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Regular Session, 2010
HOUSE BILL NO. 1143
BY REPRESENTATIVE GALLOT
ETHICS/BOARD: Amends provisions concerning enforcement of the ethics code
AN ACT1
To amend and reenact R.S. 42:1141(A)(1) and (6), (B)(1)(a), and (C)(1), (2), (4)(c), (d), and2
(e), and (5), to enact R.S. 42:1141(C)(4)(f) and (g) and 1163.1, and to repeal R.S.3
42:1141(B)(3), (C)(3)(c), and (E)(10) and 1163, relative to enforcement of laws4
within the jurisdiction of the Board of Ethics; to provide for the conduct of hearings5
and procedures related thereto; to provide for review of decisions related thereto; to6
provide for certain time limits for such enforcement; to provide relative to the7
powers, functions, and duties of the Board of Ethics, relative to such enforcement;8
to provide relative to the powers, functions, and duties of the Ethics Adjudicatory9
Board and the division of administrative law, relative to such enforcement; to10
provide relative to the composition of and selection of members for the Ethics11
Adjudicatory Board; to provide for the terms of members of the Ethics Adjudicatory12
Board; to provide for applicability; and to provide for related matters.13
Be it enacted by the Legislature of Louisiana:14
Section 1. R.S. 42:1141(A)(1) and (6), (B)(1)(a), and (C)(1), (2), (4)(c), (d), and (e),15
and (5) are hereby amended and reenacted and R.S. 42:1141(C)(4)(f) and (g) and 1163.1 are16
hereby enacted to read as follows: 17
§1141. Procedure; adjudicatory board18
A. Panels. (1) The board members of the board of ethics shall sit en banc19
and in panels in such order and at such times as the board directs.20
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(6)(a) The board, by a majority vote of its membership, may review any1
opinion, decision, finding, or ruling of any panel.2
(b) Any public servant or other person who is aggrieved by any action taken3
by a panel may request a review of the panel's decision by the board within thirty4
days of the mailing of the notice of the panel's decision. The board shall determine5
whether or not to review the panel's action within thirty days of receipt of the request6
for review.7
* * *8
B. Complaints. (1)(a) The board shall consider any signed sworn complaint9
from any elector, hereinafter referred to as complainant, concerning a violation of10
this Chapter which is within its jurisdiction or the regulations or orders issued by the11
board, or may, by a two-thirds majority vote of its membership, consider any matter12
which it has reason to believe may be a violation of this Chapter. Additionally, the13
board may consider any matter which it has reason to believe may be a violation of14
any other provision of law within its jurisdiction as provided in this Subsection or15
as may be otherwise provided by law. A certified copy of the vote; a detailed16
explanation of the matter, including the specific factual allegations upon which the17
board based its decision to investigate; and a copy of any complaint received by the18
board, from which the name of the complainant has been redacted, shall be sent by19
certified mail to the accused respondent and the complainant within ten days after20
the vote occurs or after receipt of a signed sworn complaint. The chairman of the21
board shall assign each such matter to the appropriate panel for investigation.22
* * *23
C. Investigation and hearing. (1) Upon receiving a sworn complaint or24
voting to consider a matter as provided in Subsection B of this Section, a private25
investigation shall be conducted to elicit evidence upon which the panel as provided26
in this Section shall determine whether to recommend to the board that a public27
hearing be conducted or that a violation has not occurred. The accused respondent28
and the complainant shall be given written notification of the commencement of the29 HLS 10RS-155 REENGROSSED
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investigation not less than ten days prior to the date set for the commencement of the1
investigation. All determinations in this Subsection shall be by a majority vote of2
the panel. However, in cases where the panel consists of three members, all3
determinations of such a panel shall require a unanimous vote of the members of the4
panel.5
(2) After the investigation has been completed, the board shall determine6
whether a public hearing should be conducted to receive evidence and to determine7
whether any violation of any provision of law within its jurisdiction has occurred.8
If a violation has not occurred, the defendant respondent and the complainant shall9
be notified within ten days of the ruling.10
* * *11
(4)12
* * *13
(c) The members of the Ethics Adjudicatory Board shall be randomly14
selected at a public meeting of the Board of Ethics, from among the names of all15
administrative law judges who meet the qualifications. The members of the first16
Ethics Adjudicatory Board shall be selected by August 15, 2008. The initial Ethics17
Adjudicatory Board shall serve until January 1, 2009. Thereafter, the adjudicatory18
board members shall be selected annually to serve a one-year term from January first19
