Title 32 KAR — Department of State, Registry of Election Finance

Chapter 1 Reports and Forms

32 KAR 1:020 Statement of spending intent and appointment of campaign treasurer {#sec-32-kar-1-020 omnilex-key=us-ky-regs-official--title-32--32 KAR 1:020}

Section 1. Appointment of Campaign Treasurer. Candidates shall designate campaign treasurers, as required by KRS 121.160(1), or state whether they will act as their own campaign treasurers prior to beginning to campaign for each primary, regular, or special election by using the Kentucky Election Finance Management System found on the Registry's Web site at https://kref.ky.gov.

Section 2. Optional Request for Reporting Exemption. Candidates shall state whether they are exempt from filing campaign finance reports, as required by KRS 121.180(1)(a), by stating their spending intents for each primary, regular, or special election by using the Kentucky Election Finance Management System found on the Registry's Web site at https://kref.ky.gov.

History

• RELATES TO: KRS 121.015, 121.160(1), 121.180(1)
• STATUTORY AUTHORITY: KRS 121.120(1)(g), (4)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. KRS 121.120(4) requires the Registry to promulgate administrative regulations and prescribe forms for the making of reports under KRS Chapter 121. KRS 121.015(18) defines "form" to mean an online Web page or an electronic document designed to capture, validate, and submit data for processing to the registry. KRS 121.160(1) requires candidates to designate a campaign treasurer. KRS 121.180(1) requires certain candidates to use an electronic form if requesting an exemption from reporting to the Registry when they file for office. This administrative regulation establishes the Web page from which candidates designate their treasurers and state their spending intents.
• History: REF-1-1; 1 Ky.R. 248; eff. 1-8-1975; Am. 10 Ky.R. 1008; 1115; eff. 3-31-1984; 16 Ky.R. 485; eff. 10-6-1989; Recodified from 801 KAR 1:005, 8-5-1992; 29 Ky.R. 2929; 30 Ky.R. 271; eff. 8-13-2003; 32 Ky.R. 701; 1080; eff. 1-6-2006; 44 Ky.R. 550, 1209; eff. 1-5-2018; 50 Ky.R. 73, 798; eff. 1-2-2024.

32 KAR 1:030 Campaign finance statements {#sec-32-kar-1-030 omnilex-key=us-ky-regs-official--title-32--32 KAR 1:030}

Section 1. All candidates, slates of candidates, contributing organizations, and committees shall file the reports required by KRS 121.180 using the Kentucky Election Finance Management System found on the Registry's Web site at https://kref.ky.gov.

Section 2. If an executive committee of a political party has $10,000 or more in its campaign account fund at any time during the twelve (12) month period before July 1, it shall make the campaign finance reports required by KRS 121.180(2)(c) semiannually. In making this determination, the committee shall include any funds received from income tax checkoff contributions in accordance with KRS 141.071(2), whether or not those funds are kept in an account separate from other campaign funds. A committee that does not have more than $10,000 in the twelve (12) month period before July 1 shall use the Kentucky Election Finance Management System found on the Registry's Web site at https://kref.ky.gov to certify to the registry that it is not required to file a campaign finance report by July 31.

History

• RELATES TO: KRS 121.015, 121.180, 141.071
• STATUTORY AUTHORITY: KRS 121.120(1)(g), (4)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. KRS 121.120(4) requires the Registry to promulgate administrative regulations and prescribe forms for the making of reports under KRS Chapter 121. KRS 121.015(18) defines "form" to mean an online Web page or an electronic document designed to capture, validate, and submit data for processing to the registry. This administrative regulation establishes the Web page from which candidates, slates of candidates, contributing organizations, and committees shall file campaign finance reports electronically as required by KRS 121.180. It establishes how an executive committee of a political party determines whether it files annually or semiannually under KRS 121.180(2)(c).
• History: REF-3-1; 1 Ky.R. 4; Am. 16; eff. 7-7-1975; 10 Ky.R. 1008; 1105; eff. 3-31-1984; 16 Ky.R. 486; eff. 10-6-1989; recodified from 801 KAR 1:010, 8-5-1992; 32 Ky.R. 702; 1080; eff. 1-6-2006; 37 Ky.R. 1502; eff. 3-4-2011; 45 Ky.R. 1052, 2055; eff. 2-1-2019; 50 Ky.R. 74, 798; eff. 1-2-2024.

32 KAR 1:050 Political organization registration {#sec-32-kar-1-050 omnilex-key=us-ky-regs-official--title-32--32 KAR 1:050}

Section 1. Definitions.

(1) "Executive committee" means an organizational unit or affiliate recognized within the document governing a political party, that raises and spends funds to promote political party nominees, and performs other activities commensurate with the day-to-day operation of a political party, including voter registration drives, assisting candidate fundraising efforts, holding state conventions or local meetings, and nominating candidates for local, state, and federal office.

(2) "Minor political party" means an association, committee, organization, or group having constituted authority for its governance and regulation, which nominates or selects a candidate for election to any federal or statewide-elected state office in Kentucky, whose name appears on an election ballot as the candidate of the association, committee, organization, or group, and does not have a recognized caucus campaign committee within the Kentucky House or Senate, as defined by KRS 121.015(3)(b)1.-4.

(3) "Political organization" means any committee or contributing organization, as those terms are defined by KRS 121.015(3) and (4).

Section 2. Political Organization Registration. Campaign committees, caucus campaign committees, political issues committees, permanent committees, inaugural committees, executive committees, and contributing organizations shall register using the Kentucky Election Finance Management System found on the Registry's Web site at https://kref.ky.gov.

History

• RELATES TO: KRS 121.015(3), (4), 121.170, 121.180
• STATUTORY AUTHORITY: KRS 121.015(3), (4), 121.120(1)(g), (4), 121.170(1)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. KRS 121.120(4) requires the registry to promulgate administrative regulations and prescribe forms for the making of reports under KRS Chapter 121. KRS 121.015(3)(b)5. requires the Registry to determine by administrative regulation what constitutes a minor political party for purposes of committee registration. As defined by KRS 121.015(4), a "contributing organization" is subject to contribution limits and required to file periodic campaign finance reports under KRS 121.180(6). KRS 121.015(18) defines "form" to mean an online Web page or an electronic document designed to capture, validate, and submit data for processing to the registry. This administrative regulation defines "minor political party" and "executive committee" and establishes the Web page that committees and contributing organizations shall use for registration.
• History: REF5-1; 1 Ky.R. 7; 16; eff. 9-11-1974; 10 Ky.R. 1009; 1116; eff. 3-31-1984; 16 Ky.R. 488; eff. 10-6-1989; Recodified from 801 KAR 1:040, eff. 8-5-1992; 32 Ky.R. 703; 1080; eff. 1-6-2006; 38 Ky.R. 294; eff. 11-4-2011; 45 Ky.R. 2401, 2345; eff. 5-3-2019; 50 Ky.R. 76, 799; eff. 1-2-2024.

