December 19, 2007 |
2007-R-0731 | |
|
LEGISLATIVE ETHICS COMMITTEES | ||
By: Sandra Norman-Eady, Chief Attorney Kristin Sullivan, Associate Analyst | ||
Most state legislatures have designated committees to hear and investigate complaints alleging ethical or legislative rule violations committed by individual legislators. In the vast majority of these states, each chamber has a committee that receives and investigates complaints filed against its members. In six states, Georgia, Maryland, New Hampshire, New Jersey, North Carolina, and Ohio, the designated committees are joint committees. Four states, Illinois, New York, West Virginia, and Washington, have joint legislative ethics boards or commissions, instead of committees, that hear and investigate these complaints.
The states with no apparent legislative body to hear or investigate these complaints are: Arkansas, Connecticut, Michigan, Nebraska, North Dakota, Oklahoma, Rhode Island, Vermont, and Wyoming. However, most states, like Connecticut, have state ethics commissions that have some jurisdiction over legislators' ethical conduct. For a complete list of these states and a description of the commissions' jurisdiction, visit www. ncsl. org/programs/ethics/ec_jurisdiction. htm. At least one chamber in Hawaii, North Dakota, and Texas is authorized to convene a committee but does not currently have one.
Table 1 below shows legislative committees (and commissions) by state, legislative chamber (Senate then House), type, and size. It also includes the authority responsible for appointing members to the committee or commission, the members' terms, and their responsibilities. All of the committees or commissions are bipartisan. Some states require an equal number of members from the majority and minority political party. Most members are appointed by legislative leaders. However, the California Senate Committee is appointed by the Committee on Rules, Montana's Senate committee is appointed by the Committee on Committees with the Senate's approval, and New Mexico's interim ethics committee is appointed by the Legislative Council. A couple of committees (Alaska and Nevada) and commissions (New York and Washington) have public members.
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TABLE: LEGISLATIVE ETHICS COMMITTEES AND COMMISSIONS BY STATE
State |
Committee |
Committee Type |
Appointing Authority |
Size (Party Split) |
Term |
Responsibilities | ||
Bipartisan |
Standing |
Ad Hoc | ||||||
Alabama+ |
Senate Ethics and Conduct Committee (SR 48) |
X |
X |
Each Senator submits 5 names, the 5 senators with the most votes serve |
5 (4-1) plus at least one member from the Senate Black Caucus |
4 years |
Consider and, when necessary, act upon complaints of misconduct brought against an individual Senator during his or her participation in a session of the Senate or his or her participation in a standing or interim committee. Misconduct defined as "Any conduct constituting a legal wrong that materially impairs the ability of the member to perform the duties of his or her office or substantially impairs public confidence in the Legislature”. | |
No House committee. Staff reports that complaints would go to the Internal Affairs Committee, the committee that handles parking, offices, etc. |
- |
- |
- |
- |
- |
- |
- | |
Alaska+ |
Select Committee on Legislative Ethics divided into Senate and House Subcommittees (AS § 24. 60) |
X |
X |
Elected Officials: Leadership with concurrence of 2/3 of full membership Public: Chief Justice of the state Supreme Court ratified by 2/3 of full membership |
9 (2 senators-2-representatives and 5 public members) |
Elected Officials: 2 years Public: 3 years |
• Helps people understand and comply with the Legislative Ethics Code • Issues formal advisory opinions interpreting the ethics code, • Considers complaints alleging code violations and • Maintains public files of disclosure statements | |
Arizona |
Interim Senate Ethics Committee (ARS § 38-519) |
X |
X |
Senate president |
5 (3-2) |
• Propose and adopt a code of ethics and conflict of interest requirements as part of rules during the first regular legislative session • Issue advisory opinions interpreting the code of ethics, conflict of interest and financial disclosure requirements • Investigate complaints and charges against members | ||