through December thirty-first. The members of the adjudicatory board shall serve20
three year terms, which terms shall begin on January first. The adjudicatory board21
members for the years 2009 and beyond shall be randomly selected at a public22
meeting held by the Board of Ethics in December of the preceding year preceding23
the year in which the terms are to begin. There shall be no limitation on the number24
of times a qualified member may be selected to serve.25
(d)(i) The Ethics Adjudicatory Board shall sit in rotating panels composed26
of three administrative law judges randomly selected from among the members of27
the adjudicatory board. The administrative law judge most senior in service who is28
present shall preside. The determination of the majority of the panel in a particular29 HLS 10RS-155 REENGROSSED
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case shall be the determination of the Ethics Adjudicatory Board. After the hearing,1
the presiding administrative law judge shall assign authorship responsibility for the2
determination.3
(ii) At the hearing, an ethics adjudicatory panel shall determine whether a4
violation of any provision of law within the jurisdiction of the Board of Ethics has5
occurred. If the ethics adjudicatory panel determines that a violation has occurred,6
it shall determine what authorized penalties or other sanctions, if any, should be7
imposed. The administrative law judge remaining after the selection of the two8
panels shall serve as an alternate who shall serve on a panel when a member of the9
panel is unavailable. A vacancy occurring on a panel shall be filled by the alternate.10
A vacancy on the Ethics Adjudicatory Board shall be filled for the remainder of the11
term at the next public meeting of the Board of Ethics following the occurrence of12
the vacancy in the same manner as the original appointment.13
(e) At the hearing, an ethics adjudicatory panel shall determine whether a14
violation of any provision of law within the jurisdiction of the Board of Ethics has15
occurred. If the ethics adjudicatory panel determines that a violation has occurred,16
it shall determine what authorized penalties or other sanctions, if any, should be17
imposed. 18
(f) If the public hearing of the ethics adjudicatory panel fails to disclose clear19
and convincing evidence to support the charges, the ethics adjudicatory panel shall20
make an official determination of its findings, and thereupon the Board of Ethics21
shall close its file on the charges matter shall be dismissed. The person charged22
respondent and the complainant shall be notified in writing within ten days of the23
ethics adjudicatory panel's rendition of a final decision. The person charged24
respondent may require the ethics adjudicatory panel to make an official25
determination of the validity of the charges against him.26
(g)(i) A public servant or other person who is aggrieved by a final decision27
or order of an adjudicatory panel may request a review of the panel's final decision28
or order by the full Ethics Adjudicatory Board.29 HLS 10RS-155 REENGROSSED
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(ii) The Board of Ethics may request a review by the full Ethics Adjudicatory1
Board of an adjudicatory panel's final decision or order on a question of law.2
(iii) A request for review pursuant to this Subparagraph shall be made within3
thirty days of the mailing of the notice of the adjudicatory panel's final decision or4
order. The adjudicatory board shall determine whether or not to review the panel's5
final decision or order within thirty days of receipt of the request for review.6
(iv) The right of review provided in this Subparagraph shall apply only to the7
final disposition of the matter and shall not apply to any preliminary, procedural, or8
intermediate decision or order of an adjudicatory panel.9
(v) If a person makes a timely request for review pursuant to this10
Subparagraph, the period within which appeal shall be sought pursuant to R.S.11
42:1142 shall run from the final disposition of such request for review.12
(5) If the ethics adjudicatory panel determines that a violation has occurred13
and prescribes authorized penalties or other sanctions, the Board of Ethics shall,14
within forty-five days of the issuance of the determination by the ethics adjudicatory15
panel, issue a decision adopting the determination of the ethics adjudicatory panel.16
The Board of Ethics shall have no authority to override a final decision or order of17
the Ethics Adjudicatory Board. Upon the issuance of such a final decision or order,18
the Board of Ethics and each official and employee acting on behalf of the Board of19
Ethics shall comply fully with and enforce the final order or decision.20
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§1163.1. Time limits on enforcement22
The Board of Ethics shall not vote to issue charges based on an alleged23
violation of any provision of this Chapter after the expiration of one of the following24
periods, whichever expires first:25
(1) One year following receipt by the board of the complaint of the alleged26
violation or, if no complaint was received, the date the board voted to consider the27
