There is a newer version of the Texas Statutes

View our newest version here

2009 Texas Code
GOVERNMENT CODE
TITLE 5. OPEN GOVERNMENT; ETHICS
CHAPTER 571. TEXAS ETHICS COMMISSION

GOVERNMENT CODE

TITLE 5. OPEN GOVERNMENT; ETHICS

SUBTITLE B. ETHICS

CHAPTER 571. TEXAS ETHICS COMMISSION

SUBCHAPTER A. GENERAL PROVISIONS

Sec. 571.001. PURPOSE. It is the policy of the legislature to

protect the constitutional privilege of free suffrage by

regulating elections and prohibiting undue influence while also

protecting the constitutional right of the governed to apply to

their government for the redress of grievances. This chapter is

intended to achieve those purposes and shall be construed to

achieve the following objectives:

(1) to control and reduce the cost of elections;

(2) to eliminate opportunities for undue influence over

elections and governmental actions;

(3) to disclose fully information related to expenditures and

contributions for elections and for petitioning the government;

(4) to enhance the potential for individual participation in

electoral and governmental processes; and

(5) to ensure the public's confidence and trust in its

government.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.002. DEFINITIONS. In this chapter:

(1) "Commission" means the Texas Ethics Commission.

(2) "Complainant" means an individual who files a sworn

complaint with the commission.

(2-a) "Executive director" means the executive director of the

commission.

(3) "Political party" includes only a political party required

to hold a primary election under Section 172.001, Election Code.

(4) "Respondent" means a person who is alleged to have committed

a violation of a rule adopted by or a law administered and

enforced by the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.01, eff.

Sept. 1, 2003.

SUBCHAPTER B. ADMINISTRATIVE PROVISIONS

Sec. 571.021. TEXAS ETHICS COMMISSION. This chapter applies to

the Texas Ethics Commission created under Article III, Section

24a, of the Texas Constitution.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.022. SUNSET PROVISION. The commission is subject to

review under Chapter 325 (Texas Sunset Act), but is not abolished

under that chapter. The commission shall be reviewed during the

periods in which state agencies abolished in 2015 and every 12th

year after that year are reviewed.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 1999, 76th Leg., ch. 1449, Sec. 2.05, eff.

Sept. 1, 1999; Acts 2003, 78th Leg., ch. 249, Sec. 1.02, eff.

Sept. 1, 2003.

Sec. 571.0221. DISCRIMINATION PROHIBITED. Appointments to the

commission shall be made without regard to the race, color,

disability, sex, age, national origin, or religion of the

appointees.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Renumbered from Government Code Sec. 571.033 and amended by

Acts 2003, 78th Leg., ch. 249, Sec. 1.07, eff. Sept. 1, 2003.

Sec. 571.023. PRESIDING OFFICER. The members of the commission

shall elect annually the presiding officer of the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.0231. RESTRICTION ON COMMISSION MEMBERSHIP. A person

may not be a member of the commission if the person is required

to register as a lobbyist under Chapter 305.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.03, eff. Sept. 1,

2003.

Sec. 571.0232. GROUNDS FOR REMOVAL. (a) It is a ground for

removal from the commission that a member:

(1) does not have at the time of taking office the

qualifications required by Section 24a, Article III, Texas

Constitution;

(2) does not maintain during service on the commission the

qualifications required by Section 24a, Article III, Texas

Constitution;

(3) is ineligible for membership under Section 571.0231;

(4) cannot, because of illness or disability, discharge the

member's duties for a substantial part of the member's term; or

(5) is absent from more than half of the regularly scheduled

commission meetings that the member is eligible to attend during

a calendar year without an excuse approved by a majority vote of

the commission.

(b) The validity of an action of the commission is not affected

by the fact that it is taken when a ground for removal of a

commission member exists.

ground for removal exists, the executive director shall notify

the presiding officer of the commission of the potential ground.

The presiding officer shall then notify the governor and the

attorney general that a potential ground for removal exists. If

the potential ground for removal involves the presiding officer,

the executive director shall notify the next highest ranking

officer of the commission, who shall then notify the governor and

the attorney general that a potential ground for removal exists.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.03, eff. Sept. 1,

2003.

Sec. 571.024. EXPENSES. A member of the commission is entitled

to travel expenses incurred in performing official duties and to

a per diem equal to the maximum amount allowed on January 1 of

that year for federal employees per diem for federal income tax

purposes, subject to the same limitations for members of state

boards and commissions in the General Appropriations Act.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.025. MEETINGS. The commission shall meet at least once

each calendar quarter and at other times at the call of the

presiding officer.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.026. QUORUM; VOTE REQUIRED. (a) A majority of the

membership of the commission constitutes a quorum.

(b) A vacancy on the commission may not be considered in

determining the membership of the commission for the purpose of a

quorum.

vote of the commission is not valid unless:

(1) the action or recommendation is approved by a record vote

taken at a meeting of the commission with a quorum present; and

(2) except as otherwise provided by this chapter, the action or

recommendation receives an affirmative vote of a majority of the

membership of the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.04, eff.

Sept. 1, 2003.

Sec. 571.027. PROHIBITED PARTICIPATION. (a) A member of the

commission may not participate in a commission proceeding

relating to any of the following actions if the member is the

subject of the action:

(1) a formal investigation by the commission;

(2) a sworn complaint filed with the commission; or

(3) a motion adopted by vote of at least six members of the

commission.

(b) A member of the commission may not participate in or vote on

any matter before the commission if the matter concerns the

member directly or an individual related to the member within the

second degree by affinity or consanguinity.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.05, eff.

Sept. 1, 2003.

Sec. 571.0271. COMMISSION MEMBER TRAINING. (a) A person who is

appointed to and qualifies for office as a member of the

commission may not vote, deliberate, or be counted as a member in

attendance at a meeting of the commission until the person

completes a training program that complies with this section.

(b) The training program must provide the person with

information regarding:

(1) the legislation that created the commission;

(2) the programs operated by the commission;

(3) the role and functions of the commission;

(4) the rules of the commission, with an emphasis on the rules

that relate to disciplinary and investigatory authority;

(5) the current budget for the commission;

(6) the results of the most recent formal audit of the

commission;

(7) the requirements of:

(A) the open meetings law, Chapter 551;

(B) the public information law, Chapter 552;

(D) other laws relating to public officials, including

conflict-of-interest laws; and

(8) any applicable ethics policies adopted by the commission.

reimbursement, as provided by the General Appropriations Act, for

the travel expenses incurred in attending the training program

regardless of whether the attendance at the program occurs before

or after the person qualifies for office.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.06, eff. Sept. 1,

2003.

Sec. 571.028. PROHIBITED CANDIDACY. A member of the commission

may not be a candidate for an elective public office for 12

months after the date on which the member ends service on the

commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.029. STAFF. (a) The commission may employ staff,

including an executive director and a general counsel, necessary

to administer the commission's functions.

(b) The commission may not employ a person and an employee of

the commission may not continue in employment with the commission

if the person at the time of employment or while employed by the

commission is:

(1) an officer of a political party, a political subdivision, or

a political committee;

(2) a person required to be registered under Chapter 305;

(3) a candidate or campaign treasurer subject to Title 15,

Election Code; or

(4) a member of the legislature.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.030. SEPARATION OF RESPONSIBILITIES. The commission

shall develop and implement policies that clearly separate the

policy-making responsibilities of the commission and the

management responsibilities of the executive director and the

staff of the commission.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.06, eff. Sept. 1,

2003.

Sec. 571.0301. INFORMATION TO MEMBERS AND EMPLOYEES. The

executive director or the executive director's designee shall

provide to members and employees of the commission, as often as

necessary, information regarding the requirements for office or

employment under this chapter, including information regarding a

person's responsibilities under applicable laws relating to

standards of conduct for state officers or employees.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.06, eff. Sept. 1,

2003.

