STATE OF OKLAHOMA

2nd Session of the 53rd Legislature (2012)

HOUSE
RESOLUTION 1052	By:	Banz, Shumate, Brumbaugh, Casey, Coody, Morgan, Pruett, Rousselot and Russ

AS INTRODUCED

WHEREAS, it is recognized that the power of a legislative body to oversee the conduct of its members is “fundamental” as the “legislature has an important interest in upholding its reputation and integrity”…Monserrate v. New York State Senate, 599 F.3d 148, 155 (C.A.2(N.Y.), 2010) citing the U.S. Supreme Court in In Re Chapman, 166 U.S. 661 (1897); and
WHEREAS, the framers of the Oklahoma Constitution in Article V, Section 30 recognized that in addition to the right of voters to elect a member of their choosing to the House, each House of the Legislature should determine whether its members have engaged in “disorderly behavior”; and
WHEREAS, it is fundamental in Oklahoma and the United States of America that all persons should be: informed as to expectations of conduct; provided notice of the allegations against them; afforded the opportunity to respond to those allegations; and allowed an adjudication of those allegations according to established principles and a fair process; and
WHEREAS, in each Oklahoma Legislature, the members of the House of Representatives adopt rules to govern the House and its activities and processes; and
WHEREAS, the 53rd Legislature Special Investigative Committee recommended that a standing bipartisan Ethics Committee be established and create a set of rules under which the Ethics Committee would operate in order to promote confidence that the House would handle ethics complaints in an “expeditious, fair, and consistent manner”; and
WHEREAS, in the rare instance that the House of Representatives must act in response to the behavior of one of its members, such a process would best occur under a duly considered Code of Conduct and established House Ethics Rules. 
NOW, THEREFORE, BE IT RESOLVED BY THE HOUSE OF REPRESENTATIVES OF THE 2ND SESSION OF THE 53RD OKLAHOMA LEGISLATURE:
THAT the following Code of Conduct and House Ethics Rules shall govern the Oklahoma House of Representatives:
CODE OF CONDUCT
Members of the Oklahoma House of Representatives are public servants entrusted with maintaining the integrity of the House, and as such have a duty to prevent the erosion of public confidence in its authority by setting forth appropriate discipline for actions which may tend to impugn the honor, dignity, and integrity of the House.  Pursuant to Article V, Sections 30 and 42, of the Oklahoma Constitution, the Oklahoma House of Representatives is granted the authority to “punish its members for disorderly behavior, and, with the concurrence of two-thirds, expel a member”; and in any legislative investigation, the “power to punish as for contempt, disobedience of process, or contumacious or disorderly conduct”.
In recognition of its responsibility to the citizens of this state and in response to the authority granted by the Oklahoma Constitution, the Oklahoma House of Representatives adopts the following code of conduct:
1.	Representatives shall respect and comply with the law and shall conduct themselves in a manner that promotes public confidence in the integrity and independence of the Oklahoma House of Representatives and of the Oklahoma Legislature, refraining from disorderly behavior.  Disorderly behavior includes: 
a.	any conduct constituting a legal, moral, or ethical wrong that substantially impairs the member's ability to perform the duties of his or her office or substantially diminishes public confidence in the House of Representatives, including but not limited to House Rule 4.4, paragraphs (d), (f) and (g),
b.	any conduct constituting a conflict of interest under state law, or
c.	the intentional filing of a false complaint or the filing of a complaint in reckless disregard of the truth;
2.	Representatives shall not engage in self-dealing and shall conduct themselves in a manner consistent with the duties and obligations of a Representative under Article V, Sections 18 and 23, of the Oklahoma Constitution;  
3.	Representatives shall exercise the duties and powers inherent to their position for the benefit of their constituents and without securing privileges for themselves or others;
4.	Pursuant to Article V, Section 24, of the Oklahoma Constitution and House Rule 4.2, Representatives shall disclose any personal or private interest the member may have in any measure or bill, proposed or pending, before the Legislature to the extent the measure or bill does not affect the Oklahoma citizenry as a whole, and shall refrain from voting thereon;  
5.	Representatives shall not publish or distribute material with reckless disregard for the truth or with actual knowledge that a statement included in such material is false;
6.	Representatives shall conduct themselves in a manner that promotes a professional environment in the House, which shall be free from unlawful discrimination and harassment, including sexual harassment of other members and House staff, as required by law; and
7.	A member convicted of a felony shall be subject to immediate expulsion from the House of Representatives upon a two-thirds (2/3) majority vote of the House pursuant to Article V, Section 30, of the Oklahoma Constitution.