Interim House Ethics Committee (ARS § 38-519) |
X |
X |
House speaker |
5 (3-2) |
• Propose and adopt a code of ethics and conflict of interest requirements as part of rules during the first regular legislative session • Issue advisory opinions interpreting the code of ethics, conflict of interest and financial disclosure requirements • Investigate complaints and charges against members | |||
Arkansas+ |
None. A Senator who believes an ethics violation has been committed may petition the full Senate to meet publicly to conduct an investigation. The petition must be signed by a majority of the members (SR 24. 08). No comparable House Rule. |
- |
- |
- |
- |
- |
- |
- |
California+ |
Senate Committee on Legislative Ethics (SR 12. 3) |
X |
X |
Committee on Rules |
6 (at least two from the 2 largest parties) |
2 years |
• Formulate and recommend standards of conduct • Issue and annually update a user manual • Issue advisory opinions • Conduct periodic workshops • Receive and investigate complaints against members | |
Assembly Legislative Ethics Committee (AR 22. 5) |
X |
X |
Speaker |
6 (3-3) |
2 years |
• receive and investigate complaints against members • Issue advisory opinions • Conduct an orientation course biannually on statutes and regulations governing official conduct • Conduct an annual orientation course on relevant ethical issues and laws related to lobbying | ||
Colorado |
Senate Committee on Ethics (SR 43) |
X |
X |
Senate president appoints the majority party members from among the chairmen of committees of reference. Minority leaders appoint minority members from members who are senior in service and experience. |
5-7 members (Party representation must be proportionate to the membership) |
Handles complaints filed against members. The Senate president consults with the majority and minority leaders when a complaint is filed. If two of the three leaders conclude the complaint is not meritorious, it is dismissed and remains confidential. If the complaint is not dismissed, a committee on ethics is appointed. | ||
House Committee on Ethics (HR 49) |
X |
X |
House speaker appoints the majority party members from among the chairmen of committees of reference. Minority leaders appoint minority members from members who are senior in service and experience. |
5-7 members (Party representation must be proportionate to the membership) |
Handle complaints filed against members. The Speaker appoints the committee whenever a complaint is filed. | |||
Connecticut+ |
None. |
- |
- |
- |
- |
- |
- |
- |
Delaware |
Senate Ethics Committee (SR 2) |
X |
X |
Unspecified (Legislative librarian reports no Senate disciplinary actions; thus, no details in rules) |
6 |
Coterminous with term of office |
Unspecified | |
House Ethics Committee (HR 30) |
X |
X |
Speaker appoints three members and the minority leader appoints two |
5 (3-2) |
2 years |
• Recommend to the House rules of conduct for members • Issue written advisory opinions regarding the Rules of Legislative Conduct • Investigate any alleged violation of Rules of Legislative Conduct • Report to appropriate state and federal authorities any substantial evidence of a violation | ||
Florida+ |
Senate Rules Committee (SR 1. 35 et seq. ) |
X |
X |
Senate president |
23 |
The committee may adopt rules of procedure | ||
House Rules and Calendar Council (maybe a Probable Cause Panel (see Responsibilities) The Speaker appoints a Select Committee on Standards of Official Conduct if the state's Ethics Commission determines that a member has violated the state code of ethics (HR 16. 2 (e)) |
X |
X |
House speaker |
19 |
Panel serves until the complaint is dismissed or probable cause found |
Complaints are filed with the speaker, who must promptly forward them to the council. The council determines if the complaint alleges facts of more than a de minimus violation. If it does, the council sends a copy of the complaint to the speaker and requests a Probable Cause Panel or Special Investigator. The Probable Cause Panel must consist of an odd number of House members. | ||
Georgia+ |
