§1141. Complaints and investigations
A.
(1)The Board of Ethics members may sit en banc or in panels in such order and
at such times as the board directs.
(2)The Board of Ethics may authorize the hearing and determination of matters by
separate panels, each consisting of not less than three members. Such panels shall sit at the
times and places to hear matters assigned as the chairman directs. Such hearings shall be
public except those provided for in Subsection C of this Section. All determinations of a
panel shall be by a majority vote. However, if a panel consists of three members, all
determinations of the panel shall require a unanimous vote of the members of the panel.
Each panel shall be vested with specific subject matter jurisdiction. The Board of Ethics may
determine by rule a p
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§1141. Complaints and investigations
A.(1) The Board of Ethics members may sit en banc or in panels in such order and
at such times as the board directs.
(2) The Board of Ethics may authorize the hearing and determination of matters by
separate panels, each consisting of not less than three members. Such panels shall sit at the
times and places to hear matters assigned as the chairman directs. Such hearings shall be
public except those provided for in Subsection C of this Section. All determinations of a
panel shall be by a majority vote. However, if a panel consists of three members, all
determinations of the panel shall require a unanimous vote of the members of the panel.
Each panel shall be vested with specific subject matter jurisdiction. The Board of Ethics may
determine by rule a procedure to rotate members among different subject matter panels to
encourage the participation of each member of the board in, and the knowledge of each
member of the board of, matters concerning the different provisions of law under the
jurisdiction of the board.
(3) Notwithstanding any other provision of this Chapter, the presence of eleven
members shall be required to conduct the business of the Board of Ethics sitting en banc.
(4) The Board of Ethics shall promulgate procedural and jurisdictional rules relative
to the establishment of the several panels. The rules shall specify procedures wherein the
chairman may refer matters to the appropriate panel with proper subject matter jurisdiction.
(5) The Board of Ethics by a majority vote of its membership, may review any
opinion, decision, finding, or ruling of any panel.
B.(1)(a) The Board of Ethics shall consider any signed sworn complaint from any
elector, hereinafter referred to as complainant, concerning a violation of this Chapter which
is within its jurisdiction or the regulations or orders issued by the Board of Ethics, or may,
by a two-thirds majority vote of its membership, consider any matter which it has reason to
believe may be a violation of this Chapter. Additionally, the board may consider any matter
which it has reason to believe may be a violation of any other provision of law within its
jurisdiction as provided in this Subsection or as may be otherwise provided by law.
However, the board shall not use information contained in a request for an advisory opinion
as the basis to initiate an investigation.
(b) The board, after considering the matter, shall determine by a two-thirds majority
vote of its membership whether there is probable cause to believe that a violation of this
Chapter or other law within the board's jurisdiction has occurred. In determining probable
cause, the board shall consider whether the totality of known circumstances is sufficient to
justify the belief that the respondent has committed a violation.
(c)(i) If the board determines that there is probable cause to believe that a violation
has occurred, a certified copy of the vote; a detailed explanation of the matter including the
specific factual allegations upon which the board based its decision to investigate; and a copy
of any complaint received by the board, from which the name of the complainant has been
redacted, shall be sent by certified mail to the accused and the complainant within ten days
after the vote occurs or after receipt of a signed sworn complaint.
(ii) The detailed explanation of the matter shall be prefaced by advising the
respondent that he may exercise his constitutional right to counsel and may exercise his
constitutional right not to incriminate himself.
(d) The chairman of the Board of Ethics may assign a matter to the appropriate panel
for investigation, in which case the panel shall conduct a private investigation to elicit
evidence upon which the panel shall determine whether to recommend to the board that a
public hearing be conducted or that a violation has not occurred.
(e) The board shall provide a person who has filed a non-sworn complaint with only
a notification stating the final disposition of the complaint.
(2) A notice or report sent to the board by the legislative auditor or the inspector
general may be treated by the board as a matter for consideration in accordance with the
provisions of this Subsection.
