds for the faithful performance of their duties;
    3. Establish a system of accounting;
    4. Contract for such services as may be necessary for the operation or administration of deferred compensation plans authorized in KRS 18A.230 to 18A.275 , including annual audits;
    5. Do all things, take all actions, and adopt plans for participation consistent with federal law and with the provisions of KRS 18A.230 to 18A.275 , including but not limited to:
      1. Amending the board’s plan for the Kentucky Public Employees 401(k) Deferred Compensation Plan or the Kentucky Employees 457 Deferred Compensation Plan, or both such plans, to adopt, maintain, and terminate a deemed IRA program under Internal Revenue Code Section 408;
      2. Amending the board’s plan for the Kentucky Public Employees 401(k) Deferred Compensation Plan to adopt, maintain, and terminate a qualified Roth contribution program under Internal Revenue Code Section 402A; and
      3. Adopting, maintaining, and terminating an Internal Revenue Code Section 403(b) plan for qualified employees; and
    6. Contract with persons or companies duly licensed by the state of Kentucky and applicable federal regulatory agencies, at the cost of the trust fund or individual participant accounts, to provide investment advice and financial planning to participants in the plans, with respect to their selection of investments. The board may promulgate administrative regulations for provision of financial planning to participants in the plans.
  8. The Attorney General, or an assistant designated by him, may act as legal adviser and attorney for the board. The board may also appoint legal counsel in accordance with KRS Chapter 12.
  9. The board shall prepare an annual financial report showing all receipts, disbursements, assets, and liabilities and shall submit a copy to the Governor and the Legislative Research Commission. All board meetings and records shall be open for inspection by the public.

HISTORY: Repealed, reenact. and amend. 1982, ch. 448, § 49, effective July 15, 1982; 1984, ch. 234, § 3, effective July 13, 1984; 1988, ch. 154, § 1, effective July 15, 1988; 1994, ch. 496, § 25, effective July 15, 1994; 1998, ch. 154, § 50, effective July 15, 1998; 2002, ch. 123, § 2, effective July 15, 2002; 2008, ch. 181, § 3, effective July 15, 2008; 2012, ch. 10, § 5, effective July 12, 2012; 2018 ch. 107, § 84, effective July 14, 2018; 2019 ch. 153, § 1, effective June 27, 2019; 2021 ch. 102, § 40, effective April 1, 2021; 2021 ch. 111, § 2, effective June 29, 2021.

Legislative Research Commission Notes.

(6/29/2021). This statute was amended by 2021 Ky. Acts ch. 102 and repealed, reenacted, and amended by 2021 Ky. Acts ch. 111. The amendments do not appear to be in conflict and have been codified together.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. That ruling applies to changes made to this statute in that Act.

Compiler’s Notes.

This section was formerly compiled as KRS 18.540 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 49.

18A.250. Deferred compensation system — Automatic enrollment of employees hired after July 1, 2019 — Automatic enrollment of justices, judges, and members of the General Assembly elected or appointed after July 1, 2021.

