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Rules
Proposed

PROPOSED RULES


At its June 2024, meeting, the Texas Ethics Commission voted to propose the following amended and repealed rule: §18.31, regarding adjustments to reporting thresholds. The text of the proposed amended rule is located below.

At its June 2024, meeting, the TEC also voted to re-propose the following amended and repealed rules: §§ 6.5, 6.7, 6.31 and 6.33 (repeal), §§ 6.1, 6.9, 6.21, 6.23, 6.35, 6.39, 6.43, 6.45 and 6.47 (amended), and all of Chapter 12 (existing rules will be fully repealed and an entire new chapter will be proposed, concurrently). The text of the proposed amended, repealed and new rules are located below.


Summary of Proposed Rules, in English

Section 571.064(b) of the Government Code requires the TEC to annually adjust reporting thresholds upward to the nearest multiple of $10 in accordance with the percentage increase for the previous year in the Consumer Price Index for Urban Consumers published by the Bureau of Labor Statistics of the United States Department of Labor. The laws under the TEC’s authority that include reporting thresholds are Title 15 of the Election Code (campaign finance law), Chapter 305 of the Government Code (lobby law), Chapter 572 of the Government Code (personal financial statements), Chapters 302 and 303 of the Government Code (speaker election, governor for a day, and speaker’s reunion day ceremony reports), and section 2155.003 of the Government Code (reporting requirements applicable to the comptroller). The TEC first adopted adjustments to reporting thresholds in 2019, which were effective on January 1, 2020. These new adjustments, if adopted, will be effective on January 1, 2025, to apply to contributions and expenditures that occur on or after that date.

Chapters 6 and 12: State law requires state agencies to “review and consider for readoption each of its rules … not later than the fourth anniversary of the date on which the rule takes effect and every four years after that date.” Tex. Gov’t Code § 2001.039. The law further requires agencies to “readopt, readopt with amendments, or repeal a rule as the result of reviewing the rule under this section.” Id. TEC staff started its comprehensive review with the TEC’s rules regarding its organization and administration (codified in Chapter 6) and its sworn complaint procedures (codified as Chapter 12). The amendments seek to shorten, simplify, and reorganize the rules to eliminate surplusage and improve clarity. At the June 2024 meeting, the Commission received comments from Mr. Ross Fischer on possible changes to § 12.71(a), regarding the Notice of Preliminary Hearing. Changes have been made to that subsection based on that discussion.


Resumen de las Reglas Propuestas, en español:

En su reunión de junio del 2024, la Comisión de Ética de Texas (TEC por sus siglas en inglés) también votó para proponer las siguientes reglas enmendadas: § 18.31, en relación con los ajustes a los umbrales de presentación de informes.

En la junta de junio del 2024, la Comisión de Ética de Texas (TEC por sus siglas en inglés) también votó a no proponer de nuevo las siguientes reglas enmendadas y revocadas: §§ 6.5, 6.7, 6.31 y 6.33 (revocadas), §§ 6.1, 6.9, 6.21, 6.23, 6.35, 6.39, 6.43, 6.45 y 6.47 (enmendadas), y todo del Capítulo 12 (las reglas existentes serán totalmente derogadas y un capítulo nuevo entero será propuesto, simultáneamente.) El texto de las nuevas reglas propuestas, de las enmendadas y de las revocadas, se encuentran a continuación.

Resumen de las Reglas Propuestas, en español:

Anualmente la Sección 571.064(b) del Código Gubernamental requiere que la Comisión de Ética de Texas (TEC por sus siglas en inglés) suba los topes de las cantidades declaradas al múltiplo más próximo de $10 de acuerdo con el incremento en el porcentaje del año anterior del Índice del Precio del Consumidor para los Consumidores Urbanos, el cual se publica por medio de la Oficina de Estadísticas del Trabajo del Departamento del Trabajo de los Estados Unidos. Las leyes bajo la autoridad de la TEC que incluyen los topes de las cantidades declaradas son: el Título 15 del Código de Elecciones (la ley que gobierna las finanzas de campañas), el Capítulo 305 del Código Gubernamental (la ley del cabildeo), el Capítulo 572 del Código Gubernamental (los estados de cuentas financieras personales), los Capítulos 302 y 303 del Código Gubernamental (los reportes de la elección del presidente de la cámara de representantes, del gobernador por un día y del día de ceremonia de la reunión del presidente de la cámara de representantes), y la Sección 2155.003 del Código Gubernamental (los requerimientos para el contralor sobre el reporte). La TEC adoptó los ajustes por primera vez en los topes de las cantidades declaradas en 2019, los cuales entraron en vigor el 1 de enero del 2020. Estos nuevos ajustes, si son adoptados, entrarán en vigor el 1o. de enero del 2025 para ser aplicados a las contribuciones y los gastos que ocurren en dicha fecha o después de tal fecha.

Los Capítulos 6 y 12 : La ley estatal requiere que las agencias estatales “revisen y consideren la readaptación de cada una de sus reglas… no más tarde del cuarto aniversario de la fecha en la cual la regla toma efecto y cada cuatro años después de esa fecha.” Código del Gobierno Tejano § 2001.039. La ley además requiere que las agencias “re-adopten, re-adopten con enmiendas o derogen una regla como el resultado de revisar la regla bajo esta sección.“ Citado anteriormente. El personal de TEC empezó su revisión comprensiva con las reglas de TEC relacionadas con su organización y administración (codificadas en el Capítulo 6) y sus procedimientos para quejas juramentadas. (codificadas como el Capítulo 12) Las enmiendas buscan acortar, simplificar y reorganizar las reglas para eliminar el excedente y mejorar la claridad. En la junta de junio del 2024, la Comisión recibió comentarios del Sr. Ross Fischer sobre posibles cambios a la sección §12.71(a), relacionados con el Aviso de la Audiencia Preliminar. Se han hecho cambios a esa subsección basados en esa discusión.

§18.31. Adjustments to Reporting Thresholds
Text of Proposed Amended Rule

Chapter 6. Organization and Administration
Text of Proposed Amended Rule

Chapter 12. Sworn Complaints.
Text of Proposed Amended Rule

§18.31. Adjustments to Reporting Thresholds.
Text of Proposed Rule

The proposed new language is indicated by underlined text.
The deleted text is indicated by [strikethrough] text.

Chapter 18. GENERAL RULES CONCERNING REPORTS

§18.31. Adjustments to Reporting Thresholds.

