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Rules

PROPOSED RULES

At its February 28, 2020, meeting, the Texas Ethics Commission voted to propose the following new or amended rules: §§8.1, 8.3, 8.5, 8.7, 8.11, 8.13, 8.15, 8.17, 8.18, 8.19, 12.29, 12.30, 12.34, 12.83, 12.84, 20.1, 22.35, 24.18 and 24.19. The text of the new or amended rules is located below.

The Commission invites public comment on the proposals. A written statement should be emailed to [email protected], or mailed or delivered to Anne Temple Peters, Texas Ethics Commission, P.O. Box 12070, Austin, Texas 78711-2070. A person who wants to offer spoken comments to the Commission concerning a proposed rule may do so during the public comment period at the Commission meeting when the Commission considers the proposed rule. Information concerning the time and location of Commission meetings is available at https://www.ethics.state.tx.us/meetings/.

§8.1. Definitions.
Text of Proposed Rule

§8.3. Subject of an Advisory Opinion.
Text of Proposed Rule

§8.5. Persons Eligible to Receive an Advisory Opinion.
Text of Proposed Rule

§8.7. Request for an Advisory Opinion.
Text of Proposed Rule

§8.11. Review and Processing of a Request.
Text of Proposed Rule

§8.13. Time Period.
Text of Proposed Rule

§8.15. Publication in Texas Register; Comments.
Text of Proposed Rule

§8.17. Request Answered by Letter Response.
Text of Proposed Rule

§8.18. No Defense to Prosecution or Civil Penalty.
Text of Proposed Rule

§8.19. Confidentiality.
Text of Proposed Rule

§12.29. Subpoenas.
Text of Proposed Rule

§12.30. Subpoenas Issued by Counsel for the Respondent.
Text of Proposed Rule

§12.34. Agreed Orders.
Text of Proposed Rule

§12.83. Preliminary Review.
Text of Proposed Rule

§12.84. Notice of Preliminary Review Hearing.
Text of Proposed Rule

§20.1. Definitions.
Text of Proposed Rule

§22.35. Corporate Contributions to Certain Political Committees.
Text of Proposed Rule

§24.18. Designation of Contribution for Administrative Purposes.
Text of Proposed Rule

§24.19. Affidavit Required by a Political Committee Making a Direct Campaign Expenditure from a Political Contribution Accepted from a Corporation or Labor Organization.
Text of Proposed Rule

 


§8.1. Definitions.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 8. ADVISORY OPINIONS

§8.1. Definitions.

The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise: AOR number--An advisory opinion request file number assigned by the executive director to a pending advisory opinion request in accordance with this chapter.


§8.3. Subject of an Advisory Opinion.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.3. Subject of an Advisory Opinion.

(a) The commission may only [will] issue a written advisory opinion on the application of any of the following laws: [laws to a person qualified to make a request under §8.5 of this title (relating to Persons Eligible To Receive an Advisory Opinion):]

(b) The commission may [will] not issue an advisory opinion that concerns the subject matter of pending litigation known to the commission.

(c) For purposes of this section, the term litigation includes a sworn complaint proceeding before the commission only if the Government Code Subchapters C - H, Chapter 2001, apply to the proceeding.

(d) An advisory opinion cannot resolve a disputed question of fact.


§8.5. Persons Eligible To Receive an Advisory Opinion.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.5. Persons Eligible To Receive an Advisory Opinion.

A person who is subject to one of the laws described in § 8.3(a) of this chapter [title] (relating to Subject of Advisory Opinions) may request an opinion that advises how the law applies to that person in a specific real or hypothetical factual situation.


§8.7. Request for an Advisory Opinion.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.7. Request for an Advisory Opinion.

(a) A request for an advisory opinion shall describe a specified factual situation. The facts specified may be real or hypothetical. The request must provide sufficient detail to permit the commission to provide a response to the request, including the name of the person making the request and, if applicable, the name of the person on whose behalf the request is made.

(b) A request for an advisory opinion shall be:


§8.11. Review and Processing of a Request.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.11. Review and Processing of a Request.