  1. The authority shall establish and maintain a deferred compensation plan for the employees of the State of Kentucky. Participation in such plan shall be by agreement between such employees and the authority and shall provide for the deferral of such amount of compensation as requested by the employee. Participating employees must authorize that such deductions be made from their wages for the purpose of participation in such program.
  2. The board is directed to develop and obtain, for the benefit of employees, a qualified employee plan that includes a qualified cash or deferred arrangement as described in Section 401(k) of the Internal Revenue Code. The board is directed to develop a program for participants to borrow from their account or accounts in the plan. The plan shall be in addition to other plans offered by the board, and shall be offered to employees upon receipt of appropriate approval of the Internal Revenue Service or on January 1, 1985, whichever occurs later.
  3. Notwithstanding the provisions of KRS 337.060 , agreements to participate and plan elections made by employees pursuant to subsections (1) and (2) of this section may be made in writing or by electronic record, signature, or contract as determined by the authority and in accordance with the provisions of KRS 369.101 to 369.120. Agreements and elections, including but not limited to hardship withdrawal applications, loan applications, beneficiary designations, and withdrawal requests made by participating employees under the plan, shall not be denied legal effect or enforceability if made electronically to the extent permitted by the authority.
  4. Notwithstanding KRS 337.060 and subsections (1) to (3) of this section:
    1. Each full-time employee of the executive, judicial, and legislative branches of Kentucky state government hired on or after July 1, 2019, shall be automatically enrolled in the 401(k) plan established pursuant to this section, and the employee’s compensation shall be reduced by thirty dollars ($30) per month and contributed as a pre-tax deferral to the 401(k) plan unless and until the employee makes a deferral election under the terms of the 401(k) plan. Full-time status shall be determined by an employee’s employer. The authority shall not be responsible or liable for any cost or liabilities resulting from such eligibility determinations made by an employer;
    2. Each new member of the General Assembly elected or appointed on or after July 1, 2021, upon taking office, shall be automatically enrolled in the 401(k) plan established pursuant to this section, and the member’s compensation shall be reduced by thirty dollars ($30) per month and contributed as a pre-tax deferral to the 401(k) plan unless and until the member makes a deferral election under the terms of the 401(k) plan;
    3. Each new justice of the Supreme Court and each new regular judge of the Court of Appeals, Circuit Court, District Court, and Family Court elected or appointed on or after July 1, 2021, upon taking office, shall be automatically enrolled in the 401(k) plan, and the justice’s or judge’s compensation, as applicable, shall be reduced by thirty dollars ($30) per month and contributed as a pre-tax deferral to the 401(k) plan unless and until the justice or judge, as applicable, makes a deferral election under the terms of the 401(k) plan. This section shall not apply to special judges appointed under KRS 26A.020; and
    4. The automatic enrollment shall begin as of the employee’s first paycheck or as soon as administratively feasible thereafter. The board shall select a default investment fund or funds, pursuant to applicable federal law, for investment of an employee’s deferrals into the employee’s account until the employee makes an investment election. The board shall amend the 401(k) plan for the implementation and administration of employee automatic enrollment, and the board shall have authority to implement automatic enrollment consistent with applicable requirements of the Internal Revenue Code of 1986, as amended. The board may promulgate administrative regulations for implementation of automatic enrollment.

History. Repealed and reenacted Acts 1982, ch. 448, § 50, effective July 15, 1982; 1984, ch. 234, § 1, effective July 13, 1984; 1988, ch. 154, § 2, effective July 15, 1988; 1990, ch. 483, § 6, effective July 13, 1990; 1998, ch. 154, § 51, effective July 15, 1998; 2010, ch. 122, § 2, effective July 15, 2010; 2019 ch. 48, § 1, effective June 27, 2019; 2019 ch. 153, § 3, effective June 27, 2019; 2021 ch. 111, § 3, effective June 29, 2021.

Compiler’s Notes.

This section was formerly compiled as KRS 18.550 and was repealed and reenacted as this section by Acts 1982, ch. 448, § 50.

Section 401(K)(2) of the Internal Revenue Code, referred to in (2), may be found as 26 USCS § 401(K)(2).

18A.252. Inviolability of employee deferred compensation contributions to trust fund.

The contributions to the trust fund of participants’ deferred compensation represent private employee contributions. The assets and earnings of the trust fund shall at all times be preserved, invested, and expended solely for the purposes of the trust and shall be held in trust for the exclusive benefit of the participants and beneficiaries, and no right or interest therein shall exist in favor of the Commonwealth. The assets and earnings shall not be transferred or used by the Commonwealth for any purposes other than the purposes of the trust fund.

History. Enact. Acts 2008, ch. 181, § 1, effective July 15, 2008.

18A.255. Investments — Limitation of liability.