(a) Pursuant to section 571.064 of the Government Code, the reporting thresholds are adjusted as follows:

Campaign Finance Reports: Section of Election Code

Threshold Description

Original Threshold Amount

Adjusted Amount

253.031(b)

PAC: Amount of contributions or expenditures permitted before TA is required

$500

$1,080 [$1,050]

253.031(d)(2)

CEC: Amount of contributions or expenditures permitted before TA is required

$25,000

$40,300 [$38,990]

253.032(a)

Contribution by Out-of-state PAC: Threshold above which certain paperwork is required

$500

$1,110 [$1,080]

253.032(a)(1)

Contribution to Out-of-state PAC: Threshold above which certain contribution information is required

$100

$220

253.032(e)

Contribution by Out-of-state PAC: Threshold at or below which certain information is required

$500

$1,110 [$1,080]

254.031(a)(1)

Contributions: Threshold over which more information is required

$50

$110

254.031(a)(2)

Loans: Threshold over which more information is required

$50

$110

254.031(a)(3)

Expenditures: Threshold over which more information is required

$100

$220

254.031(a)(5)

Contributions: Threshold at or below which more information is not required

$50

$110

254.031(a)(5)

Expenditures: Threshold at or below which more information is not required

$100

$220

254.031(a)(9)

Interest, credits, refunds: Threshold over which more information is required

$100

$140

254.031(a)(10)

Sale of political assets: Threshold over which proceeds must be reported

$100

$140

254.031(a)(11)

Investment Gain: Threshold over which more information is required

$100

$140

254.031(a)(12)

Contribution Gain: Threshold over which more information is required

$100

$140

254.0311(b)(1)

Caucus, contributions from non-caucus members: Threshold over which more information is required

$50

$110

254.0311(b)(2)

Caucus, loans: Threshold over which more information is required

$50

$110

254.0311(b)(3)

Caucus, expenditures: Threshold over which more information is required

$50

$110

254.0311(b)(4)

Caucus, contributions and expenditures: Threshold at or below which more information is not required

$50

$110

254.0312

Contributions, Best Efforts: Threshold under which filer is not required to request contributor information to be in compliance

$500

$850 [$820]

254.036

Electronic Filing Exemption: Threshold at or below which a filer may qualify

$20,000

$33,910 [$32,810]

254.038(a)

Daily Reports by certain candidates and PACs: Contribution threshold triggering report

$1,000

$2,220 [$2,150]

254.039

Daily Reports by GPACs: Contribution threshold triggering report

$5,000

$7,600 [$7,350]

254.039

Daily reports by GPACs: DCE expenditure thresholds (single candidate/group of candidates)

$1,000/$15,000

$2,220/$33,370
[$2,150/$32,280]

254.0611(a)(2)

Judicial candidates, contributions: Threshold over which more information is required

$50

$110

254.0611(a)(3)

Judicial candidates, asset purchase: Threshold over which more information is required

$500

$1,110 [$1,080]

254.0612

Statewide executive and legislative candidates, contributions: Threshold over which more information is required

$500

$1,110 [$1,080]

254.095

Local officeholders, contributions: Threshold over which reporting is not required

$500

$1,110 [$1,080]

254.151(6)

GPAC, contributions: Threshold over which more information is required

$50

$110

254.1541(a)

GPAC, higher itemization threshold: Threshold under which it applies

$20,000

$32,240 [$31,190]

254.1541(b)

GPACs that meet higher itemization threshold: Threshold over which more contributor information is required

$100

$220

254.156(1)

MPAC: Threshold over which contribution, lender and expenditure information is required

$10

$20

254.156(2)

MPACs that meet higher itemization threshold: Threshold over which more contributor information is required

$20

$40

254.181
254.182
254.183

Candidate or SPACs, modified reporting: Contribution or expenditure threshold at or below which filers may avoid pre-election reports

$500

$1,110 [$1,080]

254.261

DCE filers: Threshold over which a report must be filed

$100

$160


Lobby Registrations and Reports: Section of Government Code

Threshold Description

Original Threshold Amount

Adjusted Amount

305.003(1)

Lobbyist, expenditures: Threshold over which registration is required

$500, by 1 Tex. Admin. Code §34.41

$970 [$940]

305.003(2)

Lobbyist, compensation: Threshold over which registration is required

$1,000, by 1 Tex. Admin. Code §34.43

$1,930 [$1,870]

305.004(7)

Lobbying for political party: Threshold at or below which registration is not required

$5,000

$11,120 [$10,760]

305.005(g)(2)

Lobbyist: Compensation threshold

$10,000

Less than $22,240 [Less than $21,520]

305.005(g)(3)

Lobbyist: Compensation threshold

$25,000

$22,240 to less than $55,610 [$21,520 to less than $53,810]

305.005(g)(4)

Lobbyist: Compensation threshold

$50,000

$55,610 to less than $111,220 [$53,810 to less than $107,610]

305.005(g)(5)

Lobbyist: Compensation threshold

$100,000

$111,220 to less than $222,440 [$107,610 to less than $215,230]

305.005(g)(6)

Lobbyist: Compensation threshold

$150,000

$222,440 to less than $333,660 [$215,230 to less than $322,840]

305.005(g)(7)

Lobbyist: Compensation threshold

$200,000

$333,600 to less than $444,880 [$322,840 to less than $430,450]

305.005(g)(8)

Lobbyist: Compensation threshold

$250,000

$444,880 to less than $556,100 [$430,450 to less than $538,070]

305.005(g)(9)

Lobbyist: Compensation threshold

$300,000

$556,100 to less than $667,320 [$538,070 to less than $645,680]

305.005(g)(10)

Lobbyist: Compensation threshold

$350,000

$667,320 to less than $778,540 [$645,680 to less than $753,290]

305.005(g)(11)

Lobbyist: Compensation threshold

$400,000

$778,540 to less than $889,760 [$753,290 to less than $860,910]

305.005(g)(12)

Lobbyist: Compensation threshold

$450,000

$889,760 to less than $1,000,980 [$860,910 to less than $968,520]

305.005(g)(13)

Lobbyist: Compensation threshold

$500,000

$1,000,980 to less than $1,112,200 [$968,520 to less than $1,076,130]

305.005(g-1)

Lobbyist: Compensation threshold

$500,000

$1,112,200 or more [$1,076,130 or more]

305.0061(c)

Lobbyist, legislative/executive branch member: Threshold over which gifts, awards and mementos must be disclosed

$50

$110

305.0061(e-1)

Lobbyist, food and beverage: Threshold at or below which it is considered a gift and reported as such

$50

$110

305.0063

Lobbyist, annual filer: Expenditure threshold at or below which filer may file annually

$1,000

$2,220 [$2,150]


Personal Financial Statements: Section of Gov't Code

Threshold Description

Original Threshold Amount

Adjusted Amount

572.022(a)(1)

PFS threshold

less than $5,000

less than $11,120 [$10,760]

572.022(a)(2)

PFS threshold

$5,000 to less than $10,000

$11,120 [$10,760] to less than $22,240 [$21,520]

572.022(a)(3)

PFS threshold

$10,000 to less than $25,000

$22,240 [$21,520] to less than $55,610 [$53,810]

572.022(a)(4)

PFS threshold

$25,000 or more

$55,610 [$53,810] or more

572.005, 572.023(b)(1)

PFS, retainer: Threshold over which filer with a substantial interest in a business entity must report more information

$25,000

$55,610 [$53,810]

572.023(b)(4)

PFS, interest, dividends, royalties and rents: Threshold over which information must be reported

$500

$1,110 [$1,080]

572.023(b)(5)

