Texas Ethics Commission

See the online finding aid for the agency history.

From the description of Ethics Commission records, 1979-2008 1992-1996. (Texas State Library & Archives Commission). WorldCat record id: 310741209

The Texas Ethics Commission was created by a constitutional amendment which the voters approved in November 1991 (Article III, Section 24a); it was established by Senate Bill 1, 72nd Legislature, Regular Session, 1991, and began operations in January 1992. It has the following powers: to pursue sworn complaints alleging violations of state ethics laws (investigations into sworn complaints are confidential, but formal hearings on allegations are public); to penalize violators of state ethics laws; to sponsor ethics training and informational programs, and to explain compliance guidelines; to issue advisory opinions, which apply ethics laws to specific situations of fact; to require regulatory agencies of the executive branch to develop rules for the commission's approval that limit the acceptance of benefits from regulated entities; to recommend salary levels for members of the legislature and the lieutenant governor, which are submitted to the voters at the next general election; to set the per diem paid to legislators and to the lieutenant governor.

The laws and regulations that the commission enforces include those concerning the following: political contributions and expenditures and political advertising; lobbyist activities; financial disclosure and conduct of state officers and employees; and the contributions and expenditures for the race for speaker of the house. Prior to the creation of the Ethics Commission, the Secretary of State's office administered the filings required by these ethics laws. The advisory opinions which the commission issues concern these laws as well as laws governing bribery, corrupt influence, and abuse of office. These advisory opinions can be used as a defense in a criminal prosecution or in a matter involving civil penalties if the defendant relied on an opinion of the commission in making decisions regarding his or her behavior, or if the defendant's situation is substantially similar to that outlined in the opinion (the identity of a person requesting an advisory opinion is confidential).

The Ethics Commission consists of eight members representing the general public, serving overlapping four-year terms. Four are appointed by the governor, two by the lieutenant governor, and two by the speaker of the house, all of them chosen from lists provided by senate and house caucuses representing political parties required by law to hold primary elections (currently the Democratic and Republican parties). They are non-salaried positions, and the members annually elect a chair.

The Ethics Commission was preceded by a Public Servant Standards of Conduct Advisory Committee, created in 1981 to expire in 1983 (House Bill 3, 67th Legislature, Regular Session); and a State Ethics Advisory Commission (appropriation: Senate Bill 22, 68th Legislature, 1st Called Session, 1983).

(Sources include the Texas Ethics Commission appraisal report (May 2000); the Guide to Texas State Agencies, 10th edition (1999); the article by John G. Johnson on the Texas Ethics Commission in the New Handbook of Texas Online; the Texas Ethics Commission Strategic Plan, FY 1998-FY 2003; and the Texas Ethics Commission web site (http://www.ethics.state.tx.us), accessed November 2005.)

From the guide to the Ethics Commission records, 1979-2008, undated, bulk 1992-1996, (Texas State Archives)

The Texas Ethics Commission was created by a constitutional amendment which the voters approved in November 1991 (Article III, Section 24a); it was established by Senate Bill 1, 72nd Texas Legislature, Regular Session, 1991, and began operations in January 1992. It has the following powers: to pursue sworn complaints alleging violations of state ethics laws (investigations into sworn complaints are confidential, but formal hearings on allegations are public); to penalize violators of state ethics laws; to sponsor ethics training and informational programs, and to explain compliance guidelines; to issue advisory opinions, which apply ethics laws to specific situations of fact; to require regulatory agencies of the executive branch to develop rules for the commission's approval that limit the acceptance of benefits from regulated entities; to recommend salary levels for members of the legislature and the lieutenant governor, which are submitted to the voters at the next general election; to set the per diem paid to legislators and to the lieutenant governor.

The laws and regulations that the commission enforces include those concerning the following: political contributions and expenditures and political advertising; lobbyist activities; financial disclosure and conduct of state officers and employees; and the contributions and expenditures for the race for speaker of the house. Prior to the creation of the Ethics Commission, the Secretary of State's office administered the filings required by these ethics laws. The advisory opinions which the commission issues concern these laws as well as laws governing bribery, corrupt influence, and abuse of office. These advisory opinions can be used as a defense in a criminal prosecution or in a matter involving civil penalties if the defendant relied on an opinion of the commission in making decisions regarding his or her behavior, or if the defendant's situation is substantially similar to that outlined in the opinion (the identity of a person requesting an advisory opinion is confidential).

The Ethics Commission consists of eight members representing the general public, serving overlapping four-year terms. Four are appointed by the governor, two by the lieutenant governor, and two by the speaker of the house, all of them chosen from lists provided by senate and house caucuses representing political parties required by law to hold primary elections (currently the Democratic and Republican parties). They are non-salaried positions, and the members annually elect a chair.

The Ethics Commission was preceded by a Public Servant Standards of Conduct Advisory Committee, created in 1981 to expire in 1983 (House Bill 3, 67th Texas Legislature, Regular Session); and a State Ethics Advisory Commission (appropriation: Senate Bill 22, 68th Texas Legislature, 1st Called Session, 1983).

A code of ethics for state officers and employees was created in 1957 by House Bill 3, 55th Texas Legislature, Regular Session. This legislation set forth standards of conduct for state officers and employees regarding possible conflicts of interest between their private interests and official duties. An individual having controlling interest in a business entity under state regulation was required to file an affidavit with the Secretary of State disclosing such interest. A stock fraud scandal involving several state officials, including the Speaker of the House, was uncovered in 1971, leading to a demand for tougher and more comprehensive ethics legislation. During the 1971 legislative session the 62nd Texas Legislature passed a new ethics law, House Bill 203, which called for more comprehensive financial disclosures and for the filing of these statements by all elected and appointed state officials, and any state or legislative employees whose salary exceeded $11,000. Few disclosure filings were made under this law as it was declared unconstitutional by the Texas Attorney General in January 1972. The 63rd Texas Legislature reworked the ethics legislation and passed House Bill 1 in 1973. Under the terms of this legislation annual financial statements are required to be filed by elected officers and candidates, salaried appointed officers, appointed officers of major state agencies, and executive heads of state agencies. These financial disclosures include a listing of assets and liabilities, all boards of directors that the person serves on, and executive positions held in corporations. These statements also include financial disclosures for the official's spouse and any dependent children over which he has actual control.

When the Ethics Commission was created in 1991, the law removed the requirement that appointed officers not required to file these personal financial statements must file an affidavit with the Secretary of State if they have, acquire, or divest themselves of substantial interest in a business entity subject to state regulation or a business entity conducting business with any state agency.

This filing was originally administered by the Enforcement Division of the Office of the Texas Secretary of State, then (in the early 1980s) by the Campaign and Ethics Section of the Elections Division, renamed the Disclosure Filings Section by 1984. In 1992, the Texas Ethics Commission was created, and assumed the administration and enforcement of this filing. As of 2008, approximately 3,300 public officials are required to file reports with the Ethics Commission.

(Sources include the Texas Ethics Commission appraisal report (May 2000); the Guide to Texas State Agencies, 10th edition (1999); the article by John G. Johnson on the Texas Ethics Commission in the New Handbook of Texas Online; the Texas Ethics Commission Strategic Plan, FY 1998-FY 2003; and the Texas Ethics Commission web site (http://www.ethics.state.tx.us), accessed November 2005.)

From the guide to the Ethics Commission state officers personal financial statements (Part I: A-K), 1992-1996, (Texas State Archives)