alleged violation. For purposes of this Paragraph, "receipt by the board" means28 HLS 10RS-155 REENGROSSED
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receipt by a member of the board, a member of the staff of the board, or any person1
employed by or acting on behalf of the board, whichever occurs earliest.2
(2) Four years after the occurrence of the alleged violation.3
Section 2. R.S. 42:1141(B)(3), (C)(3)(c), and (E)(10) and 1163 are hereby repealed4
in their entirety.5
Section 3. Each person who is a member of the Ethics Adjudicatory Board as of the6
effective date of this Act shall serve the remainder of his term. Subsequent members of the7
Ethics Adjudicatory Board shall be selected in December 2010, in accordance with R.S.8
42:1141 as amended by this Act.9
Section 4. The provisions of this Act enacting R.S. 42:1163.1 and repealing R.S.10
42:1163 shall not apply with respect to any alleged violation that the Board of Ethics has11
voted to consider or about which the Board of Ethics has received a complaint as of the12
effective date of this Act.13
DIGEST
The digest printed below was prepared by House Legislative Services. It constitutes no part
of the legislative instrument. The keyword, one-liner, abstract, and digest do not constitute
part of the law or proof or indicia of legislative intent. [R.S. 1:13(B) and 24:177(E)]
Gallot HB No. 1143
Abstract: Repeals provisions requiring the Board of Ethics to close its file upon a dismissal
by the Ethics Adjudicatory Board and requiring the Board of Ethics to adopt
decisions of the adjudicatory board; changes terms of members of the adjudicatory
board from one year to three years; provides for the administrative law judge
remaining after the adjudicatory panels are picked to serve as an alternate; provides
for vacancies on the adjudicatory board; provides for review of adjudicatory panel
decisions by the full adjudicatory board; and provides for one- and four-year time
limits on the issuance of charges by the Board of Ethics.
Present law (Code of Governmental Ethics) provides for the Board of Ethics (BOE) and the
Ethics Adjudicatory Board (EAB). Provides for the composition and the powers and duties
of each board.
Present law (R.S. 42:1141) provides that the BOE receives complaints, conducts
investigations concerning alleged violations of laws within its jurisdiction, and issues
charges based on such alleged violations. Provides that the EAB conducts hearings on the
charges to determine whether a violation has in fact occurred and, if a violation has occurred,
determines what authorized penalties or other sanctions should be imposed. Provides that
if the public hearing of the EAB fails to disclose clear and convincing evidence to support
the charges, the EAB must make an official determination of its findings, and thereupon the
BOE must close its file on the charges. Provides that if the EAB determines that a violation
has occurred and prescribes authorized penalties or other sanctions, the BOE must, within HLS 10RS-155 REENGROSSED
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45 days of the issuance of the determination by the EAB, issue a decision adopting the
determination of the EAB.
Proposed law repeals the requirement that the BOE close its file on the charges if the public
hearing fails to disclose clear and convincing evidence to support the charges. Provides
instead that if such evidence is not disclosed at the hearing, the matter shall be dismissed.
Proposed law repeals the requirement that the BOE adopt a decision of the EAB. Provides
that the BOE shall have no authority to override a final decision or order of the EAB.
Provides that upon the issuance of such a final decision or order, the BOE and each official
and employee acting on behalf of the BOE shall comply fully with and enforce the final
order or decision. Otherwise retains present law.
Present law provides that any public servant or other person who is aggrieved by any action
taken by a panel may request a review of the panel's decision by the board within 30 days
of the panel's decision. Provides that the board shall determine whether or not to review the
panel's action within 30 days of the request for review. Proposed law clarifies that present
law applies to panels of the BOE. Provides that the request must be made within 30 days
after the mailing of the notice of the panel's decision and that the BOE shall determine
whether to review the panel's decision within 30 days of receipt of the request.
Proposed law replaces references in present law to the "accused" and "person charged" with
"respondent".
Present law provides relative to the terms of the initial EAB. Proposed law repeals present
law.
Present law provides that members of the EAB serve one-year terms. Proposed law provides
instead that the members of the EAB serve three-year terms. Provides that EAB members
as of Aug. 15, 2010 (effective date of proposed law) shall complete their terms and new
members shall be selected in Dec. 2010 for three-year terms.
Present law provides that the EAB shall sit in rotating panels of three administrative law
judges. Proposed law repeals the requirement that adjudicatory panels be rotating panels.