PFS, loans: Threshold over which information must be reported

$1,000

$2,220 [$2,150]

572.023(b)(7)

PFS, gifts: Threshold over which information must be reported

$250

$560 [$540]

572.023(b)(8)

PFS, income from trust: Threshold over which information must be reported

$500

$1,110 [$1,080]

572.023(b)(15)

PFS, government contracts: Threshold of aggregate over which more information must be reported

Exceeds $10,000

 Exceeds $12,210 [$11,810]

572.023(b)(15)(A)

PFS, government contracts: Itemization threshold

 $2,500 or more $3,050 [$2,950] or more

572.023(b)(16)(D)(i)

PFS, bond counsel fees paid to legislator: Threshold

less than $5,000

 less than $6,100 [$5,910]

572.023(b)(16)(D)(ii)

PFS, bond counsel fees paid to legislator: Threshold

at least $5,000 but less than $10,000

at least $6,100 [$5,910] but less than $12,210 [$11,810]

572.023(b)(16)(D)(iii)

PFS, bond counsel fees paid to legislator: Threshold

at least $10,000 but less than $25,000

at least $12,210 [$11,810] but less than $30,520 [$29,530]

572.023(b)(16)(D)(iv)

PFS, bond counsel fees paid to legislator: Threshold

$25,000 or more

$30,520 [$29,530] or more

572.023(b)(16)(E)(i)

PFS, bond counsel fees paid to individual’s firm: Threshold

less than $5,000

less than $6,100 [$5,910]

572.023(b)(16)(E)(ii)

PFS, bond counsel fees paid to individual’s firm: Threshold

at least $5,000 but less than $10,000

 at least $6,100 [$5,910] but less than $12,210 [$11,810]

572.023(b)(16)(E)(iii)

PFS, bond counsel fees paid to individual’s firm: Threshold

at least $10,000 but less than $25,000

 at least $12,210 [$11,810] but less than $30,520 [$29,530]

572.023(b)(16)(E)(iv)

PFS, bond counsel fees paid to individual’s firm: Threshold

$25,000 or more

 $30,520 [$29,530] or more


Speaker Election and Certain Ceremonial Reports: Section of Government Code

Threshold Type

Original [Current] Threshold Amount

Adjusted Amount

302.014(4)

Speaker: Expenditures over which more information must be reported

$10

$20

303.005(a)(1) – (10)

Governor for a Day/Speaker’s Day: Threshold over which more information must be reported

$50

$110


Thresholds set by Title 1, Part 2, Tex. Admin. Code

Threshold Type

Original [Current] Threshold Amount

Adjusted Amount

20.62(a)

Staff Reimbursement

$5,000

$7,300 [$7,060]

20.220

Comptroller: Additional disclosure

$500

$720 [$710]

(b) The changes made by this rule apply only to conduct occurring on or after the effective date of this rule.

(c) The effective date of this rule is January 1, 2025 [4].

(d) In this section:

Chapter 6. ORGANIZATION AND ADMINISTRATION
Text of Proposed Repealed and Amended Rules

§6.5. Authority To Adopt Rules.
This title is adopted under the authority granted by the Act, the Administrative Procedure Act, and by any other law administered and enforced by the commission that establishes the commission’s authority to adopt rules.

§6.7. Actions That Require Six Votes.
(a) The following actions require the affirmative vote of no less than six members of the commission:

(b) Any action not listed in subsection (a) of this section that requires a vote of the commission requires the affirmative vote of no less than five members of the commission.

§6.31. Quorum.
Five commissioners must be present as a quorum to hold a commission meeting.

§6.33. Frequency of Meetings.
The commission shall meet at least once a quarter at the call of the presiding officer.

Subchapter A. General Rules

§6.1. Definitions.
The following words and terms, when used in this P[p]art, shall have the following meanings, unless the context clearly indicates otherwise.

(1) Act--The Government Code, Chapter 571 (concerning Texas Ethics Commission).

(2) Administrative Procedure Act--The Government Code, Chapter 2001 (concerning Administrative Procedure).

(3) Agency--The state agency governed by the commission, as it functions and operates through the administrative staff hired by the commission and its executive director.

(4) Commission--The Texas Ethics Commission, as constituted and described in the Texas Constitution, Article 3, §24a and in the Government Code, Chapter 571.

(5) Document--A report, complaint, response, letter, or any other written material.

(6) Executive director--The person employed by the commission to serve as the agency's chief administrative officer, or any other employee of the commission acting as the designee of the executive director.

[(7) Family member or relative--An individual who is related within the second degree of affinity or consanguinity, as defined by the Government Code, Chapter 573, Subchapter B (concerning Relationships by Consanguinity or by Affinity).]

(7[8]) Filer--A person required to file a report with the commission or a local filing authority in accordance with a law enforced by the commission[this title].

(8[9]) Individual--A human being who has been born and is alive.

(9[10]) Local filing authority--A public servant other than the Texas Ethics Commission with whom a filer must file a report in accordance with a law enforced by the commission [this title, as identified in §20.5 of this title (relating to Reports Filed with a County Filing Authority) and §20.7 of this title (relating to Reports Filed with Other Local Filing Authority)].

(10[11]) Open Meetings Law--The Government Code, Chapter 551 (concerning Open Meetings).

(11[12]) Open Records Law--The Government Code, Chapter 552 (concerning Open Records).

(12[13]) Person--An individual, representative, corporation, association, or other entity, including any nonprofit corporation, or any agency or instrumentality of federal, state, or local government.

(13[14]) Postmark--A postal cancellation by the United States Postal Service that contains the post office name, state, and zip code and the month, day, and year the canceling post office accepted custody of the material.

[(15) Presiding officer--The person elected to serve as the commission's chairman or chairwoman under §6.21 of this title (relating to Officers of the Commission).]

(14[16]) Report--Any document or other information required to be filed under this title.

(15[17]) Staff--Employees of the commission, hired by the commission or the executive director.

(16[18]) Title 15--The Election Code, Title 15 (concerning Regulating Political Funds and Campaigns).

[(19) First responder--An individual who is:

(A) a peace officer whose duties include responding rapidly to an emergency;

(B) fire protection personnel, as that term is defined by Section 419.021, Government Code;

(C) a volunteer firefighter who performs firefighting duties on behalf of a political subdivision;

(D) an ambulance driver; or

(E) an individual certified as emergency medical services personnel by the Department of State Health Services.

(20) Judicial office--The office of:

(A) chief justice or justice, supreme court;

(B) presiding judge or judge, court of criminal appeals;

(C) chief justice or justice, court of appeals;

(D) district judge;

(E) judge, statutory county court; or

(F) judge, statutory probate court.

(21) Non-judicial office--An elective public office and the secretary of state, but not including an office described by paragraph (20) of this section.]

