Amend the bill, as and if amended, by striking PART III, ETHICS COMMITTEES, beginning on line 35 on page 9 and inserting:
/ PART III
ETHICS COMMITTEES
SECTION 9.
A. Section 8-13-320(10)(g) of the 1976 Code, is amended to read:
"(g) All investigations, inquiries, hearings, and accompanying documents must remain are confidential and may only be released pursuant to this subsection. until a finding of probable cause or dismissal, unless the respondent waives the right to confidentiality. After a finding of probable cause by the commission, the following documents become public record: the complaint, the response by the respondent, the notice of hearing, the commission's findings, the final order, and the exhibits introduced at the hearing cited in the final order. Exhibits introduced must be redacted prior to release to exclude personal information where the public disclosure would constitute an unreasonable invasion of personal privacy. The respondent may waive the right to confidentiality. The wilful release of confidential information is a misdemeanor, and any person releasing such confidential information, upon conviction, must be fined not more than one thousand dollars or imprisoned not more than one year."
B Section 8-13-320(10)(j) of the 1976 Code is amended to read:
"(j) If a hearing is to be held, the respondent must be allowed to examine and make copies of all evidence in the commission's possession relating to the charges. The same discovery techniques which are available to the commission must be equally available to the respondent, including the right to request the commission to subpoena witnesses or materials and the right to conduct depositions as prescribed by subitem (f). A panel of three commissioners must conduct a hearing in accordance with Chapter 23 of Title 1 (Administrative Procedures Act), except as otherwise expressly provided. Panel action requires the participation of the three panel members. During a commission panel hearing conducted to determine whether a violation of the chapter has occurred, the respondent must be afforded appropriate due process protections, including the right to be represented by counsel, the right to call and examine witnesses, the right to introduce exhibits, and the right to cross-examine opposing witnesses. All evidence, including records the commission considers, must be offered fully and made a part of the record in the proceedings. The hearings must be held in executive session unless the respondent requests an open hearing open to the public."
LEGISLATIVE COMMITTEES
C. Section 8-13-530 of the 1976 Code is amended to read:
"Section 8-13-530. Each ethics committee shall:
(1) ascertain whether a person has failed to comply fully and accurately with the disclosure requirements of this chapter and promptly notify the person to file the necessary notices and reports to satisfy the requirements of this chapter;
(2) receive complaints filed by individuals and, upon a majority vote of the total membership of the committee, file complaints when alleged violations are identified;
(3) upon the filing of a complaint, investigate possible violations of a rule or breach of a privilege governing a member or staff of the appropriate house, the alleged breach of a rule governing a member of, legislative caucus committees for, or a candidate, or staff for the appropriate house, misconduct of a member or staff of, legislative caucus committees for, or a candidate for the appropriate house, or a violation of this chapter or Chapter 17 of Title 2. Upon the filing of a complaint alleging a violation by a member or staff of the appropriate house or legislative caucus committee, or a candidate for the appropriate house, for a violation of this chapter or Chapter 17, Title 2, the ethics committee shall determine if a complaint should be referred to the State Law Enforcement Division, hereinafter referred to as SLED. Upon the approval by a majority vote of the committee, the committee must forward the complaint to SLED for an investigation pursuant to Section 8-13-540. However, a complaint that fails to allege facts sufficient to constitute a violation or that alleges a technical violation or a breach of an appropriate house rule shall not be referred to SLED. The appropriate ethics committee shall investigate and make determinations for technical violations of Section 8-13-1170 or 8-13-1372 or its rules;
(4) receive and hear a complaint which alleges a breach of a privilege governing a member or staff of the appropriate house, the alleged breach of a rule governing a member or staff of or candidate for the appropriate house, misconduct of a member or staff of or candidate for the appropriate house, or a violation of this chapter or Chapter 17 of Title 2.
(5) No complaint may be accepted by the ethics committee concerning a member of or candidate for the appropriate house during the fifty-day period before an election in which the member or candidate is a candidate. During this fifty-day period, any person may petition the court of common pleas alleging the violations complained of and praying for appropriate relief by way of mandamus or injunction, or both. Within ten days, a rule to show cause hearing must be held, and the court must either dismiss the petition or direct that a mandamus order or an injunction, or both, be issued. A violation of this chapter by a candidate during this fifty-day period must be considered to be an irreparable injury for which no adequate remedy at law exists. The institution of an action for injunctive relief does not relieve any party to the proceeding from any penalty prescribed for violations of this chapter. The court must award reasonable attorney's fees and costs to the nonpetitioning party if a petition for mandamus or injunctive relief is dismissed based upon a finding that the:
(i) petition is being presented for an improper purpose such as harassment or to cause delay;
(ii) claims, defenses, and other legal contentions are not warranted by existing law or are based upon a frivolous argument for the extension, modification, or reversal of existing law or the establishment of new law; and
(iii) allegations and other factual contentions do not have evidentiary support or, if specifically so identified, are not likely to have evidentiary support after reasonable opportunity for further investigation or discovery.