32 KAR 1:080 Report of an independent expenditure {#sec-32-kar-1-080 omnilex-key=us-ky-regs-official--title-32--32 KAR 1:080}

Section 1. The "Report of an Independent Expenditure" form, KREF 013, revised 05/2005, shall be the official form to report independent expenditures.

Section 2. Incorporation by Reference.

(1) "Report of Independent Expenditure", KREF 013, revised 05/2005, is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the office of the Kentucky Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

• RELATES TO: KRS 121.150(1)
• STATUTORY AUTHORITY: KRS 121.120(1)(g),(4)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) grants the registry the power to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. This administrative regulation specifies the form to be used for reporting independent expenditures and incorporates this form by reference. KRS 121.120(4) requires the registry to promulgate administrative regulations and prescribe forms for the making of reports under KRS Chapter 121.
• History: 10 Ky.R. 1029; 1117; eff. 3-3-1984; Recodified from 801 KAR 1:090, eff. 8-5-1992; 32 Ky.R. 705; 1081; eff. 1-6-2006; Crt eff. 9-27-2019.

32 KAR 1:090 Financial disclosure report {#sec-32-kar-1-090 omnilex-key=us-ky-regs-official--title-32--32 KAR 1:090}

Section 1. "Financial disclosure report" form can be obtained at the Kentucky Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601. The form is hereby incorporated by reference.

History

• RELATES TO: KRS 61.710-61.780
• STATUTORY AUTHORITY: KRS 13A.110, 61.760(2)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 61.760 requires the Registry of Election Finance to adopt such administrative regulations and official forms and perform such duties as are necessary to implement the provisions of KRS 61.710 to 61.780. The Registry is authorized and empowered to develop prescribed forms for making required reports. KRS 61.760(2)(a).
• History: 12 Ky.R. 1457; eff. 3-4-1986; Recodified from 801 KAR 1:110, eff. 8-5-1992; Crt eff. 9-27-2019; Crt eff. 1-20-2026.

Chapter 2 Practice and Procedure

32 KAR 2:020 General provisions {#sec-32-kar-2-020 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:020}

Section 1. Definitions.

(1) "Campaign finance law" means statutes in KRS Chapter 121 and administrative regulations in KAR Title 32.

(2) "Complainant" means any person who files a complaint with the Registry of Election Finance alleging a violation of campaign finance law.

(3) "Complaint" means an allegation filed with the Registry of Election Finance charging that a violation of campaign finance law has occurred or is about to occur.

(4) "Conciliation agreement" means an agreement offered by the Registry of Election Finance to an alleged violator of campaign finance law as provided in KRS 121.140.

(5) "Hearing officer" means the retired or former justice or judge selected by the process described in KRS 121.140(4).

(6) "Registry" means the Registry of Election Finance.

(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.

Section 2. 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 this section.

(2) Special provision for service by mail. If the registry or a person serves a document by mail, the prescribed period for the registry or any person to take the next subsequent action that is permitted or required shall include three (3) additional days.

Section 3. Enforcement Matters.

(1) Enforcement matters may be initiated by a written complaint or on the basis of information ascertained by the registry in the normal course of the performance of its duties.

(2) In order to avoid the possibility of prejudice, real or apparent, in derogation of the public interest in enforcement actions pending before the registry, interested persons outside the agency shall not make or cause to be made to any registry board member any communication relative to the factual or legal merits of an enforcement action, nor shall a registry board member make or entertain any communications relating to registry enforcement actions until the registry has concluded all action with respect to the enforcement matter in question.

(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 the registry's duties. Statements made by a registry employee during these communications shall not bind or estop the registry in any way.

Section 4. Representation by Counsel; Notification.If a respondent wishes to be represented by counsel with regard to any matter pending before the registry, the respondent's counsel shall file an Entry of Appearance identifying the name, address, email address, and telephone number of the counsel and a statement signed by the respondent, identifying the subject of the representation, and authorizing the counsel to receive all notifications and other communications from the registry on the respondent's behalf.

History

• RELATES TO: KRS 121.120, 121.140, 446.030
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry of Election Finance to promulgate administrative regulations necessary to carry out and enforce the campaign finance laws contained in KRS Chapter 121. This administrative regulation establishes procedures for processing possible violations of campaign finance law and establishes general provisions that shall apply throughout 32 KAR Chapter 2 governing practice and procedure.
• History: 19 Ky.R. 1232; 1524; eff. 1-4-1993; Crt eff. 9-27-2019; 50 Ky.R. 401; 1044; eff. 1-30-2024.

32 KAR 2:030 Complaints; internally-generated matters {#sec-32-kar-2-030 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:030}

Section 1. Filing Requirements for Complaints.

(1) A person who believes that a violation of campaign finance law may have occurred or is about to occur may file a complaint in writing with the general counsel, Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601.

(2) A complaint alleging a violation shall be filed within one (1) year from the time the violation has occurred. If the alleged practice is of a continuing nature, the date of the occurrence of the practice shall be deemed to be any date subsequent to the commencement of the practice until the date on which the practice has ceased, or the date on which the complaint is filed. The registry may refer a complaint to the Office of the Attorney General for potential criminal prosecution at any time.

(3) A complaint filed with the general counsel shall comply with the following requirements:

(a) The complaint shall provide the full name and address of the complainant.

(b) The contents of the complaint shall be sworn to and signed in the presence of a notary public and shall be duly notarized.

(c) The complaint shall state that statements contained within it are based upon the complainant's personal knowledge and are made under penalty of perjury.

(d) The complaint shall clearly identify as a respondent each person or entity who is alleged to have committed a violation or is about to commit a violation.

(e) The complaint shall contain a clear and concise recitation of the facts which support the allegation of a violation of campaign finance law.

(f) The complaint shall be accompanied by documentation supporting the allegations if the documentation is known by and available to the complainant.

Section 2. Initial Complaint Processing; Notification.

(1) Upon receipt of a complaint, the general counsel shall review the complaint for substantial compliance with the technical requirements of Section 1 of this administrative regulation. If the complaint complies with those requirements, the general counsel shall, within five (5) days after receipt of the complaint, notify each respondent that the complaint has been filed, advise them of registry procedures, and enclose a copy of the complaint and supporting documentation.