  1. Notwithstanding any other provision of KRS 18A.230 to 18A.275 , funds held for the State of Kentucky public employees deferred compensation trust fund pursuant to agreement between the state and participating employees may be invested in such investments as are deemed appropriate by the trustees, including but not limited to annuity contracts. Agreements may be made in writing or by electronic record, signature, or contract as determined by the authority in accordance with the provisions of KRS 369.101 to 369.120 and shall not be denied legal effect or enforceability if made electronically to the extent permitted by the authority.
  2. Funds deposited to the credit of the trust fund from payroll deductions made pursuant to KRS 18A.250 shall be temporarily invested as provided in KRS 42.500 until such funds are invested pursuant to the deferred compensation agreements between the state and participating employees and actually credited to accounts for plan participants. Notwithstanding KRS 42.500 , interest earned from such temporary investments shall be used to defray the expenses of administering the deferred compensation system.
  3. Neither the authority nor the board shall be liable for any losses or claims due to a participant’s actions in connection with the investment advice or financial planning provided to the participant by operation of KRS 18A.245(7)(f) or otherwise. The authority and board shall have no duty or obligation to monitor, review, or assess the specific investment advice or financial planning provided to a participant.

History. Repealed, reenact. and amend. by 1982, ch. 448, § 51, effective July 15, 1982; 2008, ch. 181, § 4, effective July 15, 2008; 2010, ch. 122, § 3, effective July 15, 2010; 2021 ch. 111, § 4, effective June 29, 2021.

Compiler’s Notes.

This section was formerly compiled as KRS 18.560 (Enact. Acts 1974, ch. 143, § 7; 1980, ch. 352, § 2, effective July 15, 1980; 1982, ch. 382, §§ 22, 25, effective July 15, 1982) and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 51.

18A.260. Regulations of investments.

In no case shall such investment be other than permitted by KRS 18A.230 to 18A.275 and not prohibited by Section 177 of the Kentucky Constitution and must be offered by such persons or companies authorized and duly licensed by the State of Kentucky and applicable federal regulatory agencies to offer such insurance or investment programs in compliance with all relevant provisions of KRS 18A.230 to 18A.275 .

History. Repealed, reenact. and amend. 1982, ch. 448, § 52, effective July 15, 1982.

Compiler’s Notes.

This section was formerly compiled as KRS 18.570 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 52.

18A.262. Conflicts of interest for Kentucky Public Employees Deferred Compensation Authority employees and trustees.

  1. No trustee or employee of the board or authority shall:
    1. Have any interest, direct or indirect, in the gains or profits of any investment or any other legal, business, or financial transaction made by the board or authority, except that any such trustee or employee may be a member, employee, or beneficiary of the plans administered by the board or authority;
    2. Directly or indirectly, for himself or herself or as an agent, use the assets of the plans administered by the board or authority, except to make current and necessary payments authorized by the board or authority;
    3. Become an endorser or surety or in any manner an obligor for moneys loaned by or borrowed from the board or authority;
    4. Have a contract or agreement with the board or authority, individually or through a business owned by the trustee or the employee;
    5. Use his or her official position with the board or authority to obtain a financial gain or benefit or advantage for himself or herself or a family member;
    6. Use confidential information acquired during his or her tenure with the board or authority to further his or her own economic interests or that of another person; or
    7. Hold outside employment with, or accept compensation from, any person or business with which he or she has involvement as part of his or her official position with the board or authority. The provisions of this paragraph shall not prohibit a trustee from serving as an employee of an agency participating in the plans.
  2. No trustee or employee of the board or authority, who has served as a trustee or employee of the board or authority on or after July 1, 2017, shall have any interest, direct or indirect, in the gains or profits of any investment or any other legal, business, or financial transaction made by the board or authority for a period of five (5) years following termination of his or her position, except that any such trustee or employee may be a member, employee, or beneficiary of the plans administered by the board or authority.
    1. No person who is serving as a member of the General Assembly or is a public servant as defined by KRS 11A.010(9) shall have any interest, direct or indirect, in the gains or profits of any investment or any other legal, business, or financial transaction made by the board or authority, except that any such trustee or public servant may be a member, employee, or beneficiary of the plans administered by the board or authority. (3) (a) No person who is serving as a member of the General Assembly or is a public servant as defined by KRS 11A.010(9) shall have any interest, direct or indirect, in the gains or profits of any investment or any other legal, business, or financial transaction made by the board or authority, except that any such trustee or public servant may be a member, employee, or beneficiary of the plans administered by the board or authority.
    2. No person who was serving as a member of the General Assembly on or after July 1, 2017, or was serving as a public servant as defined by KRS 11A.010(9) on or after July 1, 2017, shall have any interest, direct or indirect, in the gains or profits of any investment or any other legal, business, or financial transaction made by the board or authority for a period of five (5) years following termination of his or her position, except that any such member or public servant may be a member, employee, or beneficiary of the plans administered by the board or authority.

