RELATES TO: KRS 121.120, 121.140
NECESSITY, FUNCTION, AND CONFORMITY: The Registry of Election
Finance is charged with the responsibility of enforcing campaign finance laws
contained in KRS Chapters 121 and 121A. The function of this administrative
regulation is to establish procedures for processing possible violations of
campaign finance statutes and administrative regulations promulgated by the
Registry of Election Finance. The purpose of this administrative regulation is
to establish general provisions which shall apply throughout this chapter
governing practice and procedure.
means the Chairman of the Registry of Election Finance.
(2) "Complainant" means any person who files
a complaint with the Registry of Election Finance alleging a violation of
campaign finance laws or administrative regulations.
(3) "Complaint" means an allegation filed
with the Registry of Election Finance charging that a violation of campaign
finance statutes or administrative regulations has occurred or is about to
(4) "Conciliation agreement"
means an agreement offered by the Registry of Election Finance to an alleged
violator of campaign finance laws or administrative regulations as provided in
(5) "General counsel"
means the general counsel of the Registry of Election Finance.
(6) "Registry" means the Registry of Election
(7) "Respondent" means any
person against whom a complaint has been filed with the Registry of Election
Finance or against whom action is taken by the registry based upon information
ascertained through its normal enforcement activity.
(8) "Three (3) judge panel" means a panel of
three (3) active or retired justices or judges of the Court of Justice
appointed by the Chief Justice of the Kentucky Supreme Court to conduct a
hearing as provided in KRS 121.140.
Computation of Time.
(1) General provision. In computing any
period of time prescribed or allowed by this administrative regulation, the
provisions of KRS 446.030 shall govern, except as provided in subsection (2) of
(2) Special provision
for service by mail. When the registry or any person has the right or is
required to do some act within a prescribed period of time after the service of
any document by or upon the registry or a person, and the document is served by
mail, three (3) days shall be added to the prescribed period.
Section 3. Initiation of
Enforcement Matters. Enforcement matters may be initiated by a written
complaint or on the basis of information ascertained by the registry in the
normal course of conducting its enforcement duties.
Ex Parte Communications.
(1) In order to avoid the possibility of
prejudice, real or apparent, in derogation of the public interest in
enforcement actions pending before the registry, except to the extent required
during an investigation or conciliation negotiations, interested persons
outside the agency shall not make or cause to be made to any registry member or
employee any ex parte communication relative to the factual or legal merits of
an enforcement action, nor shall a registry member or employee make or
entertain ex parte communications.
(2) This prohibition against ex parte
communications shall apply from the time a complaint is filed with the registry
or from the time that the registry determines on the basis of information
ascertained in the normal course of its duties that it has reason to believe
that a violation has occurred or may occur, and shall remain in effect until
the registry has concluded all action with respect to the enforcement matter in
(3) This section shall
not be construed to prohibit contact between a respondent or respondent's
attorney and a registry employee in the performance of his duties. Statements
made by a registry employee during these communications shall not bind or estop
the registry in any way.
Representation by Counsel; Notification.
(1) If a respondent wishes to be represented
by counsel with regard to any matter pending before the registry, respondent
shall so advise the registry by sending a letter of representation signed by
the respondent, which shall contain the name, address, and telephone number of
the counsel and a statement authorizing the counsel to receive all
notifications and other communications from the registry on behalf of the
(2) Upon receipt of a
letter of representation, the registry shall have no contact with respondent
except through the designated counsel unless requested in writing by