Senate Resolution No. 43

Introduced by Senators Steinberg and De León

May 14, 2014

Senate Resolution No. 43—Relative to the Standing Rules of the Senate for the 2013–14 Regular Session.

Resolved by the Senate of the State of California, That the
Standing Rules of the Senate for the 2013-14 Regular Session are
amended as follows:

First--That Rule 12.3 is amended to read:
begin insert end insert

begin insert

Committee on Legislative Ethics

end insert

12.3.   (a)   (1)   The Committee on Legislative Ethics is hereby
created. The committee shall be appointed by the Committee on
Rules and shall consist of six Senators, at least two of whom are
members of the political party having the greatest number of
members in the Senate and at least two of whom are members of
the political party having the second greatest number of members
in the Senate. The members of the committee shall serve two-year
terms. The President pro Tempore and the Minority Floor Leader
shall serve as ex officio, nonvoting members of the committee. begin insert A
member of the Committee on Rules shall not be appointed to the
committee. end insert

(2) The Committee on Rules shall select a Chair and a Vice
Chair, who may not be members of the same political party. The
Chair may not serve more than two consecutive two-year terms,
and the Committee on Rules shall select a successor who is not a
member of the same political party as the immediately previous
Chair.

(3) Vacancies in the committee shall be filled within 30 days
by the Committee on Rules for the remainder of a term.

(4) If a complaint is filed against a member of the committee,
the Committee on Rules shall temporarily replace the member
with a Senator of the same political party, who shall serve until
the complaint is dismissed by the committee or the Senate takes
action as it deems appropriate, whichever occurs earlier.

(5) The Committee on Rules, upon the recommendation of the
Committee on Legislative Ethics, begin delete shall end delete begin insert may retain or end insert appoint a
Chief Counsel to assist the committee in carrying out its functions.
The staff of the committee shall be considered permanent and
professional, and shall perform their duties in a nonpartisan
manner. begin delete No end delete begin insert Neither end insert staff of the committee begin delete may end delete begin insert , nor persons
currently contracted to provide services for the committee, shall end insert
engage in partisan activities regarding a Senate begin insert or Assembly end insert
election campaign. begin delete The committee may retain independent counsel
when necessary for specific investigations. end delete

begin insert

(6) (A) The Committee on Rules, upon the recommendation of
the Committee on Legislative Ethics, shall appoint an ethics
ombudsperson to facilitate the receipt of information about
potential ethical violations, and to assist the Senate in providing
remedies for retaliatory conduct, to ensure that an informant or
complainant does not suffer adverse consequences with respect to
his or her employment in violation of paragraph (1) of subdivision
(u). Remedies for retaliatory conduct pursuant to this rule may
include back pay and reinstatement.

end insert begin insert

(B) The ombudsperson shall be accessible to Senators, officers
and employees of the Senate, and members of the public who wish
to provide information or seek guidance about ethical standards
or possible violations before filing a formal complaint pursuant
to subdivision (c). All communications made pursuant to this
subparagraph shall be confidential between the informant or
complainant and the ombudsperson. In appropriate cases,
especially where repeated or systematic violations appear to have
occurred, the ombudsperson may refer the information to the Chair
of the Committee on Rules, the Chair of the Committee on
Legislative Ethics, the Secretary of the Senate, or all three;
however, the identity of the informant or complainant shall be kept
confidential unless that person otherwise consents.

end insert begin insert

(C) The Committee on Legislative Ethics shall maintain a public
hotline telephone number for purposes of contacting the
ombudsperson. Complaints received through the hotline shall be
considered informal complaints, and the nature and existence of
the complaints shall be kept confidential.

end insert

(b) The committee shall do all of the following:

(1) The committee shall formulate and recommend, for adoption
by the Senate, standards of conduct for Senators and officers and
employees of the Senate in the performance of their legislative
responsibilities. The Ethics Manual for Members, Officers, and
Employees of the United States House of Representatives, as
prepared by the Staff of the Committee on Standards of Official
Conduct, 102nd Congress Second Session (United States
Government Printing Office, Washington, 1992), the Code of
Ethics (Article 2 (commencing with Section 8920) of Chapter 1
of Part 1 of Division 2 of Title 2 of the Government Code), and
Joint Rule 44 shall serve as guides in the formulation of the
standards of conduct.