(3) Any person who, with knowledge of its falsity, makes a false complaint shall be
subject to the penalties set forth in R.S. 42:1153.
C.(1)(a) Upon determining that an investigation is warranted as provided in
Subsection B of this Section, a private investigation shall be conducted to elicit evidence
upon which the Board of Ethics shall determine whether a public hearing should be
conducted or that a violation has not occurred. The accused and the complainant shall be
given written notification of the commencement of the investigation not less than ten days
prior to the date set for the commencement of the investigation.
(b)(i) For purposes of an investigation, the Board of Ethics or the ethics administrator
may require the submission under oath of written reports or answers to questions, or
subpoena or compel the production of any books, records, and papers which the board or the
ethics administrator deems relevant or material to the investigation or hearing. The board
or ethics administrator shall require the submission under oath of written reports or answers
to questions, or subpoena or compel the production of any books, records, and papers only
upon a finding that the importance of the information sought outweighs the burden of
producing the information.
(ii) The ethics administrator shall provide to the Board of Ethics a monthly report
of the number of subpoenas issued by the board and the ethics administrator in the prior
month.
(c) The subject of the investigation or any witness upon whom written questions
have been propounded shall serve a copy of the written answers and objections, if any, within
thirty days after the service of the questions.
(d) The subject of the investigation or any witness upon whom a subpoena has been
served to compel the production of books, records, or papers shall serve a copy of the
responses and objections, if any, within thirty days after the service of the subpoena.
(e) The subject of the investigation or any witness upon whom a subpoena has been
served requiring the submission under oath of written reports shall produce the written
reports within thirty days after the service of the subpoena.
(f) The Board of Ethics shall promptly provide the subject of the investigation with
a copy of questions propounded or subpoenas served upon any witness, as well as any
answers, objections, books, records, or papers, or written reports produced, or transcripts or
recordings of answers to questions produced under oath.
(g) Any demand, request, or subpoena propounded upon the subject of the
investigation or witness, orally or in writing, shall be prefaced by advising the subject of the
investigation or witness that he may exercise his constitutional right to counsel and may
exercise his constitutional right not to incriminate himself.
(h) An oral examination under oath shall be conducted under conditions agreed upon
by the subject of the investigation or witness, including that the examination occur in a
certain place, at a certain time, or by phone or videoconference, and with counsel present,
that the examination be transcribed or audio recorded, and that the subject of the
investigation or witness promptly receive a copy of the transcript or audio recording.
(i) The Board of Ethics shall adopt rules providing for discovery consistent with
Chapter 3 of Title III of Book II of the Code of Civil Procedure and as constrained by this
Subsection, to the extent and in the manner appropriate to its proceedings.
(2)(a) The Board of Ethics shall, after the investigation and prior to determining
whether a hearing should be conducted, grant the person subject to the investigation an
opportunity to address, orally or in writing, the final report of the staff, the information
gathered during the investigation, and any factual or legal issues relevant to the alleged
violation by the person subject to the investigation.
(b) The Board of Ethics shall, at the election of the person subject to the
investigation, permit the person to address the board in person, by telephone, or by
videoconference.
D.(1)(a) In case of contumacy or refusal to obey a subpoena issued to any public
servant or other person, any district court of this state within the jurisdiction of which the
public servant or other person resides, upon application by the Board of Ethics shall have
jurisdiction to issue to such public servant or other person an order requiring him to produce
books, records, or papers, or to require the submission under oath of written reports or
answers to questions concerning the matter under consideration.
(b) The district court shall subpoena or compel the production of books, records, or
papers, or require the submission under oath of written reports or answers to questions, only
upon a finding that the importance of the information sought outweighs the burden of
producing the information.
(2) Upon motion by the subject of the investigation, a prospective witness, or any
person whose books, records, papers, or other documents are the subject of any subpoena,
and for good cause shown, any district court within the jurisdiction of which the movant
resides may make any order which justice requires to protect such person from undue burden
or expense, including one or more of the following:
(a) That the inquiry not be had.