(a) Upon receipt of a written request for an advisory opinion, the executive director shall [will] determine whether the request:

(b) If the executive director determines that a request for an opinion meets the requirements of this chapter as set forth in subsections (a)(1)-(3) of this section and that the request cannot be answered by written response under §8.17 of this chapter, [the commission will answer the request,] the executive director shall [will] assign an AOR number to the request. The executive director shall notify the person making the request of the AOR number and of the proposed wording of the question to be answered by the commission.

(c) If the executive director determines that a request for an opinion does not meet the requirements of this chapter as set forth in subsections (a)(1)-(3) of this section or that the request can be answered by written response under §8.17 of this chapter, [request is one the commission cannot answer,] the executive director shall notify the person making the request of the reason the person making the request is not entitled to an advisory opinion in response to the request [will not be answered].


§8.13. Time Period.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.13. Time Period.

(a) The commission shall issue an advisory opinion in response to a request that meets the requirements of this chapter not later than the 60th day after the date the commission receives the [written] request.

(b) The time available to issue an advisory opinion in response to a written request is automatically extended for 60 days pursuant to §571.092(b), Government Code. [For purposes of calculating the time period under subsection (a) of this section, an advisory opinion request is deemed to have been received on the date the executive director determines the request complies with §§8.3, 8.5, and 8.7 of this title (relating to Subject of an Advisory Opinion; Persons Eligible To Receive an Advisory Opinion; and Request for an Advisory Opinion) and assigns the request an AOR number.]

[(c) The authority granted by the Act, §1.29(b), is delegated to the staff of the commission.]


§8.15. Publication in Texas Register; Comments.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.15. Publication in Texas Register; Comments.

(a) Each request assigned an AOR number under this chapter shall be published in summary form in the Texas Register.

(b) Any [interested] person may submit written comments to the commission concerning an advisory opinion request. Comments submitted should reference the AOR number.


§8.17. Request Answered by Letter Response.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.17. Request Answered by Written [Letter] Response.

If the executive director determines that a request can be answered by reference to the plain language of a statute, [or a] commission rule, or advisory opinion: [if the question has already been answered by the commission, then in either case]


§8.18. No Defense to Prosecution or Civil Penalty.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.18. No Defense to Prosecution or Civil Penalty.

A person who requests an advisory opinion does not obtain a defense to prosecution or to imposition of a civil penalty by requesting the opinion if any of the following apply:


§8.19. Confidentiality.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 8. ADVISORY OPINIONS

§8.19. Confidentiality.

(a) The name of a person who requests an advisory opinion is confidential.

(b) The original request for an advisory opinion shall be placed in a confidential file. [No original request or copy of an original request may be removed from the agency office.]

(c) Confidentiality under subsection (a) of this section may be waived only if the person making the request for an advisory opinion provides a verified, written waiver of confidentiality to the executive director.

(d) If a request for a copy of an advisory opinion request is received, the executive director shall prepare a redacted version of the advisory opinion request by deleting any information that is likely to identify the person making the request. The redacted version of the request shall be provided to the person who requested a copy of the advisory opinion request.


§12.29. Subpoenas.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 12. SWORN COMPLAINTS

Subchapter A. GENERAL PROVISIONS AND PROCEDURES

§12.29. Subpoenas Issued by Commission.

(a) A subpoena issued under section 571.137 of the Government Code shall specify the date, time, place, and manner for execution of the subpoena.

(b) A subpoena issued under section 571.137 of the Government Code that requires a person to provide testimony shall be served on that person at least 10 business days before the date the subpoena is to be executed


§12.30. Subpoenas Issued by Counsel for the Respondent.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 12. SWORN COMPLAINTS

Subchapter A. GENERAL PROVISIONS AND PROCEDURES

§12.30. Subpoenas Issued by Counsel for the Respondent.

(a) This section applies only to subpoenas issued by a respondent’s counsel under section 571.125(f) (concerning the issuance of a subpoena for a witness in a preliminary review hearing) or 571.130(f) (concerning the issuance of a subpoena for a witness in a formal hearing) of the Government Code.

(b) A subpoena must be issued in the name of “The State of Texas” and must:

(c) A subpoena must command the person to whom it is directed to appear and give testimony at:

(d) A subpoena may only direct a person to appear, with or without documents, and give testimony at a preliminary review hearing or formal hearing before the commission.

