STATE ETHICS ORGANIZATIONS

STATE ETHICS ORGANIZATIONS

Most states (36) have a board or commission that administers and enforces a code of ethics for primarily public officials, state employees, and lobbyists. The size and functions of these ethics bodies vary by state but most have seven or eight members and carry out their responsibilities by educating and advising those subject to the code and through code enforcement. Typically, people aggrieved by an ethics board or commission decision can file an appeal with the court.

Some states (e. g. , Kentucky and Washington) have separate legislative and executive ethics bodies. The information in this report on these states covers only the executive board or commission.

Five states, Arizona, Maine, Minnesota, Tennessee, and Utah, have a board or commission designed primarily to address election-related issues, which may have jurisdiction over some ethical issues. For example, Minnesota’s Campaign Finance and Public Disclosure Board and Tennessee’s Registry of Election Finance also hear conflict of interest cases. Other states (7) require offices that traditionally perform other functions to enforce the state’s ethics code. For example, Colorado’s Office of the Secretary of the State and Utah’s Office of the Attorney General have jurisdiction over their state’s code. This report does not cover ethics organization, administration, or enforcement in these states.

STATE ETHICS BOARDS’ OR COMMISSIONS’ ORGANIZATION

Thirty-six states have state ethics boards or commissions. There are more commissions (29) than boards (7). New Mexico has an ethics bureau within the Office of the Secretary of the State. With the exception of New Mexico’s bureau, all of these ethics organizations appear to be independent bodies with their own staff and budgets, even though some have a statutory duty to make annual reports to the governor, legislature, or both. Board and commission sizes range from one commissioner in Montana to 12 in West Virginia. Throughout the states, a wide variety of officials are responsible for appointing board or commission members. Michigan’s board has the smallest staff (one person) and California’s commission has the largest (60).

The budgets for these ethics organizations vary greatly, as shown in the Council on Governmental Ethics Laws’ 2003 Ethics Update. That publication shows a correlation between staff size and budgets. For 2003, budgets ranged from a low of $ 5,000 in Michigan to $ 6. 5 million in California. Table 1 shows the types of ethics organizations by state, their size, appointing authorities, staff size, and budgets.

ETHICS BOARDS’ OR COMMISSIONS’ JURISDICTIONS AND APPEALS

Most of the boards and commissions have jurisdiction over state elected and appointed officials and executive and legislative employees. Most boards and commissions are advisory, adjudicative, regulatory, and educational bodies. Decisions issued by all appear to be subject to judicial review. In a few states, notably Alabama, Arkansas, South Carolina, Texas, and Wisconsin, aggrieved parties may ask the board or commission to reconsider its decision before filing an appeal with the court. Table 2 shows state ethics bodies’ jurisdiction, functions, and place to take an appeal from their decisions.

*State*	*Type of Organization (board, commission, agency, or division)*	*Size of Board or Commission*	*Appointing Authorities*	*Staff Size*	*Appointed or Hired*	*2003 Budget*
Delaware § 29-5804 et seq.	Commission	7	Governor appoints, Senate confirms	2	Appointed and hired	$ 164,100
Florida § 112. 320 et seq.	Commission	9	Governor (5) House speaker (2) Senate president (2)	24 plus 2 permanently assigned assistant attorneys	Commission appoints executive director who hires staff	$ 2,087,352
Georgia § 21-5-1, et seq.	Commission	5	Governor (3) Lt. Governor (1) House Speaker (1)	10	Commission appoints executive secretary who hires staff	$ 779,232
Hawaii Ch. 84	Commission, located in Office of the Auditor	5	Governor, from panel nominated by Judicial Council of the Hawaii Supreme Court	10	Hired	$ 717,900
Idaho	No statewide commission. The Secretary of the State has jurisdiction.	N/A	N/A	N/A	N/A
Illinois Executive Order No. 77-3	Board	3	Governor	3, plus support services from the Dept. of Central Mgmt. Services	Not specified