§6.9. Computation of Time.
(a) This section states how to compute a period of time prescribed or allowed by this Part[title], by any order of the agency, or by any applicable statute. The day of the act, event, or default after which the designated period of time begins to run is not included. The last day of the period is included. However, if the last day of the time period would not be a business day as defined by Section 552.0031 of the Texas Government Code[Saturday, a Sunday, or a legal holiday], the period is extended until the next day that is [not] a business day.[Saturday, a Sunday, or a legal holiday. A legal holiday, for purposes of this section, is any day other than a Saturday or Sunday that the agency is closed for a holiday established by state law.]

(b) A time period described by statute or this Part[title] to be a certain number of business days is calculated under subsection (a) of this section without including any day [Saturday, Sunday, or legal holiday]within that time period that is not a business day as defined by Section 552.0031 of the Texas Government Code.

(c) A document required to be filed or served by a deadline established by statute or this title is filed or served when it is actually received. A document may be deemed to be filed or served when it is deposited with the United States Postal Service, properly addressed to the recipient, with all postage prepaid. The date of the postmark on the envelope for the document is presumed to be the date the document was deposited with the United States Postal Service.

(d) A document filed or served by delivery to the United States Postal Service is presumed to have been filed before 5:00 p.m. on the date indicated by the postmark.

The amended rules are proposed under Texas Government Code §571.062, which authorizes the Commission to adopt rules to administer Title 15 of the Election Code and Chapter 571 of the Government Code.

The proposed amended rules affect Subchapter E of Chapter 571 of the Government Code.

Subchapter B. Officers and Employees of the Commission

§6.21. Officers of the Commission.
[(a) The commission shall select a presiding officer and a vice-presiding officer.]

(a[b]) The commission’s [Commission] chair and vice chair shall be [officers are] elected annually by majority vote of the commission. The election shall take place at the first commission meeting held after June 1 of each year. Each officer shall serve until his or her successor is selected.

(b[c]) The chair[presiding officer] and vice chair[the vice-presiding officer] shall be members of [elected from] different political parties[y caucus lists].

(c[d]) The chair and vice chair[presiding officer] may be re-elected; however, if a new chair[presiding officer] is elected he or she[it] should be a member of[from] a different political [party caucus list] than the former chair[presiding officer].

(d[e]) The person elected to serve as the commission’s chair shall also serve as the commission’s presiding officer. The presiding officer shall preside at all meetings of the commission. While presiding, the presiding officer shall direct the order of the meeting, appoint committees and persons to chair committees, recognize persons to be heard at hearings, set reasonable and necessary time limits for speakers, and take other actions to clarify issues and preserve order. Unless the chair appoints a presiding officer pro tem pursuant to subsection (f) of this rule, [When the presiding officer is absent,] the vice chair[-presiding officer] shall perform all duties of the presiding officer when the chair is absent.

(e[f]) In addition to other powers identified elsewhere in this Part, t[T]he presiding officer may perform the following actions of the commission:

(f[g]) The chair[presiding officer] may appoint a commissioner as presiding officer[chair] pro tem to preside over a hearing held by the commission.

(g) If the chair or vice chair is unable to participate in a matter pending before the commission, either may select a replacement from among the other commissioners to exercise their authority and fulfill their duties under this Part and any other applicable law.

§6.23. Commission Staff.
(a) The executive director is the chief administrative officer of the agency. The executive director shall attend commission meetings at the pleasure of the commission and serve as liaison between the commission and the public.

(b) The commission delegates to the executive director all powers conferred on the commission by the Act or other law, except for any power that requires a vote of the commission or approval of the chair. Any action taken by the executive director shall conform with all applicable law, including this Part[title] and other policies that may be adopted from time to time by the commission.

(c) The executive director shall attend commission meetings unless specifically excused by the commission and shall perform any duties or assignments established by the commission.

(d) The general counsel shall attend commission meetings unless specifically excused by the commission, shall provide legal advice to the commission and executive director, and shall perform any duties delegated by the executive director.

The amended rules are proposed under Texas Government Code §571.062, which authorizes the Commission to adopt rules to administer Title 15 of the Election Code and Chapter 571 of the Government Code.

The proposed amended rules affect Subchapter E of Chapter 571 of the Government Code.

Subchapter C. Commission Meetings

§6.35. Called Meetings.
The executive director shall give notice to each commissioner of the date and time of each meeting. Notice under this section shall be provided a reasonable amount of time in advance of the meeting[, and may be by telephone, fax, or mail].

§6.39. Meeting Agenda.
(a) The agenda shall consist of agenda items proposed by the executive director prior to the meetings for which the agenda is specified. At a reasonable time before filing a copy of the agenda as required by the Open Meetings Law, the executive director shall provide a copy of the proposed agenda to the presiding officer. If the presiding officer is not reasonably available, the executive director shall [provide a copy of the proposed agenda to the vice-presiding officer. If the vice-presiding officer is not reasonably available, the executive director shall] provide a copy of the proposed agenda to any two commissioners.

(b) The presiding officer, a commission member with the consent of the presiding officer, or any two commissioners may direct the executive director to include an item on the agenda if it complies with the posting requirements specified by law. The presiding officer may direct the executive director to remove an item included on a proposed agenda unless that item is requested by two commission members other than the presiding officer.

(c) A member of the public may ask the executive director to place an item on a proposed agenda. The executive director shall advise the commission of the request and may include the item on a proposed agenda.

§6.43. Speakers Addressing the Commission.
(a) The executive director shall prescribe a speaker registration form. Each person who wishes to speak at a commission meeting shall provide the following information:

(b) Any person who addresses the commission shall state his or her name and the name of the person or entity the speaker represents, if any, for purposes of the [tape] recording under §6.47 of this title (relating to [Tape] Recording of Meeting; Minutes).

§6.45. Order and Conduct of Commission Meeting.
(a) The presiding officer shall preside at all meetings of the commission. The presiding officer shall direct the order of the meeting in accordance with its agenda, recognize persons to be heard, set reasonable and necessary time limits for speakers, maintain and enforce appropriate standards of conduct, and take any other action necessary in his or her discretion to clarify issues and preserve order. [When the presiding officer is absent, the vice-presiding officer shall perform all duties under this subsection.]

(b) Commission meetings shall be conducted in accordance with rules and procedures set forth in the most recently published edition of Robert’s Rules of Order.

(c) With unanimous consent of all commissioners present, any provision or requirement of this section may be waived.

(d) No action of the commission that otherwise complies with law shall be void or invalid because the action was taken in violation of a rule or procedure established by this section.

§6.47. [Tape] Recording of Meeting; Minutes
(a) All meetings of the commission shall be [tape] recorded. The [tape] recording shall be the official record of actions taken at the meeting.

(b) The presiding officer shall announce the names of each commissioner who makes or seconds a motion to be voted upon by the commission. After the vote has been taken, the presiding officer shall announce the vote in a manner that identifies how each commissioner voted, if a commissioner abstained, or if a commissioner was not present for the vote.

(c) The executive director shall prepare minutes after each meeting that reflect all commission votes and other actions taken during the meeting. The minutes shall be approved by vote of the commission at a subsequent commission meeting.