HISTORY: Repealed and reenacted by 2021 ch. 111, § 5, effective June 29, 2021.

Legislative Research Commission Notes.

(12/13/2018). On December 13, 2018, the Kentucky Supreme Court ruled that the passage of 2018 SB 151 (2018 Ky. Acts ch. 107), did not comply with the three-readings rule of Kentucky Constitution Section 46 and that the legislation is, therefore, constitutionally invalid and declared void. This statute was created in Section 82 of that Act.

18A.265. Deferred compensation program to be in addition to retirement or benefit programs — Coordination of programs.

  1. Such a deferred compensation program shall be in addition to any retirement or any other benefit program provided by law for employees of this state. Any income deferred under such a plan shall continue to be included as regular compensation for the purpose of computing the retirement and pension benefits earned by any employee. But, any sum so deducted shall not be included in the computation of any income taxes withheld on behalf of any such employee.
  2. The board shall, jointly with the board of trustees of the Kentucky retirement systems, prepare and implement a program for advising employees on coordinating deferred compensation plans and retirement programs in order to achieve their retirement objectives.

History. Enact. Acts 1974, ch. 143, § 8; repealed and reenact., Acts 1982, ch. 448, § 53, effective July 15, 1982; 1984, ch. 234, § 2, effective July 13, 1984.

Compiler’s Notes.

This section was formerly compiled as KRS 18.580 and was repealed and reenacted as this section by Acts 1982, ch. 448, § 53.

18A.270. Local programs.

  1. Any city, county, or other political subdivision or combination of these entities may establish for its employees a deferred compensation program. Notwithstanding the provisions of KRS 337.060 , participation shall be by written agreement or by electronic record, signature, or contract and in accordance with the provisions of KRS 369.101 to 369.120 between such employees and the legislative authority of the city, county, or other political subdivision providing for the deferral of such compensation and the subsequent investment and administration of such funds. Agreements and elections, including but not limited to hardship withdrawal applications, loan applications, beneficiary designations, and withdrawal requests made by participating employees under the plans, shall not be denied legal effect or enforceability if made electronically to the extent permitted by the authority.
  2. Such subdivision, acting through its legislative authority, may appoint such agency or department as it deems appropriate to establish and administer a deferred compensation plan pursuant to KRS 18A.230 to 18A.275 . For purposes of funding such agreements between the city, county, or other such political subdivision and the participating employees, the agency or department as designated by the legislative authority to establish and administer such plans may invest such funds in such investments deemed appropriate by said agency or department, including, but not limited to annuity contracts.
  3. In no case shall such investment be other than permitted by KRS 18A.230 to 18A.275 and not prohibited by Section 179 of the Kentucky Constitution and must be offered by such persons or companies authorized and duly licensed by the State of Kentucky and applicable federal regulatory agencies to offer such insurance or investment programs in compliance with all relevant provisions of KRS 18A.230 to 18A.275 .
  4. Such a deferred compensation program is in addition to any retirement or pension system or any other benefit program provided by law for employees of the city, county, or other political subdivision. Any income deferred under such a plan shall continue to be included as regular compensation for the purpose of computing the retirement and pension benefits earned by any employee but any sum so deducted shall not be included in the computation of any income taxes withheld for any such employee.
  5. This section does not limit the power or authority of any municipal corporation or other political subdivision to provide other such plans or programs for deferring compensation of their officials and employees.

