§ 4-2-6-4 — Commission; powers and duties; inspector general; complaints open to public inspection after finding probable cause; exceptions

(a) The commission may do any of the following:
(1) Upon a vote of four (4) members, refer any matter within the
inspector general's authority to the inspector general for
investigation.
(2) Receive and hear any complaint filed with the commission by
the inspector general that alleges a violation of:
(A) this chapter;
(B) a rule adopted under this chapter;
(C) IC 4-2-7;
(D) a rule adopted under IC 4-2-7;
(E) IC 4-2-8; or
(F) a rule adopted under IC 4-2-8.
(3) Obtain information and, upon a vote of four (4) members,
compel the attendance and testimony of witnesses and the
production of pertinent books and papers by a subpoena
enforceable by the circuit or superior court of the county where
the subpoena is to be issued.
(4) Recommend legislation to the general assembly relating to the
conduct and ethics of state officers, employees, special state
appointees, and persons who have business relationships with
agencies.
(5) Adopt rules under IC 4-22-2 to implement this chapter.
(6) Accept and file information:
(A) voluntarily supplied; and
(B) that exceeds the requirements of this chapter.
(7) Conduct research.
(b) The commission shall do the following:
(1) Act as an advisory body by issuing advisory opinions to
interpret this chapter, IC 4-2-7, or the rules adopted under this
chapter or IC 4-2-7, upon:
(A) request of:
(i) a state officer or a former state officer;
(ii) an employee or a former employee;
(iii) a person who has or had a business relationship with an
agency;
(iv) a special state appointee or former special state
appointee; or
(v) the inspector general; or
(B) motion of the commission.
(2) Conduct its proceedings in the following manner:
(A) When a complaint is filed with the commission, the
commission may:
(i) reject, without further proceedings, a complaint that the
commission considers frivolous or inconsequential;
(ii) reject, without further proceedings, a complaint that the
commission is satisfied has been dealt with appropriately by
an agency;
(iii) upon the vote of four (4) members, determine that the
complaint does not allege facts sufficient to constitute a
violation of this chapter or the code of ethics and dismiss the
complaint; or
(iv) forward a copy of the complaint to the attorney general,
the prosecuting attorney of the county in which the alleged
violation occurred, the state board of accounts, a state officer,
the appointing authority, or other appropriate person for
action, and stay the commission's proceedings pending the
other action.
(B) If a complaint is not disposed of under clause (A), a copy of
the complaint shall be sent to the person alleged to have
committed the violation.
(C) If the complaint is not disposed of under clause (A), the
commission may promptly refer the alleged violation for
additional investigation by the inspector general. If the
commission finds by a majority vote that probable cause exists
to support an alleged violation, it shall set a public hearing on
the matter. The respondent shall be notified within fifteen (15)
days of the commission's determination. Except as provided in
this section, the commission's evidence relating to an
investigation is confidential.
(D) A complaint filed with the commission is open for public
inspection after the commission finds that probable cause
exists. However, a complaint filed by the inspector general that
contains confidential information under IC 4-2-7-8 may be
redacted to exclude the confidential information. Every hearing
and other proceeding in which evidence is received by the
commission is open to the public. Investigative reports by the
inspector general that are not filed with the commission may be
kept confidential.
(E) A:
(i) complaint that is filed with; or
(ii) proceeding that is held by;
the commission before the commission has found probable
cause is confidential unless the target of the investigation elects
to have information disclosed, or the commission elects to
respond to public statements by the person who filed the
complaint.
(F) The commission may acknowledge:
(i) the existence and scope of an investigation before the
finding of probable cause; or
(ii) that the commission did not find probable cause to
support an alleged violation.
(G) If a hearing is to be held, the respondent may examine and
make copies of all evidence in the commission's possession
relating to the charges. At the hearing, the charged party shall
be afforded appropriate due process protection consistent with
IC 4-21.5, including the right to be represented by counsel, the
right to call and examine witnesses, the right to introduce
exhibits, and the right to cross-examine opposing witnesses.
(H) After the hearing, the commission shall state its findings of
fact. If the commission, based on a preponderance of the
evidence, finds by a majority vote that the respondent has
violated this chapter, IC 4-2-7, IC 4-2-8, or a rule adopted under
this chapter, IC 4-2-7, or IC 4-2-8, it shall state its findings in
writing in a report, which shall be supported and signed by a
majority of the commission members and shall be made public.
(I) If the commission, based on a preponderance of the
evidence, finds by a majority vote a violation of this chapter, IC 4-2-7, IC 4-2-8, or a rule adopted under this chapter, IC 4-2-7,
or IC 4-2-8, the commission may also take any of the actions
provided in section 12 of this chapter.
(J) The report required under clause (H) shall be presented to:
(i) the respondent;
(ii) the appointing authority or state officer of the employee,
former employee, or special state appointee;
(iii) the appointing authority or state officer of an agency or
office that has a business relationship with the person
sanctioned; and
(iv) the governor.
(K) The commission may also forward the report to any of the
following:
(i) The prosecuting attorney of each county in which the
violation occurred.
(ii) The state board of accounts.
(iii) The state personnel director.
(iv) The attorney general.
(v) A state officer.
(vi) The appointing authority of the state employee or agency
that has a business relationship with the person sanctioned.
(vii) Any other appropriate person.
(L) If the commission finds the respondent has not violated a
code or statutory provision or a rule adopted under this chapter,
IC 4-2-7, or IC 4-2-8, it shall dismiss the charges.
(3) Review all conflict of interest disclosures received by the
commission under IC 35-44.1-1-4, maintain an index of those
disclosures, and issue advisory opinions and screening procedures
as set forth in section 9 of this chapter.
(c) Notwithstanding IC 5-14-3-4(b)(8)(C), the records of the
commission concerning the case of a respondent that are not
confidential under IC 5-14-3-4(b)(2)(C) shall be available for
inspection and copying in accordance with IC 5-14-3.
Formerly: Acts 1974, P.L.4, SEC.2. As amended by
P.L.12-1983, SEC.4; P.L.13-1987, SEC.7; P.L.5-1988, SEC.19;
P.L.9-1990, SEC.4; P.L.15-1992, SEC.3; P.L.44-2001, SEC.2;
P.L.222-2005, SEC.4; P.L.89-2006, SEC.3; P.L.126-2012,
SEC.1.