Sec. 571.0302. EQUAL EMPLOYMENT POLICY. (a) The executive

director or the executive director's designee shall prepare and

maintain a written policy statement that implements a program of

equal employment opportunity to ensure that all personnel

decisions are made without regard to race, color, disability,

sex, religion, age, or national origin.

(b) The policy statement must include:

(1) personnel policies, including policies relating to

recruitment, evaluation, selection, training, and promotion of

personnel, that show the intent of the commission to avoid the

unlawful employment practices described by Chapter 21, Labor

Code; and

(2) an analysis of the extent to which the composition of the

commission's personnel is in accordance with state and federal

law and a description of reasonable methods to achieve compliance

with state and federal law.

(1) be updated annually;

(2) be reviewed by the state Commission on Human Rights for

compliance with Subsection (b)(1); and

(3) be filed with the governor's office.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.06, eff. Sept. 1,

2003.

Sec. 571.031. RECORDS. Except as provided by Sections

571.139(a) and 571.140, Chapter 552 applies to all records of the

commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.032. MAILING OF NOTICES, DECISIONS, AND REPORTS. (a)

Except as provided by Subsection (b), each written notice,

decision, and report required to be sent under this chapter shall

be sent by registered or certified mail, restricted delivery,

return receipt requested.

(b) After written notice under Section 571.123(b) regarding the

filing of a sworn complaint has been sent to a person in the

manner required by Subsection (a), the commission may send the

person any additional notices regarding the complaint by regular

mail unless the person has notified the commission to send all

notices regarding the complaint by registered or certified mail,

restricted delivery, return receipt requested.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Amended by:

Acts 2009, 81st Leg., R.S., Ch.

554, Sec. 1, eff. June 19, 2009.

SUBCHAPTER C. GENERAL POWERS AND DUTIES

Sec. 571.061. LAWS ADMINISTERED AND ENFORCED BY COMMISSION. (a)

The commission shall administer and enforce:

(1) Chapters 302, 303, 305, 572, and 2004;

(2) Subchapter C, Chapter 159, Local Government Code, in

connection with a county judicial officer, as defined by Section

159.051, Local Government Code, who elects to file a financial

statement with the commission;

(3) Title 15, Election Code; and

(4) Sections 2152.064 and 2155.003.

(b) The commission shall perform any other powers or duties

given to the commission under a law listed in Subsection (a).

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 1997, 75th Leg., ch. 506, Sec. 3, eff.

Sept. 1, 1997; Acts 1997, 75th Leg., ch. 507, Sec. 3, eff. Sept.

1, 1997; Acts 1997, 75th Leg., ch. 1154, Sec. 5, eff. Sept. 1,

1997.

Amended by:

Acts 2007, 80th Leg., R.S., Ch.

937, Sec. 3.07, eff. September 1, 2007.

Sec. 571.062. RULES. (a) The commission, on the affirmative

vote of at least six members of the commission, may adopt rules

to administer this chapter or any other law administered and

enforced by the commission.

(b) Chapter 2001, relating to rules and rulemaking, applies to

the commission to the extent consistent with this chapter.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.063. RULES CONCERNING GIFTS TO REGULATORY AGENCY

OFFICERS AND EMPLOYEES. (a) The commission shall require each

regulatory agency in the executive branch to develop rules

limiting the acceptance of gifts or other benefits from persons

appearing before or regulated by the agency. The rules must be at

least as restrictive as the rules of the commission.

(b) The commission shall provide for the submission of those

rules to the commission for approval.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.0631. RULES CONCERNING TECHNICAL AND CLERICAL

VIOLATIONS. The commission shall adopt rules prescribing

procedures for investigating and resolving technical and clerical

violations of laws within the commission's jurisdiction. For

registrations and reports filed under Chapter 305, the commission

shall consider clerical violations to include obvious

typographical errors. A registrant filing a registration or

report under Chapter 305 may correct obvious typographical errors

without penalty by filing either a corrected registration or

report or an updated or amended registration or report.

Added by Acts 2009, 81st Leg., R.S., Ch.

604, Sec. 1, eff. September 1, 2009.

Sec. 571.064. REPORTING AND REGISTRATION THRESHOLDS. (a) If a

law administered and enforced by the commission authorizes the

commission to determine dollar amounts as reporting or

registration thresholds, the commission shall set those

thresholds in amounts that are reasonable, are in the public

interest, and further the purposes of the reporting or

registration law involved.

(b) If a law administered and enforced by the commission sets

dollar amounts or categories of amounts as reporting thresholds

or if the commission sets those amounts, the commission annually

shall adjust those thresholds upward to the nearest multiple of

$10 in accordance with the percentage increase for the previous

year in the Consumer Price Index for Urban Consumers published by

the Bureau of Labor Statistics of the United States Department of

Labor.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.0645. FILING DEADLINE FOR ELECTRONIC REPORTS. The

commission shall by rule establish that the deadline for any

report filed electronically with the commission is midnight on

the last day for filing the report under the law requiring the

filing of the report.

Added by Acts 2007, 80th Leg., R.S., Ch.

472, Sec. 5, eff. September 1, 2007.

Sec. 571.065. FORMS. (a) The commission shall prescribe forms

for statements and reports required to be filed with the

commission.

(b) The commission shall provide for the distribution of the

forms.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.066. ELECTRONIC DATA BASE. (a) The Department of

Information Resources shall study the implementation of the most

appropriate electronic data base to enhance the commission's

abilities to administer this chapter.

(b) The commission shall:

(1) establish an electronic data base composed of statements and

reports filed with the commission;

(2) provide the public with access to that data;

(3) establish a system to provide access by electronic data

transmittal processes to that data;

(4) set and charge a fee for electronic access to the data base

in an amount reasonable and necessary to cover the costs of

access; and

(5) ensure that entries entered on multiple reports may be

electronically cross-referenced in the data base.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.067. COMPUTER SOFTWARE. The commission may develop

computer software to facilitate the discharge of its statutory

duties.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.0671. REQUIREMENTS FOR ELECTRONIC FILING SOFTWARE. (a)

Computer software provided or approved by the commission for use

under Section 254.036(b), Election Code, or Section 302.013 or

305.0064 must:

(1) use a standardized format for the entry of names, addresses,

and zip codes;

(2) provide for secure and encoded transmission of data from the

computer of a person filing a report to the computers used by the

commission;

(3) be capable of being used by a person with basic computing

skills;

(4) provide confirmation to a person filing a report that the

report was properly received; and

(5) permit a person using a computer to prepare a report or to

retrieve information from a report to import information to the

report from a variety of computer software applications that meet

commission specifications for a standard file format or export

information from the report to a variety of computer software

applications that meet commission specifications for a standard

file format without the need to reenter information.

(b) Before determining the specifications for computer software

developed, purchased, or licensed for use under Section 254.036,

Election Code, or Section 302.013 or 305.0064, the commission

shall conduct at least one public hearing to discuss the

specifications. For at least 10 days following the hearing, the

commission shall accept public comments concerning the software

specifications.

254.036(b), Election Code, or Section 302.013 or 305.0064 by

making the software available on the Internet. If the commission

makes the software available on the Internet, the commission is

not required to provide the software on computer diskettes,

CD-ROMs, or other storage media without charge to persons

required to file reports under that section, but may charge a fee

for providing the software on storage media. A fee under this

subsection may not exceed the cost to the commission of providing

the software.

Added by Acts 1999, 76th Leg., ch. 1434, Sec. 2, eff. Sept. 1,

1999. Renumbered from Election Code Sec. 254.0361 and amended by

Acts 2003, 78th Leg., ch. 249, Sec. 1.08, eff. Sept. 1, 2003.

Sec. 571.0672. PROPOSITION OF TECHNOLOGICAL SOLUTIONS. The

commission shall develop and implement a policy requiring the

executive director and commission employees to research and

propose appropriate technological solutions to improve the

commission's ability to perform its functions. The technological

solutions must:

(1) ensure that the public is able to easily find information

about the commission on the Internet;

(2) ensure that persons who want to use the commission's

services are able to:

(A) interact with the commission through the Internet; and

(B) access any service that can be provided effectively through

the Internet; and

(3) be cost-effective and developed through the commission's

planning processes.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.09, eff. Sept. 1,

2003.