History. Repealed, reenact. and amend. 1982, ch. 448, § 54, effective July 15, 1982; 2010, ch. 122, § 4, effective July 15, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 18.590 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 54.

Opinions of Attorney General.

Employees of local health programs are part of a city, county, or other political subdivision or combination of these entities, depending upon the type of local health program that has been organized in the local area; the nature of the local health agency will determine how and who must implement the local Public Employes Deferred Compensation Plan. OAG 86-34 .

18A.275. Custodian of funds.

The board shall select a custodian of the funds collected under KRS 18A.230 to 18A.275 , and the authority shall administer the funds so collected as provided in this chapter.

History. Repealed, reenact. and amend. 1982, ch. 448, § 55, effective July 15, 1982; 2019 ch. 153, § 2, effective June 27, 2019.

Compiler’s Notes.

This section was formerly compiled as KRS 18.600 and was repealed, reenacted and amended as this section by Acts 1982, ch. 448, § 55.

18A.350. Definition of employee.

As used in KRS 18A.355 “employee” means any officer or employee of the executive branch of government. The provisions of KRS 18A.355 do not apply to employees of the General Assembly, the Legislative Research Commission, or the Court of Justice, or to any constitutional officer.

History. Enact. Acts 1982, ch. 456, § 1, effective July 15, 1982; 1986, ch. 494, § 26, effective July 15, 1986.

Opinions of Attorney General.

Although KRS 18A.350 to 18A.360 clearly provide that unclassified employes will be entitled to the annual increment, the statutes provide no indication as to when the Legislature intended this benefit to take place, and such a decision should be left to the Department of Personnel which has the authority to promulgate rules for the unclassified service. OAG 82-355 .

Just as KRS 64.640 provides an upper limit for all employes with regard to their potential salary, including any five percent increases, KRS 161.340 must be read into KRS 18A.350 to 18A.360 to provide an absolute upper salary limit for the executive secretary of the Teachers’ Retirement System to be the maximum set for commissioners by KRS 64.640 (2). OAG 82-355 .

KRS 18A.350 to 18A.360 apply to all employes in the executive branch, (except those specifically excluded), both part-time and full-time, regardless of the number of hours worked and regardless of status. OAG 82-355 .

The incumbents of the Workers’ Compensation Board, the Real Estate Commission, the Board of Claims, the Crime Victims Compensation Board, the Board of Tax Appeals, the Parole Board, the Board of Chiropractic Examiners, the Board of Elections, the Athletic Commission and the Occupational Safety and Health Review Commission are included in the language of this section which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of these boards and commissions are eligible for annual increments although it is entirely possible that this was not the intent of the Legislature, especially with regard to the members of the Workers’ Compensation Board which indexes compensation to the salaries of appeals court judges. OAG 90-25 .

Annual Salary Increments

18A.355. Formula for increasing base salary or wages of state employees — Percentage of annual increment may be reduced.

  1. An annual increment of not less than five percent (5%) of the base salary or wages of each state employee shall be granted to each employee on his anniversary date. The employee’s base salary or wages shall be increased by the amount of the annual increment. When any increment due to a promotion, reallocation, reclassification or salary adjustment is granted an employee, the employee’s base salary or wages shall be increased by the amount of such increment. An employee’s base salary or wages shall not be increased by the amount of lump-sum payment awarded under KRS 18A.110(7)(j).
  2. The branch budget recommendation submitted to the General Assembly under KRS Chapter 48 shall include a request for the amount of the annual increment expressed as a percentage of each employee’s base salary or wages and a request for the total appropriation needed to fund the annual increment. The annual increment shall be uniform for all employees. The financial plan enacted under the provisions of KRS 48.300 shall contain the annual increment expressed as a percentage of each employee’s base salary or wages, and the total appropriation needed to fund the annual increment.
  3. The budget reduction plan submitted and enacted under the provisions of KRS Chapter 48 shall provide that a reduction of the annual increment granted under this section shall be made only after other cost savings measures, as provided by KRS 18A.1132 , are taken. Any such reduction shall be uniform for all state employees and shall comply with the provisions of this chapter and KRS Chapter 48.