Joint Legislative Ethics Committee (Ga. Code § 45-10-91 et seq. ) |
X |
X |
Senate president appoints 2 senators from each party and House speaker appoints two representatives from each party |
10 ( 4 Senators, 4 Representatives, the Senate president, and House speaker) |
2 years |
• Receive and investigate complaints • Issue advisory opinions • Employ staff • Prepare an annual report of activities | |
Hawaii+ |
None. The Senate president and House speaker may each appoint a special committee (SR 72 and HR 28. 3) |
Not specified |
X |
Senate president or House speaker as appropriate |
Not specified |
Unspecified |
Receive and Investigate complaints after the president or speaker, as appropriate, has attempted to resolve them administratively | |
Idaho |
Senate Committee on Ethics |
X |
X |
Senate president appoints; however, minority leader must concur on 3 appointments |
6 (see appointing authority) |
Unspecified |
Receive and investigate complaints | |
House Committee on Ethics |
X |
X |
House speaker appoints majority members from among the chairs of the committees of reference and minority members from among the most senior in service and experience |
7 (4-3) |
Unspecified |
Receive and investigate complaints | ||
Illinois |
Illinois Legislative Ethics Commission (5 ILCS 430/25-5 et seq. ) |
X |
N/A |
N/A |
Top 4 legislative leaders each appoint 2 |
8 (4-4) |
Initially staggered, then 4 years |
• Promulgate rules • Conduct administrative hearings • Prepare and publish manuals and guides • Appoint special Legislative Inspectors General |
Indiana |
Senate Committee on Ethics (IC 2-2. 1-3-5) |
X |
X |
Senate president appoints three majority party members and the Senate minority leader appoints minority party members |
6 (3-3) |
Members serve during their term in office |
• Receive and hear complaints • Act as an advisory body to the general assembly and to individual members | |
House Ethics Committee (IC 2-2. 1-3-5) |
X |
X |
House speaker appoints three majority party members and the House minority leader appoints minority party members |
6 (3-3) |
Members serve during their term in office |
• Receive and hear complaints • Act as an advisory body to the general assembly and to individual members | ||
Iowa |
Senate Ethics Committee (Iowa Code § 68B. 31) |
X |
X |
Senate president and Senate minority leader each appoints three |
6 (3-3) |
Unspecified |
• Prepare a code of ethics at the start of each session • Prepare rules for lobbying the general assembly • Issue advisory opinions • Receive and Investigate complaints | |
House Ethics Committee (Iowa Code § 68B. 31) |
X |
X |
House speaker and House minority leader each appoints three |
6 (3-3) |
Unspecified |
• Prepare a code of ethics at the start of each session • Prepare rules for lobbying the general assembly • Issue advisory opinions • Receive and Investigate complaints | ||
Kansas+ |
Senate Select Committee (SR 77) |
X |
X |
Senate president |
5 (3-2) |
Members serve until complaint dismissed or recommendation made to full body |
Receive and investigate complaints | |
House Select Committee (HR 49) |
X |
X |
House speaker |
6 (3-3) |
Members serve until complaint dismissed or recommendation made to full body |
Receive and investigate complaints | ||
Kentucky |
State Legislative Ethics Commission (KRS § 6. 651 et seq. ) |
X |
N/A |
N/A |
Senate president: 4 House speaker: 4 Legislative Research Commission: 1 |
9 (6-3) |
Staggered initially, then 4 years |
• Administer legislative code of ethics • Receive and investigate complaints • Issue advisory opinions • Draft regulations • Prepare a list of every legislative agent and employer registered with the commission |
Louisiana+ |
Select Committee on Discipline and Expulsion (SR Chap. 17) |
X |
X |
Senate president serves as chair, the Senate president pro tempore is vice chair, and Senate secretary is the chief administrative officer |
Full Senate (39 members) except for the subject of the complaint |
Members serve until complaint dismissed or recommendation made to full body |
Receive and investigate complaints | |
Select Committee on Discipline and Expulsion (HR Chap. 15) |
X |
X |