(2) If a complaint fails to comply with the requirements of Section 1 of this administrative regulation, the general counsel shall notify the complainant and person or entity identified as respondents, within the five (5) day period specified in subsection (1) of this section, that no action shall be taken on the basis of that complaint. A copy of the complaint shall be enclosed with the notification to each respondent. The notification shall include an explanation of the reasons the complaint fails to comply.

Section 3. Responses.

(1) Within fifteen (15) days of receiving a copy of the complaint, a respondent or respondent's counsel may file:

(a) A written response to the complaint, signed by the respondent or the respondent's counsel; and

(b) An entry of appearance as described in 32 KAR 2:020, Section 4, if the respondent has retained counsel.

(2) The registry shall not take action or make any finding against a respondent other than action dismissing the complaint unless it has considered the response or unless a response has not been served upon the registry within the fifteen (15) day period prescribed in subsection (1) of this section.

Section 4. Reason to Believe Finding.

(1) Following either the expiration of the fifteen (15) day period prescribed by Section 3 of this administrative regulation, or receipt of a response from the respondent, whichever occurs first, the general counsel shall determine if there is reason to believe that a respondent may have violated or is about to violate campaign finance law.

(2) If the general counsel determines that there is reason to believe that a violation may have occurred or is about to occur, an investigation shall commence as provided in 32 KAR 2:040, Section 1.

(3) If the general counsel determines that there is no reason to believe that a violation may have occurred or is about to occur, he or she shall recommend to the registry that the complaint be dismissed. The registry shall determine whether to accept or reject the general counsel's recommendation.

Section 5. Referrals.

(1) On the basis of information ascertained by the registry in the normal course of performing its enforcement duties, or on the basis or referral from an agency of the United States or of any state, the general counsel may find reason to believe that a person or entity may have committed or is about to commit a violation of campaign finance law and an investigation shall commence as provided in 32 KAR 2:040, Section 1.

(2) If the general counsel finds reason to believe that a violation may have occurred or is about to occur, the notification to the respondent required by Section 2 of this administrative regulation shall include a copy of a staff report setting forth the legal basis for and the alleged facts which support the general counsel's finding.

(3) No later than four (4) days preceding each primary and general election, the registry shall publish the names of all candidates appearing on the ballot who have failed to timely file any report required by KRS 121.180(3)(a) for any reporting period since the date of the last election.

Section 6. Reopening of Proceedings. After a hearing and the issuance of a final order as provided in KRS 121.140 the registry may, upon its own motion or upon application of any party or intervening party, for good cause shown, or if justice so requires, reopen any closed proceeding upon notice to all parties and intervenors, and may take the action it deems necessary.

Section 7. Certification. The chairman or the executive director may certify all documents or records which are a part of the files of the registry.

History

• RELATES TO: KRS 121.140, 121.180
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry of Election Finance to promulgate administrative regulations necessary to carry out KRS Chapter 121.This administrative regulation establishes the procedure to be followed by the Registry of Election Finance in processing complaints of alleged violations of campaign finance law.
• History: 19 Ky.R. 1233; 1525; eff. 1-4-1993; Crt eff. 9-27-2019; 50 Ky.R. 403, 1045; eff. 1-30-2024.

32 KAR 2:040 Investigatory procedures {#sec-32-kar-2-040 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:040}

Section 1. Investigations.

(1) An investigation shall be conducted if the general counsel finds reason to believe that a violation of a campaign finance law may have occurred or is about to occur, or at the direction of the registry if the general counsel's recommendation of dismissal is rejected.

(2) In its investigation, the registry may utilize the provisions of Sections 2 to 5 of this administrative regulation. The investigation may include field investigations, audits, and other methods of information gathering.

Section 2. Written Question Under Oath. The registry may authorize its chairman or general counsel to issue an order requiring any person to submit sworn written answers to written questions and may specify a date by which the answers shall be submitted.

Section 3. Subpoenas; Depositions.

(1) The registry may authorize its chairman or general counsel to issue subpoenas requiring the attendance and testimony of any person by deposition or at a hearing. The registry may issue subpoenas duces tecum for the production of documentary or other tangible evidence in connection with an investigation, deposition, or a hearing.

(2) If oral testimony is ordered to be taken by deposition or documents are ordered to be produced, the subpoena shall so state and shall advise the deponent or person subpoenaed that all testimony shall be given under oath. A deposition may be taken before any person having the power to administer oaths.

(3) The Kentucky Rules of Civil Procedure, Rule 30.05, shall govern the opportunity to review and sign depositions taken pursuant to this section.

Section 4. Service of Subpoenas, Orders, and Notifications.

(1) Service of a subpoena, order, or notification upon a person named therein shall be made by delivering a copy to that person in the manner prescribed by this section.

(2) If service is to be made upon a person who has advised the registry of representation by an attorney, the service shall be made upon the attorney by any of the methods specified in subsection (3) of this section and a copy shall be sent to the individual.

(3)

(a) Delivery of subpoenas, orders, and notifications to a natural person may be made by:

1. Handing a copy to the person;

2. Leaving a copy at the person's dwelling place or usual place of abode with a person of suitable age and discretion residing therein;

3. Mailing a copy by registered or certified mail to the person's last known address; or

4. Another method if actual notice is given.

(b) If the person to be served is not a natural person, delivery of subpoenas, orders, and notifications may be made by:

1. Mailing a copy by registered or certified mail to the person at its place of business;

2. Handing a copy to a registered agent for service, or to any officer, director, or agent in charge of any office of the person;

3. Mailing a copy by registered or certified mail to the representative at the representative's last known address; or

4. Another method by which actual notice is given.

Section 5. Motions to Quash or Modify a Subpoena.

(1) A person to whom a subpoena is directed may, prior to the time specified therein for compliance, but no later than five (5) days after the date of receipt of the subpoena, move the registry to quash or modify the subpoena, accompanying the motion with a brief statement of the reasons therefore. Motions to quash shall be filed with the general counsel, Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601.

(2) The registry may deny the motion, quash the subpoena, or modify the subpoena.

(3) The person subpoenaed and the general counsel may agree to change the date, time, or place of a deposition or the conditions for the production of documents without affecting the force and effect of the subpoena, but any modifications shall be confirmed in writing.

Section 6. Briefing Procedures.

(1)

(a) Upon completion of the investigation, the general counsel shall make a report of the findings of the registry.

(b) If the registry determines that the information obtained in the course of the investigation is insufficient to support a finding of probable cause or to provide a basis for dismissal of the action, it may direct the general counsel to prepare a brief setting forth his or her position on the alleged factual and legal issues of the case.

(c) The registry may request the respondent to appear to present additional information, or the respondent may request he or she be allowed to present additional evidence.

(d) The decision as to whether the respondent may present additional evidence shall be within the determination of the registry.

