Title 032 | Chapter 002 | Regulation 050
PREVIOUS VERSION
The previous document that this document is based upon is available.
32 KAR 2:050.Conciliation.
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: (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.)
JOHN. R. STEFFEN, Executive Director
APPROVED BY AGENCY: July 6, 2023
FILED WITH LRC: July 10, 2023 at 8:30 a.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on September 25, 2023, at 10:00 a.m., at the Kentucky Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601. Individuals interested in being heard at this hearing shall notify this agency in writing by five (5) workdays prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing is received by that date, the hearing may be canceled. This hearing is open to the public. Any person who wishes to be heard will be given an opportunity to comment on the proposed administrative regulation. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted through September 30, 2023, at 11:59 p.m. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.
CONTACT PERSON: Leslie Saunders, General Counsel, Kentucky Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601, phone (502) 573-2226, fax (502) 573-5622, email LeslieM.Saunders@ky.gov.
REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT
Contact Person:
Leslie Saunders, General Counsel
(1) Provide a brief summary of:
(a) What this administrative regulation does:
This administrative regulation establishes conciliation procedures.
(b) The necessity of this administrative regulation:
This administrative regulation is necessary because, while KRS 121.140 contemplates a conciliation process and an appeals process for violators, the statute describes no procedures for doing so with any detail.
(c) How this administrative regulation conforms to the content of the authorizing statutes:
KRS 121.120(1)(g) grants the registry the authority to "promulgate administrative regulations necessary to carry out the provisions of this chapter[.]"
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
It sets procedures for the regular conciliation process.
(2) If this is an amendment to an existing administrative regulation, provide a brief summary of:
(a) How the amendment will change this existing administrative regulation:
This amendment removes an arbitrary deadline for conciliation discussions and removes a section relating to when records are public in favor of putting that language in a new, expanded regulation relating to open records. It is worth noting that one provision of the deleted language does not even concern records related to conciliation, which is the subject of the regulation, but with when complaints and responses are considered public. Finally, it fixes punctuation errors in the original language.
(b) The necessity of the amendment to this administrative regulation:
This amendment is necessary to remove irrelevant information from the regulation and to move the remaining language to a new administrative regulation that would be a better fit.
(c) How the amendment conforms to the content of the authorizing statutes:
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 amendment removes an unnecessary impediment to continued conciliation negotiations and allows for restructuring of the current administrative regulations by keeping the body of the regulations consistent with the title.
(d) How the amendment will assist in the effective administration of the statutes:
This amendment will allow for a more flexible conciliation process and make the administrative regulation structure make more internal sense.
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
Anyone who is party to a conciliation negotiation with the registry is affected.
(4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:
(a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment:
Regulated entities will use this regulation to navigate the conciliation process with the registry.
(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3):
The entities will incur no costs in complying with the regulation, although they may incur penalties as a result of a conciliation, as permitted by KRS 121.140.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
Compliance will allow for the orderly closing of enforcement matters before the registry.
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
There will be no initial cost to the administrative body to implement this administrative regulation.
(b) On a continuing basis:
There will be no cost on a continuous basis to the administrative body to implement this administrative regulation.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
While no additional funding will be required for the implementation and enforcement of this administrative regulation, the administrative body operates solely on General Funds.
(7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment:
It will not be necessary to increase fees or funding to implement this administrative regulation.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
No.
(9) TIERING: Is tiering applied?
This administrative regulation does not apply tiering as the negotiations and considers made within them are fact-specific to the respondent.
FISCAL NOTE
(1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation?
The Kentucky Registry of Election Finance
(2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 121.120 and KRS 121.140
(3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.
(a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year?
This administrative regulation will not generate revenue for the first year. Note, however, that the conciliation process does provide a small amount of revenue to the general fund through penalties. This amount has averaged about $15,000 a year.
(b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years?
This administrative regulation will not generate revenue for subsequent years, subject to the note about penalties above.
(c) How much will it cost to administer this program for the first year?
This program will not cost any additional amount to administer for the first year.
(d) How much will it cost to administer this program for subsequent years?
This program will not cost any additional amount to administer for subsequent years.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Revenues (+/-):
Expenditures (+/-):
Other Explanation:
(4) Estimate the effect of this administrative regulation on the expenditures and cost savings of regulated entities for the first full year the administrative regulation is to be in effect.
(a) How much cost savings will this administrative regulation generate for the regulated entities for the first year?
This administrative regulation will not generate any cost savings for the first year.
(b) How much cost savings will this administrative regulation generate for the regulated entities for subsequent years?
This administrative regulation will not generate any cost savings for subsequent years.
(c) How much will it cost the regulated entities for the first year?
This administrative regulation will not cost the regulated entities anything for the first year.
(d) How much will it cost the regulated entities for subsequent years?
This administrative regulation will not cost the regulated entities anything for subsequent years.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Cost Savings (+/-):
Expenditures (+/-):
Other Explanation:
(5) Explain whether this administrative regulation will have a major economic impact, as defined below.
, "Major economic impact" means an overall negative or adverse economic impact from an administrative regulation of five hundred thousand dollars ($500,000) or more on state or local government or regulated entities, in aggregate, as determined by the promulgating administrative bodies. [KRS 13A.010(13)]. This administrative regulation will not have a major economic impact.