The Code of Conduct shall become effective upon its adoption by the House of Representatives, without retroactive application, and shall remain in effect for the duration of the Fifty-third Oklahoma Legislature.
HOUSE ETHICS RULES

GENERAL PURPOSE AND AUTHORITY
The purpose of the House Ethics Committee is to provide a process by which the Oklahoma House of Representatives may exercise its constitutional authority under Article V, Sections 30 and 42, of the Oklahoma Constitution.  The House Ethics Committee shall:
1.	Recommend amendments, as necessary, to the Code of Conduct and House Ethics Rules adopted by the Oklahoma House of Representatives;
2.	Establish a procedure for receiving complaints and investigating violations of the Code of Conduct and House Ethics Rules for members of the Oklahoma House of Representatives;
3.	Recommend appropriate disciplinary action; and
4.	Provide ethics training to the members of the Oklahoma House of Representatives as to the expectations of proper conduct while serving as a member of the House.
RULE 1:  Definitions
A.	“Committee”, as used in these Rules, means the Oklahoma House Ethics Committee.
B.	“House”, as used in these Rules, means the Oklahoma House of Representatives.
C.	“House staff”, as used in these Rules, means any employee of the Oklahoma House of Representatives, including part-time, full-time, temporary and permanent employees whether employed by the House or an outside employment agency, and shall also include House pages, interns and other volunteers engaged in providing services to the House.
D.	“Majority vote”, as used in these Rules, means a majority vote of the members comprising the House Ethics Committee.
E.	“Member”, as used in these Rules, means a member of the Oklahoma House of Representatives.
F.	“Quorum”, as used in these Rules, means a majority of the members appointed to the House Ethics Committee.  
RULE 2:  House Ethics Committee Membership
A.	The House Ethics Committee shall consist of eight (8) members of the House, appointed by the Speaker.  Notwithstanding any other rule adopted by the House, four (4) members of the House Ethics Committee shall be from the political party having the greatest number of members in the House and four (4) members shall be from the political party having the second greatest number of members.  The Chair and Vice Chair of the House Ethics Committee shall not be from the same political party.  Additionally, at the time the House Ethics Committee members are appointed, a list shall be provided by the Speaker and Minority Leader of five (5) names from their respective parties, to the Chair and Vice Chair of the House Ethics Committee from which replacement members can be chosen if needed.  
B.	In the event replacement members are necessary, or that at any time membership does not reflect equal representation between the two political parties having the greatest number of members in the House, such replacement members shall be selected by a majority vote of the House Ethics Committee from a list of members supplied by the Speaker of the House and the Minority Leader as provided for in paragraph A of this Rule, provided the composition of the Committee maintains equal representation between the two political parties having the greatest number of members in the House.
C.	A member of the House Ethics Committee shall be disqualified to participate as a member of the House Ethics Committee in any proceeding or investigation relating to that member’s official conduct.  A replacement member shall be chosen according to procedures provided in paragraph B of this Rule.
D.	A member of the House Ethics Committee may seek to be disqualified from participating in an investigation of the conduct of a member upon the submission of an Affidavit of Disqualification, signed under oath, asserting that the member cannot render an impartial and unbiased decision.  The House Ethics Committee shall vote on the Affidavit of Disqualification, and if approved by a majority vote, the member shall be deemed ineligible to participate and a replacement member shall be seated as provided in paragraph B of this Rule.
E.	The Speaker and the Speaker Pro Tempore of the House shall not serve as ex officio voting members of the House Ethics Committee.
RULE 3:  Confidentiality of proceedings
A.	Notwithstanding any other rules adopted by the Oklahoma House of Representatives, all information received or discussed by the House Ethics Committee including, but not limited to, all documents, testimony, discussion, meetings, proceedings, deliberations and votes shall occur in closed sessions and shall remain confidential except as otherwise provided in these Rules.  