Sec. 571.068. ACCOUNT NUMBERS. The commission shall assign an

account number to each person required to file a statement or

report with the commission under a law administered and enforced

by the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.069. REVIEW OF STATEMENTS AND REPORTS; AUDITS. (a)

The commission shall review for facial compliance randomly

selected statements and reports filed with the commission and may

review any available documents. The commission shall return for

resubmission with corrections or additional documentation a

statement or report that does not, in the opinion of the

commission, comply with the law requiring the statement or

report. A statement or report returned for resubmission is

considered to have been filed on the date the statement or report

was originally filed if:

(1) the statement or report is resubmitted to the commission not

later than the seventh business day after the date the person

filing the statement or report receives the returned statement or

report; and

(2) the resubmitted statement or report complies with law.

(b) The commission may by a vote of at least six commission

members initiate a preliminary review as provided by Section

571.124 or perform a complete audit of a statement or report:

(1) if, before the 31st day after the date the statement or

report was originally due, the executive director does not obtain

from the person information that permits the executive director

to determine that the statement or report complies with law;

(2) if a statement or report returned for resubmission is not

resubmitted within the time prescribed by Subsection (a); or

(3) on an affirmative vote of at least six commission members

that a statement or report resubmitted under Subsection (a),

together with any corrections or additional documentation, does

not, in the opinion of the commission, comply with the law

requiring the statement or report.

is confidential and may not be disclosed unless the statement,

report, document, or other material:

(1) was previously public information; or

(2) is entered into the record of a formal hearing or a judicial

proceeding.

(d) The party who is the subject of the audit may waive

confidentiality by sending written notice to the commission.

(e) The commission may not audit a statement or report filed

before January 1, 1992, under a law administered and enforced

before that date by the secretary of state.

(f) This section may not be construed as limiting or affecting

the commission's authority to, on the filing of a motion or

receipt of a sworn complaint, review or investigate the

sufficiency of a statement or report.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.10, eff.

Sept. 1, 2003.

Sec. 571.070. MANUAL. The commission shall adopt by rule and

publish a manual that establishes uniform methods of accounting

and reporting for use by persons required to file statements and

reports with the commission and that includes a digest of each

advisory opinion issued by the commission under Subchapter D.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.071. TRAINING; GUIDELINES. (a) The commission shall:

(1) provide training by January of each odd-numbered year for

members and members-elect of the legislature concerning

compliance with the laws administered and enforced by the

commission; and

(2) provide, in cooperation with state agencies, a program of

ethics training for state employees.

(b) The commission may disseminate, through pamphlets and

seminars, explanations and compliance guidelines concerning any

law administered and enforced by the commission.

lobbying, political contributions and expenditures, and other

issues as determined by the commission. The commission may charge

a fee for attending the seminar in an amount necessary to cover

the costs associated with the seminar.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.11, eff.

Sept. 1, 2003.

Sec. 571.072. PUBLIC ACCESS. (a) The commission shall develop

and implement policies that provide the public with a reasonable

opportunity to appear before the commission and to speak on

issues under the general jurisdiction of the commission.

(b) The commission shall prepare and maintain a written plan

that describes how a person who does not speak English or who has

a physical, mental, or developmental disability may be provided

reasonable access to commission proceedings.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.073. REPORT. On or before December 31 of each

even-numbered year, the commission shall report to the governor

and legislature. The report must include:

(1) each advisory opinion issued by the commission under

Subchapter D in the preceding two years;

(2) a summary of commission activities in the preceding two

years, including:

(A) the number of sworn complaints filed with the commission;

(B) the number of sworn complaints dismissed for noncompliance

with statutory form requirements;

jurisdiction;

(D) the number of sworn complaints dismissed after a finding of

no credible evidence of a violation;

(E) the number of sworn complaints dismissed after a finding of

a lack of sufficient evidence to determine whether a violation

within the jurisdiction of the commission has occurred;

(F) the number of sworn complaints resolved by the commission

through an agreed order;

(G) the number of sworn complaints in which the commission

issued an order finding a violation and the resulting penalties,

if any; and

(H) the number and amount of civil penalties imposed for failure

to timely file a statement or report, the number and amount of

those civil penalties fully paid, the number and amount of those

civil penalties partially paid, and the number and amount of

those civil penalties no part of which has been paid, for each of

the following category of statements and reports, listed

separately:

(i) financial statements required to be filed under Chapter 572;

(ii) political contribution and expenditure reports required to

be filed under Section 254.063, 254.093, 254.123, 254.153, or

254.157, Election Code;

(iii) political contribution and expenditure reports required to

be filed under Section 254.064(b), 254.124(b), or 254.154(b),

Election Code;

(iv) political contribution and expenditure reports required to

be filed under Section 254.064(c), 254.124(c), or 254.154(c),

Election Code;

(v) political contribution and expenditure reports required to

be filed under Section 254.038 or 254.039, Election Code; and

(vi) political contribution and expenditure reports required to

be filed under Section 254.0391, Election Code; and

(3) recommendations for any necessary statutory changes.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.12, eff.

Sept. 1, 2003.

Sec. 571.074. GIFTS AND GRANTS. The commission may accept gifts

and grants for the administration of its duties.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.075. DELEGATION OF AUTHORITY. The commission by rule

may delegate a power conferred on it by this chapter or another

law administered by the commission, except:

(1) any power requiring a vote of the commission;

(2) rulemaking authority; or

(3) authority to issue an advisory opinion under Subchapter D.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.076. CONTRACT FOR ADMINISTRATION. The commission may

contract with persons to administer and carry out this chapter

and rules, standards, and orders adopted under this chapter,

excluding any enforcement authority.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.077. STATEMENTS, REGISTRATIONS, AND REPORTS CONSIDERED

TO BE VERIFIED. (a) A statement, registration, or report that

is filed with the commission is considered to be under oath by

the person required to file the statement, registration, or

report regardless of the absence of or defect in the affidavit of

verification, including a signature.

(b) A person required to file a statement, registration, or

report with the commission is subject to prosecution under

Chapter 37, Penal Code, regardless of the absence of or defect in

the affidavit of verification.

that is filed with the commission electronically or otherwise.

Added by Acts 1995, 74th Leg., ch. 996, Sec. 6, eff. Sept. 1,

1995.

Sec. 571.0771. CORRECTED STATEMENTS, REGISTRATIONS, AND REPORTS

CONSIDERED TIMELY FILED. (a) A statement, registration, or

report required that is filed with the commission is not

considered to be late for purposes of any applicable civil

penalty for late filing of the statement, registration, or report

if:

(1) any error or omission in the statement, registration, or

report as originally filed was made in good faith; and

(2) not later than the 14th business day after the date the

person filing the statement, registration, or report learns that

the statement, registration, or report as originally filed is

inaccurate or incomplete, the person files:

(A) a corrected or amended statement, registration, or report;

and

(B) an affidavit stating that the error or omission in the

original statement, registration, or report was made in good

faith.

(b) Subsection (a) does not apply to:

(1) a penalty imposed under Section 571.069 or Subchapter E or F;

(2) a report required to be filed under Section 254.038,

254.039, 254.064(c), 254.124(c), or 254.154(c), Election Code.

(b-1) Repealed by Acts 2007, 80th Leg., R.S., Ch. 324, Sec. 2,

eff. September 1, 2007.

(b-2) Repealed by Acts 2007, 80th Leg., R.S., Ch. 324, Sec. 2,

eff. September 1, 2007.

