2013 Indiana Code TITLE 2. GENERAL ASSEMBLY ARTICLE 2.1. LEGISLATIVE SESSIONS AND PROCEDURES CHAPTER 3. LEGISLATIVE ETHICS
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IC 2-2.1-3
Chapter 3. Legislative Ethics
IC 2-2.1-3-1
Definitions; construction
Sec. 1. As used in this chapter, and unless the context clearly
denotes otherwise:
(a) "Close relative" means a person related to the person filing the
statement or to his spouse as a son, daughter, grandson,
granddaughter, great-grandson, great-granddaughter, father, mother,
grandfather, grandmother, great-grandfather, great-grandmother,
brother, sister, nephew, niece, uncle, or aunt. Relatives by adoption,
half-blood, marriage, or remarriage shall be treated as relatives of
whole kinship.
(b) "Committee" means the house legislative ethics committee, or
the senate legislative ethics committee, or both of them.
(c) "Compensation" means any money, thing of value, or
economic benefit conferred on, or received by, any person in return
for services rendered, or for services to be rendered, whether by that
person or another.
(d) "Contribution" means any advance, conveyance, deposit,
distribution, transfer of funds, loan, payment, gift, pledge, or
subscription of money or anything of value, and any contract,
agreement, promise, or other obligation, whether or not legally
enforceable, to make a contribution in support of any candidate for
the house of representatives or senate. The term "contribution" does
not include services by speakers, writers, publishers, or others for
which no compensation is asked or given.
(e) "Employer" means any person or entity from whom the
member of or candidate for the general assembly or his spouse
received more than thirty-three percent (33%) of his nonlegislative
income.
(f) "Family business" means a corporation in which the member
of or candidate for the general assembly and his spouse own at least
eighty percent (80%) of the voting stock, regardless of whether all or
a portion is owned jointly or severally.
(g) "House" means the Indiana house of representatives.
(h) "Information of a confidential nature" means information
obtained by reason of the position or office held and which
information has not been, or will not be, communicated to the
general public.
(i) "Legislative matter" means any bill, resolution, or other issue
or proposal presented in, or considered by, the house or senate or any
committee or subcommittee thereof.
(j) "Lobbyist" means any person, firm, corporation, limited
liability company, or association registered under IC 2-7-2.
(k) "Person or entity" means any individual, proprietorship,
limited liability company, partnership, unincorporated association,
trust, business trust, group, or corporation, whether or not operated
for profit, or a governmental agency or political subdivision.
(l) "Senate" means the Indiana senate.
(m) "State agency" means any department, commission, council,
board, bureau, division, service, office, officer, administration, or
other establishment in the executive or administrative branch of state
government. The term "state agency" does not include state
educational institutions or the agencies of any municipality or
political subdivision of the state.
(n) The masculine gender includes the masculine and feminine.
(o) The singular form of any noun includes the plural wherever
appropriate.
(Formerly: Acts 1974, P.L.4, SEC.1.) As amended by Acts 1977,
P.L.2, SEC.1; P.L.5-1988, SEC.1; P.L.8-1993, SEC.1; P.L.2-2007,
SEC.4.
IC 2-2.1-3-2
Statement of economic interests
Sec. 2. (a) Not later than seven (7) calendar days following the
first session day in January of each year every member of the general
assembly shall file with the principal clerk of the house or secretary
of the senate, respectively, a written statement of the member's or
candidate's economic interests for the preceding calendar year listing
the following:
(1) The name of the member's or candidate's employer and the
employer of the member's or candidate's spouse and the nature
of the employer's business. The house of representatives and
senate need not be listed as an employer.
(2) The name of any sole proprietorship owned or professional
practice operated by the member or candidate or the member's
or candidate's spouse and the nature of the business.
(3) The name of any partnership of which the member or
candidate or the member's or candidate's spouse is a member
and the nature of the partnership's business.
(4) The name of any corporation of which the member or
candidate or the member's or candidate's spouse is an officer or
director and the nature of the corporation's business. Churches
need not be listed.
(5) The name of any corporation in which the member or
candidate or the member's or candidate's spouse or
unemancipated children own stock or stock options having a
fair market value in excess of ten thousand dollars ($10,000).
No time or demand deposit in a financial institution or
insurance policy need be listed.
(6) The name of any state agency or the supreme court of
Indiana which licenses or regulates the following:
(A) The member's or candidate's or the member's or
candidate's spouse's profession or occupation.
(B) Any proprietorship, partnership, corporation, or limited
liability company listed under subdivision (2), (3), or (4) and
the nature of the licensure or regulation.
The requirement to file certain reports with the secretary of
state or to register with the department of state revenue as a
retail merchant, manufacturer, or wholesaler shall not be
considered as licensure or regulation.