(e) A subpoena may be issued only by the counsel of record for a respondent in a sworn complaint proceeding before the commission against that respondent.

(f) Service.

(g) Response.

(h) A counsel for a respondent issuing a subpoena must take reasonable steps to avoid imposing undue burden or expense on the person served. In ruling on a motion to quash or objection to appearance with documents, the presiding officer must provide a person served with a subpoena an adequate time for compliance, protection from disclosure of privileged material or information, and protection from undue burden or expense. The presiding officer may impose reasonable conditions on compliance with a subpoena, including compensating the witness for undue hardship.


§12.34. Agreed Orders.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 12. SWORN COMPLAINTS

Subchapter A. GENERAL PROVISIONS AND PROCEDURES

§12.34. Agreed Orders.

(a) The commission may enter into an agreed order with a respondent to resolve and settle a complaint filed against the respondent, including an assurance of voluntary compliance, a notice of reporting error, or an agreed order and resolution.

(b) An assurance of voluntary compliance:

(c) A notice of reporting error resolves a complaint with a determination that all violations within the jurisdiction of the commission are reporting errors that do not materially defeat the purpose of disclosure and may include a civil penalty in the form of an assessment fee.

(d) An agreed order and resolution resolves a sworn complaint with a determination that one or more violations within the jurisdiction of the commission occurred and may include a civil penalty.


§12.83. Preliminary Review.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 12. SWORN COMPLAINTS

Subchapter A. GENERAL PROVISIONS AND PROCEDURES

§12.83. Preliminary Review.

(a) A complainant or respondent must respond to written questions [submitted to the respondent pursuant to section 571.1243 of the Government Code] not later than 15 business days after receiving [the respondent receives] the written questions. The executive director may grant an extension of the time period for good cause shown.

(b) If the commission staff submits written questions to a respondent [pursuant to section 571.1243 of the Government Code], the 120-day deadline for the commission to propose an agreement to the respondent or dismiss the complaint (provided in section 571.1242(g) of the Government Code) [time period set forth in section 571.1242(a)(2) of the Government Code or section 571.1242(b)(2) of the Government Code, as applicable, is increased by the number of business days during the period] is tolled beginning on the date the commission sends the written questions and resets [ending] on the date the commission receives the respondent’s written response.

(c) If the commission staff applies to the commission for the issuance of a subpoena pursuant to section 571.137(a-1) of the Government Code, the 120-day deadline for the commission to propose an agreement to the respondent or dismiss the complaint (provided in section 571.1242(g) of the Government Code) is tolled [time period set forth in section 571.1242(a)(2) of the Government Code or section 571.1242(b)(2) of the Government Code as applicable, is increased by the number of business days during the period] beginning on the date the staff applies to the commission for the subpoena and resets [ending] on either:

(d) If the commission staff proposes to a respondent an agreement to settle a complaint that would be effective upon approval by the commission and the respondent, the 120-day deadline for the commission to propose an agreement to the respondent or dismiss the complaint (provided in section 571.1242(g) of the Government Code) is met. If a respondent approves a proposed agreement, commission staff must submit the proposed agreement to the commission to seek final approval at the next scheduled commission meeting. If a respondent rejects a proposed agreement, the matter shall be set for a preliminary review hearing at the next commission meeting for which notice has not yet been posted. If a respondent rejects a proposed agreement within 45 days before the date of a commission meeting, the matter shall be set for a preliminary review hearing at the next commission meeting thereafter.

(e) [(d)] During a preliminary review, commission staff may present documents or evidence, make recommendations, or otherwise communicate with commissioners outside the presence of the respondent for the purpose of investigating and resolving a sworn complaint.

(f) [(e)] Commission staff may not communicate with a commissioner outside the presence of the respondent for the purpose of influencing a decision on a pending sworn complaint after the complaint has been scheduled for a preliminary review hearing and notice of the hearing has been sent to the respondent.


§12.84. Notice of Preliminary Review Hearing.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 12. SWORN COMPLAINTS

Subchapter D. PRELIMINARY REVIEW HEARING

§12.84. Notice of Preliminary Review Hearing.

