Bill Text: IN HB1001 | 2010 | Regular Session | Enrolled
Bill Title: Government ethics.
Spectrum: Bipartisan Bill
Status: (Passed) 2010-03-25 - Sections 34 through 35 effective 11/01/2010 [HB1001 Detail]
Download: Indiana-2010-HB1001-Enrolled.html
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AN ACT to amend the Indiana Code concerning the general assembly.
(1) The name of the member's or candidate's employer and the employer of the member's or candidate's spouse and the nature of the employer's business. The house of representatives and senate need not be listed as an employer.
(2) The name of any sole proprietorship owned or professional practice operated by the member or candidate or the member's or candidate's spouse and the nature of the business.
(3) The name of any partnership of which the member or candidate or the member's or candidate's spouse is a member and the nature of the partnership's business.
(4) The name of any corporation of which the member or candidate or the member's or candidate's spouse is an officer or director and the nature of the corporation's business. Churches need not be listed.
(5) The name of any corporation in which the member or candidate or the member's or candidate's spouse or unemancipated children own stock or stock options having a fair market value in excess of ten thousand dollars ($10,000). No time or demand deposit in a financial institution or insurance policy need be listed.
(6) The name of any state agency or the supreme court of Indiana which licenses or regulates the following:
(A) The member's or candidate's or the member's or candidate's spouse's profession or occupation.
(B) Any proprietorship, partnership, corporation, or limited liability company listed under subdivision (2), (3), or (4) and the nature of the licensure or regulation.
The requirement to file certain reports with the secretary of state or to register with the department of state revenue as a retail merchant, manufacturer, or wholesaler shall not be considered as licensure or regulation.
unless the contribution is made in the name of the legislator.
(C) Any gifts other than cash having a fair market value in the
aggregate in excess of two hundred fifty dollars ($250).
Campaign contributions need not be listed. Gifts from a spouse
or close relative need not be listed unless the donor has a
substantial economic interest in a legislative matter.
(9) (7) The name of any lobbyist who is:
(A) a member of a partnership or limited liability company;
(B) an officer or a director of a corporation; or
(C) a manager of a limited liability company;
of which the member of or candidate for the general assembly is
a partner, an officer, a director, a member, or an employee, and a
description of the legislative matters which are the object of the
lobbyist's activity.
(10) (8) The name of any person or entity on whose behalf the
member or candidate has appeared before, contacted, or
transacted business with any state agency or official thereof, the
name of the state agency, the nature of the appearance, contact, or
transaction, and the cause number, if any. This requirement does
not apply when the services are rendered without compensation.
(11) (9) The name of any limited liability company of which the
member of the general assembly, the candidate, or the member's
or candidate's individual spouse has an interest.
(b) Before any person who is not a member of the general assembly
files the person's declaration of candidacy, declaration of intent to be
a write-in candidate, or petition of nomination for office or is selected
as a candidate for the office under IC 3-13-1 or IC 3-13-2, the person
shall file with the clerk of the house or secretary of the senate,
respectively, the same written statement of economic interests for the
preceding calendar year that this section requires members of the
general assembly to file.
(c) Any member of or candidate for the general assembly may file
an amended statement upon discovery of additional information
required to be reported.
(b) A member of the general assembly may not receive an honorarium for an appearance or a speech made or given in the member's capacity as a legislator.
(1) Willful failure to file a required statement by the deadline prescribed in this chapter or knowingly filing a false statement.
(2) Knowing violation of section 9, 9.5, or 10 of this chapter.
(1) The individual's spouse.
(2) A parent of the individual or a parent of the individual's spouse.
(3) A child of the individual or a child of the individual's spouse.
(4) A sibling of the individual or a sibling of the individual's spouse.
(5) An aunt or an uncle of the individual or an aunt or uncle of the individual's spouse.
(6) A niece or nephew of the individual or a niece or nephew of the individual's spouse.
(7) A grandparent of the individual or a grandparent of the individual's spouse.
(8) A grandchild of the individual or a grandchild of the individual's spouse.
(9) A great-grandparent of the individual or a great-grandparent of the individual's spouse.
(10) A great-grandchild of the individual or a great-grandchild of the individual's spouse.
(b) A relative by adoption, half-blood, marriage, or remarriage is considered as a relative of whole kinship.