Action on a complaint filed against a member or candidate which was received more than fifty days before the election but which cannot be disposed of or dismissed by the ethics committee at least thirty days before the election must be postponed until after the election;
(5)(6) obtain information and investigate hear complaints as provided in Section 8-13-540 with respect to any complaint filed pursuant to this chapter or Chapter 17 of Title 2 and to that end may compel by subpoena the attendance and testimony of witnesses and the production of pertinent books and papers;
(6)(7) administer or recommend sanctions appropriate to a particular member, or staff of the appropriate house, or legislative caucus committee, or candidate for the appropriate house pursuant to Section 8-13-540, including the recovery of the value of anything transferred or received in breach of the ethical standards, or dismiss the charges; and
(7)(8) act as an advisory body to the General Assembly and to individual members of or candidates for the appropriate house on questions pertaining to the disclosure and filing requirements of members of or candidates for the appropriate house. and to issue, upon request from persons covered by this chapter and Chapter 17 of Title 2, and publish advisory opinions on the requirements of these chapters."
E. Section 8-13-540 of the 1976 Code is amended to read:
"Section 8-13-540. Unless otherwise provided for by House or Senate rule, as appropriate, each ethics committee must conduct its investigation of a complaint filed pursuant to this chapter or Chapter 17 of Title 2 in accordance with this section.
(A)(1) When a complaint is filed with or by the ethics committee, a copy must promptly be sent to the person alleged to have committed the violation, and to SLED if appropriate, pursuant to Section 8-13-530(3), within thirty days from the date the complaint was filed, for an investigation as provided in this subsection. Within ten days of receipt of a complaint from the ethics committee, SLED shall forward a copy of the complaint, a general statement of the applicable law with respect to the complaint, and a statement explaining the due process rights of the respondent including, but not limited to, the right to counsel to the respondent.
If the ethics committee determines the complaint does not allege facts sufficient to constitute a violation, the complaint must be dismissed and the complainant and respondent notified. If the ethics committee finds that the complaining party wilfully filed a groundless complaint, the finding must be reported to appropriate law enforcement authorities. The wilful filing of a groundless complaint is a misdemeanor and, upon conviction, a person must be fined not more than one thousand dollars or imprisoned not more than one year. In lieu of the criminal penalty provided by this subsection, a civil penalty of not more than one thousand dollars may be assessed against the complainant upon proof, by a preponderance of the evidence, that the filing of the complaint was wilful and without just cause or with malice. If the ethics committee determines the complaint alleges facts sufficient to constitute a violation, it shall promptly investigate the alleged violation and may compel by subpoena the attendance and testimony of witnesses and the production of pertinent books and papers. (2) Upon the referral of a complaint by the appropriate ethics committee, SLED shall commence an investigation of an alleged violation of this chapter or Chapter 17 or Title 2 of a member of the General Assembly, its staff, or candidates for the General Assembly. However, the appropriate ethics committee shall investigate and make a determination for a complaint that alleges only a technical violation of Section 8-13-1170 or 8-13-1372 or a violation of the appropriate house rules, as applicable.
(3) Action may not be taken on a complaint filed more than four years after the violation is alleged to have occurred unless a person, by fraud or other device, prevents discovery of the violation.
(4) To conduct its investigation:
(a) SLED shall accept notarized complaints referred from the ethics committees that states the name of a person alleged to have committed a violation of this chapter or Chapter 17, Title 2 and the particulars of the violation. (b) SLED shall submit its investigative report, evidence, and testimony to the appropriate ethics committee.
(c) If SLED determines that the complaining party wilfully filed a groundless complaint, the finding must be reported to the Attorney General. The wilful filing of a groundless complaint is a misdemeanor and, upon conviction, the person must be fined not more than one thousand dollars or imprisoned not more than one year. In lieu of the criminal penalty provided by this item, a civil penalty of not more than one thousand dollars may be assessed against the complainant upon proof by a preponderance of the evidence that the filing of the complaint was wilful and without just cause or with malice.
(B) If after such preliminary investigation, reviewing SLED's report and relevant evidence, the ethics committee determines that probable cause does not exist, it shall send a written decision to the respondent and the complainant. If the ethics committee finds determines that probable cause exists to support an alleged violation, it shall, as appropriate:
(a) render an advisory opinion to the respondent and require the respondent's compliance within a reasonable time; or
(b) convene a formal public hearing on the matter within thirty days of the respondent's failure to comply with the advisory opinion. All ethics committee investigations and records relating to the preliminary investigation are confidential. No complaint shall be accepted which is filed later than four years after the alleged violation occurred.