(2) The general counsel shall provide a copy of the brief to the respondent who may, within fifteen (15) days of receipt of the general counsel's brief, file a brief with the registry setting forth the respondent's position on the factual and legal issues of the case.

Section 7. Probable Cause Finding; Notification.

(1) If the registry determines that there is probable cause to believe that a respondent may have or is about to violate campaign finance law, the general counsel shall notify the respondent and complainant by letter.

(2) If the registry finds no probable cause or otherwise orders a termination of its proceedings, the general counsel shall notify respondent and complainant by letter.

Section 8. Noncompliance with Reporting Requirements; Probable Cause Determination.

(1) Prima facie evidence that probable cause to believe that a violation has occurred exists and the general counsel and executive director may immediately enter into conciliation negotiations with a respondent if:

(a) Any person subject to the provisions of KRS 121.180 fails to comply with any reporting requirement contained in that section; or

(b) Any candidate or slate of candidates does not revoke a request for exemption in a timely manner as described in KRS 121.180(1)(b), making the candidate or slate of candidates subject to the $500 penalty imposed in KRS 121.180(1)(k).

(2) A candidate or slate of candidates shall be deemed to have not revoked a request for exemption in a timely manner for purposes of subsection (1)(b) of this section if:

(a) The candidate or slate of candidates electronically files an amended Statement of Spending Intent beyond the deadlines established in KRS 121.180; or

(b) Reports the receipt of contributions or the expenditures of funds in excess of $3,000 once the time to amend the Statement of Spending Intent has passed.

(3) The notice required by KRS 121.140(2) shall be issued when the registry's staff concludes any applicable deadlines related to the filing of required reports or revocation of a request for exemption made under KRS 121.180(1)(b) have passed.

(4) A conciliation agreement pertaining to a violation of KRS 121.180 shall not be binding upon either party until it is signed by the respondent, the general counsel, and the executive director, and approved by the registry.

History

• RELATES TO: KRS 121.140, 121.180
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry of Election Finance to promulgate administrative regulations necessary to carry out KRS Chapter 121. This administrative regulation establishes a procedure for investigations into complaints or internally generated matters and is necessary to ensure a consistent procedure.
• History: 19 Ky.R. 1234; 1526; eff. 1-4-1993; Crt eff. 9-27-2019; 50 Ky.R. 405, 1046; eff. 1-30-2024.

32 KAR 2:050 Conciliation {#sec-32-kar-2-050 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:050}

Section 1. Negotiations.

(1) Upon a registry finding of probable cause, the general counsel and executive director shall attempt to correct or prevent the violation by informal methods of conference, conciliation, and persuasion and shall attempt to reach a tentative conciliation agreement with the respondent.

(2) During conciliation negotiations, the general counsel and executive director shall consider as a mitigating factor the attendance by a candidate or treasurer at one (1) or more training sessions sponsored by the registry, directly preceding the election during which the violation occurred. Based upon this and any other mitigating factors, the general counsel and executive director may reduce a fine, if proposed by the registry.

(3) A conciliation agreement shall not be binding upon either party until it is signed by the respondent, the general counsel, and the executive director and approved by the registry.

(4) If the probable cause to believe finding is made within forty-five (45) days preceding an election, the conciliation attempt shall continue for at least fifteen (15) days from the date of the finding. In all other cases, conciliation attempts by the registry shall continue for at least thirty (30) days.

(5) If a conciliation agreement is reached between the registry and the respondent, the general counsel shall send a copy of the signed agreement to both complainant and respondent.

History

• RELATES TO: KRS 121.140
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry of Election Finance to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. This administrative regulation establishes conciliation procedures.
• History: 19 Ky.R. 1236; 1524; eff. 1-4-1993; 2484; 20 Ky.R. 50; eff. 7-12-1993; 25 Ky.R. 1092; 1581; eff. 1-19-1999; Crt eff. 9-27-2019; 50 Ky.R. 407; eff. 1-30-2024.

32 KAR 2:060 Advisory opinions {#sec-32-kar-2-060 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:060}

Section 1. Requests for Advisory Opinions.

(1) A person may request in writing an advisory opinion concerning the application of campaign finance law with regard to a particular transaction. An authorized agent of the person requesting an advisory opinion may submit the advisory opinion request, but the agent shall disclose the identity of the principal.

(2)

(a) The written advisory opinion request shall describe a specific transaction or activity that the requesting person:

1. Plans to undertake;

2. Is presently undertaking; or

3. Intends to undertake in the future.

(b) Requests presenting a general question of interpretation, posing a hypothetical situation, or regarding the activities of third parties shall not be considered.

(3) Advisory opinion requests shall include a complete description of all facts relevant to the specific transaction or activity with respect to which the request is made.

(4) The office of general counsel shall review all requests for advisory opinions submitted to the registry. If the office of general counsel determines that a request is incomplete or otherwise fails to meet the criteria established in this section, it shall, within ten (10) calendar days of receipt of the request, notify the requesting person of any deficiencies in the request.

(5) Advisory opinion requests shall be submitted by:

(a) Mail to the Office of the General Counsel, Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601; or

(b) Email to KREFRequests@ky.gov.

(6) Upon receipt by the registry, each request which qualifies as an advisory opinion request (AOR) under this section shall be assigned an AOR number for reference purposes.

Section 2. Public Availability of Requests.

(1) The registry shall make public on its Web site at www.kref.ky.gov any advisory opinion requests that qualify under Section 1 of this administrative regulation promptly upon receipt.

(2) A register shall be:

(a) Maintained by the registry containing a list of requests for advisory opinions; and

(b) Updated on a regular basis.

Section 3. Written Comments on Request.

(1) Any interested person may submit comments concerning requests for advisory opinions made public to the registry. All comments shall be in writing and shall refer to the AOR number of the request.

(2) Written comments shall be submitted not later than ten (10) calendar days following the date the request is made public by the registry. If the tenth day falls on a Saturday, Sunday, or legal holiday, the ten (10) day period shall expire at the close of the following business day.

(3) Written comments and requests for additional time to comment shall be sent:

(a) To the Office of General Counsel, Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601; or

(b) By email to KREFRequests@ky.gov.

(4) Before issuing an advisory opinion, the registry shall accept and consider all written comments submitted within the ten (10) day comment period or any extension of the normal comment period.

History

• RELATES TO: KRS 121.135
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry of Election Finance to promulgate administrative regulations necessary to carry out KRS Chapter 121. KRS 121.135 requires the Registry of Election Finance to issue advisory opinions concerning the application of campaign finance law. This administrative regulation establishes the process through which advisory opinions may be requested and issued.
• History: 19 Ky.R. 1237; 1528; eff. 1-4-1993; 2485; 20 Ky.R. 50; eff. 7-12-1993; Crt eff. 9-27-2019; 50 Ky.R. 409, 1048; eff. 1-30-2024.