254.124(c), or 254.154(c), Election Code, is not considered to be

late for purposes of any applicable civil penalty for late filing

of the report if:

(1) the report as originally filed substantially complies with

the applicable law, as determined by the commission;

(2) any error or omission in the report as originally filed was

made in good faith; and

(3) not later than the 14th business day after the date the

person filing the report learns that the report as originally

filed is inaccurate or incomplete, the person files:

(A) a corrected or amended report; and

(B) an affidavit stating that the error or omission in the

original report was made in good faith.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.13, eff. Sept. 1,

2003.

Amended by:

Acts 2005, 79th Leg., Ch.

1250, Sec. 2, eff. September 1, 2005.

Acts 2007, 80th Leg., R.S., Ch.

324, Sec. 1, eff. September 1, 2007.

Acts 2007, 80th Leg., R.S., Ch.

324, Sec. 2, eff. September 1, 2007.

Sec. 571.078. NEGOTIATED RULEMAKING AND ALTERNATIVE DISPUTE

RESOLUTION. (a) The commission shall develop and implement a

policy to encourage the use of:

(1) negotiated rulemaking procedures under Chapter 2008 for the

adoption of commission rules; and

(2) appropriate alternative dispute resolution procedures under

Chapter 2009 to assist in the resolution of internal and external

disputes under the commission's jurisdiction.

(b) Subsection (a)(2) does not apply to a preliminary review or

preliminary review hearing under Sections 571.124 through

571.126.

resolution must conform, to the extent possible, to any model

guidelines issued by the State Office of Administrative Hearings

for the use of alternative dispute resolution by state agencies.

(d) The commission shall designate a trained person to:

(1) coordinate the implementation of the policy adopted under

Subsection (a);

(2) serve as a resource for any training needed to implement the

procedures for negotiated rulemaking or alternative dispute

resolution; and

(3) collect data concerning the effectiveness of those

procedures, as implemented by the commission.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.13, eff. Sept. 1,

2003.

Sec. 571.079. POSTING INFORMATION RELATING TO UNPAID PENALTIES

ON WEBSITE. (a) Not later than the 15th day after the date on

which an application for a place on the general primary election

ballot or for nomination by convention is required to be filed,

the commission shall post on its Internet website:

(1) the name and address of each candidate for an office

specified by Section 252.005(1), Election Code, who has failed to

pay a civil penalty imposed by the commission for failure to file

with the commission a required report or statement under Chapter

254, Election Code, or Chapter 572; and

(2) for each candidate listed under Subdivision (1), the amount

of the penalty imposed and the amount paid, if any.

(b) The commission may not post information under this section

that relates to a civil penalty while the penalty is the subject

of an administrative or judicial appeal by the candidate against

whom the penalty is imposed.

website information posted under this section as soon as

practicable after the candidate pays the civil penalty in full.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.13, eff. Sept. 1,

2003.

SUBCHAPTER D. ADVISORY OPINIONS

Sec. 571.091. OPINION TO BE GIVEN ON REQUEST. (a) The

commission shall prepare a written opinion answering the request

of a person subject to any of the following laws for an opinion

about the application of any of these laws to the person in

regard to a specified existing or hypothetical factual situation:

(1) Chapter 302;

(2) Chapter 303;

(3) Chapter 305;

(4) Chapter 2004;

(5) Chapter 572;

(6) Subchapter C, Chapter 159, Local Government Code, as

provided by Section 571.061(a)(2);

(7) Title 15, Election Code;

(8) Chapter 36, Penal Code;

(9) Chapter 39, Penal Code;

(10) Section 2152.064; or

(11) Section 2155.003.

(b) An opinion request under Subsection (a) must be in writing

to the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 1997, 75th Leg., ch. 506, Sec. 4, eff.

Sept. 1, 1997; Acts 1997, 75th Leg., ch. 507, Sec. 4, eff. Sept.

1, 1997; Acts 1997, 75th Leg., ch. 1154, Sec. 6, eff. Sept. 1,

1997; Acts 1999, 76th Leg., ch. 62, Sec. 8.13, eff. Sept. 1,

1999.

Amended by:

Acts 2007, 80th Leg., R.S., Ch.

937, Sec. 3.08, eff. September 1, 2007.

Sec. 571.092. DEADLINE FOR OPINION; EXTENSION. (a) The

commission shall issue an advisory opinion not later than the

60th day after the date the commission receives the request.

(b) The commission by vote may extend the time available to

issue an opinion by 30 days. The commission may not grant more

than two extensions.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.093. PROTECTION OF IDENTITY OF REQUESTOR OR AFFECTED

PERSON. (a) The commission shall maintain the confidentiality

of the name of the person requesting an advisory opinion and

shall issue opinions in a form necessary to maintain that

confidentiality.

(b) The commission may not issue an opinion that includes the

name of any person who may be affected by the opinion.

requests an opinion and files written notice with the commission

waiving the confidentiality of the person's identity.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.094. OPINION ISSUED ON INITIATIVE OF COMMISSION. On

its own initiative, the commission may issue a written advisory

opinion about the application of a law listed in Section 571.091

if a majority of the commission determines that an opinion would

be in the public interest or in the interest of any person under

the jurisdiction of the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.095. MAINTENANCE OF OPINIONS; SUMMARY. The commission

shall number and categorize each advisory opinion issued and

annually shall compile a summary of its opinions in a single

reference document.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.096. OPINION BY OTHER GOVERNMENTAL ENTITY. (a) The

authority of the commission to issue an advisory opinion does not

affect the authority of the attorney general to issue an opinion

as authorized by law.

(b) In issuing an opinion under this subchapter, the commission

shall consider the opinions issued by the State Ethics Advisory

Commission and the secretary of state that are not overruled by

statute or rule of the commission.

general and the courts of this state.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.097. DEFENSE FOR RELIANCE ON ADVISORY OPINION. It is a

defense to prosecution or to imposition of a civil penalty that

the person reasonably relied on a written advisory opinion of the

commission relating to the provision of the law the person is

alleged to have violated or relating to a fact situation that is

substantially similar to the fact situation in which the person

is involved.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.098. CONVERSION OF CONTRIBUTION TO PERSONAL USE. A

person involved in a transaction or activity that the commission

concludes in an advisory opinion to be a conversion of a

contribution to personal use in violation of Section 253.035,

Election Code, is not civilly liable to the state if:

(1) before receiving the opinion, the person reasonably believed

the transaction or activity did not constitute a conversion,

taking into account prior opinions and rules of the commission;

and

(2) on or before the 30th day after the date the opinion is

published, the person:

(A) returns to the political fund from which it was removed an

amount equal to the amount converted; and

(B) notifies the commission by certified mail that the person

has returned the converted contribution as required by this

section.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

SUBCHAPTER E. COMPLAINT PROCEDURES AND HEARINGS

Sec. 571.121. GENERAL POWERS. (a) The commission may:

(1) hold hearings, on its own motion adopted by an affirmative

vote of at least six commission members or on a sworn complaint,

and render decisions on complaints or reports of violations as

provided by this chapter; and

(2) agree to the settlement of issues.

(b) The commission may not consider a complaint or vote to

investigate a matter outside the commission's jurisdiction.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.14, eff.

Sept. 1, 2003.

Sec. 571.1211. DEFINITIONS. In this subchapter:

(1) "Campaign communication" and "political advertising" have

the meanings assigned by Section 251.001, Election Code.

(2) "Category One violation" means a violation of a law within

jurisdiction of the commission as to which it is generally not

difficult to ascertain whether the violation occurred or did not

occur, including:

(A) the failure by a person required to file a statement or

report to:

(i) file the required statement or report in a manner that

complies with applicable requirements; or

(ii) timely file the required statement or report;

(B) a violation of Section 255.001, Election Code;

communication relating to the office held by a person in

violation of Section 255.006, Election Code;

(D) a failure to include in any written political advertising

intended to be seen from a road the right-of-way notice in

violation of Section 255.007, Election Code; or

(E) a failure to timely respond to a written notice under

Section 571.123(b).

(3) "Category Two violation" means a violation of a law within

the jurisdiction of the commission that is not a Category One

violation.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.15, eff. Sept. 1,

2003.