*State*	*Type of Organization (board, commission, agency, or division)*	*Size of Board or Commission*	*Appointing Authorities*	*Staff Size*	*Appointed or Hired*	*2003 Budget*
Indiana § 4-2-6	Commission	5	Governor	5	Appointed	$ 255,000
Iowa § 68B-31A, et seq.	Board	6	Governor, subject to Senate confirmation	6	Hired	$ 423,000
Kansas 46-253, et seq.	Commission	9	Governor (2) Senate president (1) House speaker (1) Senate and House minority leaders (1 each) Supreme Court chief justice (1) attorney general (1) secretary of the state (1)	9	Commission appoints director who hires staff	$ 558,660
Kentucky Ch. 11A	Executives: Commission	5	Governor	5	Hired	$ 328,300
Louisiana § 42: 1101, et seq.	Board	11	Governor (7) House (2) Senate (2)	20	Board selects executive director; Dept. of Civil Service employees serve as staff	$ 1,530,782
Maine	N/A	N/A	N/A	N/A	N/A	N/A

*State*	*Type of Organization (board, commission, agency, or division)*	*Size of Board or Commission*	*Appointing Authorities*	*Staff Size*	*Appointed or Hired*	*2003 Budget*
Maryland § 15-201, et seq.	Commission, which is administered and implemented by three agencies: Joint Committee on Legislative Ethics, Judicial Disabilities Commission, and State Ethics Commission.	5	Governor (3, with advice and consent of Senate) Senate president (1) House speaker (1)	8. 5	Appointed	$ 660,227
Massachusetts Ch. 26A and 26B	Commission	5	Governor (3) secretary of the state (1) attorney general (1)	19	Hired	$ 1,265,221
Michigan § 15. 341 et seq.	Board	7, plus Attorney General and State Personnel Director serve as ex officio members	Governor, with advice and consent of the Senate	1	Designated by the State Personnel Director	$ 5,000
Minnesota	N/A	N/A	N/A	N/A	N/A	N/A
Mississippi § 25-4-101 et seq.	Commission	8	Governor, Lt. Governor, House speaker, chief justice (2 each)	8	Executive director appointed; all others hired	$ 500,000

*State*	*Type of Organization (board, commission, agency, or division)*	*Size of Board or Commission*	*Appointing Authorities*	*Staff Size*	*Appointed or Hired*	*2003 Budget*
Missouri Ch. 105 and 130	Commission	6	Governor, from lists submitted by the two major parties, and with Senate’s consent	21	Executive Director appointed; all others hired	$ 1,385,000
Montana Ch. 2, part 1	Commission	1	Governor, confirmed by Senate	4	Commissioner appointed; all others hired	$ 315,000
Nebraska § 49-1401 et seq.	Commission	9, including the Secretary of the State	Governor (2 of 4 from lists submitted by the legislature) and the Secretary of the State (2 of 4 from lists submitted by chairs of major parties)	8	Executive director appointed; all others hired	$ 470,245
Nevada § 281. 411 et seq.	Commission	8	Governor (4) and Legislative Commission (4)	3	Executive director and commission counsel appointed; other staff hired	$ 362,000
New Hampshire	N/A	N/A	N/A	N/A	N/A
New Jersey § 52: 13D-12 et seq.	Commission	9	Governor	9	Executive director appointed; other staff hired	$ 590,000

*State*	*Type of Organization (board, commission, agency, or division)*	*Size of Board or Commission*	*Appointing Authorities*	*Staff Size*	*Appointed or Hired*	*2003 Budget*
New Mexico	Bureau within Secretary of the State’s office	N/A	N/A	3	Bureau director appointed by Secretary of the State; other staff hired
New York Public Officers Law §§ 73, 73a, and 74	Commission	5	Governor (5, of which 1 member nominated by the attorney general and 1 by the comptroller)	20	Executive director appointed; other staff hired	$ 1,500,000
North Carolina Ex. Orders 127 and 131	Board	7	Governor	3	Hired	$ 207,000
North Dakota	No statewide commission. The Secretary of the State has jurisdiction.	N/A	N/A	N/A	N/A
Ohio Chapter 102	Commission	6	Governor with advice and consent of Senate	20	Executive director appointed; other staff hired	$ 1,600,000
Oklahoma § 51-305 et seq.	Commission	5	Governor, House speaker, Senate president, chief justice, and attorney general (1 each)	7	Executive director appointed; other staff hired	$ 524,409