Chapter 12. Sworn Complaints.
Text of Proposed New Rules

CHAPTER 12. SWORN COMPLAINTS

Subchapter A. Respondent’s Rights

§12.01. Notice
(a) A notice required to be sent to a complainant under chapter 571 of the Government Code shall be sent to the address most recently provided to the commission by the complainant.

(b) A notice required to be sent to a respondent under chapter 571 of the Government Code shall be sent to the address provided to the commission by the complainant or, if the respondent has provided a different address, to the address most recently provided to the commission by the respondent.]

(c) A person entitled to receive notice may waive that right by filing a written waiver with the executive director.

(d) A respondent or complainant in a complaint may waive the right under section 571.032 of the Government Code to receive written notices related to the complaint by registered or certified mail, restricted delivery, return receipt requested, and may agree to receive written notices related to the complaint by first class mail, electronic mail, or other means.

§12.02. Representation by Counsel
(a) A respondent has the right to be represented by counsel retained by the respondent in any proceeding of a complaint.

(b) Counsel representing a respondent shall enter an appearance with the commission that contains the counsel’s mailing address, email address, telephone number, and state bar number. If the respondent’s counsel is not licensed to practice law in Texas, the representative must show authority to appear as the respondent’s counsel.

(c) The commission may, through the approval of its executive director, admit an attorney who is a resident of and licensed to practice law in another state, and who is not an active member of the State Bar of Texas, to represent a respondent before the commission if the nonresident attorney complies with the requirements of Tex. Gov’t Code §82.0361 and Rule XIX of the Rules Governing Admission to the Bar of Texas and files a motion, accompanied by proof of compliance with those provisions, with the commission requesting to be admitted to represent a respondent.

(d) This rule does not allow a person to engage in the unauthorized practice of law.

§12.03. Ex Parte Communications
Neither commission enforcement staff nor respondents may communicate with commissioners or the general counsel outside the presence of the other party for the purpose of influencing a decision on a pending sworn complaint after the commission accepts jurisdiction over an allegation.

§12.04. Agreements to be in Writing
No stipulation or agreement with respect to any matter in a complaint shall be effective unless it has been:

(1) reduced to writing and signed by each person making the stipulation or agreement, or by that person’s authorized representative, and filed with the commission; or

(2) entered into the record during the course of a hearing.

Subchapter B. Filing and Initial Processing of Complaint

§12.11. Deadline for Filing a Complaint
(a) The commission has no jurisdiction over an alleged violation:

(b) For purposes of this section, a complaint is not filed unless it complies with the requirements of section 571.122 of the Government Code.

§12.12. File Date for a Complaint
The file date for a complaint is the date the complaint is received by the commission.

§12.13 Description of Violation
(a) If a complaint does not include the specific rule or provision of law alleged to have been violated, the complaint must clearly and concisely describe facts that, if true, would constitute a violation of a law administered and enforced by the commission.

(b) A complaint that erroneously cites a specific rule or provision of law is nonetheless sufficient if the correct citation can reasonably be ascertained by the commission. When a complaint erroneously cites a specific rule or provision of law, the commission shall cite the correct rule or provision of law in the notice provided to the respondent.

§12.14 Statement of Facts
(a) The alleged facts must provide sufficient detail to reasonably place the respondent on notice of the law violated and of the manner and means by which the violation allegedly occurred and to afford the respondent a basis on which to prepare a response.

(b) The facts alleged may adopt by reference the content of documents submitted with the complaint. However, the allegations must reasonably identify those portions of the document that are relevant to the alleged violation.

§12.15 Commission Initiated Complaint
(a) Commission staff may gather or present documents or evidence, make recommendations, and otherwise communicate with commissioners in contemplation of, or in preparation for, a commission initiated preliminary review. Commissioners may request documents, evidence, or recommendations, and otherwise communicate with commission staff in contemplation of, or in preparation for, a commission initiated preliminary review.

(b) A preliminary review initiated by the commission under section 571.124(b) of the Government Code is deemed to be a complaint for purposes of all further proceedings under chapter 571 of the Government Code and of this chapter.

(c) Documents or evidence gathered by the commission and commission staff in contemplation of, or in preparation for, a commission initiated preliminary review are related to the processing of a preliminary review or motion for the purposes of sections 571.139 and 571.140 of the Government Code.

(d) Discussions between the commission and commission staff regarding gathering documents or evidence in contemplation of, or in preparation for, a commission initiated preliminary review are related to the processing of a preliminary review or motion for the purposes of sections 571.139 and 571.140 of the Government Code.

Subchapter C. Investigation and Discovery

§12.21 Response to Notice of Complaint
(a) The response required by section 571.1242 of the Government Code must:

(b) If a respondent does not submit a response within the time period prescribed by section 571.1242 of the Government Code, the commission may issue an order imposing a civil penalty for failure to file a response.

(c) If a respondent does not submit a response that satisfies the requirements of subsection (a) of this section, the commission may issue an order imposing a penalty for failure to file a complete response.

§12.22 Written Questions
(a) A complainant or respondent must respond to written questions not later than 15 business days after receiving the written questions.

(b) If the commission staff submits written questions to a respondent, the 120-day deadline for the commission to propose an agreement to the respondent or dismiss the complaint (provided in section 571.1242(g) of the Government Code) is tolled beginning on the date the commission sends the written questions and resets on the date the commission receives the respondent’s written response.

§12.23 Production of Documents During Preliminary Review
(a) Before applying for the commission to issue a subpoena under §571.137(a-1) of the Government Code, commission staff must send to the person from whom records are sought a written request for the production or inspection of documents or other tangible things that:

(b) The person from whom records are sought must produce or allow the inspection of documents or other tangible things within the person’s possession, custody or control within the time provided in the request, or submit in writing, as appropriate:

(c) Commission staff shall provide to the commission any response it receives to its request for production or inspection when applying for a subpoena under §571.137(a-1) of the Government Code.

(d) If the commission staff applies to the commission for the issuance of a subpoena pursuant to section 571.137(a-1) of the Government Code, the 120-day deadline for the commission to propose an agreement to the respondent or dismiss the complaint (provided in section 571.1242(g) of the Government Code) is tolled beginning on the date the staff applies to the commission for the subpoena and resets on either:

§12.24 Proposed Settlement Before Preliminary Review Hearing
If commission staff proposes to a respondent an agreement to settle a complaint that would be effective upon approval by the commission and the respondent, the 120-day deadline for the commission to propose an agreement to the respondent or dismiss the complaint (provided in section 571.1242(g) of the Government Code) is met. If a respondent approves a proposed agreement, commission staff must submit the proposed agreement to the commission to seek final approval at the next scheduled commission meeting. If a respondent rejects a proposed agreement, the matter shall be set for a preliminary review hearing at the next commission meeting for which notice has not yet been posted. If a respondent rejects a proposed agreement within 45 days before the date of a commission meeting, the matter shall be set for a preliminary review hearing at the next commission meeting thereafter.

§12.25 Subpoenas Issued by Commission
(a) A subpoena issued under §571.137 of the Government Code shall specify the date, time, place, and manner for execution of the subpoena.