(b) The term does not include
(1) The general assembly.
(2) The house of representatives.
(3) The senate.
(4) A standing or other committee established by the rules of the house of representatives or the senate.
(5) A committee established by statute or by the legislative council. An individual who:
(A) is a member of a committee described in this subdivision; and
(B) is not a member of the general assembly;
is not considered to be a member of a legislative body for purposes of this article.
(6) A caucus of the house of representatives or the senate.
(1) A member.
(2) A candidate.
(3) An officer of the general assembly.
(4) An employee
(5) A member of the immediate family of anyone described in subdivision (1), (2), (3), or (4). A lobbyist who is a close relative of a legislative person is not considered a legislative person.
(6) A paid consultant of the general assembly.
(7) An agency of the general assembly.
(1) engages in lobbying; and
(2) in any registration year, receives or expends an aggregate of at least five hundred dollars ($500) in compensation or expenditures reportable under this article for lobbying, whether the compensation or expenditure is solely for lobbying or the lobbying is incidental to that individual's regular employment.
(b) The following are not considered lobbyists:
(1) A public employee or public official.
(2) The National Conference of State Legislatures.
(3) The National Conference of Insurance Legislators.
(4) The American Legislative Exchange Council.
(5) Women in Government.
(6) The Council of State Governments.
(7) The National Black Caucus of State Legislators.
(8) Any other national organization established for the education and support of legislative leadership, legislators, legislative staff, or related government employees.
statements before January 1 of the year to which they apply, as the
commission determines.
(b) Subject to subsections (c) and (d), the commission shall impose
a late registration fee of ten not more than one hundred dollars ($10)
($100) per day for each day after the deadline until the statement is
filed.
(c) The late registration fee shall not exceed one hundred four
thousand five hundred dollars ($100). ($4,500).
(d) The commission may waive the late registration fee if the
commission determines that the circumstances make imposition of the
fee inappropriate.
(b) Subject to subsections (c) and (d), the commission shall impose a penalty of
(c) The penalty shall not exceed
(d) The commission may waive the penalty if the commission determines that the circumstances make imposition of the penalty inappropriate.
(1) A complete and current statement of the information required to be supplied under IC 2-7-2-3 and IC 2-7-2-4.
(2) Total expenditures on lobbying (prorated, if necessary) broken down to include at least the following categories:
(A) Compensation to others who perform lobbying services.
(B) Reimbursement to others who perform lobbying services.
(C) Receptions.
(D) Entertainment, including meals.
(E) Gifts made to
member of the immediate family of an employee of the general
assembly. a legislative person.
(3) Subject to section 3.5 of this chapter, a statement of
expenditures and gifts each:
(A) expenditure for entertainment (including meals and
drink); or
(B) gift;
that equal one hundred equals fifty dollars ($100) ($50) or more
in one (1) day, or expenditures for entertainment (including
meals and drink) or gifts that together total more than five two
hundred fifty dollars ($500) ($250) during the calendar year, if
the expenditures and gifts are made by the registrant lobbyist or
his the lobbyist's agent to benefit a specific legislative person.
(A) a member of the general assembly;
(B) an officer of the general assembly;
(C) an employee of the general assembly; or
(D) a member of the immediate family of anyone included in
clause (A), (B), or (C).
(4) Whenever a lobbyist makes an expenditure that is for the
benefit of all of the members of the general assembly on a given
occasion, the total amount expended shall be reported, but the
lobbyist shall not prorate the expenditure among each member of
the general assembly.
(5) (4) A list of the general subject matter of each bill or
resolution concerning which a lobbying effort was made within
the registration period.
(6) The name of the beneficiary of each expenditure or gift made
by the lobbyist or his agent that is required to be reported under
subdivision (3).
(7) (5) The name of each member of the general assembly from
whom the lobbyist has received an affidavit required under
IC 2-2.1-3-3.5.
(b) In the second semiannual report, when total amounts are
required to be reported, totals shall be stated both for the period
covered by the statement and for the entire reporting year.
(c) An amount reported under this section is not required to include
the following:
(1) Overhead costs.
(2) Charges for any of the following:
(A) Postage.
(B) Express mail service.
(C) Stationery.
(D) Facsimile transmissions.
(E) Telephone calls.
(3) Expenditures for the personal services of clerical and other support staff persons who are not lobbyists.