32 KAR 2:070 Fundraiser registration {#sec-32-kar-2-070 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:070}

Section 1. Definitions. "Fundraiser" is defined by KRS 121.015(11).

Section 2. Fundraiser Registration Procedure; Exemptions.

(1) Any person who qualifies as a fundraiser as defined in KRS 121.015(11) shall register with the registry immediately upon securing contributions for a candidate or slate of candidates in excess of $3,000 in an election. A fundraiser shall register by filing the "Fundraiser Registration" form with the Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601. A registered fundraiser shall comply with applicable reporting requirement as provided in KRS 121.170(2), by filing the "Registered Fundraiser Statement" with the Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601.

(2) As part of the packet of forms and instructions regularly provided to candidates by the registry, each candidate or slate of candidates shall receive all necessary forms and instructions for complying with applicable reporting requirements. It shall be the duty of the candidate, slate of candidates, or the appropriate campaign treasurer to provide the forms and reporting instructions to each person who qualifies as a fundraiser for the candidate or slate of candidates.

(3) For purposes of this administrative regulation, the following activities shall not qualify a person as a fundraiser:

(a) Serving as treasurer of a campaign committee;

(b) Performing clerical duties such as receiving contributions or preparing and filing campaign finance reports;

(c) Communicating an endorsement of a candidate or slate of candidates which indirectly results in the receipt of contributions, provided that the communication is not followed by one-on-one direct oral or written solicitation of contributions by the person making the endorsement; or

(d) Acting as host of a social event at one's residence or place of business, provided that the host does not directly solicit and secure contributions in excess of $3,000.

Section 3. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "Fundraiser Registration", KREF 019, revised 05/2005; and

(b) "Registered Fundraiser Statement", KREF 006/F, revised 05/2005.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the office of the Kentucky Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.

History

• RELATES TO: KRS 121.015(11), 121.170(2)
• STATUTORY AUTHORITY: KRS 121.120(1)(g),(4)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) grants the Registry the power to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. KRS 121.120(4) requires the Registry to promulgate administrative regulations and prescribe forms for the making of reports under KRS Chapter 121. KRS 121.170(2) require persons who directly solicit and secure contributions for a candidate or slate of candidates in excess of $3,000 in an election to register as a fundraiser with the Registry of Election Finance. this administrative regulation established the procedure through which persons qualifying as fundraisers shall register with and report to the Registry of Election Finance.
• History: 19 Ky.R. 1238; 1529; eff. 1-4-1993; 32 Ky.R. 709; 1083; eff. 1-6-2006; Crt eff. 9-27-2019; Crt eff. 1-20-2026.

32 KAR 2:080 Political activities of registry members and employees {#sec-32-kar-2-080 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:080}

Section 1. To ensure the fair and efficient enforcement of campaign finance laws and administrative regulations, registry members or employees shall not engage in any activity which creates the appearance of bias or predisposition with regard to any person, political party, candidate, or committee, or as to any matter subject to registry action. Registry members or employees shall not serve as a member of any committee of a political party, or as an officer or member of a committee of a partisan political club, nor shall a registry member or employee serve on a campaign committee or otherwise participate in the management or affairs of any political party or campaign. However, this administrative regulation shall not be construed to restrict the right of a registry member or employee to exercise his rights as a citizen to privately express his political views or to vote in any election.

History

• RELATES TO: KRS 121.120(5)
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(5) provides that registry members and employees "shall be free of obligation or the appearance of obligation to any interest other than the fair and efficient enforcement of the campaign finance laws and administrative regulations". The purpose of this administrative regulation is to establish guidelines to govern the political activities of registry members and employees.
• History: 19 Ky.R. 1239; 1529; eff. 1-4-1993; Crt eff. 9-27-2019; Crt eff. 1-20-2026.

32 KAR 2:100 Postelection and supplemental reports {#sec-32-kar-2-100 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:100}

Section 1. Definitions.

(1) "Thirty (30) day postelection report" means the postelection report required by KRS 121.180(4).

(2) "Supplemental report" means the report required by KRS 121.180(7).

(3) "Thirty-two (32) day preelection report" means the report required by KRS 121.180(3)(b).

Section 2. Postelection Reports.

(1) In making the thirty (30) day postelection report required by KRS 121.180(4) following a primary election, the candidate, campaign committee, political issues committee, or registered fundraiser shall reflect only those contributions received, expenditures made, and debts incurred as of 12 midnight local time on the date of the primary election.

(2) All contributions received, expenditures made, and debts incurred subsequent to 12 midnight local time on the date of the primary shall be attributed to the regular election and shall be reflected on the thirty-two (32) day preelection report filed prior to the regular election.

Section 3. Supplemental Reports.

(1) In making the supplemental reports required by KRS 121.180(7), a candidate, campaign committee, political issues committee, or registered fundraiser shall reflect the remaining balance and debts owing for the primary election only. A successful primary candidate who files one (1) or more supplemental reports for the primary and has carried a remaining balance forward to his campaign account for the regular election, shall reflect on the supplemental report only debts outstanding from the primary election. The supplemental report shall be accompanied by form KREF 92-009 (Certificate of Debt Assumption). The balance carried forward shall be reflected on the thirty-two (32) day preelection report for the regular election.

(2) In making the postregular election supplemental reports required by KRS 121.180(7), a candidate, campaign committee, or political issues committee shall reflect the remaining balance (including funds carried over from the primary and reflected on the thirty-two (32) day preelection report) and debts owing for the regular election only. Supplemental reports shall be filed for the regular election until the debts are paid or assumed and unexpended balance transferred to a future-year candidacy for the same office, issue, or other disposition made.

Section 4. Material Incorporated by Reference. Form KREF 92-009 (Certificate of Debt Assumption), revised 7/10/92, is hereby incorporated by reference and may be obtained free of charge from the Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m. local time.

History

• RELATES TO: KRS 121.180(3), (4), (7)
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.180(3)(b) requires candidates, campaign committees, political issues committees, and registered fundraisers to file a report on the 32nd day preceding an election. KRS 121.180(4) and (7) require that candidates, campaign committees, political issues committees, and registered fundraisers shall file postelection reports within thirty (30) days after the election, and supplemental reports until any balance of funds remaining or debts owed show no unexpended balance or unpaid deficit. It is necessary to promulgate this administrative regulation to clarify the manner in which these reports are to be compiled as the transition is made between reporting periods for the primary and regular elections.
• History: 19 Ky.R. 1930; 2234; eff. 4-7-1993; Crt eff. 9-27-2019.

