Ethics Code for the Executive Branch

Executive Branch employees are responsible for complying with the Executive Branch Code of Ethics under Kentucky Revised Statutes (KRS) Chapter 11A. The Executive Branch Code of Ethics contains provisions to ensure ethical conduct and prevent conflicts of interest in the Executive Branch of state government.

• To maintain public confidence in democratic government, certain restrictions are placed upon your conduct. As an Executive Branch employee, you are prohibited from the following: Using your influence in a matter that involves a conflict between personal and public interest;
• Using your official position to obtain financial gain or secure privileges for yourself, family members or others;
• Engaging in any conduct when appearing before a state agency that would lead the public to believe you are furthering your private interest;
• Receiving any interest or profit from the use or loan of state funds;
• Disclosing or using confidential information acquired in the course of your official duties for your personal benefit;
• Acting as a representative for the state in the transactions of business for yourself or a family member;
• Contracting or doing business with the state agency by which you are employed through any business of which you own at least a 5% interest;
• Accepting compensation, other than your state salary, for performance of your official duty; and
• Using state time, equipment, personnel, or materials for personal benefit.

The Executive Branch Code of Ethics also places restrictions on future employment if you leave state government. You are prohibited from acting as a lobbyist within one year of termination of your employment, with respect to any other matter that directly involved your job during the last 36 months of your state employment. You are also prohibited for one year from representing a person in a matter before a state agency in which you were directly involved as a state employee during the last 36 months of your state employment.

If you are an officer as defined in KRS 11A or an elected official, you are prohibited for six months following termination of employment from accepting employment or compensation from any person or business who contracts or does business with the state, in a matter in which you were directly involved the last 36 months of your state tenure. You are allowed to return to the same business of profession in which you were involved prior to state employment. However, for six (6) months, you must not work on any matter in which you were directly involved during the last 36 months of your state employment.

Certain Executive Branch employees are required annually to publicly disclose financial information. If you are required to disclose this information, you will be sent notification of this requirement.

The Executive Branch Code of Ethics details procedures for reporting a complaint of an alleged violation of KRS 11A. An investigation is initiated by the Executive Branch Ethics Commission to determine if a violation of the law has occurred. Penalties for violations of the Executive Branch Code of Ethics include loss of state employment, withholding of salary, civil penalties of not more than $5000, or the criminal penalties for a Class D felony charge depending on the law violated.

For more details of the ethics laws that govern the Executive Branch employees, see KRS Chapter 11A. If you have questions, you may consult your supervisor or request an advisory opinion from the Executive Branch Ethics Commission.