(c) All investigations and accompanying documents are confidential and may only be released pursuant to this item. After a finding of probable cause by the committee, the following documents become public record: the complaint, the response by the respondent, the notice of hearing, the committee's findings, the final order, and the exhibits introduced at the hearing cited in the final order. Exhibits introduced must be redacted prior to release to exclude personal information where the public disclosure would constitute an unreasonable invasion of personal privacy. The respondent may waive the right to confidentiality. The wilful release of confidential information is a misdemeanor, and any person releasing such confidential information, upon conviction, must be fined not more than one thousand dollars or imprisoned not more than one year."
(2)(C) If a formal public hearing is to be held, the committee has the authority to conduct the hearing as provided for by their rules,:
(1) The committee may request that an investigator or attorney handling the investigation from SLED or a special prosecutor present the evidence related to the complaint to the appropriate ethics committee.
(2) The ethics committee may request assistance from appropriate state agencies as needed, request for the hiring of auditors, investigators, special prosecutors, or other assistance as necessary.
(3) the The respondent must be allowed to examine and make copies of all evidence in the ethics committee's possession relating to the charges. At the hearing the charged party must be afforded appropriate due process protections, including the right to be represented by counsel, the right to call and examine witnesses, the right to introduce exhibits, and the right to cross-examine opposing witnesses. All hearings must be open to the public conducted in executive session.
(3)(D) After the hearing, the ethics committee shall determine its findings of fact. If the ethics committee, based on competent and substantial evidence, finds the respondent has violated this chapter or Chapter 17 of Title 2, it shall:
(a)(1) administer a public or private reprimand;
(b)(2) determine that a technical violation as provided for in Section 8-13-1170 or Section 8-13-1172 has occurred;
(3) require the respondent to pay a civil penalty not to exceed two thousand dollars for each non-technical violation that is unrelated to the late filing of a required statement or report or failure to file a required statement or report;
(4) require the forfeiture of gifts, receipts, or profits, or the value thereof, obtained in violation of Chapter 13, Title 8 or Chapter 17, Title 2;
(c)(5) recommend expulsion of the member;
(d)(6) in the case of an alleged criminal violation, refer the matter to the Attorney General for investigation;
(7) require a combination of items (1) though (6) as necessary and appropriate.
The ethics committee shall report its findings in writing to the Speaker of the House or President Pro Tempore of the Senate, as appropriate. The report must be accompanied by an order of punishment and supported and signed by a majority of the ethics committee members. If the ethics committee finds the respondent has not violated a code or statutory provision, it shall dismiss the charges.
(4)(E) An individual has ten days from the date of the notification of the ethics committee's action to appeal the action to the full legislative body.
(5)(F) No ethics committee member may participate in any matter in which he is involved.
(6)(G) The ethics committee shall establish procedures which afford respondents appropriate due process protections, including the right to be represented by counsel, the right to call and examine witnesses, the right to introduce exhibits, and the right to cross-examine opposing witnesses."
F. Chapter 13, Title 8 is amended by adding Section 8-13-535 to read:
"Section 8-13-535. (A) The committee may issue a formal advisory opinion, based on real or hypothetical sets of circumstances. A formal advisory opinion issued by the committee is binding on the committee, until amended or revoked, in any subsequent charges concerning the person who requested the formal opinion and any other person who acted in reliance upon it in good faith unless material facts were omitted or misstated by the person in the request for the opinion. A formal advisory opinion must be in writing and is considered rendered when approved by a majority of the committee members subscribing to the advisory opinion. Advisory opinions must be made available to the public unless the committee, by majority vote of the total membership of the committee, requires an opinion to remain confidential. However, the identities of the parties involved must be withheld upon request.
(B) Staff of the appropriate ethics committee may issue a written informal advisory opinion, based on a real or hypothetical set of circumstances, to a member upon that member's request. If raised in response to a complaint, the appropriate committee shall consider whether the member relied, in good faith, upon a written informal opinion prior to making a probable cause determination or concurring in a determination, as applicable. A written informal advisory opinion issued by the committee staff is binding the committee, until amended or revoked, in any subsequent charges concerning the person who requested the informal opinion unless material facts were omitted or misstated by the person in the request for the opinion.
(C) The appropriate ethics committee must consider whether a person relied in good faith upon a formal advisory opinion or written informal opinion issued by the committee prior to the effective date of this act, unless amended or revoked prior to the action considered as a possible violation, prior to making a probable cause decision." /
Renumber sections to conform.
Amend title to conform.