(a) Commission staff shall provide notice of a preliminary review hearing to a respondent and complainant at least 45 days before the date of the hearing and must include:

(b) Commission staff shall provide to a respondent at least 30 days before the date of the hearing:

(c) The respondent shall provide to commission staff the contents described by subsections (b)(1) and (b)(2) of this section at least 30 days before the date of the hearing. [The contents must be received by commission staff at least 14 days before the date of the hearing.] If a respondent or commission staff fail to comply with this section, the commission may reschedule the hearing or proceed with the hearing and exclude at the hearing evidence, documents, and testimony provided by the respondent or commission staff, as applicable, but such failure may be excused upon a showing of good cause.


§20.1. Definitions.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

Chapter 20. REPORTING POLITICAL CONTRIBUTIONS AND EXPENDITURES

Subchapter A. GENERAL RULES

§20.1. Definitions.

The following words and terms, when used in Title 15 of the Election Code, in this chapter, Chapter 22 of this title (relating to Restrictions on Contributions and Expenditures), and Chapter 24 of this title (relating to Restrictions on Contributions and Expenditures Applicable to Corporations and Labor Organizations), shall have the following meanings, unless the context clearly indicates otherwise.

[(1) through (21) – no change]

(22) Hybrid committee—A political committee that, as provided by section 252.003(a)(4) (relating to contents of a general-purpose committee’s campaign treasurer appointment) or 252.0031(a)(2) (relating to a specific-purpose committee’s campaign treasurer appointment) of the Election Code, as applicable, has filed a campaign treasurer appointment that includes an affidavit stating that:

(23) Direct campaign expenditure-only committee—A political committee, as authorized by section 253.105 of the Election Code (relating to political contributions to direct campaign expenditure-only committees) to accept political contributions from corporations or labor organizations, that:


§22.35. Contributions to Direct Campaign Expenditure Only Committees.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

CHAPTER 22. RESTRICTIONS ON CONTRIBUTIONS AND EXPENDITURES.

§22.35. Corporate Contributions to Certain Political Committees.

(a) A political committee that accepts a monetary political contribution from a corporation or labor organization shall maintain the contribution in a separate account for political contributions from corporations and labor organizations.

(b) A political committee that accepts a political contribution from a corporation or labor organization shall not use the contribution to make a political contribution to:


§24.18. Designation of Contribution for Administrative Purposes.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

CHAPTER 24. RESTRICTIONS ON CONTRIBUTIONS AND EXPENDITURES APPLICABLE TO CORPORATIONS AND LABOR ORGANIZATIONS

§24.18. Designation of Contribution for Administrative Purposes.

(a) Any of the following will serve to designate a political expenditure in the form of a political contribution made by a corporation or labor organization [corporate expenditure] as restricted to the establishment, administration, maintenance, or operation of a general-purpose committee:

(b) Subsection (a) of this section shall not be read to restrict a hybrid committee, a direct campaign expenditure-only committee, or a political committee that supports or opposes measures exclusively from using a contribution from a corporation or labor organization to make a direct campaign expenditure.


§24.19. Affidavit Required by a Political Committee Making a Direct Campaign Expenditure from a Political Contribution Accepted from a Corporation or Labor Organization.
Text of Proposed Rule

The proposed new language is indicated by underlined text.

CHAPTER 24. RESTRICTIONS ON CONTRIBUTIONS AND EXPENDITURES APPLICABLE TO CORPORATIONS AND LABOR ORGANIZATIONS

§24.19. Affidavit Required by a Political Committee Making a Direct Campaign Expenditure from a Political Contribution Accepted from a Corporation or Labor Organization.

A political committee, including a direct campaign expenditure-only committee, must include in its campaign treasurer appointment the affidavit described by section 252.003(a)(4) (relating to contents of a general-purpose committee’s campaign treasurer appointment) or 252.0031(a)(2) (relating to contents of a specific-purpose committee’s campaign treasurer appointment) of the Election Code, as applicable, before using a political contribution from a corporation or labor organization to make a direct campaign expenditure in connection with a campaign for an elective office.