(7) The name of any lobbyist who is:
(A) a member of a partnership or limited liability company;
(B) an officer or a director of a corporation; or
(C) a manager of a limited liability company;
of which the member of or candidate for the general assembly
is a partner, an officer, a director, a member, or an employee,
and a description of the legislative matters which are the object
of the lobbyist's activity.
(8) The name of any person or entity on whose behalf the
member or candidate has appeared before, contacted, or
transacted business with any state agency or official thereof, the
name of the state agency, the nature of the appearance, contact,
or transaction, and the cause number, if any. This requirement
does not apply when the services are rendered without
compensation.
(9) The name of any limited liability company of which the
member of the general assembly, the candidate, or the member's
or candidate's individual spouse has an interest.
(b) Before any person who is not a member of the general
assembly files the person's declaration of candidacy, declaration of
intent to be a write-in candidate, or petition of nomination for office
or is selected as a candidate for the office under IC 3-13-1 or
IC 3-13-2, the person shall file with the clerk of the house or
secretary of the senate, respectively, the same written statement of
economic interests for the preceding calendar year that this section
requires members of the general assembly to file.
(c) Any member of or candidate for the general assembly may file
an amended statement upon discovery of additional information
required to be reported.
(Formerly: Acts 1974, P.L.4, SEC.1.) As amended by Acts 1979,
P.L.2, SEC.1; P.L.3-1992, SEC.1; P.L.9-1993, SEC.1; P.L.8-1993,
SEC.2; P.L.2-1995, SEC.1; P.L.3-1995, SEC.2; P.L.3-1997, SEC.2;
P.L.205-1999, SEC.1; P.L.58-2010, SEC.1.
IC 2-2.1-3-3
Repealed
(Repealed by Acts 1979, P.L.2, SEC.3 and Acts 1979, P.L.5,
SEC.11.)
IC 2-2.1-3-3.5
General assembly members; affidavits with lobbyists providing
more than one-third of nonlegislative income
Sec. 3.5. (a) A member of the general assembly shall, not later
than January 20 of each year, file an affidavit with any lobbyist who
has provided more than one-third (1/3) of the nonlegislative income
of the member during the previous year.
(b) An affidavit required by this section must state the following:
(1) The name and address of the member of the general
assembly.
(2) That the lobbyist provided more than one-third (1/3) of the
nonlegislative income of the member.
(3) The position or service for which the lobbyist provided the
income.
As added by P.L.3-1992, SEC.2.
IC 2-2.1-3-4
Form of disclosure statements; availability; list of lobbyists
Sec. 4. (a) The statements of economic interest required by
section 2 of this chapter shall be filed on forms provided by the
principal clerk of the house or secretary of the senate, as the case
may be. Statements shall be kept by the principal clerk and the
secretary of the senate for one (1) year after the expiration of the
term during which they were filed. Any statement filed by a member
of or candidate for the general assembly shall be open to public
inspection and copies shall be made available to any person for a
reasonable fee.
(b) Before July 1 each year, the Indiana lobby registration
commission shall furnish to the clerk of the house and secretary of
the senate a complete list of the lobbyists registered for the previous
twelve (12) month period. Copies of the list shall be available to
members of and candidates for the general assembly and shall be
distributed by the clerk of the house and secretary of the senate with
the forms for statements of economic interest.
(Formerly: Acts 1974, P.L.4, SEC.1.) As amended by Acts 1979,
P.L.2, SEC.2; P.L.3-1992, SEC.3; P.L.9-1993, SEC.2; P.L.4-1995,
SEC.10.
IC 2-2.1-3-5
Legislative ethics committees; creation
Sec. 5. There is hereby created a house of representatives
legislative ethics committee and a senate legislative ethics committee
to serve each house of the Indiana general assembly. Each such
committee shall be composed of six (6) members, three (3) from the
majority party and three (3) from the minority party having the
largest number of members. Each member appointed shall serve on
his respective committee during his term as a member of the house
or senate. Vacancies on either committee shall be filled for the
unexpired term in the same manner as the original appointment.
The three (3) majority party members of each committee shall be
appointed by the speaker of the house or the president pro tempore
of the senate, as appropriate. The three (3) minority party members
of each committee shall be appointed by the floor leader of the
minority party having the largest number of members in the
appropriate house. One (1) member of each committee shall be
designated as chairman by the speaker of the house or the president
pro tempore of the senate, as appropriate.
(Formerly: Acts 1974, P.L.4, SEC.1.)
IC 2-2.1-3-6
Committee meetings; recommended code
Sec. 6. The members of each committee shall meet and proceed
to recommend a code of ethics for their respective houses by not later
than thirty (30) days after the first session day of each legislative
session. Any code of ethics so recommended shall be consistent with
the constitution of the state of Indiana, the provisions of this chapter
and any other applicable law.
(Formerly: Acts 1974, P.L.4, SEC.1.)