(2) At the request of any Senator or officer or employee of the
Senate, the committee shall provide an advisory opinion with
respect to the standards of conduct of the Senate on the general
propriety of past, current, or anticipated conduct of that Senator,
officer, or employee. The opinion shall be rendered within 21 days
unless the Chair and Vice Chair agree otherwise. The committee
may, with appropriate deletions to ensure the privacy of the
individuals concerned, publish the advisory opinions for the
guidance of other Senators, officers, or employees.

(3) The committee shall develop, issue, and annually update a
clear, informative, and usable manual for the Senate based on the
standards of conduct adopted by the Senate, including any advisory
opinions published pursuant to paragraph (2).

(4) The committee shall conduct periodic workshops, at least
once each calendar year, for Senators and officers and employees
of the Senate, including workshops specifically designed for newly
elected Senators and newly appointed officers and employees. At
least once in each biennial session, each Senator, and each officer
or employee of the Senate begin delete who is a designated employee under
the Senate Conflict of Interest Code, end delete shall attend one of these
workshops. The workshops shall include, but not be limited to, a
comprehensive review of all applicable statutes and Senate rules.
begin insert At least once in each biennial session, each Senator shall also
attend an individual training or review session end insert begin insert conducted by the
ombudsperson. end insert

(5) After adoption by the Senate of the standards of conduct,
the committee shall receive and review complaints alleging
violations of the standards of conduct by Senators, or officers or
employees of the Senate, in accordance with the procedures
specified in begin delete subdivisions (c) to (s), inclusive end delete begin insert this rule end insert .

(6) The committee shall maintain a record of its investigations,
hearings, and other proceedings. All begin insert information, testimony, end insert
records, complaints, documents, and reports filed with, submitted
to, or made by the committee, and all records and transcripts of
any investigations or hearings of the committee begin insert , end insert shall be
confidential and begin delete may end delete begin insert shall end insert not be open to inspection by any person
other than a member of the committee begin delete or end delete begin insert , end insert the staff of the
committee begin insert , end insert begin insert or any person engaged by contract or otherwise to
perform services for the committee end insert , except as otherwise specifically
provided for in this rule. Any member of the committee or any
person on the staff of the committee who begin insert , during the person’s
tenure with the committee or anytime thereafter, and without
authorization, end insert discloses begin delete any end delete begin insert , by writing, verbal communication,
or conduct, or reveals in any way, in whole, end insert begin insert in part, or by way of
summary, any information, testimony, end insert record, complaint, document,
report, or transcript that is confidential shall be subject to discipline.
begin insert In the case of a contract for the performance of services for the
committee, the contract shall expressly prohibit any party to the
contract from, without authorization, disclosing, by writing, verbal
communication, or conduct, or from revealing in any way, in whole,
in part, or by way of summary, any information, testimony, record,
complaint, document, report, or transcript that is confidential. end insert
The committee may, by a majority vote of the membership of the
committee, authorize the release of any records, complaints,
documents, reports, and transcripts in its possession to the
appropriate enforcement agency if the committee determines that
there is probable cause to believe that the violation or violations
alleged in the complaint would constitute a felony or if the
committee determines that the information is material to any matter
pending before the enforcement agency.

(c) (1)   Any person may file a begin insert formal end insert complaint with the
committee that alleges a violation of the standards of conduct. begin insert A
formal complaint does not include information provided to the
ombudsperson pursuant to paragraph (6) of subdivision (a), unless
the person who contacted the ombudsperson elects to file a
complaint that complies with this subdivision and subdivision (d). end insert

(2) Except as provided in paragraphs (3) and (4), a complaint
begin delete may end delete begin insert shall end insert not be filed more than 18 months after the date that the
alleged violation occurred.

(3) If the committee determines that the person filing the
complaint did not know, or through the exercise of reasonable
diligence could not have known, of the alleged violation within
18 months after the date that the alleged violation occurred, the
complaint may be filed within three years after the date that the
alleged violation occurred.

(4) If a complaint is filed within 60 days prior to an election at
which a Senator or officer or employee is a candidate for elective
office, the complaint shall be returned to the person filing the
complaint, and the person shall be informed that the complaint
may be filed with an appropriate enforcement agency and may be
refiled with the committee after the election. The period of time
for filing the complaint shall be extended for 60 days.

(5) A complaint begin delete may end delete begin insert shall end insert not be filed if it alleges a violation
that occurred prior to the adoption of the standards of conduct.

(d) A begin insert formal end insert complaint shall satisfy all of the following
requirements:

(1) It shall be in writing.