B.	Before a House Ethics Committee member, replacement member of the Committee, or any authorized House staff may have access to information required to remain confidential under this provision, the person shall be required to affirm under oath the following, in writing:
	“I do solemnly swear (or affirm) that I will not disclose, to any person or entity outside the House Ethics Committee, any information received in the course of my service with the Committee, except as authorized by the Committee, in accordance with its Rules.”
C.	Upon a majority vote, the House Ethics Committee may designate certain documents and information to be available to members outside of the House Ethics Committee; provided, any such member shall be required to affirm under oath, in writing, the oath set forth in paragraph B of this Rule.
D.	Any final report recommending disciplinary action by the House of Representatives shall be subject to the confidentiality provisions of this Rule until such time as the House Ethics Committee votes to release all or part of a Final Report.
RULE 4:  Jurisdiction
The House Ethics Committee shall have the authority to review any alleged violation of the Code of Conduct, or these House Ethics Rules, provided:
1.	The complaint is filed within one (1) year of the date of the alleged violation; and 
2.	The person against whom the complaint is filed was a member of the Oklahoma House of Representatives at the time of the violation.
RULE 5:  Complaint Procedure
A.	Any Representative or House staff may initiate a complaint against a member or former member of the House for violations of the Code of Conduct or these House Ethics Rules.  A complaint shall:
1.	Be in written form and submitted by a member of the Oklahoma House of Representatives or House staff;
2.	Clearly identify the accused member or former member;
3.	Identify the provision(s) of the Code of Conduct or these House Ethics Rules which are alleged to have been violated and the circumstances surrounding any alleged violation;
4.	When possible, include documentation tending to support the alleged complaint; and
5.	Be signed, dated, and submitted under penalty of perjury.
	The person filing a complaint thereafter shall be designated the complainant. 
B.	A complaint shall be filed with the Chief Clerk of the Oklahoma House of Representatives.
C.	Within forty-eight (48) hours of receipt of a complaint in the form identified in paragraph A of this Rule, the Chief Clerk shall:
1.	Assign an identifying number to the complaint; and
2.	Cause the complaint to be delivered in person or by certified mail to the Chair and Vice Chair of the House Ethics Committee.
D.	The Chair and Vice Chair of the House Ethics Committee shall review a complaint within forty-eight (48) hours of receipt to determine that the complaint:
1.	Is in the form as set forth in paragraph A of this Rule; 
2.	Is filed within one (1) year of the alleged violation; and
3.	Alleges facts which, if true, would give rise to a violation of the Code of Conduct or these House Ethics Rules.
E.	Upon determining that a complaint has been properly submitted, the Chair shall convene a meeting of the House Ethics Committee no later than one (1) week from the date the complaint was filed with the Chief Clerk.
F.	Upon a determination that a complaint has not been properly submitted, the Chair and Vice Chair shall dismiss the complaint on jurisdictional grounds.
G.	In the event a complaint is dismissed, the Chair and Vice Chair shall notify the Chief Clerk who shall notify the complainant.
H.	Any such dismissal in paragraph F of this Rule shall not prevent the complainant from refiling a complaint which remedies the jurisdictional infirmities.
I.	Confidentiality of Complaint.  The complaint, and the fact the 
complaint was filed, are confidential.  This will not preclude the complainant from retaining legal counsel.  Disclosure by the complainant, or by any person to whom the complainant disclosed, of the complaint or the fact that such complaint was filed will result in:
1.	The automatic dismissal of the complaint with prejudice preventing the re-filing of the complaint by the complainant; and/or 
2.	A possible recommendation of discipline by the House Ethics Committee.
RULE 6:  House Ethics Committee Procedures
A.	The House Ethics Committee may adopt internal Committee procedures as necessary to effectuate these Rules of the House Ethics Committee.  Such procedures shall be published and made publicly available upon adoption by the Committee.