House speaker serves as chair, the Speaker pro tempore is vice chair, and the House clerk is the chief administrative officer |
Full House (105 members) except for the subject of the complaint |
Members serve until complaint dismissed or recommendation made to full body |
Receive and investigate complaints | ||
Maine+ |
Committee on Conduct and Ethics (SR 201 (6)) |
X |
X |
Senate president |
5 (At least 2 each must represent the majority and minority political parties) |
Unspecified |
Presumably to receive and investigate complaints | |
House Committee on Ethics (HR 201 (1)(L)) |
X |
X |
House speaker |
8 (4-4 currently, but no provision in rules) |
Unspecified |
Presumably receive and investigate complaints | ||
Maryland |
Joint Committee on Legislative Ethics (Md. Code § 15-509 et seq. ) |
X |
X |
Senate president and House speaker appoint members of their respective chambers. |
12 (6 each from the Senate and House. At least one member from the Senate and one member from the House must be from the minority party) |
Unspecified |
Receive and investigate complaints | |
Massachusetts+ |
Senate Committee on Ethics and Rules (SR 12) |
X |
X |
Senate president pro tempore appoints 5, including the minority leader. The minority leader appoints 1. |
6 (see appointing authority) |
Unspecified |
• Receive and investigate complaints • Meet from time to time at the call of the chair to help the president and the Senate identify major issues requiring the chamber's consideration • Initiate legislation | |
House Committee on Ethics (HR 16-17) |
X |
X |
House speaker appoints 7 and the House minority leader appoints 4 |
11 (7-4) |
Unspecified |
Receive and investigate complaints | ||
Michigan |
None. Complaints against senators are referred to the Committee on Government Operations and Reform (SR 1. 311). No comparable House rule. |
- |
- |
- |
- |
- |
- |
- |
Minnesota+ |
Senate Rules and Administration Committee, Subcommittee on Ethical Conduct (SR 55) |
X |
X |
Presumably Senate president |
4 (2-2) |
• Receive and investigate complaints • Issue advisory opinions | ||
House Ethics Committee (HR, Art. 6) |
X |
X |
House speaker |
4 (2-2) plus 1 alternate from each caucus |
Members cannot serve more than three 2-year terms |
Receive and investigate complaints | ||
Mississippi+ |
No Senate Ethics Committee. In addition to its other responsibilities, the Rules Committee has jurisdiction over questions of improper or unethical conduct of senators (SR 65 (9)) |
- |
- |
- |
- |
- |
- |
- |
House Committee on Ethics (HR 63A) |
X |
X |
House speaker appoints 1 from each Congressional district as constituted on January 1, 1996 and 1 from each Supreme Court district |
8 (currently 5-3) |
Coterminous with term of office |
• Receive and investigate complaints • Initiate investigations • Issue advisory opinions • Adopt rules of procedure | ||
Missouri+ |
Senate Committee on Rules, Joint Rules, Resolutions and Ethics (SR 28 (13) |
X |
X |
Senate president pro tem appoints members from majority party. The minority caucus determines how its members will be appointed to committees (SR 12) |
7 (4-3) |
Coterminous with term of office |
• Draft Senate rules • Report on bills and other matter referred to it relating to ethics and the conduct of public officials and employees | |
House Ethics Committee (HR 36) |
X |
X |
House speaker appoints members from the majority party and the Minority leader appoints those from the minority party |
8 (4-4) |
Coterminous with term of office |
Receive and investigate complaints | ||
Montana+ |
Senate Ethics Committee (SR 30-10, 30-30, and 30-160) |
X |
X |
The Committee on Committees with the Senate's approval |
4 (2-2) |
Receive and investigate complaints referred from the Rules Committee | ||
House Ethics Committee (HR 20-90, 30-10) |
X |
X |
House speaker appoints and determines the number of committee members |
8 (4-4) |
Receive and investigate complaints referred from the Rules Committee | |||
Nebraska+ |
None |
|||||||
Nevada+ |
Senate Legislative Operations and Elections Committee (SR 40 and 44) |
X |
X |
Senate majority leader |
7 (no requirement) |
• Hire staff • Hear complaints on alleged breaches of ethics and conflicts of interests • Issue advisory opinions | ||