*State*	*Type of Organization (board, commission, agency, or division)*	*Size of Board or Commission*	*Appointing Authorities*	*Staff Size*	*Appointed or Hired*	*2003 Budget*
Oregon Ch. 244	Commission	7	Governor (3 directly and 1 each appointed on the recommendation of legislative leaders). All confirmed by Senate	3	Executive director appointed; other staff hired	$ 291,000
Pennsylvania § 65-1101 et seq.	Commission	7	Governor (1) House and Senate majority and minority leaders (1 each)	21	Executive director appointed; other staff hired	$ 1,761,000
Rhode Island § 36-14-1 et seq.	Commission	9	Governor (5 from lists submitted by Speaker and House and Senate majority and minority leaders)	9	Hired	$ 942,594
South Carolina §§ 2-17-10 et seq. and 8-13-100 et seq.	Commission	9 (6 representing the state’s congressional districts and 3 at large)	Governor with legislative consent	10	Commission hires executive director, who hires the other staff	$ 600,000
South Dakota	N/A	N/A	N/A	N/A	N/A	N/A
Tennessee	N/A	N/A	N/A	N/A	N/A	N/A
Texas Ch. 571 and 572	Commission	8	Governor, Lt. Governor, and House speaker	30	Hired	$ 2,000,000
Utah	No statewide commission. The attorney general has jurisdiction.	N/A	N/A	N/A	N/A
Vermont	N/A	N/A	N/A	N/A	N/A

*State*	*Type of Organization (board, commission, agency, or division)*	*Size of Board or Commission*	*Appointing Authorities*	*Staff Size*	*Appointed or Hired*	*2003 Budget*
Virginia	No statewide commission. The Secretary of the Commonwealth has jurisdiction.	N/A	N/A	N/A	N/A
Washington Ch. 42. 52	Board	3	Governor	3	Hired	$ 350,000
West Virginia Ch. 6B	Commission	12	Governor, with advice and consent of Senate	4, plus investigators as needed	Appointed	$ 319,000
Wisconsin Ch 19 (19. 41 – 19. 59)	Board	6	N/A	6	Board appoints executive director, who appoints other staff	$ 609,800
Wyoming	N/A	N/A	N/A	N/A	N/A

*State*	*Scope of Jurisdiction (Other than at the local level)*	*Commission Functions (Advisory, adjudicative, regulatory, education, enforcement)*	*Appeals*
Georgia	Elected and appointed officials, judges, legislators, and lobbyists	Advisory, adjudicative, regulatory, education, enforcement	Judicial review
Hawaii	Executive, legislative, and judicial employees; judges; elected and appointed officials; and lobbyists	Advisory, regulatory, investigate, and (effective 1/1/05) education. (Makes determinations; discipline is handled by appropriate agency. )	Court
Idaho	N/A	N/A	N/A
Illinois	Executive	Advisory, regulatory, education, enforcement (Makes recommendations of remedial action to governor. )	Not specified
Indiana	Executive (Can also sanction former executive employees, special state appointees, and entities with a business relationship with the state. )	Advisory, adjudicative, regulatory, education (May recommend action to appropriate authority. )	Superior Court
Iowa	Executive officials and employees and lobbyists. The House and Senate each have an ethics committee to handle matters involving legislators’ conduct.	Regulatory, adjudicative, enforcement	Judicial review
Kansas	Executive, legislative, and judicial employees; state elected and appointed officials; and lobbyists	Advisory, adjudicative, regulatory, enforcement	Judicial review
Kentucky	Executive. The House and Senate each have an ethics committee to handle matters involving legislators’ conduct.	Advisory, adjudicative, regulatory, education, enforcement	Judicial review
Louisiana	Executive and legislative employees, elected and appointed officials, and lobbyists	Advisory, adjudicative, regulatory, education, enforcement	Apply to Board for rehearing (Admin Code § 1018)
Maine	N/A	N/A	N/A
Maryland	Executive and legislative staff and officials	Advisory, adjudicative, regulatory, education, enforcement	Judicial review

