FREQUENTLY ASKED QUESTIONS: SWORN COMPLAINTS
1. I want to file a sworn complaint. How do I do that?
2. What subjects does the Texas Ethics Commission have jurisdiction over for a sworn complaint?
3. Who can file a sworn complaint?
4. Is a sworn complaint confidential?
5. Is there a filing fee for a sworn complaint?
6. What happens generally after a sworn complaint is filed?
7. Does a sworn complaint affect a candidate’s ability to stay on the ballot?
8. When is the Complainant part of the sworn complaint process?
9. If a sworn complaint is filed against me, can I hire an attorney?
1. I want to file a sworn complaint. How do I do that?
You can file your sworn complaint with the Texas Ethics Commission (TEC) three ways:
- - online here (preferred method);
- - print or download a blank sworn complaint form from here and email it to sworncomplaints@ethics.state.tx.us; or
- - print or download a blank sworn complaint form from here and mail it to: Texas Ethics Commission, P.O. Box 12070, Austin, TX 78711-2070.
A couple of notes:
- - If the form says that a piece of information is required, that is because the law requires the TEC to obtain that information before a sworn complaint can proceed. If that information is not provided, the sworn complaint must be returned to the person who filed it (Complainant) and they will be required to provide that information before the process can continue. This slows the process. If a piece of information is unknown, state that and explain why that information cannot be provided.
- - Provide as much information as possible about the alleged violations. If pertinent information is missing, the TEC will have to contact the Complainant to obtain it, and again, this slows the process.
- - Attach all documents that support your allegations. The TEC may only consider documents that are included with the sworn complaint, whether or not the information is available elsewhere on the Internet. For allegations involving political advertising signs, be sure to include copies of both sides of the sign.
See FAQ #s 2 and 3 to see if the TEC has jurisdiction over the allegations and whether you can file the sworn complaint.
2. What subjects does the TEC have jurisdiction over for a sworn complaint
The TEC may only consider violations of the following laws:
- Title 15, Election Code, concerning political contributions and expenditures, and political advertising;
- Chapter 302,Government Code, concerning the election of the Speaker of the Texas House of Representatives;
- Chapter 303,Government Code, concerning the governor for a day and speaker's reunion day ceremonies;
- Chapter 305,Government Code, concerning lobbyist registration, reports, and activities;
- Chapter 572, Government Code, concerning personal financial disclosure of state officers and conduct of state officers and employees;
- Chapter 2004, Government Code, concerning representation before state agencies;
- Chapter 159, Local Government Code, concerning judges of statutory county courts or statutory probate courts who elect to file a personal financial statement with the Commission; and
- Sections 334.025, and 335.055, Local Government Code, concerning false and misleading campaign material supporting or opposing the authorization of a sports or community venue project.
There are certain types of matters that the TEC has no jurisdiction over and therefore, cannot accept for review. These include but are not limited to:
- Federal law matters. Contact the Federal Election Commission
- Complaints that signs are too close to polls, electioneering/campaigning around polling locations. Contact the Texas Secretary of State.
- Questions about how to get on the ballot. Look at the Texas Secretary of State Candidates’ Guide.
- Complaints about signs that are in the right-of-way. Contact the Texas Secretary of State Candidates’ Guide.
- Chapter 572, Government Code, concerning personal financial disclosure of state officers and conduct of state officers and employees;
- Chapter 2004, Government Code, concerning representation before state agencies;
- Complaints about the Certificate of Interested Parties (Form 1295) for businesses doing business with a governmental entity.
- Complaints about the Conflict of Interest Questionnaire (Forms CIQ or CIS) for vendor doing business with local governmental entity.
- Bribery, Honoraria, Perjury, Abuse of Official Capacity, Nepotism and other offenses against public administration. Contact the Public Integrity Section of your local district or county attorney’s office, local law enforcement, or the Texas Rangers Public Integrity Unit at rangers@dps.texas.gov.
- Attorney ethics matters. Contact the State Bar of Texas.
- Judicial ethics (non-campaign related) matters. Contact act the State Commission on Judicial Conduct.
- Violations of the Open Meetings Act or Public Information Act - contact your local prosecutor. For information about these Acts – contact the Texas Attorney General’s Office.
- Employer retaliation/employment issues - contact the Texas Workforce Commission.
- Questions about Resign to Run/ Dual officeholders - contact your city or county attorney.
3. Who can file a sworn complaint?
Anyone who lives in Texas can file a sworn complaint.