(4) Expenditures for leasing or renting an office.
(5) Expenditures for lodging, meals, and other personal expenses of the lobbyist.
(d) A report of an expenditure under subsection (a)(3) must state the following information:
(1) The name of the lobbyist making the expenditure.
(2) A description of the expenditure.
(3) The amount of the expenditure.
(b) A lobbyist shall file a written report whenever the lobbyist makes a gift with respect to a legislative person that is required to be included in a report under section 3(a)(3) of this chapter.
(c) A report under this section must state the following:
(1) The name of the lobbyist making the gift.
(2) A description of the gift.
(3) The amount of the gift.
(d) A lobbyist shall file a copy of a report required by this section with all the following:
(1) The commission.
(2) The legislative person to whom the report is made.
(3) The principal clerk of the house of representatives, if the legislative person is a member of, or a candidate for election to, the house of representatives.
(4) The secretary of the senate, if the legislative person is a member of, or candidate for election to, the senate.
(e) A lobbyist shall file a report required by this section not later than fifteen (15) business days after making the gift. A report filed under this section is confidential and is not available for public inspection or copying until ten (10) business days after the report is filed with the commission.
(f) Not later than January 7 each year, the commission shall provide to each member and candidate a written compilation of all reports filed under subsection (d) relating to that member or candidate. The compilation must provide the following information to the member or candidate for each gift reported under subsection
(d):
(1) A description of the gift.
(2) The amount of the gift.
(3) The name of the lobbyist making the gift.
(b) A report of an expenditure with respect to a particular legislative person:
(1) must report actual amounts; and
(2) may not allocate to the particular legislative person a prorated amount derived from an expense made with respect to several legislative persons;
to the extent practicable.
(c) An activity report must report expenditures for a function or activity to which all the members of a legislative body are invited. Expenditures reported for a function or activity described in this subsection may not be allocated and reported with respect to a particular legislative person.
(d) If two (2) or more lobbyists contribute to an expenditure, each lobbyist shall report the actual amount the lobbyist contributed to the expenditure. For purposes of reporting such an expenditure, the following apply:
(1) For purposes of determining whether the expenditure is reportable, the total amount of the expenditure with respect to a particular legislative person must be determined and not the amount that each lobbyist contributed to that expenditure.
(2) Each lobbyist shall report the actual amount the lobbyist contributed to the expenditure, even if that amount would not have been reportable under this section if only one (1) lobbyist made an expenditure of that amount.
(e) The report of an expenditure with respect to a particular legislative person may not include any amount that the particular legislative person contributed to the expenditure.
(f) An activity report may not report expenditures or gifts relating to property or services received by a legislative person if the legislative person paid for the property or services the amount that would be charged to any purchaser of the property or services
in the ordinary course of business.
(g) An activity report may not report expenditures or gifts made
between close relatives unless the expenditure or gift is made in
connection with a legislative action.
(h) An activity report may not report expenditures or gifts
relating to the performance of a legislative person's official duties,
including the legislative person's service as a member of any of the
following:
(1) The legislative council.
(2) The budget committee.
(3) A standing or other committee established by the rules of
the house of representatives or the senate.
(4) A study committee established by statute or by the
legislative council.
(5) A statutory board or commission.
(i) An activity report may not report a contribution (as defined
in IC 3-5-2-15).
(b) As used in this section, "purchase" refers to a purchase of goods or services for which the lobbyist paid more than one hundred dollars ($100) from any of the following:
(1) A member or candidate.
(2) A member's or candidate's sole proprietorship.
(3) A member's or candidate's family business, regardless of the manner of the family business's legal organization.
(c) A lobbyist shall file a written report with respect to a member or candidate whenever the lobbyist makes a purchase.
(d) A report required by this section must state the following:
(1) The name of the lobbyist making the purchase.
(2) A description of the purchase.
(3) The amount of the purchase.
(e) A lobbyist shall file a copy of a report required by this section with all the following:
(1) The commission.
(2) The member or candidate with respect to whom the report is made.
(3) The principal clerk of the house of representatives, if the
member or candidate is a member of, or a candidate for
election to, the house of representatives.
(4) The secretary of the senate, if the member or candidate is
a member of, or candidate for election to, the senate.