(2) It shall state the name begin insert and contact information end insert of the person
filing the complaint.

(3) It shall state the name of Senator, or the name and position
or title of the officer or employee of the Senate, who is alleged to
have committed a violation of the standards of conduct.

(4) It shall set forth allegations that, if true, would constitute a
violation of the standards of conduct. The allegations shall be
stated with sufficient clarity and detail to enable the committee to
make a finding pursuant to subdivision (h).

(5) It shall state the date of the alleged violation.

(6) It shall include a statement that the allegations are true of
the person’s own knowledge or that the person believes them to
be true, and begin delete shall be signed by the person under penalty of perjury end delete begin insert end insert
begin insert may include documents in the possession of the party filing the
complaint relevant to, or supportive of, his or her allegations end insert .

(e) The committee, on its own motion, two-thirds of the
membership concurring, may initiate a proceeding by filing a
complaint that complies with paragraphs (1) to (5), inclusive, of
subdivision (d).

(f) The committee shall promptly send a copy of a complaint
to the Senator, or officer or employee of the Senate, alleged to
have committed the violation, who shall thereafter be designated
as the respondent.

(g) If a complaint is filed by a person other than the committee,
the Chair and Vice Chair of the committee shall examine the
complaint to determine whether it was filed in accordance with
this rule and any rules of the committee. begin delete Within 15 end delete

begin insert (h) end insert begin insert   end insert begin insert Within seven end insert days after the complaint is filed, the Chair and
Vice Chair shall provide to the committee a copy of the complaint
and their opinion as to whether the allegations in the complaint,
if true, would constitute a violation of the standards of conduct. If
the committee, by a two-thirds vote of its membership, finds that
the allegations, if true, would constitute a violation of the standards
of conduct, the committee shall hold a hearing within 30 days to
conduct a preliminary inquiry. If two-thirds of the membership of
the committee fails to find that the allegations, if true, would
constitute a violation of the standards of conduct, it shall dismiss
the complaint and so notify the person who filed the complaint
and the respondent, and the complaint shall not be made public.

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(h)

end delete

begin insert (i) end insert  At the preliminary inquiry, the respondent may respond to
the allegations in the complaint by written statement or oral
testimony. If two-thirds of the membership of the committee finds
that probable cause exists for believing that the respondent
committed a violation of the standards of conduct, the committee
shall issue a count-by-count statement of alleged violations. If
two-thirds of the membership of the committee fails to find that
probable cause exists, the committee shall dismiss the complaint.
In either event, the committee shall immediately notify the
respondent and the person who filed the complaint of its action.
If the committee finds that probable cause exists, the statement of
alleged violations shall be made public within seven days.

begin delete

(i)

end delete

begin insert (j) end insert  Within 21 days after the issuance of the statement of alleged
violations, the respondent may file an answer that admits or denies
each count. Upon request of the respondent, the committee may
grant the respondent an additional 21 days to respond.

begin delete

(j)

end delete

begin insert (k) end insert  Within 60 days after the issuance of the statement of alleged
violations, the committee shall hold a disciplinary hearing. If a
majority of the membership of each party on the committee fails
to find that the respondent committed a violation of the standards
of conduct, the committee shall dismiss the complaint. If a majority
of the membership of each party on the committee finds by clear
and convincing evidence that the respondent committed a violation
of the standards of conduct, the committee shall take the following
action:

(1) If the respondent is a Senator, it shall hold a hearing to
determine an appropriate sanction.

(2) If the respondent is an officer or employee, it shall transmit
its findings to the Committee on Rules for appropriate action.

begin delete

(k)

end delete

begin insert (l) end insert  (1)   At the hearing to determine an appropriate sanction,
two-thirds of the membership of the committee shall determine
whether the violation is serious or minor.

(2) If the committee determines that a violation is minor or fails
to determine that a violation is serious, two-thirds of the
membership of the committee (A) shall, if it determines that the
violation bears upon the exercise of a right or privilege, recommend
that the Committee on Rules deny or limit that right or privilege
and shall transmit its findings and recommendation to the
Committee on Rules, or (B) shall impose any lesser sanction begin insert ,
including, but not limited to, issuing a private letter of
admonishment for an inadvertent, technical, or otherwise de
minimis violation, which shall not be considered discipline end insert . Within
15 days after the imposition of a lesser sanction, the respondent
may appeal the sanction imposed to the Committee on Rules.