4. Is a sworn complaint confidential?
TEC enforcement staff are prohibited by law from discussing a sworn complaint with anyone except the person who files it or their representative (Complainant, and only to a certain extent – see FAQ #9) - or the person against whom it is filed or their representative (Respondent). This confidentiality does not apply to the Complainant or Respondent. Therefore, the respondent will be informed of the complainant’s identity. However, the Commissioners passed a resolution in 2013 condemning the use of misleading campaign communications regarding sworn complaints.
5. Is there a filing fee for a sworn complaint?
No. There is no cost to file a sworn complaint.
6. What happens, generally, after a sworn complaint is filed?
NOTE: This gives general information about how a sworn complaint is handled. Each sworn complaint is different.
- After a sworn complaint is filed, TEC enforcement staff will call the person against whom it is filed (Respondent) as soon as possible – typically the same day – to notify them of the sworn complaint.
- TEC enforcement staff then have five business days to do an initial review of the sworn complaint to determine:
- if the TEC has jurisdiction over the allegations (see FAQ #2 above);
- if the person who filed the sworn complaint (Complainant) is eligible to file it (see FAQ #3 above); and
- if the sworn complaint form was filled out correctly.
- If the TEC does not have jurisdiction, the sworn complaint is immediately dismissed. The person who filed it can file a new sworn complaint if they choose.
- If the sworn complaint is missing information or is not filled out correctly, it is rejected and sent back to the Complainant. Complainant then has 21 calendar days to correct the deficiencies; if they are not corrected within that time frame, the sworn complaint is dismissed. Again, the Complainant can file a new sworn complaint if they choose.
- If TEC enforcement staff accepts jurisdiction over any of the allegations, a “Notice of Compliance” letter is sent to the Respondent (a copy is sent to the Complainant), with information about the allegations and a timeline for them to send in a response (10 business days for Category One violations or 25 business days for Category Two violations).
- After receiving the Respondent’s response, TEC enforcement staff may investigate the allegations further, which might include requesting additional documents, sending written questions to the Complainant or Respondent, etc.
- TEC enforcement staff will then send a proposed resolution to the Respondent, which could include a fine.
- If the Respondent accepts the proposed resolution, and pays any applicable fine, the resolution must be approved by the Commissioners and then the sworn complaint is over. If the Commissioners determine that the violation is neither technical nor de minimis, the resolution is posted on the Commission’s website and any possible fine will be included in the Delinquent Filer List on the Commission’s website until paid.
- If the Respondent does not accept the proposed resolution, then the case is set for a Preliminary Review Hearing (PRH) at the next available Commission meeting. A PRH is closed to the public but the Respondent and/or their representative may attend. Chapter 12, Subchapter E, Division 3 of the TEC Rules specifies what happens at a PRH.
- If the PRH does not resolve the sworn complaint, the case is set for a Formal Hearing (FH) at the next available Commission meeting. A FH is open to the public, and the Respondent and/or their representative must attend. The Complainant may attend. If a sworn complaint proceeds to a FH and the TEC finds a violation, the TEC will enter a final order and may impose a penalty. Chapter 12, Subchapter E, Division 3 of the TEC Rules specifies what happens at a FH.
- If the Respondent is not satisfied with the Final Order, they can appeal by filing a de novo appeal with district court within 30 days of receiving the Final Order.
- If the Respondent fails to appear at a formal hearing, violations may be found and penalties assessed in their absence. If the Respondent had adequate reason not to appear, the Respondent may ask the TEC to reconsider, but after the 14-day period for reconsideration has ended, the TEC’s decision is final.
7. Does a sworn complaint affect a candidate’s ability to stay on the ballot?
No. A sworn complaint may result in an open order that is posted to the TEC’s website, a civil fine, and/or listing on the Delinquent Filer List, but it does not affect a person’s ability to run for office, or to hold that office if they win. Certain violations could also result in criminal charges, but those are not in the TEC’s jurisdiction.
8. When is the Complainant part of the sworn complaint process?
Typically, the Complainant is the person who files a sworn complaint.
Once a sworn complaint is filed, the Complainant is only notified if the case is set for a hearing. If it is set for a Preliminary Review Hearing, this is a closed hearing and the Complainant may not attend. If it is set for a Formal Hearing, this hearing is open to the public and the Complainant may attend.
The Complainant is not a party to a sworn complaint. This means that the TEC is prohibited from sharing confidential information with the Complainant while the sworn complaint is pending. See FAQ #4 for more information.
9. If a sworn complaint is filed against me, can I hire an attorney?
Yes, a Respondent can be represented by an attorney at any stage of the process, at their own expense. See TEC Rule 12.2 concerning representation by counsel.