History. Enact. Acts 1982, ch. 456, § 2, effective July 15, 1982; 1984, ch. 111, § 168, effective July 13, 1984; 1986, ch. 494, § 22, effective July 15, 1986; 2000, ch. 501, § 3, effective July 14, 2000.

Legislative Research Commission Notes.

(10/19/2004). 2004 (1st Extra. Sess.) Ky. Acts ch. 1, sec 10, provides, “Notwithstanding KRS 18A.355(1):

“(1) A cost-of-living adjustment of two percent is provided in fiscal year 2004-2005 on the base salary or wages of each eligible state employee on his or her anniversary date and shall apply retroactively to July 1, 2004; and

“(2) Effective January 1, 2005, an additional cost-of-living adjustment of one percent is provided on the base salary or wages of each eligible state employee.”

NOTES TO DECISIONS

1.Computation of Increment.

For the purpose of calculating the annual increment due state employees who served more than 12 months in the last step in their grade, their gross annual salary or wages for the year before the enactment of this section shall be carried forward as their gross annual salary or wages for computation of the increment due in the first year under this section. Each year thereafter, the gross annual salary or wages, plus any increment awarded, shall be carried forward as a new salary for the succeeding year. Maynard v. Bullock, 692 S.W.2d 629, 1985 Ky. LEXIS 223 ( Ky. 1985 ).

The continuous service awards paid to state employees who have served more than 12 months in the last step in their grade should be considered a part of their gross annual salary or wages for the computation of the increment due such persons pursuant to this section for the year preceding its enactment in 1982. The continuous service award should not be deleted in the computation of future increments pursuant to this section. Maynard v. Bullock, 692 S.W.2d 629, 1985 Ky. LEXIS 223 ( Ky. 1985 ).

2.Retroactive Suspension.

Trial court did not err in the state employees’ lawsuit seeking declaratory and injunctive relief from the suspension of a statute that directed that they get at least a five percent (5%) annual raise in finding that the General Assembly could retroactively suspend that statute, KRS 18A.355 ; although the Governor, the defendant in the lawsuit, did not have the power to suspend statutes, the General Assembly did have it and could exercise it because it had manifested an intent to do so. Baker v. Fletcher, 204 S.W.3d 589, 2006 Ky. LEXIS 153 ( Ky. 2006 ).

Cited in:

Commonwealth ex rel. Armstrong v. Collins, 709 S.W.2d 437, 1986 Ky. LEXIS 262 ( Ky. 1986 ).

Opinions of Attorney General.

Although KRS 18A.350 to 18A.360 clearly provide that unclassified employees will be entitled to the annual increment, the statutes provide no indication as to when the Legislature intended this benefit to take place, and such a decision should be left to the Department of Personnel which has the authority to promulgate rules for the unclassified service. OAG 82-355 .

An annual increment under KRS 18A.350 to 18A.360 may not take an employee’s salary beyond any maximum salary for any classification established by statute. OAG 82-355 .

Just as KRS 64.640 provides an upper limit for all employees with regard to their potential salary, including any five percent increases, KRS 161.340 must be read into KRS 18A.350 to 18A.360 to provide an absolute upper salary limit for the executive secretary of the Teachers’ Retirement System to be the maximum set for commissioners by KRS 64.640 (2). OAG 82-355 .

There is no statutory authority stated or implied in KRS 18A.350 to 18A.360 for delaying an annual increment if an employee does not work more than half the scheduled work days in a month. As long as said employee remains in an employment status during the entire 12-month period, no delay in receiving the five percent increment can be authorized. OAG 82-355 .

The incumbents of the Workers’ Compensation Board, the Real Estate Commission, the Board of Claims, the Crime Victims Compensation Board, the Board of Tax Appeals, the Parole Board, the Board of Chiropractic Examiners, the Board of Elections, the Athletic Commission and the Occupational Safety and Health Review Commission are included in the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of these boards and commissions are eligible for annual increments although it is entirely possible that this was not the intent of the legislature, especially with regard to the members of the Workers’ Compensation Board which indexes compensation to the salaries of appeals court judges. OAG 90-25 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. IV, 2 at 938.