Assembly Committee on Ethics (AR 23) |
X |
X |
House speaker appoints 2 from majority party, minority leader appoints 1 from minority party, and the committee chooses 2 public members. The speaker appoints 2 alternates, 1 from each political party |
5 (legislators (2-1)) |
Receive and investigate complaints | |||
New Hampshire |
Joint Legislative Ethics Committee (NH RSA § 14-B) |
X |
X |
Senate president pro tem and House speaker each appoint 2 members, 1 from majority party and 1 public member Senate and House minority leaders each appoint 1 member from the minority party The 4 leaders jointly appoint one public member |
7 (see appointments) |
Coterminous with term of office |
• Issue guidance, interpretative rulings, and advisory opinions • Receive and investigate complaints | |
New Jersey |
Joint Legislative Committee on Ethical Standards (JR 19) |
X |
X |
Senate president pro tem and House speaker |
8 (4 members of the Senate, no more than two from the same political party. 4 members of the General Assembly, no more than two from the same political party) |
Coterminous with term of office |
• Receive and investigate complaints | |
New Mexico |
Senate Ethics Committee (SR 9-13-1) |
X |
X |
Designated Members: 7 top Senate leaders and one senator from the minority party |
8 (4-4) |
Until complaint dismissed or otherwise disposed of |
• Issue advisory opinions • Interpret and enforce ethical principles • Receive and investigate complaints | |
Rules and Order of Business Committee's Subcommittee on Ethics (HR 9-13 et seq. ) |
X |
X |
Not specified |
Members selected from the 20-member Committee |
Until complaint dismissed or otherwise disposed of |
• Issue advisory opinions • Receive and investigate complaints | ||
Interim Legislative Ethics Committee* (NM Stat. § 2-15-7 et seq. ) |
X |
X |
Legislative Council |
16 (8-8) |
Legislative interim |
• Receive and investigate complaints • Issue advisory opinions | ||
New York |
Joint Legislative Ethics Commission (NY Con. Laws, Legislative Laws, Art. 5 § 80, as amended by AB 3736, SB 2876) |
X |
N/A |
N/A |
Each of the four legislative leaders selects 2 members, 1 legislator and 1 independent member, and the fifth independent member is selected jointly by the Assembly speaker and the Senate majority leader |
9 (Legislators: 4 (2-2); Public: 5) |
Elected: coterminous with term of office Public: First staggered, then 4 years |
• Receive and investigate complaints • establish a website disclosing public information • report annually on the number and treatment of complaints |
North Carolina |
Joint Legislative Ethics Committee (NC Code § 120-99 et seq. ) |
X |
X |
Senate Members: president pro tem appoints 6, 3 each from lists submitted by the majority and minority leaders House Members: House speaker appoints 6, 3 each from lists submitted by the majority and minority leaders |
12 (6-6) |
Coterminous with term of office |
• Prepare a list of ethical principles and guidelines that identifies potential conflicts of interest and prohibited behavior • Advise each legislative committee of specific danger areas where conflicts of interests may exist • Issue advisory opinions • Propose rules of legislative ethics and conduct • Receive and investigate complaints | |
North Dakota |
The Joint Rules (JR 1001-1003) contain a legislative ethics policy, but there is no legislative ethics committee |
- |
- |
- |
- |
- |
- |
- |
Ohio |
Joint Legislative Ethics Committee (§ 13 Legislative Code of Conduct) |
X |
X |
Senate president and House speaker each appoints 6 members, not more than 3 each from the same political party |
12 (6-6) |
Coterminous with term of office |
• Receive and investigate complaints • Receive and review financial disclosure statements • Issue advisory opinions • Administer lobbying laws | |
Oklahoma+ |
None |
|||||||
Oregon+ |
Senate Special Committee on Conduct (SR 18. 04) |
X |
X |
Senate president appoints members of all special committees (SR 8. 05) |
Equal number of members from both parties (SR 18. 04) |
Receive complaints and investigate allegations of improper conduct | ||
The House does not have an ethics committee; however there is a Committee on Sexual Harassment (House Res. 1), and a Guidelines Committee appointed by the speaker to offer guidance on the rules' gift and favors ban (HR 19. 60) |