Sec. 571.1212. CATEGORIZATION OF VIOLATIONS. An allegation of a

violation listed as a Category One violation shall be treated as

a Category Two violation if the executive director at any time

determines that:

(1) the allegation arises out of the same set of facts as those

that give rise to an allegation of a Category Two violation, and

the interests of justice or efficiency require resolution of the

allegations together; or

(2) the facts and law related to a particular allegation or a

defense to the allegation present a level of complexity that

prevents resolution through the preliminary review procedures for

Category One violations prescribed by Section 571.1242(a).

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.15, eff. Sept. 1,

2003.

Sec. 571.122. FILING OF COMPLAINT; CONTENTS. (a) An individual

may file with the commission a sworn complaint alleging that a

person subject to a law administered and enforced by the

commission has violated a rule adopted by or a law administered

and enforced by the commission. A sworn complaint must be filed

on a form prescribed by the commission. The commission shall make

the complaint form available on the Internet. The form

prescribed by the commission must require the complainant to

provide the following information for both the complainant and

the respondent:

(1) the person's name;

(2) the person's telephone number;

(3) the person's electronic mail address, if known; and

(4) the physical address of the person's home or business.

(b) A complaint filed under this section must be in writing and

under oath and must set forth in simple, concise, and direct

statements:

(1) the name of the complainant;

(2) the street or mailing address of the complainant;

(3) the name of each respondent;

(4) the position or title of each respondent;

(5) the nature of the alleged violation, including if possible

the specific rule or provision of law alleged to have been

violated;

(6) a statement of the facts constituting the alleged violation

and the dates on which or period of time in which the alleged

violation occurred; and

(7) all documents or other material available to the complainant

that are relevant to the allegation, a list of all documents or

other material within the knowledge of the complainant and

available to the complainant that are relevant to the allegation

but that are not in the possession of the complainant, including

the location of the documents, if known, and a list of all

documents or other material within the knowledge of the

complainant that are unavailable to the complainant and that are

relevant to the complaint, including the location of the

documents, if known.

Text of subsection as added by Acts 2009, 81st Leg., R.S., Ch.

1166, Sec. 1

(b-1) An individual must be a resident of this state to be

eligible to file a sworn complaint with the commission. A copy

of one of the following documents must be attached to the

complaint:

(1) the complainant's driver's license or personal

identification certificate issued under Chapter 521,

Transportation Code, or commercial driver's license issued under

Chapter 522, Transportation Code; or

(2) a utility bill, bank statement, government check, paycheck,

or other government document that:

(A) shows the name and address of the complainant; and

(B) is dated not more than 30 days before the date on which the

complaint is filed.

Text of subsection as added by Acts 2009, 81st Leg., R.S., Ch.

604, Sec. 2

(b-1) To be eligible to file a sworn complaint with the

commission, an individual must be a resident of this state or

must own real property in this state. A copy of one of the

following documents must be attached to the complaint:

(1) the complainant's driver's license or personal

identification certificate issued under Chapter 521,

Transportation Code, or commercial driver's license issued under

Chapter 522, Transportation Code;

(2) a utility bill, bank statement, government check, paycheck,

or other government document that:

(A) shows the name and address of the complainant; and

(B) is dated not more than 30 days before the date on which the

complaint is filed; or

(3) a property tax bill, notice of appraised value, or other

government document that:

(A) shows the name of the complainant;

(B) shows the address of real property in this state; and

property.

that the information contained in the complaint is either correct

or that the complainant has good reason to believe and does

believe that the violation occurred. If the complaint is based on

information and belief, the complaint shall state the source and

basis of the information and belief. The complainant may swear to

the facts by oath before a notary public or other authorized

official.

(d) The complaint must state on its face an allegation that, if

true, constitutes a violation of a rule adopted by or a law

administered and enforced by the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.16, eff.

Sept. 1, 2003.

Amended by:

Acts 2009, 81st Leg., R.S., Ch.

604, Sec. 2, eff. September 1, 2009.

Acts 2009, 81st Leg., R.S., Ch.

1166, Sec. 1, eff. June 19, 2009.

Sec. 571.1221. DISMISSAL OF COMPLAINT FILED AT DIRECTION OR

URGING OF NONRESIDENT. At any stage of a proceeding under this

subchapter, the commission shall dismiss the complaint if the

commission determines that the complaint was filed at the

direction or urging of a person who is not a resident of this

state.

Added by Acts 2009, 81st Leg., R.S., Ch.

1166, Sec. 2, eff. June 19, 2009.

Sec. 571.123. PROCESSING OF COMPLAINT. (a) The commission

shall determine whether a sworn complaint filed with the

commission complies with the form requirements of Section

571.122.

(b) After a complaint is filed, the commission shall immediately

attempt to contact and notify the respondent of the complaint by

telephone or electronic mail. Not later than the fifth business

day after the date a complaint is filed, the commission shall

send written notice to the complainant and the respondent. The

written notice to the complainant and the respondent must:

(1) state whether the complaint complies with the form

requirements of Section 571.122; and

(2) if applicable, include the information required by Section

571.124(e).

comply with the form requirements, the commission shall send the

complaint to the complainant with the written notice, a statement

explaining how the complaint fails to comply, and a copy of the

rules for filing sworn complaints. The commission shall send a

copy of the rejected complaint to the respondent with the written

notice and the statement explaining how the complaint fails to

comply. The complainant may resubmit the complaint not later

than the 21st day after the date the notice under Subsection (b)

is mailed. If the commission determines that the complaint is not

resubmitted within the 21-day period, the commission shall:

(1) dismiss the complaint; and

(2) not later than the fifth business day after the date of the

dismissal, send written notice to the complainant and the

respondent of the dismissal and the grounds for dismissal.

(d) If the commission determines that a complaint is resubmitted

under Subsection (c) within the 21-day period but is not in

proper form, the commission shall send the notice required under

Subsection (c), and the complainant may resubmit the complaint

under that subsection.

(e) If the commission determines that a complaint returned to

the complainant under Subsection (c) or (d) is resubmitted within

the 21-day period and that the complaint complies with the form

requirements, the commission shall send the written notice under

Subsection (b).

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.17, eff.

Sept. 1, 2003.

Amended by:

Acts 2009, 81st Leg., R.S., Ch.

1165, Sec. 1, eff. June 19, 2009.

Acts 2009, 81st Leg., R.S., Ch.

1166, Sec. 3, eff. June 19, 2009.

Sec. 571.124. PRELIMINARY REVIEW: INITIATION. (a) The

commission staff shall promptly conduct a preliminary review on

receipt of a written complaint that is in compliance with the

form requirements of Section 571.122.

(b) On a motion adopted by an affirmative vote of at least six

commission members, the commission, without a sworn complaint,

may initiate a preliminary review of the matter that is the

subject of the motion.

the commission has jurisdiction over the violation of law alleged

in a sworn complaint processed under Section 571.123.

(d) Repealed by Acts 2003, 78th Leg., ch. 249, Sec. 1.33.

(e) If the executive director determines that the commission has

jurisdiction, the notice under Section 571.123(b) must include:

(1) a statement that the commission has jurisdiction over the

violation of law alleged in the complaint;

(2) a statement of whether the complaint will be processed as a

Category One violation or a Category Two violation, subject to

reconsideration as provided for by Section 571.1212;

(3) the date by which the respondent is required to respond to

the notice;

(4) a copy of the complaint and the rules of procedure of the

commission;

(5) a statement of the rights of the respondent;

(6) a statement inviting the respondent to provide to the

commission any information relevant to the complaint; and

(7) a statement that a failure to timely respond to the notice

will be treated as a separate violation.

(f) If the executive director determines that the commission

does not have jurisdiction over the violation alleged in the

complaint, the executive director shall:

(1) dismiss the complaint; and

(2) not later than the fifth business day after the date of the

dismissal, send to the complainant and the respondent written

notice of the dismissal and the grounds for the dismissal.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.18, 1.33,

eff. Sept. 1, 2003.