(b) A subpoena issued under section 571.137 of the Government Code that requires a person to provide testimony shall be served on that person at least 10 business days before the date the subpoena is to be executed.

(c) A subpoena sought by commission staff under section 571.137(a) of the Government Code must be requested in writing and may be approved and issued by the unanimous agreement of the chair and vice chair. If either the chair or vice chair does not approve the request, then staff may seek approval through a vote of the commission, in which case the subpoena will be issued upon the affirmative vote of five commissioners.

§12.26 Subpoenas Issued by Counsel for the Respondent
(a) This section applies only to subpoenas issued by a respondent’s counsel under section 571.125(f) (concerning the issuance of a subpoena for a witness in a preliminary review hearing) or 571.130(f) (concerning the issuance of a subpoena for a witness in a formal hearing) of the Government Code.

(b) A subpoena must be issued in the name of “The State of Texas” and must:

(c) A subpoena must command the person to whom it is directed to appear and give testimony at:

(d) A subpoena may only direct a person to appear, with or without documents, and give testimony at a preliminary review hearing or formal hearing before the commission.

(e) A subpoena may be issued only by the counsel of record for a respondent in a sworn complaint proceeding before the commission against that respondent.

(f) Service.

(g) Response.

(h) A counsel for a respondent issuing a subpoena must take reasonable steps to avoid imposing undue burden or expense on the person served. In ruling on a motion to quash or objection to appearance with documents, the presiding officer must provide a person served with a subpoena an adequate time for compliance, protection from disclosure of privileged material or information, and protection from undue burden or expense. The presiding officer may impose reasonable conditions on compliance with a subpoena, including compensating the witness for undue hardship.

Subchapter D. Pleadings and Motions

Division 1: General Rules

§12.31 Purpose and Effect of Motions
To make a request, including to obtain a ruling, order, or any other procedural relief, a party shall file a written motion. The motion shall describe specifically the action requested and the basis for the requested action. Unless otherwise specified in this chapter, a motion is not granted until it has been ruled on by the executive director, the presiding officer, or by vote of the commission, as applicable, even if the motion is uncontested or agreed.

§12.32 Required Form of Motions
Written requests for commission action shall be typewritten or printed legibly on 8-1/2 x 11-inch paper and timely filed with the commission. Photocopies are acceptable if copies are clear and legible. All filings shall contain or be accompanied by the following:

§12.33 Certificate of Conference
Except as provided in this chapter or unless otherwise ordered by the presiding officer, all motions shall include a certificate of conference that complies substantially with one of the following examples:

§12.34 Motion Deadlines
(a) The following deadlines apply to motions in which a hearing is either sought by a party or scheduled by the presiding officer:

(b) A scheduling order containing the deadlines under this section shall be included with the notice required by section 571.126 of the Government Code. The presiding officer may amend a scheduling order upon the request of a party for good cause shown. A decision by the presiding officer to amend a scheduling order or to deny a motion, response, or evidence shall be issued to the parties to a hearing within 5 business days after the decision is made.

(c) Except as otherwise provided in this chapter or as ordered or allowed by the commission, responses to motions shall be in writing and filed by the applicable deadline. However, if the presiding officer finds good cause has been shown, responses to written motions may be presented orally at hearing.

(d) The presiding officer may deny a party’s motions, responses, or replies or deny a party’s evidence from being admitted into the record of the hearing if the party fails to timely file.

§12.35 Method of Filing
(a) Motions, responses, and other documents in a sworn complaint proceeding must be filed with the commission by emailing it to sworncomplaints@ethics.state.tx.us and including the following information in the subject line:

(b) The time and date of filing is the electronic time stamp affixed by the commissions email system. Documents received when the commission is closed shall be deemed filed the next business day.

§12.36 Service of Documents
(a) On the same date a document is filed with the commission, a copy shall also be sent to each party or the party’s authorized representative by hand-delivery; by regular, certified, or registered mail; or by email, upon agreement of the parties.

(b) A person filing a document shall include a certificate of service that certifies compliance with this section.

(c) The following rebuttable presumptions shall apply regarding a party’s receipt of documents served by another party:

(d) The sender has the burden of proving date and time of service.

§12.37. Non-conforming Documents
When a filed document fails to conform to the requirements of this subchapter, the executive director may either:

(1) reject the filing, identify the errors to be corrected and state a deadline for correction; or

(2) accept the filing.

§12.38. Amended and Supplemental Filings
A party may amend or supplement its pleadings as follows:

(1) If a notice of a hearing or other documents provided to the complainant or respondent under section 571.126(b)(2) of the Government Code contain a material defect, the commission may correct the notice or other document and deliver it to the complainant and respondent as soon as practicable and in the same manner as the original notice. If the respondent does not receive the correction at least 10 days before the date of the hearing, the presiding officer may by order reschedule the hearing. The executive director shall notify the parties and the complainant of the date, time, and place of the hearing as soon as practicable.

(2) As to all other matters, an amendment or supplementation that includes information material to the substance of a hearing, requests for relief, changes to the scope of a hearing, or other matters that unfairly surprise other parties may not be filed later than seven days before the date of the hearing, except by agreement of all parties or by permission of the presiding officer

§12.39. Application of this Subchapter
If there is a conflict between this section and a requirement found in another section relating to a specific type of motion, the more specific provision applies.

Division 2: Types of Motions

§12.41. Motion to Extend Time
(a) The executive director may extend a deadline pursuant to §571.136 of the Government Code.

(b) A request for more time to file a document or respond to discovery shall include:

(c) Motions to extend time shall be filed no later than five days before the date of the deadline at issue or shall state good cause for presenting the motion after that time. If the executive director finds good cause has been demonstrated, the executive director may consider a motion filed after that time.

(d) Unless otherwise ordered by the executive director, responses to motions for extension of a deadline are due three days after receipt of the motion.

(e) A motion for continuance or extension of time is not granted until it has been ruled on by the executive director, even if the motion is uncontested or agreed.

§12.42. Motion for Continuance
(a) The presiding officer may postpone or delay a hearing

(b) A request to postpone or delay a hearing shall include:

(c) Motions for continuance shall be filed no later than five days before the date of the proceeding or shall state good cause for presenting the motion after that time. If the presiding officer finds good cause has been demonstrated, the presiding officer may consider a motion filed after that time.

(d) Responses to motions for continuance shall be in writing, except a response to a motion for continuance made on the date of the proceeding may be presented orally at the proceeding. Unless otherwise ordered or allowed by the presiding officer, responses to motions for continuance shall be made by the earlier of:

(d) A motion for continuance is not granted until it has been ruled on by the presiding officer, even if the motion is uncontested or agreed.

§12.43. Motion to Dismiss
(a) A party may move to dismiss a complaint in whole or in part on the grounds that an alleged violation has no basis in law or fact. An alleged violation has no basis in law if the allegations, if taken as true, together with inferences reasonably drawn from them do not constitute a violation of a rule adopted by or a law administered and enforced by the commission. An alleged violation has no basis in fact if no reasonable person could believe the facts alleged.