*State*	*Scope of Jurisdiction (Other than at the local level)*	*Commission Functions (Advisory, adjudicative, regulatory, education, enforcement)*	*Appeals*
Massachusetts	Executive, legislative, and judicial employees; lobbyists; state and elected officials (other than legislators)	Advisory, adjudicative, regulatory, education, enforcement. Has 4 divisions: Enforcement, Legal, Public Education, and Statements of Financial Interest	Judicial review
Michigan	Executive and state elected and appointed officials (other than legislators)	Advisory and Investigation	Circuit Court
Minnesota	N/A	N/A	N/A
Mississippi	Elected and appointed officials and government employees	Advisory, adjudicative, regulatory, education, enforcement. If it finds probable cause for violation, can refer to attorney general or prosecutor for civil/criminal litigation	Circuit court (Advisory opinions only)
Missouri	“Decision-making” public servants, governing bodies of political subdivisions with budgets greater than $ 1 million, Article V judges, statewide elected officials, legislative leaders, state college or university presidents	Advisory, adjudicative, regulatory, education, enforcement	For advisory opinions: appeal to Joint Committee on Legislative Rules with concurrent resolution by the General Assembly. Other appeals: administrative hearing commission, then district appeals court (final).
Montana	State officers, elected local officials, legislators (non-legislative acts only), and state employees	Advisory, adjudicative, regulatory, education, enforcement	Through civil courts under Administrative Procedure Act
Nebraska	Executive branch officials and employees, legislative policymakers, elected or appointed officials of judicial departments and school boards, governing body of state colleges and universities	Advisory, adjudicative, regulatory, education, enforcement	State court (enforcement proceedings begin in state court)
Nevada	Constitutional, executive, and legislative officials and staff	Advisory, adjudicative, regulatory, education, enforcement	Willful violations can be appealed in civil court

*State*	*Scope of Jurisdiction (Other than at the local level)*	*Commission Functions (Advisory, adjudicative, regulatory, education, enforcement)*	*Appeals*
New Hampshire	N/A	N/A	N/A
New Jersey	Executive branch officers and employees, members of various state boards and commissions, and the governor and his staff	Advisory, adjudicative, regulatory, education, enforcement, including some casino-related prohibitions	Civil courts under the Administrative Procedure Act
New Mexico	Executive and public officers and employees receiving salary, per diem, or mileage reimbursement from state	Education, regulatory; refers suspected violations to department head, attorney general, of district attorney	N/A
New York	Executive and legislative staff and officials	Advisory, adjudicative, regulatory, education, enforcement	Court
North Carolina	Governor and his staff; appointed department heads and their chief executive officers and confidential assistants or secretaries; policymakers; appointees to non-advisory boards or commissions	Advisory, adjudicative, and regulatory. May investigate and make referrals to appropriate officials for further action	N/A. Board has no civil, criminal, or administrative investigative or enforcement authority
North Dakota	N/A	N/A	N/A
Ohio	Executive staff and officials	All but enforcement; refers substantiated cases for prosecution	N/A
Oklahoma	Executive, judicial, and legislative staff and appointed officials	Advisory, adjudicative, regulatory, education, enforcement	Court
Oregon	Elected and appointed officials, employees, and volunteers	Advisory, adjudicative, regulatory, education, enforcement	Court
Pennsylvania	Elected officials and judicial appointees (except advisory board members) and employees who make or recommend official action that has an economic impact on any person	Advisory, adjudicative, regulatory, education, enforcement	Court
Rhode Island	Executive and legislative staff and officials	Advisory, adjudicative, regulatory, education, enforcement	Court

*State*	*Scope of Jurisdiction (Other than at the local level)*	*Commission Functions (Advisory, adjudicative, regulatory, education, enforcement)*	*Appeals*
South Carolina	Executive officials and employees and lobbyists. The House and Senate each have an ethics committee to handle matters involving legislators’ conduct.	Adjudicative, education, enforcement, regulatory	A panel of three commissioners makes initial decision. Appeals to full commission and then to Superior Court.
South Dakota	N/A	N/A	N/A
Tennessee	N/A	N/A	N/A
Texas	Executive and legislative staff and officials	Advisory, adjudicative, regulatory, education, enforcement	Appeal to the commission for reconsideration, then to Superior Court
Utah	N/A	N/A	N/A
Vermont	N/A	N/A	N/A
Virginia	N/A	N/A	N/A
Washington	Executive officials and employees and lobbyists. The House and Senate each have an ethics committee to handle matters involving legislators’ conduct.	Advisory, adjudicative, regulatory, education, enforcement	Superior Court
West Virginia	Executive and legislative staff and officials, judges and judicial employees, elected and appointed officials, and lobbyists	Advisory, adjudicative, regulatory, education, enforcement	Judicial review
Wisconsin	Executive and legislative staff and officials, judges, and elected and appointed officials	Advisory, adjudicative, regulatory, education, enforcement	Appeal to the commission for reconsideration, then to Superior Court
Wyoming	N/A	N/A	N/A

Source: Office of Legislative Research Statutory Review and Telephone Research and Council of Government and Ethics Laws data.