Sec. 571.1241. REVIEW OF EXECUTIVE DIRECTOR'S DETERMINATION OF

NO JURISDICTION. (a) If the executive director determines that

the commission does not have jurisdiction over the violation

alleged in the complaint, the complainant may request that the

commission review the determination. A request for review under

this section must be filed not later than the 30th day after the

date the complainant receives the executive director's

determination.

(b) The commission may reverse the executive director's

determination only on the affirmative vote of at least six

members.

commission's determination under this section, the commission

shall send written notice to the complainant and the respondent

stating whether the commission has jurisdiction over the

violation alleged in the complaint. If the commission determines

that the commission has jurisdiction, the notice must include the

items listed in Section 571.124(e).

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.19, eff. Sept. 1,

2003.

Sec. 571.1242. PRELIMINARY REVIEW: RESPONSE BY RESPONDENT. (a)

If the alleged violation is a Category One violation:

(1) the respondent must respond to the notice required by

Section 571.123(b) not later than the 10th business day after the

date the respondent receives the notice; and

(2) if the matter is not resolved by agreement between the

commission and the respondent before the 30th business day after

the date the respondent receives the notice under Section

571.123(b), the commission shall set the matter for a preliminary

review hearing to be held at the next commission meeting for

which notice has not yet been posted.

(b) If the alleged violation is a Category Two violation:

(1) the respondent must respond to the notice required by

Section 571.123(b) not later than the 25th business day after the

date the respondent receives the notice under Section 571.123(b);

and

(2) if the matter is not resolved by agreement between the

commission and the respondent before the 75th business day after

the date the respondent receives the notice under Section

571.123(b), the commission shall set the matter for a preliminary

review hearing to be held at the next commission meeting for

which notice has not yet been posted.

Subsection (a)(1) or (b)(1) is a Category One violation.

(d) The response required by Subsection (a) or (b) must include

any challenge the respondent seeks to raise to the commission's

exercise of jurisdiction. In addition, the respondent may:

(1) acknowledge the occurrence or commission of a violation;

(2) deny the allegations contained in the complaint and provide

evidence supporting the denial; or

(3) agree to enter into an assurance of voluntary compliance or

other agreed order, which may include an agreement to immediately

cease and desist.

(e) If the commission sets the matter for a preliminary review

hearing, the commission shall promptly send to the complainant

and the respondent written notice of the date, time, and place of

the preliminary review hearing.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.19, eff. Sept. 1,

2003.

Sec. 571.1243. PRELIMINARY REVIEW: WRITTEN QUESTIONS. During a

preliminary review, the commission staff may submit to the

complainant or respondent written questions reasonably intended

to lead to the discovery of matters relevant to the

investigation.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.19, eff. Sept. 1,

2003.

Sec. 571.1244. PRELIMINARY REVIEW AND PRELIMINARY REVIEW

PROCEDURES. The commission shall adopt procedures for the

conduct of preliminary reviews and preliminary review hearings.

The procedures must include:

(1) a reasonable time for responding to questions submitted by

the commission and commission staff and subpoenas issued by the

commission; and

(2) the tolling or extension of otherwise applicable deadlines

where:

(A) the commission issues a subpoena and the commission's

meeting schedule makes it impossible both to provide a reasonable

time for response and to comply with the otherwise applicable

deadlines; or

(B) the commission determines that, despite commission staff's

diligence and the reasonable cooperation of the respondent, a

matter is too complex to resolve within the otherwise applicable

deadlines without compromising either the commission staff's

investigation or the rights of the respondent.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.19, eff. Sept. 1,

2003.

Sec. 571.125. PRELIMINARY REVIEW HEARING: PROCEDURE. (a) The

commission shall conduct a preliminary review hearing if:

(1) following the preliminary review, the commission and the

respondent cannot agree to the disposition of the complaint or

motion; or

(2) the respondent in writing requests a hearing.

(b) The commission shall provide written notice to the

complainant, if any, and the respondent of the date, time, and

place the commission will conduct the preliminary review hearing.

preliminary review hearing, the commission may submit to the

complainant and the respondent written questions and require

those questions to be answered under oath within a reasonable

time.

(d) During a preliminary review hearing, the commission:

(1) may consider all submitted evidence related to the complaint

or to the subject matter of a motion under Section 571.124(b);

(2) may review any documents or material related to the

complaint or to the motion; and

(3) shall determine whether there is credible evidence that

provides cause for the commission to conclude that a violation

within the jurisdiction of the commission has occurred.

(e) During a preliminary review hearing, the respondent may

appear before the commission with the assistance of counsel, if

desired by the respondent, and present any relevant evidence,

including a written statement.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.20, eff.

Sept. 1, 2003.

Sec. 571.126. PRELIMINARY REVIEW HEARING: RESOLUTION. (a) As

soon as practicable after the completion of a preliminary review

hearing, the commission by vote shall issue a decision stating:

(1) whether there is credible evidence for the commission to

determine that a violation within the jurisdiction of the

commission has occurred and whether the violation is technical or

de minimis; or

(2) that there is insufficient evidence for the commission to

determine whether a violation within the jurisdiction of the

commission has occurred.

(b) If the commission determines that there is credible evidence

for the commission to determine that a violation has occurred,

the commission shall resolve and settle the complaint or motion

to the extent possible. If the commission successfully resolves

and settles the complaint or motion, not later than the fifth

business day after the date of the final resolution of the

complaint or motion, the commission shall send to the

complainant, if any, and the respondent a copy of the decision

stating the commission's determination and written notice of the

resolution and the terms of the resolution. If the commission is

unsuccessful in resolving and settling the complaint or motion,

the commission shall:

(1) order a formal hearing to be held in accordance with

Sections 571.129 through 571.132; and

(2) not later than the fifth business day after the date of the

decision, send to the complainant, if any, and the respondent:

(A) a copy of the decision;

(B) written notice of the date, time, and place of the formal

hearing;

(D) a description of the evidence of the alleged violation;

(E) a copy of the complaint or motion;

(F) a copy of the commission's rules of procedure; and

(G) a statement of the rights of the respondent.

for the commission to determine that a violation within the

jurisdiction of the commission has not occurred, the commission

shall:

(1) dismiss the complaint or motion; and

(2) not later than the fifth business day after the date of the

dismissal, send to the complainant, if any, and the respondent a

copy of the decision stating the commission's determination and

written notice of the dismissal and the grounds for dismissal.

(d) If the commission determines that there is insufficient

credible evidence for the commission to determine that a

violation within the jurisdiction of the commission has occurred,

the commission may dismiss the complaint or motion or promptly

conduct a formal hearing under Sections 571.129 through 571.132.

Not later than the fifth business day after the date of the

commission's determination under this subsection, the commission

shall send to the complainant, if any, and the respondent a copy

of the decision stating the commission's determination and

written notice of the grounds for the determination.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.21, 1.22,

eff. Sept. 1, 2003.

Sec. 571.129. FORMAL HEARING: STANDARD OF EVIDENCE. During a

formal hearing, the commission shall determine by a preponderance

of the evidence whether a violation within the jurisdiction of

the commission has occurred.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.23, eff.

Sept. 1, 2003.

Sec. 571.130. FORMAL HEARING: SUBPOENAS AND WITNESSES. (a) A

subpoena or other request to testify shall be served sufficiently

in advance of the scheduled appearance at a formal hearing to

allow a reasonable period, as determined by the commission, for

the person subpoenaed to prepare for the hearing and to employ

counsel if desired.

(b) Except as provided by Section 571.131(a)(1), the commission

may order that a person may not, except as specifically

authorized by the presiding officer, make public the name of a

witness subpoenaed by the commission before the date of that

witness's scheduled appearance.

oral opening statement at a formal hearing.