B.	The Chair shall establish the agenda for meetings of the House Ethics Committee.  During session, at least forty-eight (48) hours’ notice of a meeting shall be required.  During the interim, at least ten (10) calendar days’ notice of a meeting shall be required.  Notice of the meeting shall be published through an appropriate public medium such as the House website or electronic mail.  Agenda items pertaining to complaints shall be designated by the identifying number assigned by the Chief Clerk.
C.	The House Ethics Committee shall direct appointment or retention of staff who shall perform assigned duties in a nonpartisan, nonpolitical manner.
D.	The House Ethics Committee shall hold all meetings or hearings of the Committee in executive session until such time as the House Ethics Committee determines whether an alleged violation of the Code of Conduct or these House Ethics Rules has occurred.
E.	Unless otherwise determined by a majority vote of the House Ethics Committee, only the Chair and Vice Chair shall make public statements regarding matters before the Committee.
RULE 7:  Complaint Verification
At any meeting called by the Chair to review a newly filed complaint, the House Ethics Committee shall review the complaint and any supporting documentation submitted with the complaint.  The House Ethics Committee shall determine whether any of the facts contained within a complaint are capable of independent verification through public records or through a preliminary investigatory process and shall cause such facts that are capable of independent, informal verification to be so verified.
1.	Upon the completion of any preliminary review of a complaint the House Ethics Committee shall again meet and shall by majority vote determine whether the complaint has been preliminarily verified.
2.	Upon completion of the preliminary review, if a complaint cannot be verified, the House Ethics Committee shall by a majority vote dismiss said complaint.
3.	Upon preliminary review of a complaint, the House Ethics Committee may, by majority vote, refer the complaint to the appropriate authorities.
RULE 8:  Notice to Member
A.	Once a complaint has been initially verified, the House Ethics Committee shall notify the member alleged to have committed the violation, who shall thereafter be designated as the respondent.
B.	Upon initial verification of a complaint as provided in these Rules, the House Ethics Committee shall prepare a written notice for the respondent setting forth the alleged violations of the Code of Conduct, or these House Ethics Rules, related facts, and supporting evidence gathered by the Committee.
C.	The notice shall be signed by the Chair of the House Ethics Committee and served on the respondent within three (3) business days of the Committee vote regarding initial verification of the complaint.
D.	The Chief Clerk shall effectuate service of the notice in accordance with the requirements of a civil summons under Oklahoma law.
E.	The respondent shall have ten (10) business days to submit the following to the House Ethics Committee:
1.	A written response submitted under oath, signed and dated by the respondent;
2.	Any supporting documentation that tends to support the respondent’s statement provided that any testimony of a witness shall:
a.	be submitted in the form of a sworn affidavit, and
b.	include the name, address, and contact information of the witness; and
3.	Any requests for the House Ethics Committee to issue subpoenas ad testificandum and/or subpoenas duces tecum.  The Chair shall determine whether the witnesses or documents to be subpoenaed are likely to provide competent, relevant, and material evidence, and if so, shall issue subpoenas as requested by the respondent.
F.  The respondent may retain an attorney at his or her own expense.  Neither the House General Counsel nor any other employee of the House shall represent the respondent.
G.  The respondent, and/or his or her attorney, shall have the right to be present at any House Ethics Committee meeting wherein testimony is presented related to a complaint filed against him or her.  Such right can be waived and shall be deemed waived for the failure to appear at any meeting wherein testimony is presented.  
RULE 9:  Investigation
A.	The House Ethics Committee, through the authority of the Chair, shall have the power to:
1.	Compel the attendance of witnesses;
2.	Compel the testimony of witnesses under oath;
3.	Compel the production of documents, records, and other types of evidence;
4.	Take other steps and exercise other such powers as are necessary to ensure the efficient operation of the House Ethics Committee, including, but not limited to, presiding over the Committee; establishing the agenda for the Committee; recognition of members, presenters, or witnesses; deciding on all questions of order in the Committee; and determining the order in which matters are considered in Committee; and
5.	Exercise all authority necessary to maintain order and decorum, including the authority to require all persons present to silence or disable all electronic devices and request the Sergeant at Arms to clear the committee room of a person or persons causing disruption.
B.	The Chair, Vice Chair, or a member of the House Ethics Committee designated by the Chair shall administer all oaths and affirmations to witnesses appearing before the Committee.