32 KAR 2:050.Conciliation.
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(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)(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.Section 2.
(1)
(2)
(3)
(4)
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.)
JOHN. R. STEFFEN, Executive Director
APPROVED BY AGENCY: July 6, 2023
FILED WITH LRC: July 10, 2023 at 8:30 a.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on September 25, 2023, at 10:00 a.m., at the Kentucky Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601. Individuals interested in being heard at this hearing shall notify this agency in writing by five (5) workdays prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing is received by that date, the hearing may be canceled. This hearing is open to the public. Any person who wishes to be heard will be given an opportunity to comment on the proposed administrative regulation. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted through September 30, 2023, at 11:59 p.m. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.
CONTACT PERSON: Leslie Saunders, General Counsel, Kentucky Registry of Election Finance, 140 Walnut Street, Frankfort, Kentucky 40601, phone (502) 573-2226, fax (502) 573-5622, email LeslieM.Saunders@ky.gov.
REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT
Contact Person:
Leslie Saunders, General Counsel
(1) Provide a brief summary of:
(a) What this administrative regulation does:
This administrative regulation establishes conciliation procedures.
(b) The necessity of this administrative regulation:
This administrative regulation is necessary because, while KRS 121.140 contemplates a conciliation process and an appeals process for violators, the statute describes no procedures for doing so with any detail.
(c) How this administrative regulation conforms to the content of the authorizing statutes:
KRS 121.120(1)(g) grants the registry the authority to "promulgate administrative regulations necessary to carry out the provisions of this chapter[.]"
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
It sets procedures for the regular conciliation process.
(2) If this is an amendment to an existing administrative regulation, provide a brief summary of:
(a) How the amendment will change this existing administrative regulation:
This amendment removes an arbitrary deadline for conciliation discussions and removes a section relating to when records are public in favor of putting that language in a new, expanded regulation relating to open records. It is worth noting that one provision of the deleted language does not even concern records related to conciliation, which is the subject of the regulation, but with when complaints and responses are considered public. Finally, it fixes punctuation errors in the original language.
(b) The necessity of the amendment to this administrative regulation:
This amendment is necessary to remove irrelevant information from the regulation and to move the remaining language to a new administrative regulation that would be a better fit.
(c) How the amendment conforms to the content of the authorizing statutes:
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 amendment removes an unnecessary impediment to continued conciliation negotiations and allows for restructuring of the current administrative regulations by keeping the body of the regulations consistent with the title.
(d) How the amendment will assist in the effective administration of the statutes:
This amendment will allow for a more flexible conciliation process and make the administrative regulation structure make more internal sense.
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
Anyone who is party to a conciliation negotiation with the registry is affected.
(4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:
(a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment:
Regulated entities will use this regulation to navigate the conciliation process with the registry.
(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3):
The entities will incur no costs in complying with the regulation, although they may incur penalties as a result of a conciliation, as permitted by KRS 121.140.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
Compliance will allow for the orderly closing of enforcement matters before the registry.
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
There will be no initial cost to the administrative body to implement this administrative regulation.
(b) On a continuing basis:
There will be no cost on a continuous basis to the administrative body to implement this administrative regulation.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
While no additional funding will be required for the implementation and enforcement of this administrative regulation, the administrative body operates solely on General Funds.
(7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment:
It will not be necessary to increase fees or funding to implement this administrative regulation.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
No.
(9) TIERING: Is tiering applied?
This administrative regulation does not apply tiering as the negotiations and considers made within them are fact-specific to the respondent.
FISCAL NOTE
(1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation?
The Kentucky Registry of Election Finance
(2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 121.120 and KRS 121.140
(3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.
(a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year?
This administrative regulation will not generate revenue for the first year. Note, however, that the conciliation process does provide a small amount of revenue to the general fund through penalties. This amount has averaged about $15,000 a year.
(b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years?
This administrative regulation will not generate revenue for subsequent years, subject to the note about penalties above.
(c) How much will it cost to administer this program for the first year?
This program will not cost any additional amount to administer for the first year.
(d) How much will it cost to administer this program for subsequent years?
This program will not cost any additional amount to administer for subsequent years.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Revenues (+/-):
Expenditures (+/-):
Other Explanation:
(4) Estimate the effect of this administrative regulation on the expenditures and cost savings of regulated entities for the first full year the administrative regulation is to be in effect.
(a) How much cost savings will this administrative regulation generate for the regulated entities for the first year?
This administrative regulation will not generate any cost savings for the first year.
(b) How much cost savings will this administrative regulation generate for the regulated entities for subsequent years?
This administrative regulation will not generate any cost savings for subsequent years.
(c) How much will it cost the regulated entities for the first year?
This administrative regulation will not cost the regulated entities anything for the first year.
(d) How much will it cost the regulated entities for subsequent years?
This administrative regulation will not cost the regulated entities anything for subsequent years.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Cost Savings (+/-):
Expenditures (+/-):
Other Explanation:
(5) Explain whether this administrative regulation will have a major economic impact, as defined below.
, "Major economic impact" means an overall negative or adverse economic impact from an administrative regulation of five hundred thousand dollars ($500,000) or more on state or local government or regulated entities, in aggregate, as determined by the promulgating administrative bodies. [KRS 13A.010(13)]. This administrative regulation will not have a major economic impact.