32 KAR 2:110 Disclaimers {#sec-32-kar-2-110 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:110}

Section 1. Definitions. "Disclaimer" means the identification of an advertising sponsor required by KRS 121.190(1).

Section 2. Exemptions.

(1) Disclaimers shall not be required for calling cards smaller than three and one-half (3 1/2) inches by five (5) inches, pencils, pens, emery boards, fly swatters, matchbooks, bumper stickers, and articles of clothing such as hats, tee shirts, sweat shirts, and jackets, or other items made of material on which a disclaimer would be illegible.

(2) Materials exceeding a single page which are distributed by mail shall be considered as being in substantial compliance with disclaimer requirements if at least one (1) page of the mailing includes a disclaimer.

(3) Envelopes stamped with a return address which includes the name of the candidate or campaign committee as an indication that the candidate is seeking election to public office shall not be required to include a disclaimer, provided that at least one (1) piece of the envelope's contents includes a disclaimer as provided in subsection (2) of this section.

History

• RELATES TO: KRS 121.190(1)
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.190(1) requires that all "newspaper or magazine advertising, posters, circulars, billboards, handbills, sample ballots, and paid-for television of radio announcements" relating to the candidacy of any person for public office include a disclaimer indicating by whom the cost of the material was paid. While the statute specifically enumerates certain materials which must have a disclaimer, there are many other methods of political advertisement utilized by candidates and committees which are not addressed. It is necessary to promulgate this administrative regulation to establish guidelines for disclaimer requirements for items not covered by statute.
• History: 19 Ky.R. 1931; eff. 4-7-1993; Crt eff. 9-27-2019; Crt eff. 1-20-2026.

32 KAR 2:130 Monetary contributions made in a format other than cash, and refunds {#sec-32-kar-2-130 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:130}

Section 1.

(1) If a candidate, slate of candidates, committee, or anyone on their behalf receives a contribution prohibited by the provisions of KRS 121.150, the candidate, slate of candidates, or committee shall have thirty (30) days from the date the contribution is deposited in the campaign account to refund the contribution.

(2) A refund made in compliance with subsection (1) of this section shall constitute compliance with the provisions of KRS 121.150.

(3) All contributions not otherwise refunded in accordance with subsection (1) of this section shall be considered accepted by the candidate, slate of candidates, or committee, as applicable.

Section 2. A candidate, slates of candidates, campaign committee, or a person acting on their behalf, shall not accept a monetary contribution in any format in excess of the maximum cash contribution limit contained in KRS 121.150(4) unless the contribution generates a paper or electronic record that clearly identifies both the payor and payee.

History

• RELATES TO: KRS 121.150
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. This administrative regulation establishes requirements for monetary contributions made in a format other than by cash, and refunds of contributions.
• History: 19 Ky.R. 2519; 20 Ky.R. 51; eff. 7-12-1993; 37 Ky.R. 2256; eff. 6-3-2011; Crt eff. 9-27-2019; Crt eff. 5-8-2026.

32 KAR 2:170 In-kind contributions {#sec-32-kar-2-170 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:170}

Section 1. Definition. (1) "In-kind contribution" means those contributions established in KRS 121.015(6)(b) and (c).

Section 2.

(1) A candidate, slate of candidates, committee, or contributing organization shall not conspire with an individual or other entity to disguise an illegal contribution as an in-kind contribution.

(2)

(a) A business enterprise may make an in-kind contribution to a candidate, slate of candidates, committee, or contributing organization provided, however, that the business enterprise is not incorporated.

(b) The owner of a corporation may make personal in-kind contributions provided that no corporate funds or assets are involved, or, if corporate property such as copiers, telephones, or other office equipment are utilized, the actual costs are billed to the owner and reimbursed with personal funds, and the cost does not exceed the applicable individual contribution limit contained in KRS 121.150.

(c) A candidate shall not accept the use of the assets of any corporation unless the fair market value is billed to the campaign and paid for with campaign funds.

(3) If goods or services are provided at less than the rate normally charged, the amount of the in-kind contribution shall be the difference between the usual and normal charge for the goods and services at the time of the contribution and the amount actually charged.

(4) If an employee engages in activity for the benefit of a candidate, slate of candidates, committee, or contributing organization during the employee's normal working hours, that activity is not an in-kind contribution if the employee:

(a) Is paid on an hourly or salaried basis and the taken or released time is made up or completed by the employee within a reasonable time;

(b) Is paid on a commission or piecework basis or is paid only for work actually performed and the employee's time is considered his or her own to use as he or she sees fit; or

(c) Uses compensable earned leave time.

Section 3. A contribution made under the following circumstances shall not be considered an in-kind contribution:

(1) Payment for goods and services previously or simultaneously acquired by a candidate, slate of candidates, committee, or contributing organization; or

(2) Payment of a debt with cash received by a candidate, slate of candidates, committee, or contributing organization without depositing the funds into the campaign account and complying with all applicable reporting requirements.

History

• RELATES TO: KRS 121.015(6)
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) grants the Registry the power to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. KRS 121.015(6)(b), (c), and (d) include the payment for or provision of certain goods and services to a candidate, slate of candidates, committee, or contributing organization within the definition of "contribution". These payments are known as "in-kind" contributions. This administrative regulation identifies the circumstances under which a contribution falls within the in-kind category.
• History: 20 Ky.R. 1720; 3191; eff. 6-2-1994; 32 Ky.R. 710; 1083; eff. 1-6-2006; Crt eff. 9-27-2019; Crt eff. 1-20-2026.

32 KAR 2:180 Extension of credit to candidates, campaign committees, or political issues committee {#sec-32-kar-2-180 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:180}

Section 1. Scope. This administrative regulation shall apply only to debts incurred for elections held subsequent to November, 1993.

Section 2. Extensions of credit to candidates, campaign committees, or political issues committees.

(1) For purposes of this section, an "unsatisfied extension of credit" means an outstanding debt which has not been satisfied within a reasonable time after the date of an election and which has not been assumed by a candidate personally.

(2) An unsatisfied extension of credit through deferred billing or payment for goods and services rendered to a candidate, campaign committee, or political issues committee shall be construed as a campaign contribution if:

(a) The transaction was entered into with no reasonable expectation of repayment;

(b) The transaction is based upon terms and conditions not available to other customers served by the creditor;

(c) The transaction is not a transaction between two (2) unrelated parties bargaining at arm's length; or

(d) The transaction constitutes a significant deviation from the creditor's regular commercial practices.