2018-2020 Budget Reference.

See State/Executive Branch Budget, 2018 Ky. Acts ch. 169, Pt. IV, 2 at 1381.

18A.360. Increase or reduction of annual increment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 456, § 3, effective July 15, 1982) was repealed by Acts 1986, ch. 494, § 28, effective July 15, 1986. For present law see KRS 18A.355 .

State Employee Workers’ Compensation

18A.370. Definitions for KRS 18A.375 to 18A.385 — Applicability of KRS 64.368 if population decreases below 70,000.

For the purposes of KRS 18A.375 to 18A.385 , the term “state employee” shall mean all persons, including elected public officials, who are regularly employed by the executive, judicial, and legislative departments of government, except employees of the Transportation Cabinet and the University of Kentucky who have their own self-insurance fund. The term “state employee” shall also include volunteer firefighters and volunteer ambulance personnel; persons who are regularly employed by the Fayette County Health Department; and persons who are regularly employed by court clerks and sheriffs of counties with a population of seventy thousand (70,000) or more. If a county’s population that equaled or exceeded seventy thousand (70,000) is less than seventy thousand (70,000) after the most recent federal decennial census, then the provisions of KRS 64.368 shall apply.

History. Enact. Acts 1990, ch. 490, § 1, effective July 13, 1990; Acts 1992, ch. 220, § 2, effective January 1, 1994; 2002, ch. 71, § 9, effective July 15, 2002.

18A.375. State employee workers’ compensation fund.

  1. There is hereby established a state employee workers’ compensation fund which shall be administered by the Personnel Cabinet’s Office of Employee Relations. The purpose of this fund shall be to self-insure workers’ compensation benefits for state employees.
  2. All moneys contributed by participants of the fund, or derived from federal funds, shall be credited to and constitute a part of the state employee workers’ compensation fund.
  3. The State Treasurer, with the approval of the Finance and Administration Cabinet, may invest the state employee benefit workers’ compensation fund. Any income derived from these investments, or dividends, shall be credited to and become a part of the general fund. Any moneys remaining in the fund after all claims, premiums or subscription charges, and other expenses have been paid, shall be retained in the fund. All moneys remaining in the state employee workers’ compensation fund on July 1, or deposited thereafter, shall be deemed a trust and agency account and shall not lapse, but shall be continuously appropriated only for the purposes specified in KRS 18A.375 to 18A.385 .

History. Enact. Acts 1990, ch. 490, § 2, effective July 13, 1990; 1994, ch. 116, § 2, effective July 15, 1994; 1998, ch. 154, § 52, effective July 15, 1998; 2012, ch. 10, § 6, effective July 12, 2012.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. V, F, 2 at 941.

2012-2014 Budget Reference.

See State/Executive Branch Budget, 2012 Ky. Acts ch. 144, Pt. V, G, 3 at 1245.

18A.380. Administrative regulations.

The Personnel Cabinet shall promulgate administrative regulations necessary for the administration of the state employee workers’ compensation fund established by KRS 18A.375 , the actuarial soundness of the fund, the integrity of the fund, the purchase of reinsurance or excess insurance, and the expenditure of moneys from the fund.

History. Enact. Acts 1990, ch. 490, § 3, effective July 13, 1990; 1998, ch. 154, § 53, effective July 15, 1998.

18A.385. Actuarial analysis of fund.

At least every two (2) years, the Personnel Cabinet shall have an actuary familiar with workers’ compensation insurance prepare an actuarial analysis of the state employee workers’ compensation fund established by KRS 18A.375 and make any recommendation that he deems appropriate. The department may, at any time, request an actuary to evaluate the adequacy of the rates of contribution. These rates may be adjusted if the adjustment is recommended by the actuary.

History. Enact. Acts 1990, ch. 490, § 4, effective July 13, 1990; 1998, ch. 154, § 54, effective July 15, 1998.