C.	The Chair, in issuing subpoenas, shall adhere to the following procedures:
1.	Subpoenas shall be issued in the form of an Oklahoma Civil Subpoena and shall be served with return of service made to the Chair of the House Ethics Committee in the manner prescribed by Oklahoma law; and
2.	Within such time as is indicated on the subpoena, a person commanded to appear as a witness or to produce documents may serve a written objection on the Chair.  If the subpoena was issued at the request of the respondent, a copy of the objection shall also be provided to the respondent and respondent’s counsel, if any.  If objection is made, the Chair of the House Ethics Committee shall determine the merits of the objection.
D.	Upon verification of a complaint and a vote to initiate an investigation, the House Ethics Committee shall, by majority vote, determine the scope of any investigation.  The scope may be redefined, as an investigation progresses, upon a majority vote of the House Ethics Committee. 
E.	At any meeting of the House Ethics Committee at which a witness is presented, each House Ethics Committee member shall have the opportunity to question the witness and examine the evidence.
F.	No testimony given by a witness shall be used outside the House Ethics Committee or the Oklahoma House of Representatives, except in prosecution for perjury committed while providing testimony before the Committee.  An official paper or record produced by a witness is not within the privilege established in this paragraph.
G.	All witnesses who are interviewed, examined under oath, or who appear before the House Ethics Committee, shall have the right to have legal counsel present at all times.
H.	All testimonial proceedings during a House Ethics Committee meeting may be electronically recorded, transcribed, or both, at the direction of the Chair or upon a majority vote of the Committee.
I.	The House Ethics Committee shall adhere to the following guidelines for objections and rulings upon evidence:
1.	Strict adherence to the rules of evidence, 12 O.S. §§ 2101 et seq., shall not be required.  The House Ethics Committee shall permit the introduction of evidence that is competent, relevant, and material to an investigation.  The House Ethics Committee may exclude incompetent, irrelevant, immaterial, and unduly repetitious evidence.  Counsel for a witness shall be allowed to be present during questioning of the witness and shall be allowed to advise the witness but shall make no objections or arguments or otherwise address the House Ethics Committee.  Violation of this subparagraph shall be punishable as contempt;
2.	The House Ethics Committee may, at the discretion of the Chair, receive evidence in written form, including affidavits, transcripts, and other writings submitted under oath, without bringing the witnesses before the Committee.  Documentary evidence may be received in the form of copies or excerpts.  Upon request, the House Ethics Committee members or the respondent shall be given an opportunity to compare the copy with the original.  The decisions of the Chair made pursuant to this subparagraph shall be subject to appeal if lodged immediately by a member of the House Ethics Committee.  Such an appeal must be seconded by another member of the Committee to receive further consideration and upon consideration, shall be decided by a majority vote of the membership of the Committee; and
3.	The Chair, in his or her sole discretion, shall rule upon all objections and upon the admissibility of evidence arising in the course of deposing witnesses or presenting testimony or documents to the House Ethics Committee.  The decisions of the Chair made pursuant to this subparagraph shall be subject to appeal if lodged immediately by a member of the House Ethics Committee.  Such an appeal must be seconded by another member of the Committee to receive further consideration and upon consideration, shall be decided by a majority vote of the membership of the Committee.
J.	The House Ethics Committee may take notice of all judicially cognizable facts.
K.	The House Ethics Committee’s investigation shall be concluded at such time as all evidence is gathered pursuant to the scope defined by the House Ethics Committee.
RULE 10:  Conclusion of the investigatIVE process
A.	Upon completion of an investigation, the House Ethics Committee shall vote to determine whether a violation of the Code of Conduct, or House Ethics Rules, occurred.
B.	The House Ethics Committee is not bound to the Code of Conduct or House Ethics Rules violation(s) asserted within the initial complaint but may recommend disciplinary action for any violation(s) of the Code of Conduct or House Ethics Rules discovered during the investigation.
C.	The House Ethics Committee shall bear the burden of proof to establish that the respondent violated the Code of Conduct or House Ethics Rules.