(3) An extension of credit through deferred billing or payment for goods and services rendered to a candidate, campaign committee, or political issues committee, may be considered a campaign contribution if:

(a) The creditor abandons efforts to enforce or collect the debt on grounds that are not commercially reasonable;

(b) The creditor abandons, forgives, or cancels the debt under conditions not generally available to other customers of the creditor;

(c) The creditor abandons, cancels or forgives the debt for no reasonable business purpose; or

(d) In the case of a creditor who is an individual or unincorporated entity, if any of the conditions in this subsection are determined to exist, and the amount of the debt forgiven, abandoned, or cancelled, when added to other monetary or in-kind contributions made by the creditor exceed the contribution limits in effect at the time of the extension of credit.

(4) An extension of credit through deferred billing or payment for goods and services rendered by a creditor to a candidate or campaign committee or the cancellation, forgiveness, or abandonment of such a debt may be determined by the registry to be a campaign contribution if a totality of the evidence indicates that the transaction is not commercially reasonable. The mere passage of time shall not be determinative, nor shall the finding that a transaction was merely unwise. In making the determination, the registry shall consider:

(a) Whether owners or controllers of the creditor are contributors to or political supporters of the candidate;

(b) Whether the amount of credit extended exceeds the amount of credit extended to nonpolitical customers of the creditor; and

(c) Whether the terms under which the credit was extended are substantially different than the terms and conditions generally applied in transactions between the creditor and its nonpolitical customers.

History

• RELATES TO: KRS 121.180(7)
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.180(7) provides that if the final statement of a candidate, campaign committee, or political issues committee shows an unexpended balance or outstanding debt, the entity shall continue to file supplemental reports until all debts have been settled and any outstanding balance depleted. Except for debts incurred in campaigns prior to January, 1989, only candidates may contribute after an election to defray outstanding debts. As a result, obligations owed by a candidate are of necessity assumed by the candidate personally. Regardless of whether an outstanding debt is the result of a pre-1989 campaign or subsequent election, the failure to settle a debt may result in a contribution, and often an illegal corporate contribution, or a contribution in excess of the contribution limit in effect at the time of the election. It is necessary to promulgate this administrative regulation to establish the criteria on which the registry shall determine if an outstanding debt has been converted to a contribution.
• History: 20 Ky.R. 1721; eff. 6-2-1994; Crt eff. 9-27-2019; Crt eff. 5-8-2026.

32 KAR 2:190 Committee affiliation {#sec-32-kar-2-190 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:190}

Section 1.

(1) For purposes of applying the contribution limits contained in KRS 121.150, permanent committees shall be considered affiliated committees if they are established, financed, maintained, or controlled by or in common control with:

(a) A single corporation or its subsidiaries;

(b) A single national or international union or its state and local unions or subordinate organizations; and

(c) A membership organization, other than a political party committee, including a trade or professional association or group.

(2) The registry may examine the relationship between organizations that sponsor committees, between the committees themselves, or between one (1) sponsoring organization and a committee established by another organization to determine whether the committees are affiliated. In determining whether committees not otherwise covered by this administrative regulation are affiliated for purposes of contribution limitations, the registry may consider the circumstantial factors described in this subsection in the context of the overall relationship between the entities. Such factors include, but shall not be limited to:

(a) Whether a sponsoring organization of one (1) committee owns a controlling interest in the voting stock or securities of the sponsoring organization of another committee;

(b) Whether a sponsoring organization or committee has the authority or ability to direct or participate in the governance of another sponsoring organization or committee through provisions of constitutions, bylaws, contracts, or other rules, or through formal or informal practices or procedures;

(c) Whether a sponsoring organization or committee has the authority or ability to hire, appoint, demote, or otherwise control the officers or other decision-making employees or members of another sponsoring organization or committee;

(d) Whether a sponsoring organization or committee has a common or overlapping membership or common contributors with another sponsoring organization or committee which indicates a formal or ongoing relationship between the sponsoring organizations or committees;

(e) Whether a sponsoring organization or committee has any members, officers, or employees who were members, officers, or employees of another sponsoring organization or committee which indicates the creation of an alter ego of the original committee; and

(f) Whether a sponsoring organization or committee provides funds or goods in a significant amount or on an ongoing basis to another sponsoring organization or committee, such as through direct or indirect payments for administrative, fundraising, or other costs.

Section 2. No person, organization, or committee shall establish an entity which would qualify as a contributing organization as defined in KRS 121.015(4) for the purpose of circumventing the contribution limitations contained in KRS 121.150 and the affiliation guidelines established by this administrative regulation.

History

• RELATES TO: KRS 121.150(7)
• STATUTORY AUTHORITY: KRS 121.120(1)(g), 121.150(7)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.150(7) provides that permanent committees affiliated by bylaws, structure, or registration, as determined by the registry, shall be considered one (1) committee for purposes of the contribution limitations contained in KRS 121.150. It is necessary to promulgate this administrative regulation to establish guidelines to be followed by the registry in making the affiliation determination.
• History: 20 Ky.R. 1722; 3191; eff. 6-2-1994; Crt eff. 9-27-2019; Crt eff. 1-20-2026.

32 KAR 2:200 Allowable campaign expenditures {#sec-32-kar-2-200 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:200}

Section 1. Allowable Expenditures. In addition to the general categories of allowable campaign expenditures provided by law, the following expenditures shall be considered allowable:

(1) Expenditures made or items donated to charitable and civic organizations such as clubs, neighborhood organizations, schools, and churches, provided that the expenditure furthers a candidacy through advertising;

(2) Expenditures for items of personal property bearing the name or likeness of the candidate in a conspicuous manner for distribution by a candidate which are distributed for the purpose of advertising that individual's candidacy. These items include, but are not limited to, hats, shirts, calendars, magnets, holiday greeting cards, and similar items. The purchase of tickets for general distribution for the purpose of influencing and election, either directly or indirectly, shall not be allowed under the subsection;

(3) Reasonable expenditures for services such as distribution of campaign literature, staff services, and similar services which are primarily and directly related to the individual's candidacy;

(4) Expenditures for the purchase of transportation services, including but not limited to the transportation of voters to the polls, provided that the expenditures are reasonable in light of the number of persons transported, mileage driven, and time spent. All transportation expenditures shall be primarily and directly related to the candidacy of the individual on whose behalf the expenditures are made;

(5) Expenditures for tickets to political and other events to be attended by the candidate, his spouse, or a campaign staff representative, and from which the candidate derives a direct benefit to his candidacy. The burden shall be on the candidate to prove to the registry that representation at the event provided a direct benefit to his candidacy;

(6) The purchase of American, state, or other flags which are donated to schools, civic, or charitable organizations;

(7) The purchase or rental of items such as cellular telephones, copiers, computers, automobiles, facsimile machines, and similar items. Only that use attributable to the campaign may be paid for with campaign funds and the burden shall be on the candidate to prove that an expenditure is allowable under this subsection.

