BILL NUMBER: SR 43 INTRODUCED
BILL TEXT
INTRODUCED BY Senators Steinberg and De León
MAY 14, 2014
Relative to the Standing Rules of the Senate for the 2013-14
Regular Session.
LEGISLATIVE COUNSEL'S DIGEST
HOUSE OR SENATE RESOLUTIONS DO NOT CONTAIN A DIGEST
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:
Committee on Legislative Ethics
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. A member of the Committee on
Rules shall not be appointed to the committee.
(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, shall may
retain or 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. No Neither
staff of the committee may , nor persons
currently contracted to provide services for the committee, shall
engage in partisan activities regarding a Senate or
Assembly election campaign. The committee may retain
independent counsel when necessary for specific investigations.
(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.
(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.
(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.
(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 who is a designated employee under the Senate
Conflict of Interest Code, 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.
At least once in each biennial session, each Senator shall also
attend an individual training or review session conducted
by the ombudsperson.
(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
subdivisions (c) to (s), inclusive this rule .
(6) The committee shall maintain a record of its investigations,
hearings, and other proceedings. All information, testimony,
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 ,
shall be confidential and may shall
not be open to inspection by any person other than a member of
the committee or , the staff of the
committee , or any person engaged by contract or
otherwise to perform services for the committee , except as
otherwise specifically provided for in this rule. Any member of the
committee or any person on the staff of the committee who ,
during the person's tenure with the commit tee or anytime
thereafter, and without authorization, discloses any
, by writing, verbal communication, or conduct, or
reveals in any way, in whole, in part, or by way of
summary, any information, testimony, record, complaint,
document, report, or transcript that is confidential shall be subject
to discipline. 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. 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 formal complaint with the
committee that alleges a violation of the standards of conduct.
A formal comp laint 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).
(2) Except as provided in paragraphs (3) and (4), a complaint
may shall 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 may shall not be
filed if it alleges a violation that occurred prior to the adoption
of the standards of conduct.
(d) A formal complaint shall satisfy all of the
following requirements:
(1) It shall be in writing.
(2) It shall state the name and contact information 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 shall be signed by the person under penalty of
perjury may include documents in the
possession of the party filing the complaint relevant to, or
supportive of, his or her allegations .
(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. Within 15
(h) Within seven 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.
(h)
(i) 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.
(i)
(j) 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.
(j)
(k) 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.
(k)
(l) (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 , 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 . 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) An A suspension or
expulsion for a most serious violation.
(l)
(m) 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.
(m)
(n) The committee or Senate may defer any action
required by this rule if other proceedings have been commenced on the
same matter.
(n)
(o) (1) At all hearings, the Chief Counsel of the
committee shall present the case. All relevant and probative evidence
is shall be 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 has
shall have 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. The committee
and the respondent shall comply with requests for discovery
consistent with Sections 1054, 1054.1, and 1054.3 of the Penal Code.
(o)
(p) 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.
(p)
(q) 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 (j) (k) .
(q)
(r) Meetings of the committee may
shall 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.
(r)
(s) 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.
(s)
(t) 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.
(t)
(u) (1) A Senator or officer or employee of the Senate
may shall 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 may shall
be construed to authorize any person to disclose information
the disclosure of which is otherwise prohibited by law.
(u)
(v) 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.
(v)
(w) The powers and procedures set forth in subdivisions
(b) to (u) (v) , inclusive, confer
independent authority and may shall not
be limited or altered by Joint Rule 45.
(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.
Second--That Rule 13 is amended to read:
Committee on Rules
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) (1) 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.
(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.
(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.