(d) A person whose name is mentioned or who is identified or

referred to in testimony or in statements made by a commission

member, staff member, or witness and who reasonably believes that

the statement tends to adversely affect the person's reputation

may:

(1) request to appear personally before the commission to

testify in the person's own behalf; or

(2) file a sworn statement of facts relevant to the testimony or

statement that the person believes adversely affects the person's

reputation.

(e) A witness who testifies at a formal hearing must be sworn.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.131. FORMAL HEARING: PROCEDURE. (a) Not later than

the fifth business day before the date of a scheduled formal

hearing or on the granting of a motion for discovery by the

respondent, the commission shall provide to the complainant, if

any, and to the respondent:

(1) a list of proposed witnesses to be called at the hearing;

(2) copies of all documents expected to be introduced as

exhibits at the hearing; and

(3) a brief statement as to the nature of the testimony expected

to be given by each witness to be called at the hearing.

(b) The respondent may not be compelled to give evidence or

testimony that violates the respondent's right against

self-incrimination under the United States Constitution or the

Texas Constitution.

hearings, and related procedures consistent with this chapter and

Chapter 2001.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.132. FORMAL HEARING: RESOLUTION. (a) Not later than

the 30th business day after the date the State Office of

Administrative Hearings issues a proposal for decision, the

commission shall convene a meeting and by motion shall issue:

(1) a final decision stating the resolution of the formal

hearing; and

(2) a written report stating in detail the commission's findings

of fact, conclusions of law, and recommendation of criminal

referral or imposition of a civil penalty, if any.

(b) The motion must be adopted by a vote of at least six members

if the final decision is that a violation has occurred or by five

members if the final decision is that a violation has not

occurred.

commission issues the final decision and written report, the

commission shall:

(1) send a copy of the decision and report to the complainant,

if any, and to the respondent; and

(2) make a copy of the decision and report available to the

public during reasonable business hours.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.24, eff.

Sept. 1, 2003.

Sec. 571.133. APPEAL OF FINAL DECISION. (a) To appeal a final

decision of the commission, the respondent or the respondent's

agent may file a petition in a district court in Travis County or

in the county in which the respondent resides.

(b) The petition must be filed not later than the 30th business

day after the date the respondent received the decision.

petition is filed, the respondent may request that the appeal be

transferred to a district court in Travis County or in the county

in which the respondent resides, as appropriate. The court in

which the appeal is originally filed shall transfer the appeal to

a district court in the other county on receipt of the request.

(d) An appeal brought under this section is not limited to

questions of law, and the substantial evidence rule does not

apply. The action shall be determined by trial de novo. The

reviewing court shall try all issues of fact and law in the

manner applicable to other civil suits in this state but may not

admit in evidence the fact of prior action by the commission or

the nature of that action, except to the limited extent necessary

to show compliance with statutory provisions that vest

jurisdiction in the court. A party is entitled, on demand, to a

jury determination of any issue of fact on which a jury

determination is available in other civil suits in this state.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Amended by:

Acts 2007, 80th Leg., R.S., Ch.

857, Sec. 1, eff. September 1, 2007.

Sec. 571.134. DELAY OF REFERRAL. If an alleged violation

involves an election in which the alleged violator is a

candidate, a candidate's campaign treasurer, or the campaign

treasurer of a political committee supporting or opposing a

candidate and the complaint is filed within 60 days before the

date of the election, the commission shall delay referral until:

(1) the day after election day;

(2) the day after runoff election day if an ensuing runoff

involving the alleged violator is held; or

(3) the day after general election day if the election involved

in the violation is a primary election and the alleged violator

is involved in the succeeding general election.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.135. PUBLIC INTEREST INFORMATION. (a) The commission

shall develop plain-language materials as described by this

section. The commission shall distribute the materials to the

public and appropriate state agencies.

(b) The materials must include:

(1) a description of:

(A) the commission's responsibilities;

(B) the types of conduct that constitute a violation of a law

within the jurisdiction of the commission;

(D) the commission's policies and procedures relating to

complaint investigation and resolution; and

(E) the duties of a person filing a complaint with the

commission; and

(2) a diagram showing the basic steps in the commission's

procedures relating to complaint investigation and resolution.

section to each complainant and respondent.

(d) The commission shall adopt a policy to effectively

distribute materials as required by this section.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.25, eff.

Sept. 1, 2003.

Sec. 571.1351. STATUS OF COMPLAINT. (a) The commission shall

keep an information file about each sworn or other complaint

filed with the commission. The file must include:

(1) the name of the person who filed the complaint;

(2) the date the complaint is received by the commission;

(3) the subject matter of the complaint;

(4) the name of each person contacted in relation to the

complaint;

(5) a summary of the results of the review or investigation of

the complaint; and

(6) an explanation of the reason the file was closed, if the

commission closed the file without taking action other than to

investigate the complaint.

(b) The commission shall provide to the person filing the

complaint and to each person who is a subject of the complaint a

copy of the commission's policies and procedures relating to

complaint investigation and resolution.

through 571.132, the commission, at least quarterly until final

disposition of a complaint, shall notify the person who filed the

complaint and each person who is a subject of the complaint, if

any, of the status of the sworn or other complaint.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Renumbered from Government Code Sec. 571.135(b) and amended

by Acts 2003, 78th Leg., ch. 249, Sec. 1.25, eff. Sept. 1, 2003.

Sec. 571.136. EXTENSION OF DEADLINE. The commission may, on its

own motion or on the reasonable request of a respondent, extend

any deadline for action relating to a sworn complaint, motion,

preliminary review hearing, or formal hearing.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.25, eff.

Sept. 1, 2003.

Sec. 571.137. SUBPOENA. (a) In connection with a formal

hearing, the commission, as authorized by this chapter, may

subpoena and examine witnesses and documents that directly relate

to a sworn complaint.

(a-1) In connection with a preliminary review, the commission,

for good cause and as authorized by this chapter, may subpoena

documents and witnesses on application by the commission staff

and a motion adopted by a vote of at least six members of the

commission, for the purpose of attempting to obtain from the

documents or witnesses specifically identified information, if

the commission reasonably believes that the specifically

identified information:

(1) is likely to be determinative as to whether the subject of

an investigation has violated a law within the jurisdiction of

the commission;

(2) can be determined from the documents or is known by the

witnesses; and

(3) is not reasonably available through a less intrusive means.

(a-2) The commission shall adopt procedures for the issuance of

subpoenas under this section.

(a-3) A copy of a subpoena issued under this section must be

delivered to the respondent.

(b) At the written request of at least six members of the

commission, a peace officer shall serve a subpoena of the

commission in the manner prescribed for service of a district

court subpoena.

appear, refuses to answer inquiries, or fails or refuses to

produce books, records, or other documents that were under the

person's control when the demand was made, the commission shall

report that fact to a district court in Travis County. The

district court shall enforce the subpoena by attachment

proceedings for contempt in the same manner as the court enforces

a subpoena issued by the court.

(d) A respondent has the right to quash a subpoena as provided

by law.

(e) A subpoenaed witness who attends a commission hearing is

entitled to the same mileage and per diem payments as a witness

who appears before a grand jury. A person who provides subpoenaed

documents to the commission is entitled to reimbursement from the

commission for the person's reasonable cost of producing the

documents.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.26, eff.

Sept. 1, 2003.

Sec. 571.138. STATUS OF COMPLAINANT. The complainant is not a

party to a preliminary review, preliminary review hearing, or

formal hearing under this subchapter.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.27, eff.

Sept. 1, 2003.

Sec. 571.139. APPLICABILITY OF OTHER ACTS. (a) Except as

provided by Section 571.140(b), Chapter 552 does not apply to

documents or any additional evidence relating to the processing,

preliminary review, preliminary review hearing, or resolution of

a sworn complaint or motion.

(b) Chapter 551 does not apply to the processing, preliminary

review, preliminary review hearing, or resolution of a sworn

complaint or motion, but does apply to a formal hearing held

under Sections 571.129 through 571.131.

formal hearing under this subchapter, the resolution of a formal

hearing, and the appeal of a final order of the commission, and

only to the extent consistent with this chapter.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.28, eff.