(b) A motion to dismiss must identify each alleged violation to which it is addressed, and must state specifically the reasons the alleged violation has no basis in law, no basis in fact, or both.

(c) The commission may, but is not required to, conduct an oral hearing on the motion to dismiss. The commission may not consider evidence in ruling on the motion and must decide the motion based solely on the facts alleged in the complaint, together with any complaint exhibits permitted by commission rule or statute.

§12.44. Motion for Summary Disposition
(a) Summary disposition shall be granted on all or part of a complaint’s allegations if the allegations, the motion for summary disposition, and the summary disposition evidence show that there is no genuine issue as to any material fact and that the moving party is entitled to a decision in its favor as a matter of law on all or some of the issues expressly set out in the motion. Summary disposition is not permitted based on the ground that there is no evidence of one or more essential elements of a claim or defense on which the opposing party would have the burden of proof at the formal hearing.

(b) Unless otherwise ordered by the presiding officer:

(c) A motion for summary disposition shall include the contents listed below. A motion may be denied for failure to comply with these requirements.

(d) Responses to motions.

(e) Summary disposition evidence.

(f) Proceedings on motions.

§12.45. Motion for Sanctions
(a) The commission has the authority to impose appropriate sanctions against a party or its representative for:

(b) By record vote of at least six commissioners, the commission may issue an order imposing sanctions when justified by party or representative behavior described in subsection (a) of this section and after notice and opportunity for hearing. Sanctions may include:

(c) In deciding if a complaint is frivolous, the commission will be guided by the Texas Rules of Civil Procedure, Rule 13, and interpretations of that rule, and may also consider:

Subchapter E. Hearings

Division 1: General Rules

§12.51. Conduct and Decorum
(a) Parties, representatives, and other participants at a hearing shall conduct themselves with dignity, show courtesy and respect for one another and for the commission, and follow any additional guidelines of decorum prescribed by the presiding officer, including adherence to the amount of time allotted for the hearing. Attorneys shall adhere to the standards of conduct in the Texas Lawyer’s Creed promulgated by the Supreme Court of Texas and the Court of Criminal Appeals and the Texas Disciplinary Rules of Professional Conduct promulgated by the Supreme Court of Texas.

(b) Attorneys should advise their clients and witnesses of the applicable rules of conduct and decorum.

(c) All objections, arguments, and other comments by parties shall be directed to the commission and not to an opposing party.

(d) While a party is addressing the commission or questioning a witness, any other party shall not interrupt for any purpose except to make a valid objection.

(e) Parties shall not approach the dais without leave of the presiding officer and must not lean on the dais.

(f) Parties shall remain seated at the counsel table at all times except:

(g) Parties must question witnesses and deliver arguments to the commission while seated at the counsel table or standing at the lectern. If a party seeks to question or argue from another location, leave of the presiding officer must be requested and granted.

(h) Parties must request leave of the presiding officer to conduct a demonstration.

(i) The presiding officer may take appropriate action to maintain and enforce proper conduct and decorum, including:

§12.52. Private Deliberations
As provided by section 571.139 of the Government Code, the commission may deliberate in private regarding the resolution of a sworn complaint or motion, including a dismissal of a complaint, a determination of whether a violation within the jurisdiction of the commission has occurred, and an appropriate penalty upon a finding of a violation. As provided by section 2001.061 of the Government Code, the presiding officer may permit the executive director, general counsel, or other employee of the commission who has not participated in a hearing in the complaint for the purpose of using the special skills or knowledge of the agency and its staff in evaluating the evidence.

§12.53. Record of Rulings
Rulings not made orally at a recorded hearing shall be in writing and issued to all parties of record.

Division 2: Powers of the Presiding Officer

§12.61. Selection and Delegation of Presiding Officer
 (a) Except as otherwise provided in subsection (b), the commission’s chair shall serve as the presiding officer for all hearings.

(b) The chair may appoint another commissioner to preside over a hearing held by the commission.

§12.62. Set Hearings
The presiding officer may order that one or more hearings be held to address any matters pending in a sworn complaint proceeding, including motions to dismiss, motions for discovery or subpoenas, motions for sanctions, or any other matters related to the proceeding. The commission shall provide such an order to the parties and the complainant within five business days after the decision is made. The order shall include the date, time, and place of the hearing and a list of the matters to be addressed at the hearing.

§12.63. Consolidate or Sever Matters for Hearing
(a) The presiding officer may order that cases be consolidated or joined for hearing if there are common issues of law or fact and consolidation or joint hearing will promote the fair and efficient handling of the matters.

(b) The presiding officer may order severance of issues if separate hearings on the issues will promote the fair and efficient handling of the matters.

§12.64 Conduct Hearings
 (a) The presiding officer shall have the authority and duty to conduct a full, fair, and efficient hearing, including the power to:

    (1) administer oaths;

    (2) take testimony, including the power to question witnesses and to request the presence of a witness from a state agency;

    (3) require the prefiling of exhibits and testimony;

    (4) exclude irrelevant, immaterial, or unduly repetitious testimony;

    (5) reasonably limit the time for presentations of evidence or argument;

    (6) reopen the record when justice requires, if the commission has not issued a final order; and

    (7) take other steps conducive to a fair and efficient formal hearing.

§12.65. Rule of Evidentiary Matters
The presiding officer shall have the power to rule on admissibility and other questions of evidence.

§12.66. Sign Orders and Subpoenas
The presiding officer may sign previously approved subpoenas and orders.

Division 3: Preliminary Review Hearings

§12.71. Notice of Preliminary Review Hearing
(a) Commission staff shall provide notice of a preliminary review hearing to a respondent and complainant at least 10 days before the date of the hearing and must include:

    (1) the date, time, place, and nature of the hearing;

    (2) a statement of the legal authority and jurisdiction under which the hearing is to be held;

    (3) a reference to the particular sections of the statutes and rules involved; and

    (4) a short and plain statement of the factual matters asserted.

(b) Commission staff shall provide to a respondent at least 10 days before the date of the hearing:

    (1) a list of proposed witnesses to be called at the hearing and a brief statement as to the nature of the testimony expected to be given by each witness to be called at the hearing; and

    (2) copies of all documents expected to be used or introduced as exhibits at the hearing.

(c) The respondent shall provide to commission staff the contents described by subsections (b)(1) and (b)(2) of this section at least 5 days before the date of the hearing. If a respondent or commission staff fail to comply with this section, the commission may reschedule the hearing or proceed with the hearing and exclude at the hearing evidence, documents, and testimony provided by the respondent or commission staff, as applicable, but such failure may be excused upon a showing of good cause.

§12.72. Preliminary Review Hearing
(a) Commission staff and the respondent may present any relevant evidence at a preliminary review hearing, including examination and cross-examination of witnesses.

(b) Commission staff and the respondent may present an opening and closing statement at a preliminary review hearing.

Division 4: Formal Hearings

§12.81. Order of Formal Hearing
As soon as practicable after the commission orders a formal hearing, the executive director shall provide to the parties to the complaint, and to the complainant, a copy of the commission’s decision to order the hearing. The decision shall include the date, time, and place of the hearing and be signed by the presiding officer.