IC 2-2.1-3-7
Committees; powers and duties
Sec. 7. In addition to the responsibility to devise a code of ethics,
each legislative ethics committee:
(1) may receive and hear any complaint which alleges a breach
of any privilege of the appropriate house, misconduct of any
member or any violation of the respective code of ethics,
regardless of when the breach, misconduct, or violation is
alleged to have occurred;
(2) may obtain information with respect to any complaint filed
pursuant to this section and to that end may compel the
attendance and testimony of witnesses, and the production of
pertinent books and papers;
(3) may recommend whatever sanction is appropriate with
respect to a particular member as will best maintain in the
minds of the public a good opinion of the conduct and character
of members of the general assembly;
(4) may recommend legislation to the general assembly relating
to the conduct and ethics of members of the general assembly;
(5) shall act as an advisory body to the general assembly and to
individual members of the appropriate house on questions
relating to possible conflicts of interest; and
(6) shall conduct its investigations in the following manner:
(A) When a complaint is filed with the committee, a copy
shall promptly be sent to the person alleged to have
committed the violation. If the committee determines the
complaint does not allege facts sufficient to constitute a code
or statutory violation, the complaint shall be dismissed and
the complainant and respondent notified. If the committee
determines the complaint does allege facts sufficient to
constitute a code or statutory violation, it shall promptly
investigate the alleged violation. If, after such preliminary
investigation the committee finds that probable cause does
not exist to support an alleged violation, the allegation shall
be dismissed. If the committee finds that probable cause
exists to support an alleged violation, it shall convene a
hearing on the matter within thirty (30) days after making
such determination. The committee may meet in executive
session to conduct a preliminary investigation and to
determine whether probable cause exists to support an
alleged violation. All committee investigations and records
relating to the preliminary investigation shall be
confidential.
(B) If a hearing is to be held, the respondent shall be allowed
to examine and make copies of all evidence in the
committee's possession relating to the charges. At the
hearing, the charged party shall be afforded appropriate due
process protection consistent with state administrative
procedures, 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.
(C) After the hearing, the committee shall state its findings
of fact. If the committee, based on competent and substantial
evidence, finds the respondent has violated a code or
statutory provision, it shall state its findings in writing in a
report to the speaker of the house or president pro tempore
of the senate, as appropriate. Such report shall be supported
and signed by a majority of the committee members. If the
committee finds the respondent has not violated a code or
statutory provision, it shall dismiss the charges.
(D) No committee member shall participate in any matter in
which he is involved.
(Formerly: Acts 1974, P.L.4, SEC.1.) As amended by P.L.3-1992,
SEC.4.
IC 2-2.1-3-8
Repealed
(Repealed by Acts 1978, P.L.2, SEC.203.)
IC 2-2.1-3-9
General assembly members; unlawful compensation; confidential
information
Sec. 9. No member of the general assembly shall accept any
compensation from any employment, transaction or investment
which was entered into or made as a result of material information
of a confidential nature.
(Formerly: Acts 1974, P.L.4, SEC.1.)
IC 2-2.1-3-9.5
"Honorarium"; member of general assembly may not receive
honorarium for appearance or speech made or given in capacity as
legislator
Sec. 9.5. (a) As used in this section, "honorarium" means a
payment of money for an appearance or a speech. The term does not
include payment or reimbursement of travel expenses.
(b) A member of the general assembly may not receive an
honorarium for an appearance or a speech made or given in the
member's capacity as a legislator.
As added by P.L.58-2010, SEC.2.
IC 2-2.1-3-10
General assembly members; unlawful compensation; persons with
economic interest in legislation
Sec. 10. No member of the general assembly shall receive
compensation for the sale or lease of any property or service which
substantially exceeds that which the member of the general assembly
would charge in the ordinary course of business from any person or
entity whom he knows or, in the exercise of reasonable care and
diligence should know, has an economic interest in a legislative
matter.
(Formerly: Acts 1974, P.L.4, SEC.1.)
IC 2-2.1-3-11
Repealed
(Repealed by Acts 1978, P.L.2, SEC.203.)
IC 2-2.1-3-11.5
General assembly members; distribution of literature
Sec. 11.5. A member of the general assembly may distribute
literature that is available to residents of Indiana without cost from
the state and may stamp the literature "Distributed by (insert the
name of the member)".
As added by P.L.5-1989, SEC.1.
IC 2-2.1-3-12
Knowing failure to file statements or filing false statements;
knowing acceptance of prohibited honorarium; disorderly
behavior
Sec. 12. The following constitute disorderly behavior and may be
punished by the house of representatives or senate as provided in
Article 4, Section 14 of the Constitution of the State of Indiana:
(1) Willful failure to file a required statement by the deadline
prescribed in this chapter or knowingly filing a false statement.
(2) Knowing violation of section 9, 9.5, or 10 of this chapter.
(Formerly: Acts 1974, P.L.4, SEC.1.) As amended by P.L.3-1989,
SEC.2; P.L.58-2010, SEC.3.
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