Section 2. Unlawful Campaign Expenditures. In addition to the expenditures specifically prohibited by law, the following categories of campaign expenditures shall not be considered allowable expenditures from a campaign account:

(1) Payment of dues to professional, civic, or other organizations to which the individual belongs or desires to join;

(2) Expenditures made to defray the costs associated with an individual's performance of his official duties as an officeholder.

Section 3. If the registry staff, in the course of reviewing a candidate's or incumbent's campaign finance statements, determines that a questionable expenditure has been made, whether or not the expenditure was made during an election year, the burden shall be on the candidate or incumbent to prove that the expenditure was directly and primarily related to his candidacy.

History

• RELATES TO: KRS 121.150
• STATUTORY AUTHORITY: KRS 121.120(1)(g), 121.175
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.175, as amended by the General Assembly in extraordinary session in 1993, requires the Registry of Election Finance to promulgate administrative regulations to specifically define those expenditures that may lawfully be made from a candidate's campaign account. It is therefore necessary to promulgate this administrative regulation so that the agency may fulfill its statutory mandate.
• History: 20 Ky.R. 2269; 3192; eff. 6-2-1994; Crt eff. 9-27-2019.

32 KAR 2:210 Judicial hearing procedures {#sec-32-kar-2-210 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:210}

Section 1. Administrative Pleadings.

(1) If the registry and the respondent fail to reach a conciliation agreement, and a request for retired or former justices or judges has been submitted as required by KRS 121.140(4), the general counsel shall prepare an administrative complaint which shall include the following:

(a) A statement of the allegations contained in the original complaint;

(b) The registry's:

1. Findings of fact and conclusions of law in support of a finding of probable cause; or

2. Notice of noncompliance with reporting requirements pursuant to 32 KAR 2:040(10);

(c) A statement that attempts to negotiate a conciliation agreement have been unsuccessful; and

(d) A statement that conciliation negotiations have been extended for the maximum period allowed by 32 KAR 2:050(3).

(2) The general counsel shall prepare an administrative summons which, along with a copy of the administrative complaint, shall be served upon the respondent either personally or by certified mail, return receipt requested. This notification shall be made in accordance with the schedule established by KRS 121.140(4).

(3) A respondent to an administrative complaint as provided in subsection (1) of this section shall file a written response within twenty (20) days from the date of receipt of the administrative summons and complaint. The response shall be filed at the offices of the Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601.

(4) Within thirty (30) days of the final selection of one (1) retired or former justice or judge in the manner provided by KRS 121.140, the general counsel shall forward copies of the administrative complaint to the justice or judge selected and shall, thereafter, forward copies of all other pleadings filed up to the dates of the hearing.

(5) One (1) retired or former justice or judge shall be selected for each hearing required under KRS 121.140(4) and shall serve through the completion of the hearing process and until the justice or judge renders a decision.

History

• RELATES TO: KRS 121.140(4)
• STATUTORY AUTHORITY: KRS 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.140(4) provides for a hearing before one (1) retired or former justice or judge in cases in which the Registry of Election Finance and a respondent fail to reach a conciliation agreement. This administrative regulation establishes procedural guidelines to be followed in the initiation of those hearings and selection of a justice or judge.
• History: 22 Ky.R. 814; 1302; eff. 1-8-1996; 25 Ky.R. 1680; 2125; eff. 3-19-1999; Crt eff. 9-27-2019.

32 KAR 2:230 Processing of records requests {#sec-32-kar-2-230 omnilex-key=us-ky-regs-official--title-32--32 KAR 2:230}

Section 1. Records Requests.

(1) The principal office for the registry is 140 Walnut St., Frankfort, Kentucky 40601. Regular office hours are from 8 a.m. to 4:30 p.m., Monday through Friday, prevailing time in Frankfort, Kentucky.

(2) The title of the official custodian of records of the registry is the Records Custodian, whose address is the address of the agency's principal office and whose email address is KREFRequests@ky.gov.

(3) Requested records shall be sent via electronic means to the extent possible and that the requestor provides an email address through which to receive them.

(4) Fees, to the extent authorized by KRS 61.874, shall be charged for physical copies of requested materials, with a charge of ten (10) cents a page for each photocopy and reasonable costs for materials provided in any other format, such as on storage media. The requestor shall view the records on the registry's searchable public database to the extent these are available.

(5) Procedure for requesting records.

(a) Requests to inspect records shall be made to the Records Custodian by U.S. postal mail or by email address as provided in subsection (2) of this Section.

(b) Requests to inspect public records shall be made in writing, describing in reasonably sufficient detail the records to be inspected, including party and case number, if applicable and known. The registry shall accept any standardized open records request form provided by the Office of the Attorney General.

Section 2. Public Disclosure of Registry Action.

(1) If the registry makes a finding of no reason to believe or no probable cause or otherwise terminates an enforcement action, it shall make public its determination and the basis for the determination no later than thirty (30) days from the date on which the required notifications are sent to complainant and respondent.

(2) If a conciliation agreement is finalized, the registry shall make the agreement public.

(3) Except as provided in subsections (1) and (2) of this section, a complaint filed with the registry, any notification sent by the registry, any investigation conducted by the registry, or any findings made by the registry shall not be made public by the registry without the written consent of the respondent until a written response has been received or the expiration of the fifteen (15) day response period required by 32 KAR 2:030, Section 3. Upon receipt of a response or the expiration of the fifteen (15) day period, the complaint, response, and related materials, exclusive of materials exempted by KRS 61.878(1), shall be open for public inspection.

(4) Except as provided in subsections (1) and (2) of this section, an action by the registry or by any person, and information derived in connection with conciliation efforts shall not be made public by the registry until a final action with regard to a conciliation attempt is taken.

History

• RELATES TO: KRS 61.870-61.884, 121.120
• STATUTORY AUTHORITY: KRS 61.876, 121.120(1)(g)
• NECESSITY, FUNCTION, AND CONFORMITY: KRS 121.120(1)(g) authorizes the Registry of Election Finance to promulgate administrative regulations necessary to carry out the provisions of KRS Chapter 121. KRS 61.876 requires each public agency to adopt rules and regulations in conformity with Kentucky open records law in KRS 61.870 to 61.884. This administrative regulation establishes the process by which the public may access the public records held by the Kentucky Registry of Election Finance that are not available through the agency's Web site.
• History: 50 Ky.R. 512, 1049; eff. 1-30-2024.