Provides further that the administrative law judge remaining after the selection of the two
panels shall serve as an alternate who shall serve on a panel when a member of the panel is
unavailable. Provides that a vacancy occurring on a panel shall be filled by the alternate and
that a vacancy on the EAB shall be filled for the remainder of the term at the next public
meeting of the BOE following the occurrence of the vacancy in the same manner as the
original appointment.
Proposed law provides that a public servant or other person who is aggrieved by a final
decision or order of an adjudicatory panel may request a review of the panel's decision or
order by the full EAB. Provides that the BOE may request a review by the full EAB of an
adjudicatory panel's final decision or order on a question of law. Requires a request for
review pursuant to proposed law to be made within 30 days of the mailing of the notice of
the adjudicatory panel's decision or order. Requires the adjudicatory board to determine
whether or not to review the panel's action within 30 days of receipt of the request for
review. Provides that this right of review applies only to the final disposition of the matter
and not to any preliminary, procedural, or intermediate decision or order of an adjudicatory
panel. Provides that if a person makes a timely request for review pursuant to proposed law,
the period within which appeal shall be sought pursuant to present law (R.S. 42:1142) shall
run from the final disposition of such request for review.
Present law (R.S. 42:1141(C)(3)(c)) provides that if the Board of Ethics does not issue
charges within one year from the date upon which a sworn complaint is received or, if no
sworn complaint was received, within one year from the date the board voted to consider the
matter, the matter shall be dismissed. HLS 10RS-155 REENGROSSED
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Present law (R.S. 42:1163) provides that no action to enforce any provision of present law
(Code of Governmental Ethics) shall be commenced after the expiration of two years
following the discovery of the occurrence of the alleged violation, or four years after the
occurrence of the alleged violation, whichever period is shorter.
Proposed law repeals present law.
Proposed law provides that the Board of Ethics shall not vote to issue charges based on an
alleged violation of any provision of present law (Code of Governmental Ethics) after the
expiration of one of the following periods, whichever expires first:
(1)One year following receipt by the board of the complaint of the alleged violation or,
if no complaint was received, the date the board voted to consider the alleged
violation.
(2)Four years after the occurrence of the alleged violation.
Proposed law provides that "receipt by the board" means receipt by a member of the board,
a member of the staff of the board, or any person employed by or acting on behalf of the
board, whichever occurs earliest.
Proposed law specifies that the changes in the time period for BOE action to issue charges
shall not apply to any alleged violation that the BOE has voted to consider or about which
the BOE has received a complaint as of Aug. 15, 2010 (effective date of proposed law).
(Amends R.S. 42:1141(A)(1) and (6), (B)(1)(a), and (C)(1), (2), (4)(c), (d), and (e), and (5);
Adds R.S. 42:1141(C)(4)(f) and (g) and 1163.1; Repeals R.S. 42:1141(B)(3), (C)(3)(c), and
(E)(10) and 1163)
Summary of Amendments Adopted by House
Committee Amendments Proposed by House Committee on House and Governmental
Affairs to the original bill.
1. Changes provisions of proposed law relative to review requested by an aggrieved
person by allowing for review by the full adjudicatory board of a "final decision
or order" of an adjudicatory panel, instead of allowing such review of "an action"
taken by an adjudicatory panel.
2. Changes provisions of proposed law relative to review requested by the Board
of Ethics by allowing for review by the full adjudicatory board of an adjudicatory
panel's "final decision or order" on a question of law, instead of allowing such
review of a "decision" on a question of law.
3. Clarifies provisions of proposed law relative to time limits for the Board of
Ethics to vote to issue charges by removing language prohibiting the issuance of
charges after the expiration of "the shorter" of the included time periods and
providing instead that charges may not be issued after the expiration of one of the
included time periods, whichever expires first.
House Floor Amendments to the engrossed bill.
1. Adds provision specifying that the right of review by the full adjudicatory board
of an adjudicatory panel's decision or order shall apply only to the final
disposition of the matter and shall not apply to any preliminary, procedural, or
intermediate decision or order of an adjudicatory panel. HLS 10RS-155 REENGROSSED
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2. Adds provision specifying that if a person makes a timely request for review
pursuant to proposed law, the period within which appeal shall be sought
pursuant to present law (R.S. 42:1142) shall run from the final disposition of
such request for review.
3. Makes technical changes.