Pilot Personnel Program

18A.400. Purpose of KRS 18A.400 to 18A.450. [Repealed]

History. Enact. Acts 1994, ch. 456, § 1, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 1, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.405. Personnel Steering Committee. [Repealed]

History. Enact. Acts 1994, ch. 456, § 2, effective July 15, 1994; 1998, ch. 154, § 55, effective July 15, 1998; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 2, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.410. Duties of Personnel Steering Committee. [Repealed]

History. Enact. Acts 1994, ch. 456, § 3, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 3, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.415. Discontinuance of pilot personnel program. [Repealed]

History. Enact. Acts 1994, ch. 456, § 4, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 4, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.420. Approval of pilot personnel programs. [Repealed]

History. Enact. Acts 1994, ch. 456, § 5, effective July 15, 1995; 1998, ch. 154, § 56, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 5, effective July 15, 1995) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.425. Reports from pilot agencies and the committee. [Repealed]

History. Enact. Acts 1994, ch. 456, § 6, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 6, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.430. Employment manual — Administrative regulations — Expiration of pilot program. [Repealed]

History. Enact. Acts 1994, ch. 456, § 7, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 7, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.435. Employee request for transfer. [Repealed]

History. Enact. Acts 1994, ch. 456, § 8, effective July 15, 1994; 1998, ch. 154, § 57, effective July 15, 1998; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 8, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.440. Bases for organizational units for pilot programs. [Repealed]

History. Enact. Acts 1994, ch. 456, § 9, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler's Notes

This section (Enact. Acts 1994, ch. 456, § 9, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.445. Use of savings attributed to agency’s pilot personnel program — Authority for administrative regulations. [Repealed]

History. Enact. Acts 1994, ch. 456, § 10, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 456, § 10, effective July 15, 1994) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

18A.450. Development of pilot programs by Department of Workforce Investment or Department of Kentucky State Police. [Repealed]

History. Enact. Acts 1994, ch. 456, § 11, effective July 15, 1994; 2006, ch. 211, § 9, effective July 12, 2006; 2007, ch. 85, § 106, effective June 26, 2007; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 411, § 18, effective May 1, 1988) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

Penalties

18A.990. Penalties.

  1. Any person who willfully violates any provision of KRS 18A.005 to 18A.200 or of the rules shall be guilty of a misdemeanor, and shall upon conviction be punished therefor with a sentence of from thirty (30) days to a maximum of six (6) months in jail.
  2. Any person who is convicted of a misdemeanor under KRS 18A.005 to 18A.200 shall, for a period of five (5) years, be ineligible for appointment to or employment in a position by the Commonwealth, and if he is an officer or employee of the Commonwealth, shall forfeit his office or position.
  3. Any officer or employee of the classified service who willfully violates any of the provisions of KRS 18A.140 shall forfeit his office or position, and for one (1) year shall be ineligible for any office or position in the Commonwealth’s service. Violation of KRS 18A.140 shall constitute a misdemeanor subject to a sentence of from thirty (30) days to a maximum of six (6) months in jail.

History. Repealed, reenact. and amend. 1982, ch. 448, § 56, effective July 15, 1982.

CHAPTER 19 Human Rights Commission [Repealed]

19.010. “Discrimination” defined. [Repealed.]

Compiler’s Notes.

This section (Acts 1960, ch. 76, § 1) was repealed by Acts 1966, ch. 2, Art. 6, § 604(a).

19.020. Establishment of commission — Membership — Terms. [Renumbered as KRS 344.150.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 76, § 2) was renumbered as KRS 344.150 .

19.030. Commission’s function. [Renumbered as KRS 344.170.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 76, § 3) was renumbered as KRS 344.170 .

19.040. Commission’s powers and duties. [Renumbered as KRS 344.180.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 76, § 4) was renumbered as KRS 344.180 .

19.050. Construction of chapter. [Repealed.]

Compiler’s Notes.

This section (Acts 1960, ch. 76, § 6) was repealed by Acts 1966, ch. 2, Art. 6, § 604(a).