D.	The House Ethics Committee shall decide whether by a preponderance of the evidence a violation of the Code of Conduct or House Ethics Rules occurred.  In any proceedings where the disciplinary action to be recommended is expulsion, the violation of the Code of Conduct or House Ethics Rules shall be established by clear and convincing evidence.
E.	Upon a majority vote establishing a violation of the Code of Conduct or House Ethics Rules, the House Ethics Committee shall then consider the appropriate disciplinary action to be recommended to the House of Representatives.
F.	The House Ethics Committee shall draft a Final Report detailing the investigation, any factual findings of the Committee with supporting documentation as appropriate, any votes cast by the Committee, and the resulting recommendations of the Committee.
G.	A recommendation by the Committee for disciplinary action shall be submitted to the House of Representatives in the form of a House Resolution.
RULE 11:  Final Report
A.	A Final Report shall remain confidential except as otherwise provided in this Rule.
B.	A Final Report by the House Ethics Committee shall be made available for review to a member of the Oklahoma House of Representatives.  Such access shall not be permitted unless the requesting member affirms under oath, in writing, the following:
	“I do solemnly swear (or affirm) that I will not disclose, to any person or entity outside the membership of the Oklahoma House of Representatives, any information contained within the House Ethics Committee’s Final Report, except as authorized by the Committee or in accordance with its rules.” 
C.	The House Ethics Committee may, by a majority vote, release all or part of a Final Report, provided the Committee has recommended that the House of Representatives consider disciplinary action.
D.	Final Reports issued by the House Ethics Committee shall be retained in a secure manner by the Chief Clerk.
RULE 12:  Disciplinary Action
A.	Disciplinary actions to be recommended by the House Ethics Committee may include, but are not limited to:
1.	Referral to the Speaker and/or Minority Leader for appropriate discussion with the respondent and such vote shall be by a majority vote; 
2.	Referral to the House for issuance of a reprimand;
3.	Referral to the House for censure;
4.	Referral to the House for restitution; or
5.	Referral to the House for expulsion, upon a two-thirds (2/3) majority vote of the House of Representatives (Article V, Section 30, of the Oklahoma Constitution).
B.	With the exception of House Ethics Rule 2(E), nothing within these Rules shall be construed to infringe upon the rights and duties provided to the Speaker of the House under the Oklahoma Constitution, Oklahoma Statutes, or the House Rules adopted by the Oklahoma House of Representatives.
RULE 13:  Action by the House OF REPRESENTATIVES
A.	When the House Ethics Committee recommends disciplinary action to the House of Representatives, the Committee shall draft a House Resolution with sufficient detail to inform the body of the nature of the violations of the Code of Conduct or these House Ethics Rules with a recommendation for appropriate disciplinary action.
B.	No disciplinary action shall be recommended by the House Ethics Committee to the House except upon a three-fourths (3/4) vote of the Committee.
RULE 14:  Felony Conviction
A member convicted of a felony shall be subject to immediate expulsion from the House of Representatives upon a two-thirds (2/3) majority vote of the House pursuant to Article V, Section 30, of the Oklahoma Constitution.  In the case of a felony conviction, a motion to expel shall be in order without initiation or completion of the complaint and investigatory process set forth in these Rules.
RULE 15:  SUSPENSION OR AMENDMENT OF HOUSE ETHICS RULES
A.	The House Ethics Rules may be amended by a two‑thirds (2/3) vote of those elected to and constituting the House; provided, any amendment to the House Ethics Rules recommended by the House Ethics Committee shall be effective if approved by a majority of the members elected to and constituting the House.
B.	If the House Ethics Committee shall recommend revisions or amendments to the House Ethics Rules, the House shall be given prior notice of at least twenty-four (24) hours or one (1) legislative day, whichever shall be longer, before consideration of the recommended changes may commence.
C.	Two‑thirds (2/3) of the members elected to and constituting the House may suspend the House Ethics Rules, or a portion thereof, but a motion for that purpose shall be decided without debate.
D.	The House Ethics Rules contained herein shall become effective upon adoption by the House of Representatives, without retroactive application, and shall remain in effect for the duration of the Fifty-third Oklahoma Legislature.

53-2-10062	JGK	03/26/12