KRS § 11A.040 — KY Code / Title III / Chapter 11A / Section 11A.040
11A.040 Acts prohibited for public servant or officer -- Exceptions
Status: in_force

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:

(a) A contract, purchase, or good-faith negotiation made pursuant to KRS

Chapter 416 relating to eminent domain; or

(b) Agreements which may directly or indirectly involve public funds disbursed

through entitlement programs; or

(c) 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 or she

supervises; or

(d) Purchases from a state agency that are available on the same terms to the

general public or that are made at public auction; or

(e) 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:

(a) The date of leaving office or termination of employment; or

(b) 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:

(a) The date of leaving office or termination of employment; or

(b) The date the term of office expires to which the public servant was elected.

(10) (a) Without the approval of his or her 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.

(b) The appointing authority shall review administrative regulations established

under KRS Chapter 11A when deciding whether to approve outside

employment for a public servant.

(c) 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.

(d) 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 and Gaming Corporation.

(13) (a) This section shall not be construed to prohibit employees of the Department of

Agriculture who are not employed within the Kentucky Office of Agricultural

Policy established in KRS 246.030 from participating in, applying for, or

receiving funds, awards, or contracts administered by the Department of

Agriculture through the Kentucky Office of Agricultural Policy.

(b) This subsection shall be retroactive to March 12, 2021.