(f) A lobbyist shall file a report required by this section not later
than fifteen (15) business days after making the purchase. A report
filed under this section is confidential and is not available for
public inspection or copying until ten (10) business days after the
report is filed with the commission.
(g) Not later than January 7 each year, the commission shall
provide to each member and candidate a written compilation of all
reports filed under subsection (e) relating to that member or
candidate. The compilation must provide the following information
to the member or candidate for each purchase:
(1) A description of the purchase.
(2) The amount of the purchase.
(3) The name of the lobbyist making the purchase.
(1) Reports, statements, other documents required to be filed under this article.
(2) Manuals, indices, summaries, and other documents the commission is required to compile, publish, or maintain under this article.
(b) The commission shall make copies of all reports required to be made by legislative liaisons under IC 5-14-7 available on the Internet.
(b) Verifying documents under this section while in the possession of the commission are confidential.
[EFFECTIVE NOVEMBER 1, 2011]: Sec. 1. It is unlawful for any A
legislative official to person may not receive compensation or
reimbursement other than from the state for personally engaging in
lobbying.
(1) registered as a lobbyist under this article; or
(2) employed as a legislative liaison;
during the period described in subsection (b).
(b) The period referred to in subsection (a):
(1) begins on the day the individual ceases to be a member of the general assembly; and
(2) ends three hundred sixty-five (365) days after the date the individual ceases to be a member of the general assembly.
(1) candidate for nomination for election to the general assembly in 2010; or
(2) member of the general assembly on November 3, 2010.
(b) An individual described in subsection (a) may not be:
(1) registered as a lobbyist under this article; or
(2) employed as a legislative liaison;
before June 1, 2011.
(c) An individual described in subsection (a) may be registered as a lobbyist after May 31, 2011.
(d) This section expires January 1, 2012.
(b) A lobbyist may not make a gift with a value of fifty dollars ($50) or more to a legislative person unless the lobbyist receives the consent of the legislative person before the gift is made. The lobbyist must inform the particular legislative person of the cost of the gift at the time the lobbyist seeks the consent of the legislative person.
NOVEMBER 1, 2010]: Sec. 9. (a) This section does not apply to the
following:
(1) Expenses associated with travel outside Indiana for any
purpose that is paid for by an organization or corporation of
which the legislative person or the legislative person's spouse
is an officer, member of the board of directors, employee, or
independent contractor.
(2) Travel expenses of a legislative person attending a public
policy meeting if:
(A) the legislative person's sole purpose for attending the
meeting is to serve as a speaker or other key participant in
the meeting; and
(B) the speaker of the house of representatives or the
president pro tempore of the senate approves the payment
of the travel expenses in writing.
(b) As used in this section, "travel expenses" includes expenses
for transportation, lodging, meals, registration fees, and other
expenses associated with travel.
(c) Except as provided in subsection (a), a lobbyist may not pay
for or reimburse for travel expenses of a legislative person for
travel outside Indiana for any purpose.
(b) As used in this section, "conflict of interest" means a circumstance where:
(1) the representation of a client will be directly adverse to another client; or
(2) there is a significant risk that the representation of one (1) or more clients will be materially limited by the lobbyist's responsibilities to:
(A) another client; or
(B) a personal interest of the lobbyist.
(c) A lobbyist shall file with the commission a written statement that describes the procedures that the lobbyist and the lobbyist's client will follow if the lobbyist or the client determines at any time that the lobbyist's representation of the client might involve a conflict of interest. The lobbyist shall file the statement with the commission at the time the lobbyist files the lobbyist's annual
registration statement under IC 2-7-2. If the lobbyist's activity
under this chapter is governed by the Rules of Professional
Conduct of the Indiana supreme court, the lobbyist shall file a
statement to that effect with the commission.
(d) The statement filed under subsection (c) must be included in
the agreement between the lobbyist and the client for the lobbyist's
services as a lobbyist.
(e) A lobbyist may not represent a client if the representation
involves a conflict of interest except as is provided in the statement
filed by the lobbyist under subsection (c).
(1) Revoke the registration of the lobbyist.
(2) Assess a civil penalty against the lobbyist. A civil penalty assessed under this subdivision may not be more than five hundred dollars ($500).
(b) In imposing sanctions under subsection (a), the commission shall consider the following:
(1) Whether the failure to file the report was willful or negligent.