(3) If the committee determines that a violation is serious,
two-thirds of the membership of the committee shall recommend
that the Senate take one or more of the following actions and shall
transmit its findings and recommendation to the Senate:

(A) The denial or limitation of any right or privilege, if the
violation bears upon the exercise of that right or privilege.

(B) A reprimand for a serious violation.

(C) A censure for a more serious violation.

(D)  begin delete An end delete begin insert A suspension or end insert expulsion for a most serious violation.

begin delete

(l)

end delete

begin insert (m) end insert  The Senate shall, within 15 legislative days after receiving
the findings and recommendation, vote on the recommendation of
the committee. The Senate, by 21 votes, may deny or limit any
right or privilege of, reprimand, or censure the Senator or, by 27
votes, may expel the Senator.

begin delete

(m)

end delete

begin insert (n) end insert  The committee or Senate may defer any action required by
this rule if other proceedings have been commenced on the same
matter.

begin delete

(n)

end delete

begin insert (o) end insert  (1)   At all hearings, the Chief Counsel of the committee shall
present the case. All relevant and probative evidence begin delete is end delete begin insert shall be end insert
admissible unless it is privileged. Witnesses may be called and
cross-examined by the committee and the respondent, and exhibits
and other documents may be entered into the record. The
respondent begin delete has end delete begin insert shall have end insert the right to be represented by legal
counsel or any other person of his or her choosing.

(2) If the committee receives, at any time, any exculpatory
information relating to the alleged violation, the committee shall
make the information available to the respondent. begin insert The committee
and the respondent shall comply with requests for discovery
consistent with Sections 1054, 1054.1, and 1054.3 of the Penal
Code. end insert

begin delete

(o)

end delete

begin insert (p) end insert  If the committee determines that the complaint was filed
with malicious intent, it may request that the Committee on Rules
reimburse the expenses incurred by the respondent.

begin delete

(p)

end delete

begin insert (q) end insert  At any time during the proceedings, the respondent may
admit that he or she committed a violation of the standards of
conduct. If the respondent admits some but not all of the violations
alleged in the complaint or the counts set forth in the statement of
alleged violations, the committee shall find that the admitted
violations constituted a violation of the standards of conduct and
may continue the proceedings to determine whether the other
alleged violations constituted violations of the standards of conduct.
If the respondent admits to all alleged violations, the committee
shall find that the admitted violations constituted a violation of
the standards of conduct, terminate the preliminary inquiry or
disciplinary hearing, and take the action required by paragraph (1)
or (2) of subdivision begin delete (j) end delete begin insert (k) end insert .

begin delete

(q)

end delete

begin insert (r) end insert  Meetings of the committee begin delete may end delete begin insert shall end insert not be open to the
public until the committee finds that probable cause exists for
believing that the respondent committed a violation of the standards
of conduct. Subsequent meetings of the committee or Senate shall
be public, and notice of any meeting shall be published in the
Senate File for four calendar days prior to the meeting.

begin delete

(r)

end delete

begin insert (s) end insert  If the committee finds that probable cause exists for believing
that the respondent committed a violation of the standards of
conduct, the transcript of any testimony given, or any documents
admitted into evidence, at a public hearing and any report prepared
by the committee subsequent to that finding that states a final
finding or recommendation shall be open to public inspection.

begin delete

(s)

end delete

begin insert (t) end insert  Upon request of the respondent, the committee may permit
the respondent to inspect, copy, or photograph books, papers,
documents, photographs, or other tangible objects that relate to
the allegations in the complaint. If the committee finds that
probable cause exists for believing that the respondent committed
a violation of the standards of conduct, the committee shall permit
the respondent to inspect, copy, or photograph books, papers,
documents, photographs, or other tangible objects that relate to
the statement of alleged violations.

begin delete

(t)

end delete

begin insert (u) end insert  (1)   A Senator or officer or employee of the Senate begin delete may end delete begin insert shall end insert
not directly or indirectly use or attempt to use his or her official
authority or influence to intimidate, threaten, coerce, command,
or attempt to intimidate, threaten, coerce, or command any person
for the purpose of interfering with the right of that person to file
a complaint with the committee, testify before, or in any way
cooperate with, the committee or any panel.

(2) For the purpose of paragraph (1), “use of official authority
or influence” includes promising to confer, or conferring, any
benefit; effecting, or threatening to effect, any reprisal; or taking,
or directing others to take, or recommending, processing, or
approving, any personnel action, including, but not limited to,
appointment, promotion, transfer, assignment, performance
evaluation, suspension, or other disciplinary action.