Sept. 1, 2003.

Sec. 571.140. CONFIDENTIALITY; OFFENSE. (a) Except as provided

by Subsection (b) or (b-1) or by Section 571.171, proceedings at

a preliminary review hearing performed by the commission, a sworn

complaint, and documents and any additional evidence relating to

the processing, preliminary review, preliminary review hearing,

or resolution of a sworn complaint or motion are confidential and

may not be disclosed unless entered into the record of a formal

hearing or a judicial proceeding, except that a document or

statement that was previously public information remains public

information.

(b) An order issued by the commission after the completion of a

preliminary review or hearing determining that a violation other

than a technical or de minimis violation has occurred is not

confidential.

(b-1) A commission employee may, for the purpose of

investigating a sworn complaint or motion, disclose to the

complainant, the respondent, or a witness information that is

otherwise confidential and relates to the sworn complaint if:

(1) the employee makes a good faith determination that the

disclosure is necessary to conduct the investigation;

(2) the employee's determination under Subdivision (1) is

objectively reasonable;

(3) the executive director authorizes the disclosure; and

(4) the employee discloses only the information necessary to

conduct the investigation.

information made confidential by this section. An offense under

this subsection is a Class C misdemeanor.

(d) In addition to other penalties, a person who discloses

information made confidential by this section is civilly liable

to the respondent in an amount equal to the greater of $10,000 or

the amount of actual damages incurred by the respondent,

including court costs and attorney fees.

(e) The commission shall terminate the employment of a

commission employee who violates Subsection (a).

(f) A commission employee who discloses confidential information

in compliance with Subsection (b-1) is not subject to Subsections

(c), (d), and (e).

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.29, eff.

Sept. 1, 2003.

Sec. 571.141. AVAILABILITY OF COMMISSION ORDERS ON INTERNET.

(a) As soon as practicable following a preliminary review,

preliminary review hearing, or formal hearing at which the

commission determines that a person has committed a violation

within the commission's jurisdiction, the commission shall make

available on the Internet:

(1) a copy of the commission's order stating the determination;

(2) a summary of the commission's order.

(b) This section does not apply to a determination of a

violation that is technical or de minimis.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.30, eff. Sept. 1,

2003.

Sec. 571.142. LIABILITY FOR RESPONDENT'S COSTS. (a) This section

applies only to a sworn complaint if:

(1) the complaint was filed after the 30th day before the date

of an election;

(2) the respondent is a candidate in the election; and

(3) the complaint alleges a violation other than a technical or

clerical violation.

(b) If, in disposing of a sworn complaint to which this section

applies, the commission determines that a violation within the

commission's jurisdiction has not occurred, the complainant is

liable for the respondent's reasonable and necessary attorney's

fees and other costs incurred in defending against the complaint.

reporting omission required by law.

Added by Acts 2009, 81st Leg., R.S., Ch.

604, Sec. 3, eff. September 1, 2009.

SUBCHAPTER F. ENFORCEMENT

Sec. 571.171. INITIATION AND REFERRAL. (a) On a motion adopted

by an affirmative vote of at least six commission members, the

commission may initiate civil enforcement actions and refer

matters to the appropriate prosecuting attorney for criminal

prosecution.

(b) On receipt of a sworn complaint, if the executive director

reasonably believes that the person who is the subject of the

complaint has violated Chapter 36 or 39, Penal Code, the

executive director may refer the matter to the appropriate

prosecuting attorney for criminal prosecution.

section, the commission or executive director may disclose

confidential information.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993. Amended by Acts 2003, 78th Leg., ch. 249, Sec. 1.31, eff.

Sept. 1, 2003.

Sec. 571.172. ORDER. The commission may:

(1) issue and enforce a cease and desist order to stop a

violation; and

(2) issue an affirmative order to require compliance with the

laws administered and enforced by the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.173. CIVIL PENALTY FOR DELAY OR VIOLATION. The

commission may impose a civil penalty of not more than $5,000 or

triple the amount at issue under a law administered and enforced

by the commission, whichever amount is more, for a delay in

complying with a commission order or for a violation of a law

administered and enforced by the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.1731. WAIVER OR REDUCTION OF LATE FILING PENALTY. (a)

A person may request the waiver or reduction of a civil penalty

under Section 305.033(b) or 572.033(b) of this code or Section

254.042(b), Election Code, by submitting an affidavit to the

executive director that states the filer's reasons for requesting

a waiver or reduction.

(b) The commission may waive or reduce a civil penalty if the

commission finds that a waiver or reduction is in the public

interest and in the interest of justice. The commission shall

consider the following before acting to waive or reduce a civil

penalty:

(1) the facts and circumstances supporting the person's request

for a waiver or reduction;

(2) the seriousness of the violation, including the nature,

circumstances, consequences, extent, and gravity of the

violation, and the amount of the penalty;

(3) any history of previous violations by the person;

(4) the demonstrated good faith of the person, including actions

taken to rectify the consequences of the violation;

(5) the penalty necessary to deter future violations; and

(6) any other matter that justice may require.

reduce, or waive the civil penalty.

Added by Acts 2003, 78th Leg., ch. 249, Sec. 1.32, eff. Sept. 1,

2003.

Sec. 571.174. DENIAL, SUSPENSION, OR REVOCATION OF LOBBYIST

REGISTRATION. After a criminal conviction for an offense under

Chapter 36 of the Penal Code or under Chapter 305, the commission

may deny, suspend, or revoke the registration of a person

required to be registered under Chapter 305.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.175. NOTIFICATION OF REGULATORY OR SUPERVISORY ENTITY.

The commission may notify the appropriate regulatory or

supervisory entity, including any agency, the State Commission on

Judicial Conduct, the senate, the house of representatives, or

the State Bar of Texas, of a violation of a law administered and

enforced by the commission.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Sec. 571.176. CIVIL PENALTY FOR FRIVOLOUS OR BAD-FAITH

COMPLAINT. (a) The commission may impose a civil penalty of not

more than $10,000 for the filing of a frivolous or bad-faith

complaint. In this subsection, "frivolous complaint" means a

complaint that is groundless and brought in bad faith or is

groundless and brought for the purpose of harassment.

(b) In addition to other penalties, a person who files a

frivolous complaint is civilly liable to the respondent in an

amount equal to the greater of $10,000 or the amount of actual

damages incurred by the respondent, including court costs and

attorney fees.

accordance with Section 571.122, alleging that a complaint

relating to that person filed with the commission is frivolous or

brought in bad faith. A complaint may be filed under this

subsection without regard to whether the complaint alleged to be

frivolous or brought in bad faith is pending before the

commission or has been resolved. The commission shall act on a

complaint made under this subsection as provided by Subchapter E.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1,

1993.

Amended by:

Acts 2005, 79th Leg., Ch.

1141, Sec. 1, eff. June 18, 2005.

Sec. 571.177. FACTORS CONSIDERED FOR ASSESSMENT OF SANCTION.

The commission shall consider the following factors in assessing

a sanction:

(1) the seriousness of the violation, including the nature,

circumstances, consequences, extent, and gravity of the

violation;

(2) the history and extent of previous violations;

(3) the demonstrated good faith of the violator, including

actions taken to rectify the consequences of the violation;

(4) the penalty necessary to deter future violations; and

(5) any other matters that justice may require.

Added by Acts 1993, 73rd Leg., ch. 268, Sec. 1, eff. Sept. 1993.

Disclaimer: These codes may not be the most recent version. Texas may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

2009 Texas Code GOVERNMENT CODE TITLE 5. OPEN GOVERNMENT; ETHICS CHAPTER 571. TEXAS ETHICS COMMISSION

2009 Texas Code
GOVERNMENT CODE
TITLE 5. OPEN GOVERNMENT; ETHICS
CHAPTER 571. TEXAS ETHICS COMMISSION