(2) Any mitigating circumstances.
(1) a member of the general assembly; or
(2) a candidate's committee of a member of the general assembly;
with respect to an office other than a legislative office or a state office to which the member seeks election.
(b) As used in this section, "affected person" refers to any of the following:
(1) An individual who holds a legislative office.
(2) A candidate for a legislative office.
(3) An individual who holds a state office.
(4) A candidate for a state office.
(c) As used in this section, "prohibited period" means the period:
(1) beginning on the day in January in each odd-numbered year the general assembly reconvenes under IC 2-2.1-1-2; and
(2) through the day the general assembly adjourns sine die in an odd-numbered year under IC 2-2.1-1-2.
(d) During the prohibited period, an affected person, an affected person's candidate's committee, and a legislative caucus committee may not do any of the following:
(1) Solicit campaign contributions.
(2) Accept campaign contributions.
(3) Conduct other fundraising activities. This subdivision does not prohibit an affected person from participating in party activities conducted by a regular party committee.
(b) The circuit court clerk shall, at the request of any person, furnish the person a copy of a report, notice, or other instrument required by this article for a candidate for a legislative office from electronic records maintained on the secretary of state's or election division's web site. The circuit court clerk shall charge for a copy of records furnished under this subsection as provided in IC 5-14-3.
(1) A communication made by the governor concerning the public health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the state officer to make; and
(B) the expenditure for which is approved by the budget agency after an advisory recommendation from the budget committee.
(b) This section does not prohibit a state officer from using in a communication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to the
following:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined in
IC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or
likeness in a communication paid for entirely or in part with
appropriations made by the general assembly, regardless of the
source of the money.
Chapter 7. Legislative Liaisons
Sec. 1. The definitions in IC 2-7-1 apply in this chapter.
Sec. 2. As used in this chapter, "employer" refers to either of the following:
(1) An agency (as defined in IC 4-2-6-1).
(2) A state educational institution (as defined in IC 21-7-13-32).
Sec. 3. As used in this chapter, "legislative liaison" refers to an individual:
(1) designated by an employer; and
(2) who receives at least ten percent (10%) of the individual's annual compensation to engage in lobbying.
Sec. 4. (a) An employer shall annually file a single, aggregate report of expenditures for lobbying activities by each of the employer's legislative liaisons stating expenditures for entertainment (including meals and drink) or gifts that:
(1) total per legislative person:
(A) fifty dollars ($50) or more in one (1) day; or
(B) together more than two hundred fifty dollars ($250) during the calendar year; and
(2) would be reportable to the lobby registration commission by a registered lobbyist under IC 2-7.
(b) A report under this section may not include the following:
(1) Items provided under a statute or from an agency for redistribution to constituents.
(2) Items provided during the performance of official duties by a legislative person, including the legislative person's service as a member of, or participant in, any of the following:
(A) The legislative council.
(B) The budget committee.
(C) A standing or other committee established by the rules of the house of representatives or the senate.
(D) A study committee established by statute or by the legislative council.
(E) A statutory board or commission.
(3) A scholarship, student employment, or other financial aid granted to a legislative person for attendance at a state educational institution.
(4) Expenditures relating to an economic development effort, function, or event by an agency, including those hosted by the Indiana economic development corporation.
Sec. 5. (a) A report required by this chapter must:
(1) be filed with the commission not later than November 30 of each year; and
(2) cover the period from November 1 of the previous year through October 31 of the year in which the report is filed.
(b) The first report required by this chapter must:
(1) be filed with the commission not later than November 30, 2011; and
(2) cover the period from November 1, 2010, through October 31, 2011.
Sec. 6. If an employer has no expenditures for entertainment (including meals and drink) or gifts to report, a statement of that fact is required and is sufficient to comply with the reporting requirements of this chapter.
Sec. 7. (a) The commission shall post reports received under this chapter on the commission's web site.
(b) If the commission does not receive a report from an employer under this chapter, the commission shall notify the employer and post a copy of the notice on the commission's web site.
; (10)HE1001.1.35. --> SECTION 35. THE FOLLOWING ARE REPEALED [EFFECTIVE NOVEMBER 1, 2010]: IC 2-7-1-1.5; IC 2-7-1-15; IC 2-7-1-17; IC 2-7-3-6.
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