(b) That the inquiry may be had only upon specified terms and conditions including
a designation of the time and place.
(c) That the inquiry shall be conducted by a method other than selected by the Board
of Ethics.
(d) That certain matters not be inquired into or that the scope of the inquiry be
limited to certain matters.
(e) That the inquiry be conducted with no one present except persons designated by
the court.
(3) The Board of Ethics shall waive, upon written request by the affected party, any
right to be served by any means other than email transmission, and shall provide an email
address at which the Board of Ethics shall accept service.
(4) Any failure to obey such order of the court may be deemed by the district court
to be contempt of court.
(5) The district court, upon denying any application made pursuant to this
Subsection, may order the movant to pay the court costs and attorney fees of the prevailing
party.
E.(1) After the investigation has been completed, the Board of Ethics shall, by vote
of two-thirds of its members, determine whether a public hearing before the Ethics
Adjudicatory Board should be conducted to receive evidence and to determine whether any
violation of any provision of law within its jurisdiction has occurred.
(2) Before the board determines whether a public hearing should be conducted to
receive evidence, the board shall:
(a) Provide the subject of the investigation with the final report of the staff of the
board to the board regarding the investigation of the alleged violation by the subject of the
investigation.
(b) Provide the subject of the investigation with an opportunity to submit a brief
response to the final report of the staff.
(c) Provide the subject of the investigation with an opportunity to briefly make a
statement before the Board of Ethics to address the final report of the staff and any factual
or legal issues relevant to the alleged violation by the subject of the investigation. Such
statements may be presented in person, by telephone, or by videoconference during executive
session of the Board of Ethics, unless the subject of the investigation requests that his
comments be made in open session. Statements by the subject of the investigation before the
Board of Ethics in executive session shall not be recorded.
(3) If the Board of Ethics determines a violation has not occurred, the subject of the
investigation and the complainant shall be notified within ten days of the board's
determination.
F.(1) If the board determines following an investigation that a public hearing should
be conducted, the board shall issue charges. A public hearing shall be conducted to receive
evidence relative to the facts alleged in the charges and to determine whether any violation
of any provision of law within the jurisdiction of the board has occurred. The public hearing
on such charges shall be conducted by the Ethics Adjudicatory Board in accordance with the
Administrative Procedure Act and this Part.
(2) The charges issued by the board shall contain each of the following:
(a) A plain, concise, and definite written statement of the essential facts constituting
the alleged violation.
(b) The official or customary citation of the statute which is alleged to have been
violated.
(c) The date of the meeting at which the board voted to issue charges.
(d) The name of the trial attorney, if designated.
(e) A written statement advising the respondent that he may exercise his
constitutional right to counsel and may exercise his constitutional right not to incriminate
himself.
G. If the Board of Ethics does not issue charges within one year from the date upon
which a sworn complaint is received or, if no sworn complaint was received, within one year
from the date the board voted to consider the matter, the matter shall be dismissed. The one-year period is prescriptive. The prescriptive period may be suspended, interrupted, or
renounced. The prescriptive period shall be suspended by any of the following:
(1) The person who is the subject of the investigation or complaint files any pleading
or proceeding in a state or federal court or with the Ethics Adjudicatory Board related to the
matter under investigation that has the effect of delaying or impeding the proceeding.
(2) The person who is the subject of the investigation or complaint fails to comply
with a subpoena or other request from the Board of Ethics for information related to or in
connection with the investigation of the Board of Ethics.
(3) The person who is the subject of the investigation or complaint may consent in
writing to the suspension of the prescriptive period.
(4) Determinations concerning the prescriptive period provided for in this Subsection
shall be made by the Ethics Adjudicatory Board.
H. The Board of Ethics shall consider offering a consent opinion to each person who
is the subject of an investigation.
NOTE: See Acts 1997, No. 1303, §§2 and 3, for effectiveness of Paragraph
(B)(3).
NOTE: See Acts 2012, No.608, §3, relative to the prospective application of
Act and the application of R.S. 42:1141(C)(3)(c) and amended by the Act.