||||||||
Pennsylvania+ |
Senate Committee on Ethics and Official Conduct (SR XXXV) |
X |
X |
Senate president pro tem; however, minority members appointed on the recommendation of the minority leader |
6 (3-3) |
Receive and investigate complaints | ||
House Committee on Ethics (HR 47) |
X |
X |
House speaker and minority leader each appoints 4 |
8(4-4) |
• Compile and distribute an ethics handbook • Plan and offer ethics education programs • Receive and investigate complaints | |||
Rhode Island+ |
None |
- |
- |
- |
- |
- |
- |
- |
South Carolina |
Senate Ethics Committee (S. C. Code Ann. § 8-13-510 et seq. ) |
X |
X |
Senators choose their own committee assignments and are selected based on seniority |
10 (5-5) |
Coterminous with term of office |
• Consider and report on legislation concerning ethics • Receive and investigate complaints • Take testimony and subpoena evidence • Administer or recommend appropriate sanctions • Act as an advisory body to the General Assembly and to individual members of or candidates for the Senate on questions pertaining to disclosure and filing requirements | |
House Ethics Committee (S. C. Code Ann. § 8-13-510 et seq. ) |
X |
X |
Members of the House elect members to this committee |
6 (3-3) |
Coterminous with term of office |
• Consider and report on legislation concerning ethics • Receive and investigate complaints • Take testimony and subpoena evidence • Administer or recommend appropriate sanctions • Render advisory opinions with regard to legislative ethics upon the request of any member, officer, or employee of the House • Compile and make available to the House a compilation of the principles set forth in the advisory opinions | ||
South Dakota |
Senate Select Committee on Discipline and Expulsion (SR 8-1 et seq. ) |
X |
X |
Senate president. He or she consults with the majority and minority leaders on all appointments except the chair and vice chair, who must be from different political parties. |
9 (5-4) |
Duration of investigation |
• Investigate the conduct of a member after the committee is established by majority vote in the Senate • Conduct hearings with the ability to subpoena witnesses and evidence and administer oaths • Produce a report recommending an action to expel, censure, discipline, or exonerate | |
House Select Committee on Discipline and Expulsion (HR 6-1 et seq. ) |
X |
X |
House speaker. He or she consults with the majority and minority leaders on all appointments except the chair and vice chair, who must be from different political parties. |
9 (5-4) |
Duration of investigation |
• Investigate the conduct of a member after the committee is established by majority vote in the House • Conduct hearings with the authority to subpoena witnesses and evidence and administer oaths • Produce a report recommending an action to expel, censure, discipline, or exonerate | ||
Tennessee |
Senate Ethics Committee (SR Art. IV §§ 1 to 7) |
X |
X |
Speaker of the Senate |
5 (3-2) |
Not specified |
• Enforce the Code of Ethics • Recommend to the Senate Rules Committee changes to the code • Render advisory opinions concerning the code and the statutes • Receive and investigate complaints with the authority to subpoena witnesses and evidence, administer oaths, and take testimony • Recommend appropriate disciplinary action to the Senate • If warranted, turn evidence and findings over to the appropriate district attorney general for civil or criminal action | |
House Ethics Committee (HR 6) |
X |
X |
House speaker |
12 (6-6) |
Not specified |
Receive and investigate complaints | ||
Texas+ |
None. Senate may establish a committee to investigate legislators' conduct (Tex. Gov't Code Ann. § 301. 017) |
- |
- |
- |
- |
- |
- |
- |
House General Investigating and Ethics Committee (Tex. Gov't Code Ann. § 301. 017, HR 3-17 and 4-2) |
X |
X |
House speaker appoints all five members and designates the chair and vice-chair |
5 (speaker appoints a maximum of one-half the members, exclusive of the chair and vice-chair; the remainder are determined by seniority) |
Begins with appointment and ends when the next | |||