(3) Nothing in this subdivision begin delete may end delete begin insert shall end insert be construed to
authorize any person to disclose information the disclosure of
which is otherwise prohibited by law.

begin delete

(u)

end delete

begin insert (v) end insert  The committee may adopt rules governing its proceedings
not inconsistent with this rule. The provisions of Joint Rule 36
relating to investigating committees apply to the committee to the
extent those provisions are consistent with this rule.

begin delete

(v)

end delete

begin insert (w) end insert  The powers and procedures set forth in subdivisions (b) to
begin delete (u) end delete begin insert (v) end insert , inclusive, confer independent authority and begin delete may end delete begin insert shall end insert not
be limited or altered by Joint Rule 45.

begin insert

(x) Where confidentiality is required pursuant to this rule,
confidentiality shall be maintained only to the extent that disclosure
of the confidential information is not otherwise required by law.

end insert

Second--That Rule 13 is amended to read:

Committee on Rules
begin insert end insert

13.   (a)   The Committee on Rules is charged with the general
responsibility for the administrative functioning of the Senate. The
committee has general charge of the books, documents, and other
papers and property of the Senate and shall see that the same are
properly kept, cared for, filed, or otherwise disposed of in
accordance with applicable law and rules. The committee also has
the duties of making studies and recommendations designed to
promote, improve, and expedite the business and procedure of the
Senate and its committees, including investigating committees
consisting wholly or in part of Members of the Senate, and of
proposing any amendments to the rules deemed necessary to
accomplish those purposes.

(b) The Committee on Rules shall continue in existence during
any recess of the Legislature until the convening of the next regular
session, and shall have the same powers and duties as while the
Senate is in session. The committee has the authority to fill
vacancies in any Senate committee or in the Senate membership
of any joint committee.

(c) The committee and its members shall have and exercise all
of the rights, duties, and powers conferred upon investigating
committees and their members by the Joint Rules of the Senate
and Assembly as they are adopted and amended from time to time,
which provisions are incorporated herein and made applicable to
the Committee on Rules and its members.

(d) The committee may make available to any Senate or joint
committee, or any Member of the Senate, assistance in connection
with the duties of the committee or other legislative matters as the
personnel resources under the direction of the committee or its
other facilities permit.

(e)  begin insert (1) end insert begin insert   end insert All employees on the payroll of the Senate are
employees of the Senate and not of individual members, and they
are under the direct control of the Committee on Rules. The
Committee on Rules has general supervision over all employees
of the Senate and the powers and duties to suspend, discipline, or
discharge any employees when necessary. Any insubordination
or inefficiency on the part of any employee shall be reported to
the Committee on Rules.

begin insert

(2) A Senator or officer or employee of the Senate shall not
retaliate against an employee of the Senate for reporting
information to the Senate Committee on Rules, the Senate
Committee on Legislative Ethics, or any government or law
enforcement agency regarding a possible violation of the Senate
Standards of Conduct or any state or federal law or regulation,
or because the Senator, officer, or employee believes that the
employee reported or may report such information, if the employee
who reported the information reasonably believed that the
information disclosed a violation of the Senate Standards of
Conduct or any state or federal law or regulation.

end insert

(f) The committee shall make available and furnish to the
Members of the Senate, and the Senate committees, personnel
resources as may be reasonably necessary for the Members and
the committees to carry out their duties.

(g) The Committee on Rules constitutes the Committee on
Introduction of Bills and has charge of the engrossment and
enrollment of bills, the contingent expenses of the Senate, and
legislative printing, except insofar as these functions are delegated
to the Secretary of the Senate.

(h) The rooms, passages, and buildings set apart for the use of
the Senate are under the direction of the Committee on Rules, and
the committee may assign the press desks in the Senate Chamber
to accredited newspaper representatives.

(i) Executive communication of nominations sent by the
Governor, or any other entity with the authority to make
appointments, to the Senate for confirmation shall be referred to
the Committee on Rules, unless otherwise ordered by the Senate,
without debate.

(j) The Committee on Rules shall, at each regular session,
appoint a Member of the Senate to serve on the Judicial Council
and has the authority during any joint recess to fill any vacancy in
that position that occurs during the recess.

(k) When a report of a joint legislative committee is delivered
to the Senate Desk, the Committee on Rules shall refer it to a
standing committee for review and appropriate action.