§12.82. Notice of Formal Hearing
(a) Commission staff shall provide notice of a formal hearing to a respondent and complainant at least 60 days before the date of the hearing and must include, in addition to the contents required by section 571.126(b) of the Government Code:

    (1) the date, time, place, and nature of the hearing;

    (2) a statement of the legal authority and jurisdiction under which the hearing is to be held;

    (3) a reference to the particular sections of the statutes and rules involved; and

    (4) a short and plain statement of the factual matters asserted.

(b) Commission staff shall file and provide to a respondent and complainant at least 30 days before the date of the hearing:

    (1) a list of proposed witnesses to be called at the hearing and a brief statement as to the nature of the testimony expected to be given by each witness to be called at the hearing; and

    (2) copies of all documents expected to be used or introduced as exhibits at the hearing.

(c) The respondent shall file and provide to commission staff at least 14 days before the date of the hearing:

    (1) a list of proposed witnesses to be called at the hearing and a brief statement as to the nature of the testimony expected to be given by each witness to be called at the hearing; and

    (2) copies of all documents expected to be used or introduced as exhibits at the hearing.

(d) If a respondent or commission staff fail to comply with this section, the commission may reschedule the hearing or proceed with the hearing and exclude at the hearing evidence, documents, and testimony provided by the respondent or commission staff, as applicable, but such failure may be excused upon a showing of good cause.

§12.83. Formal Hearing: Venue

When the commission orders a formal hearing the commission shall decide whether the formal hearing will be held before the commission or before the State Office of Administrative Hearings.

§12.84. Presentation of Evidence
(a) After the resolution of all prehearing matters, each party shall make its presentation during the formal hearing. Commission staff shall make the first opening statement. The respondent or respondent’s authorized representative shall then make an opening statement, should the respondent wish to do so at that time. The respondent may reserve the opening statement until the presentation of the respondent’s case.

(b) Following opening statements, commission staff may present evidence in its case. At the conclusion of the presentation of the evidence, commission staff may rest. The respondent or the respondent’s authorized representative may then make an opening statement, or, if an opening statement has already been made, present evidence in its defense of the allegations raised in the notice of formal hearing. At the conclusion of the presentation of evidence by the respondent, the respondent may rest.

(c) After both parties have rested their case, commission staff shall make a closing argument. The respondent may then make a closing argument. Commission staff may then make a reply.

(d) Unless otherwise ordered by the presiding officer, after closing arguments, evidence will be closed and the case will be turned over to the members of the commission for deliberation and decision.

§12.85. Rules of Evidence
(a) The Texas Rules of Evidence as applied in a nonjury civil case in district court govern a formal hearing only to the extent consistent with Chapter 571 of the Government Code.

(b) Evidence may be admitted if it meets the standards set out in section 2001.081 of the Government Code.

§12.86. Number of Exhibits
(a) Each exhibit to be offered shall first be numbered by the offering party.

(b) Copies of the original exhibit shall be furnished by the party offering the exhibit to the commission and to each party present at the hearing unless otherwise ordered by the presiding officer.

(c) An exhibit excluded from evidence will be considered withdrawn by the offering party and will be returned to the party.

(d) Pre-numbered exhibits may be filed with the commission prior to the formal hearing. Pre-numbered exhibits that are not offered and admitted at the hearing will be deemed withdrawn.

Subchapter F. RESOLUTIONS

§12.91. Agreed Resolutions
(a) Upon the affirmative vote of six commissioners, the commission may enter into an agreed resolution with a respondent to settle a complaint filed against the respondent, including an assurance of voluntary compliance, a notice of reporting error, or an agreed order.

(b) An assurance of voluntary compliance:

    (1) resolves a sworn complaint:

      (A) with no determination that a violation within the jurisdiction of the commission has occurred, if entered into before a preliminary review hearing is completed; or

      (B) with a determination that all violations within the jurisdiction of the commission, when viewed as a whole in consideration of any mitigating action taken by the respondent, are technical or de minimis; and

    (2) may include a civil penalty.

(c) A notice of reporting error resolves a complaint with a determination that all violations within the jurisdiction of the commission are reporting errors that do not materially defeat the purpose of disclosure and may include a civil penalty in the form of an assessment fee.

(d) An agreed order resolves a sworn complaint with a determination that one or more violations within the jurisdiction of the commission occurred and may include a civil penalty.

§12.92. Resolution of Technical or De Minimis Allegations
(a) Technical, clerical, or de minimis violations for purposes of §§571.0631 and 571.140 of the Government Code means any violation of law under the TEC’s jurisdiction that neither materially affects disclosure nor undermines public trust in government.

(b) Examples of technical, clerical, or de minimis violations include:

    (1) Typographical or incomplete information on a campaign finance report that is not misleading and does not materially affect disclosure;

    (2) Failure to include a disclosure statement or a highway right-of-way notice on political advertising;

    (3) Failure of a non-incumbent to use the word “for” in a campaign communication that is not otherwise misleading;

    (4) Failure to file a timely campaign finance report or campaign treasurer appointment if the alleged violations do not materially affect disclosure;

    (5) Failure to timely respond to a sworn complaint if the respondent shows good cause for the late response.

(c) During the review of a sworn complaint under Chapter 571, Subchapter E of the Government Code, if the executive director determines that all of the alleged violations in the sworn complaint are technical or de minimis, the executive director may enter into an assurance of voluntary compliance with the respondent. Before entering into an assurance of voluntary compliance, the executive director may require a respondent to correct the violations.

§12.93. Default Proceedings
(a) If a respondent fails to respond to a complaint by the deadline set by Section 571.1242 or fails to appear for a formal hearing, the commission may, upon notice and hearing, proceed on a default basis.

(b) A default proceeding under this section requires adequate proof of the following:

    (1) the notice of hearing to the respondent stated that the allegations listed in the notice could be deemed admitted and that the relief sought in the notice of hearing might be granted by default against the party that fails to appear at the hearing;

    (2) the notice of hearing satisfies the requirements of sections 2001.051 and 2001.052 of the Government Code; and

    (3) the notice of hearing was:

      (A) received by the defaulting party; or

      (B) sent by regular mail or by certified mail, restricted delivery, return receipt requested, to the party’s last known address as shown by the commission’s records.

(c) In the absence of adequate proof to support a default, the presiding officer shall continue the hearing and direct commission staff to provide adequate notice of hearing. If adequate notice is unable to be provided, the commission may dismiss the complaint.

(d) Upon receiving the required showing of proof to support a default, the commission may by vote deem admitted the allegations in the notice of hearing and issue a default decision.

§12.94. Final Orders After Formal Hearings
(a) The commission should issue a final order within 60 days after the conclusion of a formal hearing.

(b) The executive director shall dismiss a complaint if the commission fails to adopt a motion under section 571.132 of the Government Code. The dismissal shall state the complaint was dismissed because there were insufficient commission votes to find that there was or was not a violation of law.